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									Item Number                       Compliance Test                              Compliance Standard                    Other Guidance                   Legal Citations
Identification
                 Does the LEA identify, locate and assess all
                                                                                                           Policy and Procedure Review: The
                 students aged birth-21, in need of special
                                                                                                           district has written policies and
                 education and related services residing in its           The district must have                                                  20 USC 1412 (a)(3)(A),
                                                                                                           procedures about identifying,
                 jurisdiction, including:                                 evidence that there are policies                                        20 USC 1412
                                                                                                           locating and accessing all students
                 (a) students in private, including religious, schools;   and procedures addressing the                                           (a)(10)(A)(ii)(I), 34 CFR
                                                                                                           aged birth-21 in need of special
                 (b) highly mobile individuals with exceptional           LEAs responsibility to identify,                                        300.111, 34 CFR
1-1-1                                                                                                      education services.
                 needs, such as students who are migrant or               locate and assess all students                                          300.131, 34 CFR
                                                                                                           Interviews: Can staff describe how
                 homeless; c) students who are advancing from             aged birth-21 in need of special                                        300.111(c)(2), 34 CFR
                                                                                                           they identify, locate and evaluate
                 grade to grade even though they are suspected of         education services.                                                     300.101(c), 30 EC
                                                                                                           students in private schools?
                 being an individual with exceptional needs and in                                                                                56301.
                                                                                                           Students that are homeless?
                 need of special education and related services; (d)
                                                                                                           Migrant students?
                 students who are wards of the State?
                                                                         There is a record of a
                 Does the LEA consult with appropriate                                                    There is a record of a consultation
                                                                         consultation with representative                                     34 CFR 300.134, 30 EC
1-1-1.1          representatives of private school students with                                          with representative of private
                                                                         of private schools regarding                                         56301 and 56171.
                 disabilities on how to carry out child find activities?                                  schools regarding child find.
                                                                         child find.
                                                                                                     The district has written policies
                                                                                                     and procedures about child find.
                                                                                                     Look at district, SELPA or county
                                                                                                     policies and procedures that
                 Are there written policies and procedures for a
                                                                                                     describe child find activities. This
                 continuous student find system which includes the
                                                                   The district has written policies may include the local plan or child 34 CFR 300.201, 30 EC
1-1-1.2          following activities: identification, screening,
                                                                   and procedures about child find. study processes (e.g., student        56301.
                 referral, assessment, planning, implementation,
                                                                                                     study team). The policies and
                 review, and the triennial assessment?
                                                                                                     procedures must address how the
                                                                                                     child find procedures lead to all of
                                                                                                     the subsequent activities listed in
                                                                                                     the test.
                 Is there a procedure for written notification of the     Policies and procedures                                                 34 CFR 300.201, 34
                                                                                                             Must include a referral form and a
1-1-1.3          initiation of a referral for assessment to identify      include provision for initiating                                        CFR 300.503(b)(3), 30
                                                                                                             written procedure.
                 individuals with exceptional needs?                      referral for evaluation.                                                EC 56301.
Item Number                    Compliance Test                           Compliance Standard                      Other Guidance                   Legal Citations
                                                                                                         Look for results from the referral
                                                                                                         process (e.g., the student study
                                                                                                         process, such as Student Study
                                                                    Student records confirm
                                                                                                         Teams) to see that there is
              Does the LEA use a systematic process for             systematic processes. Other
                                                                                                         systematic implementation.
              referring potential students for special education    district documentation and                                                 34 CFR 300.201, 30 EC
1-1-2                                                                                                    Interviews: Can staff describe a
              evaluation that is coordinated with school site       interviews demonstrate                                                     56301, 30 EC 56302.
                                                                                                         systematic process for referring
              procedures?                                           consistent use of systematic
                                                                                                         potential students (suspected
                                                                    processes.
                                                                                                         disabilities) or special education
                                                                                                         evaluation that is coordinated with
                                                                                                         school site procedures?
                                                                                                         Look for a modification checklist
                                                                 Student records (e.g.,                  that may include specific curricular
              Do school site staff consider the resources of the
                                                                 Assessment Reports),                    adaptations or other modifications.
              general education program and appropriately
                                                                 interviews and/or other district         This may be found in the Student
              utilize those resources? Is there documentation of                                                                              5 CCR 3021(b)(2), 34
1-1-3                                                            documentation (e.g., Student            Study Team minutes or check list.
              attempts to modify the general instructional                                                                                    CFR 300.503(b)(3).
                                                                 Study team) demonstrate                 Did the staff consider the
              program prior to referral for special education
                                                                 attempts to utilize and modify          resources of the regular education
              services?
                                                                 the regular program.                    program and when appropriate
                                                                                                         utilize those resources?

                                                                                                         Verify that staff assist in
                                                                    Student records and/or other         documenting the referral. Look for
              Are all referrals for special education and related
1-1-4                                                               district records indicate that all   referral logs, results from student 5 CCR 3021(a).
              services documented?
                                                                    referrals are documented.            study teams, and in files of
                                                                                                         recently identified students.

              Are all referrals for special education and related
                                                                    There is evidence that district
              services documented and when an oral referral is
                                                                    staff offer assistance to
              made for special education and related services,                                           Look for a written referral and
1-1-4.1                                                             individuals who need                                                       5 CCR 3021(a).
              do District Staff: 1) offer assistance to the                                              evidence of district assistance.
                                                                    assistance to put their request
              individual in making a written request, and 2)
                                                                    for a referral in writing.
              assist the individual if requested?
              Are all referrals for special education and related   There is evidence of a written       Look for a copy of a written          20 USC 1415(b)(3), 34
              services documented and does the LEA provide          notification to parents that their   referral in the student record.       CFR 300.503(a)(1), 34
1-1-4.2       parents with a written notice that the student is     child is being referred to           Look for an Assessment Plan,          CFR 300.300(a),
              being referred to determine eligibility for special   determine eligibility for special    parents' rights, and procedural       34 CFR 300.300(c), 30
              education?                                            education.                           safeguards.                           EC 56500.4.
Item Number                    Compliance Test                           Compliance Standard                      Other Guidance                  Legal Citations

                                                                                                         Look at enrollment of racially,
                                                                     The LEA has a process for           ethnically, linguistically and
              Does the LEA collect and examine data regarding
                                                                     collecting and examining data       culturally diverse students in       34 CFR 300.600(d)(3),
              the over/under representation of racially,
                                                                     related to over/under               general education and compare to     Larry P. v Riles, Diana
1-1-5         ethnically, linguistically and culturally diverse
                                                                     representation of racially,         enrollment in special education.     v State Board of
              students to determine whether an imbalance
                                                                     ethnically, linguistically and      Ask administrators about their       Education.
              exists?
                                                                     culturally diverse students.        process for examining issues of
                                                                                                         over/under representation.

                                                                     The LEA has records regarding       Interview LEA administrators.        20 USC 1412
              Does the LEA maintain in its records, and provide
                                                                     the number of parentally placed     Determine methods of                 (a)(10)(A)(i)(V), 34 CFR
              to the State, the number of parentally placed
1-2-1                                                                private school children: a)         documentation. Determine that        300.132(c) &
              private school students: a) evaluated, b)
                                                                     evaluated b) determined to          documentation records all three      300.131(b), 30 EC
              determined to have disabilities; and c) served?
                                                                     have disabilities; and c) served.   types of records.                    56301 (c)(1).


              Does the LEA have a child find process that is
                                                                                                         Review child find policies and
              designed to ensure the equitable participation of      The LEA has a child find                                                 20 USC 1412
                                                                                                         procedures. Interview
              parentally placed private, including religious,        process that ensures the                                                 (a)(10)(A)(ii)(V), 34 CFR
                                                                                                         administrators and staff. Consider
1-2-2         school students with disabilities, an accurate count   equitable participation of                                               300.131(e), 34 CFR
                                                                                                         whether the processes afford
              of such students and a completion period that is       parentally placed private school                                         300.134, 30 EC
                                                                                                         equitable access and comparable
              comparable to that for other pupils attending public   children.                                                                56301(c)(1) & (c)(3).
                                                                                                         timelines.
              schools in the local educational agency?
Item Number                    Compliance Test                           Compliance Standard                    Other Guidance                    Legal Citations


                                                                                                       Review child find policies and
              Does the LEA ensure timely and meaningful                                                procedures. Interview
              consultation during the child find process by                                            administrators and staff. Interview
              consulting with private school representatives and                                       private school representatives and
                                                                     The LEA must ensure timely
              representatives of parents of parentally placed                                          parents of parentally placed
                                                                     and meaningful consultation
              private school students with disabilities during the                                     students with disabilities. Review
                                                                     with private school                                                     20 USC 1412
              design and development of special education and                                          any documentation maintained in
                                                                     representatives and                                                     (a)(10)(A)(ii) & (iii), 34
              related services for the students, including: a)                                         accordance with Item 1-2-6.
1-2-3                                                                representatives of parentally                                           CFR 300.134 & 300138,
              provision of equitable participation opportunity and                                     Consider whether there was
                                                                     placed private school children                                          30 EC 56301(c)(1) &
              information as to how parents, teachers, and                                             opportunity for timely and
                                                                     with disabilities during design                                         (d)(1).
              private school officials will be informed of the                                         meaningful input from required
                                                                     and development of services
              process; b) assurance of how the consultation                                            groups. Consider the steps the
                                                                     for the children.
              process will operate throughout the school year to                                       LEA took to make opportunity for
              provide meaningful participation in special                                              input available. Consider whether
              education and related services?                                                          the consultation process continued
                                                                                                       throughout the school year.


                                                                     The LEA must provide all of the
              Does the LEA provide information about, and a          required information about, and   Ask to see a copy of the              20 USC 1412
              process for how, where and by whom special             the process for provision of,     information required by the item.     (a)(10)(A)(iii)(IV), 34
1-2-4         education and related services will be provided for    special education and related     Review it to determine that it        CFR 300.134(d), 34
              parentally placed private school students with         services to parentally placed     includes all of the required          CFR 300.504(c)(1), 30
              disabilities?                                          private school children with      elements.                             EC 56301 (c)(1) & (d)(1).
                                                                     disabilities.

                                                                                                 Interview the LEA administrator.
                                                                                                 Determine if there have been any
              In the event of a disagreement over provision of  If there is a disagreement over
                                                                                                 disagreements about provision of
              services or the types of services for a private   the provision of services to a
                                                                                                 special education and related        20 USC 1412
              school student with a disability, does the LEA    private school student with a
1-2-5                                                                                            services to private school students (a)(10)(A)(iii)(V),
              provide a private school official with a written  disability, the LEA must provide
                                                                                                 with a disability. Ask to review the 300.134(e).
              explanation of the reasons explaining why the LEA a written explanation of the
                                                                                                 written explanation. Determine if
              chose not to provide services?                    reasons.
                                                                                                 the explanation meets the
                                                                                                 requirements of the item.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                 Legal Citations

                                                                    The LEA must secure and
                                                                    maintain written documentation
                                                                    of timely and meaningful
              Does the LEA obtain written, signed affirmation of
                                                                    consultation from private          Review documentation. Interview    20 USC 1412
              timely and meaningful consultation from private
                                                                    school representatives and         LEA administrator. Determine       (a)(10)(A)(iv), 34 CFR
              school representatives of parents of parentally
1-2-6                                                               representatives of parents of      status of documentation - either   300.134 and
              placed private school students with disabilities in
                                                                    parentally placed private school   signed, written affirmations or    300.135(a), 30 EC
              the design and development of special education
                                                                    children. If signed affirmations   documentation of process.          56172(c).
              and related services?
                                                                    cannot be obtained, the LEA
                                                                    must forward documentation of
                                                                    the process to the State.
Item Number                    Compliance Test                          Compliance Standard                   Other Guidance                    Legal Citations
                                                                                                     Review information about planned
                                                                                                     services. Interview LEA                20 USC 1412
              Are the special education and related services       Services must be provided as
                                                                                                     Administrator. Review any              (a)(10)(A)(vi)(II), 34
              provided to parentally placed private school         planned to parentally placed
1-2-7                                                                                                documentation about provision of       CFR 300.304(c)(6), 34
              students with disabilities secular, neutral, and     private school children with
                                                                                                     services to parentally placed          CFR 300.138(c), 30 EC
              nonideological, including materials and equipment?   disabilities.
                                                                                                     private school children with           56172(f).
                                                                                                     disabilities.
Assessment
Assessment Plan
                                                                                                     Documentation in student records
                                                                                                     indicates that the parent was
                                                                                                     provided an Assessment Plan
                                                                                                     within 15 days of the date of
                                                                                                     referral not counting days between
                                                                                                     the pupil's regular school sessions
                                                                                                     or terms or days of school
                                                                                                     vacation in excess of 5 school
              Does the LEA provide the parent with an                                                days from the date of receipt of
                                                                 A written Assessment Plan
              Assessment Plan within 15 days of the referral for                                     the referral, unless the parent
                                                                 must be provided to the parent                                             34 CFR 300.503(a) and
              any proposed evaluation? Is the Assessment Plan                                        agrees to an extension in writing.
                                                                 within 15 days of the date of                                              (c), 34 CFR
              provided in the primary language of the parent or                                      In any event, the Assessment Plan
2-1-1                                                            referral for initial and three-year                                        300.304(c)(1)(iv) and
              other mode of communication used by the parent,                                        must be developed within 10 days
                                                                 reevaluations. The plan is in                                              (v), 30 EC 56321(a), 30
              unless it is clearly not feasible to do so? Is the                                     after commencement of the
                                                                 the primary language/mode of                                               EC 56321(b).
              Assessment Plan written in language easily                                             subsequent regular school year or
                                                                 communication of the parent.
              understood by the general public?                                                      the pupil's regular school term
                                                                                                     within the district's calendar for
                                                                                                     each pupil referred 10 days or less
                                                                                                     prior to the end of the school year.
                                                                                                     In the event of pupil school
                                                                                                     vacations, the 15 day time
                                                                                                     recommences on the date the
                                                                                                     pupil's regular schooldays
                                                                                                     reconvene.
              Does the LEA provide the parent with an
                                                                   The Assessment Plan must          There is a statement of the reason
              Assessment Plan within 15 days of the referral for
2-1-1.1                                                            include the reason for            for assessment on the              30 EC 56321(a).
              any proposed evaluation that includes the reason
                                                                   assessment.                       Assessment Plan/notice.
              for the assessment?
Item Number                   Compliance Test                          Compliance Standard                      Other Guidance                  Legal Citations
                                                                                                       The Assessment Plan must
              Does the LEA provide the parent with an
                                                                   The Assessment Plan must            include - the type of evaluation,
              Assessment Plan within 15 days of the referral for                                                                            34 CFR 300.503(b)(3),
                                                                   include a description of types of   materials and procedures to be
2-1-1.2       any proposed evaluation that includes an                                                                                      34 CFR 300.304(a), 30
                                                                   evaluation, materials and           used to gather relevant functional
              explanation of the type of assessments to be                                                                                  EC 56321(b)(3).
                                                                   procedures.                         and developmental information
              conducted?
                                                                                                       about the child.
              Does the LEA provide the parent with an
              Assessment Plan within 15 days of the referral for   The child's primary language                                             34 CFR 300.304(c)(4)
              any proposed evaluation that includes the            and language proficiency in         The Assessment Plan must             and (c)(1)(ii), 30 EC
2-1-1.3
              individual's primary language and language           English must be indicated in        include this statement.              56321(b)(1), 5 CCR
              proficiency status (LEP/FEP) for English language    the Assessment Plan.                                                     3022.
              learners?
              Does the LEA provide the parent with an
              Assessment Plan within 15 days of the referral for
                                                                                                                                            34 CFR 300.502(a) and
              any proposed evaluation that includes a              The Assessment Plan must            The Assessment Plan includes
2-1-1.4                                                                                                                                     303.504(c), 30 EC
              description of recent evaluations, including any     include this statement.             this statement.
                                                                                                                                            56329(b), 5 CCR 3022.
              available independent evaluation that will be
              considered?
                                                                                                       The Assessment Plan must
                                                                                                       include any information that the
              Does the LEA provide the parent with an
                                                                   The Assessment Plan must            parent has requested to be
              Assessment Plan within 15 days of the referral for                                                                            34 CFR 300.304(b), 30
                                                                   include this statement, if          considered. Determination of
2-1-1.5       any proposed evaluation that includes assessment                                                                              EC 56341.1(a), 5 CCR
                                                                   parents requested that              noncompliance can only be made
              information that the parent requests to be                                                                                    3022.
                                                                   information be considered.          if there is evidence that parents
              considered?
                                                                                                       provided information that was not
                                                                                                       included or considered.
                                                                                                       The plan should specify the
              Does the LEA provide the parent with an
                                                                                                       methods that will be used as an
              Assessment Plan within 15 days of the referral for   The Assessment Plan must
                                                                                                       alternative. Look for expected
              any proposed evaluation that includes a              include a description of                                                 34 CFR 300.304(c), 5
                                                                                                       language performance level
2-1-1.6       description of alternative means that will be used   alternate means if alternate                                             CCR 3030(c)(4)(B), 5
                                                                                                       and/or severe discrepancy when
              to assess language impairment or specific learning   means were used to assess                                                CCR 3030 (j)(4)(B).
                                                                                                       standardized tests are considered
              disabilities when standard tests are considered      child.
                                                                                                       to be invalid and description of
              invalid?
                                                                                                       alternative means.
                                                                                                                                            20 USC
                                                                                                       Parent's signature or other
              Does the Assessment Plan contain documentation Some documentation that                                                        1414(a)(1)(C)(i), 34
                                                                                                       documentation that parent agreed
2-1-1.7       of parent consent and the date consent was     parent consented to the                                                        CFR 300.300(a),
                                                                                                       with the proposed Assessment
              obtained?                                      Assessment Plan is required.                                                   34 CFR 300.300(c) 30
                                                                                                       Plan must exist in the record.
                                                                                                                                            EC 56321.
Item Number                    Compliance Test                            Compliance Standard                    Other Guidance                   Legal Citations

                                                                                                        The Assessment Plan must
                                                                                                        contain a description of any recent
              Does the Assessment Plan process include a                                                assessments conducted, including
                                                                                                                                              34 CFR 300.305(a)(1),
              review of existing evaluation information provided      There is documentation that       any available independent
                                                                                                                                              30 EC 56321(e), 30 EC
2-1-1.8       by the parents, current classroom based                 existing evaluation material      assessments and any information
                                                                                                                                              56381(a)(1), 5 CCR
              assessments, and observations by teachers and           was reviewed for this child       the parent requests to be
                                                                                                                                              3022.
              related services providers?                                                               considered. LEAs may document
                                                                                                        that this process occurred in some
                                                                                                        other way, as well.

              On the basis of a review of existing evaluation
              information, and input from the child's parents,                                          Check Assessment Plan. Check
                                                                      The Assessment Plan must
              does the Assessment Plan process result in the                                            the student record for other
                                                                      specify additional data that is
              identification of any additional data needed to                                           information and evaluation reports.
                                                                      needed if the IEP team                                                   34 CFR 300.305(a)(2),
2-1-1.9       determine eligibility, present levels of performance,                                      It is important to determine that all
                                                                      determines that additional                                               30 EC 56381(b)(2).
              the child's need for special education and related                                        of the information identified as
                                                                      assessment information is
              services, and any modifications needed to enable                                          needed during the review is
                                                                      needed.
              the child to meet the goals and to participate in the                                     specified in the Assessment Plan.
              general curriculum?
              Does the LEA notify parents (along with the
2-1-2
              Assessment Plan) that:
                                                                                                        Check to see if an IEP meeting
                                                                                                        was scheduled after the
              Does the LEA inform parents that upon completion        There must be evidence that
                                                                                                        assessment. If an IEP meeting
              of the assessment, an IEP team meeting shall be         an IEP meeting is scheduled                                             34 CFR 300.306(a), 30
2-1-2.1                                                                                                 occurred within the appropriate
              scheduled to determine if the student is an             upon completion of the                                                  EC 56329(a).
                                                                                                        initial or annual IEP review
              individual with exceptional needs?                      assessment.
                                                                                                        timeline, then that would be
                                                                                                        considered compliant.
            Does the LEA inform parents of their right to
            obtain, at public expense, an independent                 There must be evidence that
                                                                                                       Check the procedural safeguard
            educational assessment, if the parent disagrees           the parent was notified of their                                        34 CFR 300.504, 30 EC
2-1-2.2                                                                                                notice, Assessment Plan and
            with the assessment conducted by the LEA, or the          rights to obtain an independent                                         56506(c).
                                                                                                       other written notices.
            right to obtain an assessment at any time at their        educational assessment.
            own expense?
Assessment Procedures
Item Number                    Compliance Test                       Compliance Standard                     Other Guidance                     Legal Citations

                                                                 Student records must include
                                                                 documentation of vision and
                                                                 hearing screenings for initial     If not found in the new referrals or
              Do students evaluated for initial and three-year   referrals and three-year           triennial reevaluations, there must    34 CFR 300.304(c)(4),
2-2-1         reviews have a hearing and vision screening        reevaluations. (Vision and         be a parent waiver on file. Look       30 EC 56320(f), 5 CCR
              unless parental permission is denied?              hearing screening are not          for a parent waiver of vision and      3027.
                                                                 required for annual IEPs unless    hearing screenings.
                                                                 there is some indication that
                                                                 screening may be needed).
                                                                                                                                           34 CFR 300.304(c)(6),
                                                                                                                                           34 CFR
              Is there evidence that the assessment is
2-2-2                                                                                                                                      300.304(b)(1)30 EC
              comprehensive?
                                                                                                                                           56320 (b), 30 EC
                                                                                                                                           56321, 5 CCR 3022.
                                                                 Policies and procedures
              Is there evidence that the current assessment is   address selection of materials
              comprehensive and that materials and procedures    and procedures for                 Review the Assessment Report
              used to assess a student with limited English      assessment of English              for references to the ELP status,
                                                                                                                                           34 CFR
              proficiency are selected and administered to       learners. In the student record,   the primary language and the
2-2-2.2                                                                                                                                    300.304(c)(1)(ii), 34
              ensure that they measure the extent to which the   the Assessment Report              validity of assessment materials
                                                                                                                                           CFR 300.306(b)(iii).
              student has a disability and needs special         references the ELP status, the     and procedures. Interview
              education, rather than measuring the student's     primary language and the           assessors.
              English proficiency?                               implications upon the
                                                                 assessment.
                                                                                                    Identify assessor and determine if
                                                                  District has documentation of
              Are assessments conducted by trained personnel                                        assessor is trained. Interview         34 CFR
                                                                 the qualifications of assessors
2-2-2.3       in conformance with the instructions provided by                                      staff. Review district                 300.304(c)(1)(iv) and
                                                                 and in-service training on
              the producer?                                                                         documentation of training of staff     (v), 30 EC 56320(b)(3).
                                                                 assessment.
                                                                                                    assessors.
              Is there evidence that the current assessment is                                      The assessment is conducted by
              comprehensive and that individually administered                                      an appropriately credentialed
                                                                 District has documentation of                                             34 CFR 300.308, 30 EC
2-2-2.4       tests of intellect or emotional functioning are                                       school psychologist. Look for
                                                                 the qualifications of assessors.                                          56320(b)(3).
              administered by a credentialed school                                                 documentation of training in
              psychologist?                                                                         multicultural and ethnic factors.
Item Number                    Compliance Test                         Compliance Standard                     Other Guidance                 Legal Citations

                                                                                                      The LEA has local
                                                                Testing and assessment                procedures/handbooks, local test    20 USC
              Are testing and assessment materials and
                                                                materials and procedures must         selection committee                 1414(b)(3)(A)(i), 34
2-2-2.5       procedures selected and administered so as not to
                                                                result in nondiscriminatory           recommendations, or other           CFR 300.304(c)(1)(i),
              be racially or culturally discriminatory?
                                                                assessments.                          documentation that tests ordered    30 EC 56320(a).
                                                                                                      by the district are appropriate.

              Is there evidence that the current assessment is                                                                            20 USC 1414 (b)(3)(B),
              comprehensive and that assessments were              Areas assessed reflect those                                           34 CFR 300.304(c)(4)
2-2-2.6       administered in all areas related to the suspected   indicated in the referral and/or                                       and (c)(1)(iv), 30 EC
              disability by trained and knowledgeable personnel    the Assessment Plan.                                                   56320(b), 30 EC
              using sound instruments?                                                                                                    56320(f).

                                                                                                      Review records to ensure that
                                                                   Health and development history     health and developmental history
              Is there evidence that the current assessments       is completed for all initial       is completed during initial         34 CFR 300.304(c)(4),
2-2-2.6.1     include, as appropriate, health and developmental    assessments, as appropriate;       assessments and that a review of    30 EC 56320(f), 30 EC
              information?                                         health and development history     health and developmental history    56327(e).
                                                                   is on the Assessment Plan.         is required by the Assessment
                                                                                                      Plan.
                                                                                                      Review records to ensure that
                                                                                                      vision was assessed within the
                                                                                                      previous year for an initial
                                                                   Vision screened within the         assessment and a three-year
              Is there evidence that the current assessments       previous year of an initial        review and that vision was         34 CFR 300.304(c)(4),
2-2-2.6.2     include, as appropriate, information about vision,   assessment and a three-year        addressed in the Assessment        30 EC 56320(f), 30 EC
              including low vision?                                review, unless parental            Report and on the IEP. The         56352, 5 CCR 3027.
                                                                   permission was denied.             Record should contain a low vision
                                                                                                      and functional vision assessment
                                                                                                      for students with visual
                                                                                                      impairments.
                                                                   Hearing screened within the
                                                                                                      Records must contain evidence
              Is there evidence that the current assessments       previous year of an initial                                            34 CFR 300.304(b), 30
                                                                                                      that hearing was addressed in the
2-2-2.6.3     include, as appropriate, information about hearing   assessment and a three year                                            EC 56320(f), 5 CCR
                                                                                                      Assessment Report and on the
              status?                                              review, unless parental                                                3027.
                                                                                                      IEP.
                                                                   permission was denied.
Item Number                   Compliance Test                           Compliance Standard                  Other Guidance                 Legal Citations
                                                                                                     Social and emotional status must
                                                                                                     be reviewed as part of the
              Is there evidence that the current assessment
                                                                    As included in Assessment        Assessment Plan as an area of      34 CFR 300.304(c)(4),
2-2-2.6.4     includes information about social and emotional
                                                                    Plan.                            assessment and addressed in the    30 EC 56320(f).
              status?
                                                                                                     Assessment Report and
                                                                                                     addressed on the IEP.
              Is there evidence that the current assessment                                      The Assessment Plan and the
                                                                                                                                         34 CFR 300.304(c)(4),
2-2-2.6.5     includes information about general intelligence and As included in Assessment Plan Assessment Report addressed the
                                                                                                                                         30 EC 56320(f).
              ability?                                                                           cognitive/general ability of the child.
              Is there evidence that the current assessment                                          The Assessment Plan and the
                                                                    As included in Assessment
2-2-2.6.6     includes information about self-help, as                                               assessment report addressed self- 30 EC 56320(f).
                                                                    Plan.
              appropriate?                                                                           help.
                                                                                                     Academic performance is
                                                                                                     addressed on the Assessment
              Is there evidence that the current assessment                                          Plan and the Assessment Report.
                                                               As included in Assessment                                               34 CFR 300.304(c)(4),
2-2-2.6.7     includes information about academic performance,                                       The IEP contains information
                                                               Plan.                                                                   30 EC 56320(f).
              as appropriate?                                                                        about the child's academic
                                                                                                     performance in all areas affected
                                                                                                     by the disability.
              Is there evidence that the current assessment is                                       Assessments are consistent with
              comprehensive and that evaluations for severe                                          specific program guidelines.
              and low incidence disabilities were administered      LEA has documentation of the     Assessment Reports recommend
              by trained and knowledgeable personnel, using         qualifications and specialized   specialized materials and
                                                                                                                                        30 EC 56320(g), 30 EC
              technically sound instruments, in all areas related   training of assessors.           equipment when appropriate.
2-2-2.6.8                                                                                                                               56327(h), 30 EC
              to the student's suspected disability and attend to   Assessments are consistent       Assessment tools are appropriate
                                                                                                                                        56352(a).
              the need for specialized services, materials and      with specific program            for specific low incidence
              equipment consistent with the guidelines for Deaf-    guidelines.                      populations. Look at the
              Blind, Deaf and Hard of Hearing, Visually                                              Assessment Plan, the
              Impaired, and Severely Orthopedically Impaired?                                        Assessment Reports and the IEP.

                                                                                                     Communicative Development
                                                                                                     indicated on the Assessment Plan
              Is there evidence that the current assessment
                                                                    As included in Assessment        when appropriate and addressed     34 CFR 300.304(c)(4),
2-2-2.6.9     includes information about communication status
                                                                    Plan.                            in the Assessment Report when      30 EC 56320(f).
              and language function, as appropriate?
                                                                                                     appropriate. Addressed on the
                                                                                                     IEP, when appropriate.
Item Number                    Compliance Test                           Compliance Standard                   Other Guidance                 Legal Citations
                                                                                                      Perceptual-Motor Skills are also
                                                                                                      assessed when indicated on the
              Is there evidence that the current assessment                                           Assessment Report. Addressed in
                                                                     As included in Assessment                                             34 CFR 300.304(c)(4),
2-2-2.6.10    includes information about motor abilities, as                                          the assessment report when
                                                                     Plan.                                                                 30 EC 56320(f).
              appropriate?                                                                            assessed and when appropriate.
                                                                                                      Addressed on the IEP when
                                                                                                      appropriate.
                                                                                                      Career/vocational abilities and
                                                                                                      interests indicated on the
              Is there evidence that the current assessment          Career/vocational indicated on   Assessment Plan when
2-2-2.6.11    includes information about career and vocational       the Assessment Plan when         appropriate. Career/Vocational       30 EC 56320(f).
              abilities and interests, as appropriate?               appropriate.                     abilities and interests addressed in
                                                                                                      the Assessment Report if
                                                                                                      appropriate.

                                                                                                      Assessments relate to referral
                                                                                                      information and to all areas
                                                                                                      indicated on the Assessment Plan.
                                                                                                       Assessment Report addresses all
                                                                                                      areas indicated on the
                                                                                                      Assessment Plan (including DIS,
                                                                                                      Health and Development History,
              Are a variety of tools and strategies used to gather   More than one strategy/tool is   and private assessments). The
              functional, developmental and academic                 used to assess the child.        assessment documents the
                                                                                                                                          20 USC 1414(b)(2)(A),
              information to determine eligibility and the content   Assessments relate to referral   requirements for LD eligibility and
2-2-2.7                                                                                                                                   34 CFR 300.304(b)(1),
              of the IEP? Do the tools and strategies directly       information and to all areas     includes a variety of sources,
                                                                                                                                          30 EC 56320(e).
              assist in determining the educational needs of the     indicated on the Assessment      including teacher/staff/parent.
              student?                                               Plan.                            Assessment includes a statement
                                                                                                      of validity, especially when a
                                                                                                      translator is used. The
                                                                                                      assessment is completed before
                                                                                                      the IEP meeting. A copy of the
                                                                                                      Assessment Report is available for
                                                                                                      the parent/s at or prior to the IEP
                                                                                                      meeting.
Item Number                   Compliance Test                           Compliance Standard                   Other Guidance                   Legal Citations

              Is there evidence that the current assessment is                                       Assessments are consistent with
              comprehensive and that evaluations for severe                                          specific program guidelines.
              and low incidence disabilities were administered      LEA has documentation of the     Assessment Reports recommend
              by trained and knowledgeable personnel, using         qualifications and specialized   specialized materials and
                                                                                                                                           30 EC 56320(g), 30 EC
              technically sound instruments, in all areas related   training of assessors.           equipment when appropriate.
2-2-2.8                                                                                                                                    56327(h), 30 EC
              to the student's suspected disability and attend to   Assessments are consistent       Assessment tools are appropriate
                                                                                                                                           56352(a)
              the need for specialized services, materials and      with specific program            for specific low incidence
              equipment consistent with the guidelines for Deaf-    guidelines.                      populations. Look at the
              Blind, Deaf and Hard of Hearing, Visually                                              Assessment Plan, the
              Impaired, and Severely Orthopedically Impaired?                                        Assessment Reports and the IEP.

                                                                                                     Look for assessments conducted
                                                                    Student record indicates that    before transition to kindergarten or
              Is an appropriate reassessment of the student
                                                                    the need for reassessment was    first grade, notations in the IEP or
              conducted to determine continued eligibility prior to
2-2-3                                                               discussed and that               other notes in the record. Look to 30 EC 56445.
              transitioning from a preschool program to
                                                                    assessments were conducted       see if the district has policies and
              kindergarten, or to first grade?
                                                                    as needed.                       procedures for assessing
                                                                                                     preschoolers prior to transition.
                                                                                                     Assessment process includes all
                                                                    If the student record includes   Assessment Reports (including
                                                                    information provided by the      private assessments, if any); there   20 USC 1414(b)(2)(A),
              Does the assessment include consideration of
                                                                    parent, the assessment           is an authorization to                34 CFR
2-2-4         information and private assessments provided by
                                                                    process must include             request/release information in the    300.305(a)(1)(i), EC
              the parent?
                                                                    consideration of that            student's file; the parent's          56329(c).
                                                                    information.                     concerns and information are
                                                                                                     noted on the IEP.
                                                                                                     Check the Assessment
                                                                   The student record must           Report/teacher report for
                                                                   contain information that          description examples; review any      20 USC
              Does the assessment include information related
                                                                   assesses the student's            coordination/involvement of           1414(b)(2)(A)(ii), 34
2-2-5         to enabling the child to be involved in and progress
                                                                   capacity for involvement and      general education in the              CFR 300.304(b)(1)(ii),
              in the general curriculum?
                                                                   progress in the general           Assessment Report; review any         30 EC 56345.
                                                                   curriculum.                       coordination/involvement of
                                                                                                     general education on the IEP.
Item Number                   Compliance Test                        Compliance Standard                  Other Guidance                    Legal Citations

              Do assessments procedures ensure that materials
              are selected and administered that reflect the
              individual’s skills and aptitude levels? If a test is
              administered to a student with impaired sensory,
              manual, or speaking skills, does the test             District policies and procedures Review district policies and
                                                                                                                                     34 CFR 300.304(c)(3),
2-2-5.1       accurately reflect the student's aptitude or          must address these               procedures. Interview assessors
                                                                                                                                     30 EC 56320(d).
              achievement level or whatever other factors the       assessment issues.               regarding assessment procedures
              test purports to measure, rather than reflecting the
              student's impaired sensory, manual, or speaking
              skills (unless those skills are the factors that the
              test purports to measure)?
                                                                                                 Review the plan, Assessment
                                                                                                 Report and other assessment
                                                                                                 information. Determine if the
                                                                 Student records indicate that   Assessment Plan indicated
              Do assessment procedures ensure that IQ tests
                                                                 an IQ measure was not           alternative assessments to obtain
2-2-5.2       are not administered to African-American                                                                                 Larry P. vs. Riles.
                                                                 administered to an African-     information about cognitive
              students?
                                                                 American student.               development. Were the
                                                                                                 alternative assessments
                                                                                                 administered as appropriate?
                                                                                                 Interview staff and parents.
                                                                                                 Description of assessment
                                                                                                 materials on the Assessment Plan
                                                                                                 and within the Assessment
                                                                                                 Report(s). Identification of a
              Do assessment procedures ensure that materials                                     variety of sources including
                                                                 Student record documents use                                          20 USC 1414 (b)(2), 34
              are used to assess specific areas of educational                                   standardized tests, teacher report,
2-2-5.3                                                          of multiple types of measures                                         CFR 300.304(c)(2), 30
              need and do not rely merely on procedures that                                     health and developmental history,
                                                                 as indicated.                                                         EC 56320(c).
              provide a single IQ score?                                                         medical records, social and
                                                                                                 cultural background, adaptive
                                                                                                 behavior. The present level of
                                                                                                 performance on the IEP reflects
                                                                                                 the assessments.
Item Number                    Compliance Test                         Compliance Standard                   Other Guidance                     Legal Citations

                                                                                                    Description of assessment
                                                                                                    materials on the Assessment Plan
                                                                                                    and within the Assessment
              Does the LEA use technically sound instruments
                                                                   Student record documents use     Report(s). Identification of a      20 USC 1414 (b)(2(C),
              that may assess the relative contribution of
2-2-5.4                                                            of multiple types of measures    variety of sources and include      34 CFR 300.304(b)(3),
              cognitive and behavioral factors, in addition to
                                                                   as indicated.                    cognitive, behavioral, physical and 30 EC 56320(f).
              physical or developmental factors?
                                                                                                    developmental factors. The
                                                                                                    present level of performance on
                                                                                                    the IEP reflects the assessments.

Assessment Report
                                                                   Assessment Report or other
              Do assessments result in a written report or         assessment documentation
                                                                                                                                           34 CFR 300.306(a)(2),
2-3-1         reports, that include the findings of each           must provide information about Look for written reports in the file.
                                                                                                                                           30 EC 56327.
              assessment?                                          the student's skill and aptitude
                                                                   levels.
                                                                                                    Look for a statement on the
                                                                   The Assessment Report must
                                                                                                    Assessment Report and on the
              Does the written assessment report include the       include documentation of                                                20 USC 1412(a)(6)(B),
                                                                                                    IEP that addresses how the
2-3-1.1       results of tests administered in the student's       language used during the                                                34 CFR 304(c)(1(i), 30
                                                                                                    assessment addressed the
              primary language by qualified personnel?             assessment for children whose                                           EC 56320.
                                                                                                    student whose primary language is
                                                                   primary language is not English.
                                                                                                    not English.
                                                                                                    Look for a statement of validity in
                                                                   The Assessment Report must
              If a test was administered through an interpreter,                                    the Assessment Report when
                                                                   include notation that validity                                         30 EC 56320(b), 5 CCR
2-3-1.2       does the written report include a statement                                           appropriate. For example, when
                                                                   may have been affected if a                                            3023(a).
              regarding validity of the assessment?                                                 an interpreter is used or alternative
                                                                   translator is used.
                                                                                                    assessments were used.
                                                                                                                                         20 USC
              Does the written Assessment Report include a                                          The description of tests used and
                                                                   Must be included in the                                               1414(b)(3)(A)(iii),
2-3-1.3       description of the extent to which testing varied                                     validity of those tests is addressed
                                                                   Assessment Report.                                                    5 CCR 3023(a)
              from standard conditions?                                                             in the Assessment Report.

                                                                                                    Look for a statement in the
                                                                                                    Assessment Report and on the
              Does the written Assessment Report include
                                                                                                    IEP that addresses
              information related to enabling the student to be
                                                                    Must be included in the         recommendations to enable the          20 USC
2-3-1.4       involved in and progress in the general education
                                                                    Assessment Report.              child to be involved in and            1414(b)(2)(A)(ii).
              curriculum or, for preschool students, to participate
                                                                                                    progress in the general curriculum
              in appropriate activities?
                                                                                                    or, for preschool children, to
                                                                                                    participate in appropriate activities.
Item Number                    Compliance Test                        Compliance Standard               Other Guidance                  Legal Citations


                                                                                               Look for a statement on the
                                                                                               Assessment Report regarding
              Does the written Assessment Report include                                       recommendations for special
                                                                  Must be included in the
2-3-1.5       whether the student needs special education and                                  education and/or related services. 30 EC 56327(a).
                                                                  Assessment Report.
              related services?                                                                Consideration of eligibility criteria.
                                                                                               Look in the IEP where the final
                                                                                               determination is made by the team.

                                                                                               Look for a statement in the
              Does the written Assessment Report include                                       Assessment Report. Look for
                                                                  Must be included in the
2-3-1.6       relevant behavior noted during observation of the                                anecdotes by teachers. Look for 30 EC 56327(c).
                                                                  Assessment Report.
              student in the appropriate setting?                                              student study team notes. Look
                                                                                               for parent input.
                                                                                               Indicated as an area of
                                                                                               assessment on the Assessment
              Does the written Assessment Report include
                                                                  Must be included in the      Plan; the health and            34 CFR 300.532, 30 EC
2-3-1.7       educationally relevant health, developmental and
                                                                  Assessment Report.           developmental history on the    56327(e).
              medical findings, if any?
                                                                                               Assessment Report; addressed on
                                                                                               the IEP.
                                                                                               Addressed within the Assessment
                                                                                               Report. This element is usually
                                                                                               appropriate only when the student
                                                                                               is qualified as a student with a
              Does the written Assessment Report include                                       specific learning disability. This
                                                                  Where appropriate, must be
              determination of the effects of environmental,                                   evaluation information may be
2-3-1.8                                                           included in the Assessment                                        30 EC 56327(g).
              cultural, or economic disadvantage, where                                        unnecessary when the student is
                                                                  Report.
              appropriate?                                                                     clearly qualified under other
                                                                                               disability categories where
                                                                                               objective criteria are applied
                                                                                               according to 5 CCR 3030 and
                                                                                               3031.
              Does the written assessment report include a
              description of the need for specialized services,   Must be included in          Addressed within the Assessment
2-3-1.9                                                                                                                             30 EC 56327(h).
              materials, and equipment for students with low      Assessment Report.           Report and on the IEP.
              incidence disabilities?
Item Number                    Compliance Test                         Compliance Standard                      Other Guidance                 Legal Citations
                                                                                                  Review the assessment report to
                                                                                                  ensure that consideration of
                                                                                                  independent evaluations is
              Does the written Assessment Report include           Must be included in                                                     34 CFR 300.502(b),30
2-3-1.10                                                                                          addressed on the IEP and
              consideration of independent evaluations?            Assessment Report.                                                      EC 56329(b).
                                                                                                  specified as an area of
                                                                                                  assessment on the Assessment
                                                                                                  Plan.
                                                                                                  The Assessment Report should
                                                                                                  indicate that the assessment was
                                                                   The Assessment Report must conducted prior to the
                                                                   include (a) statement(s) that  determination of eligibility and         34 CFR 300.311(a)(2)
                                                                   indicate whether the student   should include description and           for students with
              Does the written Assessment Report include the
2-3-1.11                                                           needs special education and    analysis of the documentation to         specific learning
              basis for making the determination of eligibility?
                                                                   related services and what      demonstrate that special                 disabilities, 30 EC
                                                                   assessment information that    education criteria are met,              56327(b).
                                                                   determination was based upon. including the area of disability and
                                                                                                  the need for special education and
                                                                                                  related services.
                                                                                                  Look for documentation that the
                                                                                                  parent has received a copy of the
                                                                                                  Assessment Report. This may be           20 USC 1414(b)(4)(B),
              Does the LEA provide parents with a copy of the      Parents must receive a copy of
2-3-2                                                                                             a check off on the IEP. Validation       34 CFR 300.306(a)(2),
              Assessment Report?                                   the Assessment Report.
                                                                                                  of this item may require discussion      30 EC 56329.
                                                                                                  with district staff or parent
                                                                                                  interview.
Triennial
              Does a reevaluation occur, unless the parent and     Reevaluation occurs as               Look for a reassessment date
              the LEA agreed that a reevaluation is                specified in the item.               indicated on IEP; verify date of
              unnecessary: a) not more frequently than once a      Reevaluation must be                 initial or last three-year IEP and
              year; b) at least every three years; c) when the     completed within three years.        the current three-year IEP are      20 USC 1414 (a)(2), 34
2-4-1         LEA determines that the educational or related       Date of the initial or last three-   within three years. Look for        CFR 300.303(b), 30 EC
              service needs (including improved academic           year IEP and the current three-      documentation of parent or          56043(k).
              achievement and functional performance) warrant      year IEP are within three years,     teacher request for assessment
              an evaluation; or d) at the student's parents' or    unless the parent and the LEA        prior to due date. This may trigger
              teacher request?                                     agree that it is unnecessary.        an early reevaluation.
Item Number                    Compliance Test                           Compliance Standard                    Other Guidance                    Legal Citations

                                                                                                       Check the Assessment Plan, the
              Did the LEA utilize the required members of the                                          Assessment Report, the IEP or
              IEP team and other qualified professionals as                                            other notes in the file to determine
              appropriate, to review existing evaluation data, and   Student record must include       if a review was conducted, who
                                                                                                                                            20 USC 1414(c), 34
              on the basis of that review, and input from the        documentation of a review of      was involved in the review and
2-4-2                                                                                                                                       CFR 300.305, 30 EC
              student's parents, identify what additional data, if   existing data and identify        whether the review considered all
                                                                                                                                            56381(b).
              any, are needed to determine whether the student       additional data needed.           of the areas required. Note that
              continues to have a disability, and the student's                                        the group consideration does not
              educational needs?                                                                       need to take place during a
                                                                                                       meeting.
                                                                     Student's records must include
                                                                                                       Look for documentation in the
                                                                     some form of documentation of                                            20 USC 1414(c)(1)(A),
              Do three year reevaluations include a review and                                         student record. Look for
2-4-3                                                                the (three year reevaluation)                                            34 CFR 300.305(a), 30
              consideration of all required information?                                               information on the Assessment
                                                                     group's consideration of each                                            EC 56381(b).
                                                                                                       Report. Check the IEP.
                                                                     item.
                                                                     The student record should         Look for documentation in the
                                                                                                                                              20 USC 1414(c)(1)(A),
              Do three-year reevaluations include a review of        include evidence that a team      student record. Look for
2-4-3.1                                                                                                                                       34 CFR 300.305(a)(1),
              existing data?                                         reviewed the student's present    information on the Assessment
                                                                                                                                              30 EC 56381(b).
                                                                     level of performance.             Report. Check the IEP.
                                                                                                      Look in the child's file for
                                                                                                      information provided by parents
                                                                                                      over time that could be used in the
                                                                     If the parent provided
                                                                                                      triennial evaluation report. The file   20 USC 1414(c)(1)(A),
                                                                     evaluations or other information
              Do three-year reevaluations include a review of                                         may not contain information             34 CFR
2-4-3.2                                                              about their child, there must be
              information provided by the parent?                                                     provided by the parent; the parent      300.305(a)(1)(i), 30 EC
                                                                     evidence that the information
                                                                                                      is not required to provide any data.    56381(b).
                                                                     was reviewed.
                                                                                                       However, if the parent does
                                                                                                      provide information, the district is
                                                                                                      obligated to consider it.

                                                                                                       Look for Assessment Reports,
                                                                                                       comments on progress reports
                                                                     The group must review                                                    20 USC 1414(c)(1)(A),
                                                                                                       and other notes from teachers and
              Do three-year reevaluations include a review of        information provided by the                                              34 CFR
2-4-3.3                                                                                                related service providers. Look on
              teacher and related service provider information?      child's teacher and/or other                                             300.305(a)(1)(iii), 30 EC
                                                                                                       the IEP under present levels of
                                                                     service provider.                                                        56381(b).
                                                                                                       performance and evaluation of
                                                                                                       goals and objectives.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                   Legal Citations

                                                              The group must consider
                                                                                                      Review the student's files for        20 USC 1414(c)(1)(A),
              Do three-year reevaluations include a review of classroom based assessments
                                                                                                      report cards, results of multiple     34 CFR
2-4-3.4       current classroom based, local, or State        and observations in deciding
                                                                                                      measures and statewide testing,       300.305(a)(1)(ii), 30 EC
              assessments and classroom based observations? whether additional information
                                                                                                      and anecdotal records.                56381(b).
                                                              is needed.

                                                                                                Look for an Assessment Plan and
              Based on the review of existing evaluation data on
                                                                 Students' records must include an Assessment Report. Compare 20 USC 1414(c)(1), 34
              the student, does the LEA conduct the additional
2-4-4                                                            documentation of assessments the assessments described in the CFR 300.305(c),30 EC
              assessments required to produce the information
                                                                 that were conducted.           plan to the assessments included 56381(d).
              needed to complete the reevaluation?
                                                                                                in the Assessment Report.

                                                                                                      Look for documentation that the
              If the review of existing evaluation data on the                                        review of existing evaluation
              student indicates that there is no need to conduct                                      information indicates no need for
              additional evaluations, did the LEA notify the        If the group determined there     additional evaluation. Look for a
                                                                                                                                            20 USC 1414(c)(4), 34
              parent of the determination and the reasons for it;   was no need for additional        copy of a notice sent to the parent
2-4-5                                                                                                                                       CFR 300.305(d), 30 EC
              and of the right of the parents to request an         assessment information,           and any notation of the parent's
                                                                                                                                            56381(d).
              assessment to determine whether the student           parents must be so notified.      right to request an assessment to
              continues to be a student with a disability and to                                      determine continued eligibility.
              determine the student's educational needs?                                              Look for information presented at
                                                                                                      the IEP meeting.

Behavior Assessment

                                                                    If there is indication that the   Look in the present performance
                                                                    behavioral/instructional          and/or other notes in the IEP to
              Does the IEP team specify the development of a
                                                                    approaches have been              determine if the IEP team felt the
              functional analysis assessment, when it has been
                                                                    ineffective, student records      behavioral/instructional           30 EC 56523, 5 CCR
2-5-1         determined that behavioral/instructional
                                                                    must include documentation        approaches in the IEP have been 3052(b).
              approaches specified in the student’s IEP have
                                                                    that the IEP team specified the   effective. Also check Assessment
              been ineffective?
                                                                    development of a functional       Reports. Look for a functional
                                                                    analysis assessment.              analysis assessment.
              Does the functional analysis assessment include                                                                               EC 565235, CCR
2-5-3
              all of the required elements?                                                                                                 3052(b).
              Does the functional analysis assessment include a
                                                                    If a functional analysis
              systematic observation of the occurrence of the
                                                                    assessment was completed,         Review functional analysis            30 EC 56523, 5 CCR
2-5-3.1       targeted behavior for an accurate definition and
                                                                    student records must include      assessment report.                    3052(b)(1)(A).
              description of the frequency, duration and
                                                                    documentation.
              intensity?
Item Number                    Compliance Test                         Compliance Standard                 Other Guidance          Legal Citations
              Does the functional analysis assessment include a
                                                                   If a functional analysis
              systematic observation of the immediate
                                                                   assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-3.2       antecedent events associated with each instance
                                                                   student records must include   assessment report.           3052(b)(1)(B).
              of the display of the targeted inappropriate
                                                                   documentation.
              behavior?
              Does the functional analysis assessment include a
                                                                   If a functional analysis
              systematic observation and analysis of the
                                                                   assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-3.3       consequences following the display of the
                                                                   student records must include   assessment report.           3052(b)(1)(C).
              behavior to determine the function the behavior
                                                                   documentation.
              serves for the student?
                                                                   If a functional analysis
              Does the functional analysis assessment include
                                                                   assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-3.4       an ecological analysis of the setting in which the
                                                                   student records must include   assessment report.           3052(b)(1)(D).
              behavior occurs most frequently?
                                                                   documentation.
                                                                   If a functional analysis
              Does the functional analysis assessment include a
                                                                   assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-3.5       review of records for health and medical factors
                                                                   student records must include   assessment report.           3052(b)(1)(E).
              which may influence behaviors?
                                                                   documentation.
              Does the functional analysis assessment include a If a functional analysis
              review of the history of the behavior including the  assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-3.6
              effectiveness of previously used behavioral          student records must include   assessment report.           3052(b)(1)(F).
              interventions?                                       documentation.
                                                                   If a functional analysis was
              Does the functional analysis assessment result in                                   Review functional analysis   30 EC 56523, 5 CCR
2-5-4                                                              completed, student records
              a written report?                                                                   Assessment Report.           3052(b).
                                                                   must include documentation.
              Does the functional analysis assessment result in If a functional analysis
              a written report that includes a description of the  assessment was completed,      Review functional analysis   30 EC 56523, 5 CCR
2-5-4.1
              nature and severity of the targeted behaviors in     student records must include   assessment report.           3052(b)(2)(A).
              objective and measurable terms?                      documentation.
              Does the functional analysis assessment result in
              a written report that includes a description of the
                                                                   If a functional analysis was
              targeted behavior(s) including baseline data,                                       Review functional analysis   30 EC 56523, 5 CCR
2-5-4.2                                                            completed, student records
              antecedents and consequences and a functional                                       assessment report.           3052(b)(2)(B).
                                                                   must include documentation.
              analysis of the behavior(s) across all appropriate
              settings in which it occurs?
              Does the functional analysis assessment result in
                                                                   If a functional analysis was
              a written report that includes a description of the                                 Review functional analysis   30 EC 56523, 5 CCR
2-5-4.3                                                            completed, student records
              rate of the alternative behaviors, their antecedents                                assessment report.           3052(b)(2)(C).
                                                                   must include documentation.
              and consequences?
Item Number                   Compliance Test                           Compliance Standard                    Other Guidance                   Legal Citations

              Does the functional analysis assessment result in
                                                                 If a functional analysis was                                               30 EC 56523, 5 CCR
              a written report that includes recommendations for                                     Review functional analysis
2-5-4.4                                                          completed, student records                                                 3052(b)(2)(D) and 5
              consideration by the IEP team, which may include                                       assessment report.
                                                                 must include documentation.                                                CCR 3001(f).
              a proposed behavioral intervention plan?

              Based on the results of the functional analysis
              assessment, does the positive programming for
              behavioral intervention include the following: (1)
              altering the identified antecedent to prevent the
              occurrence of the behavior, (2) teaching the                                           Upon completion of the FAA, an
              individual alternative behaviors that produce the                                      IEP team meeting should be to
                                                                    The contents of the BIP as
              same consequences as the inappropriate                                                 review the results and , if
                                                                    noted here are permissive, the
2-5-5         behavior, (3) teaching the individual adaptive                                         necessary to develop the BIP. Is       5 CCR 3052(d).
                                                                    plan may contain one or all of
              behaviors that ameliorate negative conditions that                                     the BIP written in sufficient detail
                                                                    the components.
              promote the display of inappropriate behaviors,                                        as to direct implementation of the
              and (4) manipulating the consequences for the                                          plan?
              display of targeted inappropriate behaviors and
              alternative, acceptable behaviors so that it is the
              alternative behaviors that more effectively produce
              desired outcomes?


              Is the effectiveness of the BIP evaluated through
              the following procedures: (1) Baseline measure of
              the frequency, duration, and intensity of the                                          Baseline data shall be used as a
              targeted behavior, taken during the functional                                         standard against which to evaluate
              analysis assessment; (2) Measures of the                                               intervention effectiveness.
              frequency, duration, and intensity of the targeted                                     Measures of frequency, duration,
              behavior shall be taken after the BIP is           The effectiveness of the BIP        and intensity shall be taken across
 2-5-6        implemented at scheduled intervals determined by should be determined through          activities, settings, people and    5 CCR 3052(f).
              the IEP team; (3) Documentation of program         the specified procedures.           time of data. Data may be
              implementation as specified in the behavioral                                          recorded in terms of time spent
              intervention plan; (4) Measures of program                                             acting appropriately rather than
              effectiveness will be reviewed by the teacher, the                                     time spent engaging in the
              behavioral intervention case manager, parent or                                        inappropriate behavior.
              care provider, and others as appropriate at
              scheduled intervals determined by the IEP team?
Item Number                    Compliance Test                              Compliance Standard                   Other Guidance                   Legal Citations


                                                                                                         Minor modifications may be made
                                                                 If changes were necessary, the
                                                                                                         by the behavioral intervention case
                                                                 FAA was completed and the
                                                                                                         manager and the parent or parent
              If the IEP team determined that changes are        appropriate individuals met with
                                                                                                         representative. Each modification
              necessary to increase program effectiveness, did the parent or parent
                                                                                                         or change shall be addressed in
              the teacher and behavior intervention case         representative to propose
2-5-6.1                                                                                                  the BIP, provided that the parent, 5 CCR 3053(g)
              manager conduct additional functional analysis     changes to the BIP. Parent
                                                                                                         or parent representative, is notified
              assessments, and, based on the outcomes,           must be informed of their right
                                                                                                         of the need and is able to review
              propose changes to the behavior intervention plan? to question any modification to
                                                                                                         the existing program evaluation
                                                                 the plan through the IEP
                                                                                                         data prior to implementing the
                                                                 procedures.
                                                                                                         modification or change.


              Do the behavior interventions in the BIP cause
              physical pain, release noxious or otherwise
              unpleasant substances in proximity to the
                                                                        No public education agency, or
              student’s face; deny adequate sleep, food, water,
                                                                        nonpublic agency may
              shelter, bedding, physical comfort, or access to
                                                                        authorize, order, consent to, or
              bathroom facilities; subject the student to verbal
                                                                        pay for any of the intervention   Review the interventions specified
2-5-7         abuse, ridicule or humiliation, or excessive                                                                                     5 CCR 3052(I).
                                                                        specified in the compliance test in the BIP.
              emotional trauma; result in restrictive intervention,
                                                                        or any other intervention similar
              including prone containment; include locked
                                                                        to or like those specified in the
              seclusion that precludes adequate supervision of
                                                                        compliance standard.
              the individual; or include any intervention that
              deprives the individual of one or more of his or her
              senses?


              Does the Behavioral Emergency Report include
              the following: the name and age of the individual;
              the setting and location of the incident; the name
              of the staff or other persons involved; a description
2-5-8         of the incident and the emergency intervention                                                                                   5 CCR 3052(i).
              used; whether the individual is currently engaged
              in a systemic behavioral intervention plan; and the
              details of any injuries sustained by the individuals
              or others including staff, as a result of the incident?
Item Number                   Compliance Test                          Compliance Standard            Other Guidance       Legal Citations

                                                                   There must be documentation
                                                                   of the review of the behavioral
              Are all behavioral emergency reports immediately
                                                                   emergency report and
 2-5-8.1      forwarded to, and reviewed by, a designated                                                              5 CCR 3052(i)(6).
                                                                   evidence that it was forwarded
              responsible administrator?
                                                                   to the appropriate administrator
                                                                   immediately after the incident.

                                                                   There must be documentation
              If the student does not have a behavioral            that the administrator
              intervention plan, does the administrator schedule   scheduled the IEP meeting
              an IEP team meeting within two days of the           within two days of the
              behavioral emergency to review the emergency         behavioral emergency to
              report, determine the necessity for a functional     discuss the need for an FAA
2-5-9                                                                                                                  5 CCR 3052(7).
              analysis assessment, and to determine the            and interim BIP. In addition, if
              necessity for an interim behavioral intervention     the team determined that an
              plan? Did the IEP document the reasons for not       FAA and interim BIP were not
              conducting an assessment and/or not developing       necessary, the justification for
              an interim plan?                                     the decision must be
                                                                   documented.
                                                                   Documentation must be
                                                                   present that allows a
                                                                   determination of whether the
              For the student who participates in Statewide        student is making progress
              Assessment using the California Modified             toward IEP goals. Such
                                                                                                                       34 CFR
              Assessment, does the record contain evidence of measurements may include
                                                                                                                       200.1(e)(2)(ii)(B) and
2-6-1         multiple measurements of student progress over a test and retest strategies or an
                                                                                                                       200.1(f)(2)(ii)(B).
              period of time for each of the subjects specified on analysis of present levels of
              the IEP?                                             performance over time or other
                                                                   objective measurement
                                                                   practices conducted by
                                                                   qualified persons.
Item Number                    Compliance Test                         Compliance Standard                    Other Guidance                     Legal Citations

                                                                                                     Evidence may include notes,
                                                                   Documentation must be
                                                                                                     assessments, or documentation
              Does the IEP team determine that the student’s       present in the record that
                                                                                                     on the IEP that various methods
              disability precludes achieving grade-level           demonstrates that the IEP
                                                                                                     were considered for participation
              proficiency on the Statewide standardized            team considered whether the
                                                                                                     in Statewide testing based on the      34 CFR 200.1(e)(2)(i).
2-6-2         achievement tests by using objective evidence        student should participate in
                                                                                                     students level of disability and the
              such as the student’s performance on                 Statewide testing using the
                                                                                                     effect of the disability on the
              assessments or other objective measures?             California Modified
                                                                                                     student's ability to demonstrate
                                                                   Assessment.
                                                                                                     grade level proficiency.
                                                                   Documentation must include
                                                                   information about the amount
                                                                   of time that the student is
                                                                   participating in and has access
                                                                   to the general curriculum.
              Do students who are assessed using the
                                                                   Documentation is often found
              California Modified Assessment have access to
                                                                   in the IEP in a section                                                  34 CFR 200.1(f)(2)(iii).
2-6-3         the general curriculum, including instruction, for
                                                                   specifically stating the amount
              the grade in which the students are enrolled?
                                                                   of time and the activities that
                                                                   occur within the general
                                                                   curriculum.



                                                                  The student record must
                                                                  contain documentation that the
              Does the IEP team review annually for each          IEP team reviewed the
              subject, the decision to assess a student using the appropriateness of using the
                                                                                                                                            34 CFR 200.1(f)(2)(v).
2-6-4         California Modified Assessment to ensure that       CMA for assessing the student.
              assessment using the CMA remains appropriate? Determinations may be
                                                                  recorded on the IEP or in notes
                                                                  associated with the IEP.

              Does the IEP contain evidence that parents of                                          Can staff describe how parents
                                                                   The IEP must contain
              students assessed using the California Alternate                                       are informed that a student will be
                                                                   documentation that the parent
              Performance Assessment (CAPA) or the                                                   assessed using the California
                                                                   was informed that student
              California Modified Assessment (CMA) were                                              Alternate Performance                  34 CFR 200.1(f)(1)(iv).
2-6-5                                                              achievement will be measured
              informed that student achievement will be                                              Assessment (CAPA) or the
                                                                   based on alternate or modified
              measured based on alternate or modified                                                California Modified Assessment
                                                                   academic standards.
              academic achievement standards?                                                        (CMA)
Item Number                     Compliance Test                        Compliance Standard                      Other Guidance                  Legal Citations
               For the student who participates in Statewide
                                                                                                       Evidence may include references
               Assessment using the California Modified            Documentation in the record
                                                                                                       to grade level content standards in
               Assessment, does the IEP include goals for          must include IEP goals a that
                                                                                                       the IEP. Evidence may also          34 CFR
               academic achievement based on the content           are based on the academic
2-6-6                                                                                                  include a comparison of IEP goals 200.1(f)(2)(ii)(A).
               standards in English Language Arts, Math and        content standards for the grade
                                                                                                       to actual content standards for
               Science for the grade in which the student is       in which the student is enrolled.
                                                                                                       typical students in the same grade.
               enrolled
IEP
IEP Timeline
                                                                                                    Check student records for children
                                                                                                                                            20 USC 1412(a)(4), 20
               Is there an IEP developed and implemented for       Every eligible child must have   served in district programs, county
                                                                                                                                            USC 1414(d), 34 CFR
3-1-1          each student at least once each year, in            an IEP that is contained in the  offices, charter schools, and
                                                                                                                                            300.320 ( 1-7), 30 EC
               accordance with federal and state statutes?         student's record.                certified nonpublic schools and
                                                                                                                                            56344.
                                                                                                    agencies.
                                                                                                    Check the date on the IEP (initial
                                                                   IEP must be completed within
                                                                                                    or triennial) to see that it is
                                                                   sixty-days of parent consent for
                                                                                                    compliant with the timelines. If
                                                                   assessment, not counting days
                                                                                                    not, is there an extension              20 USC
               Is there an IEP developed and implemented for       between the child's regular
                                                                                                    document in the file? If the IEP is     1414(a)(1)(C)(i)(I),
3-1-1.1        each student, within 60 days of obtaining written   school sessions, terms, or days
                                                                                                    an annual or other periodic IEP         34 CFR 300.301(c)(1),
               parental consent to the Assessment Plan?            of school vacation in excess of
                                                                                                    and the child was not re-assessed,      30 EC 56344.
                                                                   five schooldays, unless a
                                                                                                    the sixty-day timeline would not be
                                                                   written request for extension is
                                                                                                    applicable, since re-assessments
                                                                   on file.
                                                                                                    are not required.
                                                                                                       Check the date for the start of
                                                                                                       special education and related
                                                                                                       services. Exactly what types of
                                                                                                       delays can be tolerated depends
                                                                                                       on a variety of factors, including
               Is there an IEP developed and implemented for                                           whether the delay has prejudiced     34 CFR 300.323(a) &
                                                                   IEP must be implemented as
               each student (including students placed by the                                          the student, which party             (c)(2),
3-1-1.2                                                            soon as possible following the
               LEA in a private school or facility), as soon as                                        contributed to the delay and         30 EC 56043(i),
                                                                   IEP team meeting.
               possible after the IEP meeting?                                                         whether there were any legitimate    5 CCR 3040(a).
                                                                                                       reasons for the delay. Check
                                                                                                       notes and other documentation to
                                                                                                       conclude that a finding is
                                                                                                       warranted. Regulations provide no
                                                                                                       further guidance.
IEP Contents
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                    Legal Citations
                                                                                                   Look in the IEP. The present
                                                                                                   levels of performance must also
              Does the current IEP include a statement of the                                                                            20 USC
                                                                   The present levels of           include an indication of how the
              student's present levels of performance including                                                                          1414(d)(1)(A)(i)(I)(aa),
3-2-1                                                              performance must be on the      child's disability, based on
              how the disability affects the student's involvement                                                                       34 CFR 300.320 (a)(1),
                                                                   IEP.                            assessment data, will affect their
              and progress in the general curriculum?                                                                                    30 EC 56345(a)(1).
                                                                                                   performance in the general
                                                                                                   education curriculum.
                                                                                                   A statement that addresses
              Does the IEP include measurable annual goals,
                                                                                                   measurable annual goals and
              including academic and functional goals, related to
                                                                                                   benchmarks (short term                20 USC
              the student's needs, resulting from the student's
                                                                                                   objectives) must be on the IEP.       1414(d)(1)(A)(i)(II)(aa)
              disability, that will enable the student to be
3-2-2                                                             Must be documented in the IEP.   These goals and objectives should     and (bb),34 CFR
              involved in and progress in the general education
                                                                                                   reflect the areas of need stated on   300.320 (2)(i), 30 EC
              curriculum and that meet each of the student's
                                                                                                   IEP. Short term objectives are        56345(a)(2).
              other educational needs that result from the
                                                                                                   required for students taking
              student's disability?
                                                                                                   alternate assessments.
                                                                 There must be a logical
                                                                                                   There must be a direct relationship
                                                                 consistency between the
                                                                                                   between the present levels of
              Does the IEP include a direct relationship between Assessment Report, the
                                                                                                   student performance, the goals
3-2-3         the present levels of performance, goals and the   student's present levels of                                           5 CCR 3040(c).
                                                                                                   and objectives, and the specific
              specific educational services to be provided?      performance, annual goals and
                                                                                                   educational services that will be
                                                                 benchmarks, and services that
                                                                                                   provided.
                                                                 will be provided.
              Does the IEP include a statement of the special                                    The IEP must have specified             20 USC
              education and related services and supplementary                                   special education and related           1414(d)(1)(A)(i)(IV), 34
3-2-4                                                            Must be documented in the IEP.
              aids and services to be provided to the student or                                 services, supplementary aids and        CFR 300.320(a)(4), 30
              on behalf of the student?                                                          services to be provided.                EC 56345(a)(4).
                                                                                                 The IEP should include a
                                                                                                 description of the program
              Does the IEP include descriptions of program                                       modifications and supports for
              modifications or supports for school personnel that                                school personnel that will be
              will be provided to enable the student to:                                         provided for the child to enable the    20 USC
              * Advance toward attaining annual goals?                                           child to advance toward annual          1414(d)(1)(A)(i)(IV)(aa),
3-2-5         * Be involved and make progress in the general      Must be documented in the IEP. goals; to be involved in and            (bb), and (cc), 34 CFR
              education curriculum and participate in extra-                                     progress in the general curriculum      300.320(a)(4), 30 EC
              curricular activities?                                                             and to participate in extra-            56345(a)(4)(A)(B)(C).
              * Be educated and participate with other students                                  curricular activities; and to be
              with disabilities and with nondisabled students?                                   educated and participate with
                                                                                                 other disabled and nondisabled
                                                                                                 children.
Item Number                    Compliance Test                           Compliance Standard                      Other Guidance                     Legal Citations
                                                                                                        This item is most likely evaluated
                                                                                                        through interviewing regular and
                                                                                                        special education staff. Staff
                                                                                                        should be able to describe how
              Is each teacher and provider informed of specific     Evidence must document that
                                                                                                        he/she is informed of specific
              responsibilities related to implementing the          each teacher and provider is
                                                                                                        responsibilities related to        34 CFR
3-2-5.4       student's IEP, and the specific accommodations,       informed of their specific
                                                                                                        implementing the child’s IEP, and 300.323(d)(1&2).
              program modifications and support for school          responsibilities related to
                                                                                                        the specific accommodations,
              personnel?                                            implementing the IEP.
                                                                                                        program modifications and
                                                                                                        supports that must be provided for
                                                                                                        the child in accordance with the
                                                                                                        IEP.
                                                                     Must be documented in the
                                                                     IEP. If the child will not
                                                                                                        The IEP must state the reason
                                                                     participate with nondisabled
              Does the IEP include an explanation of the extent,                                        why a child will not participate with
                                                                     children, the IEP must state the                                           20 USC
              if any, to which the student will not participate with                                    nondisabled children in the
                                                                     reason why the child will not                                              1414(d)(1)(A)(i)(V), 34
3-2-6         general education students in the general                                                 general education class,
                                                                     participate with nondisabled                                               CFR 300.320(5), 30 EC
              education classroom and in extracurricular and                                            extracurricular and nonacademic
                                                                     children in the general                                                    56345(a)(5).
              nonacademic activities?                                                                   activities.
                                                                     education classroom,
                                                                     extracurricular and
                                                                     nonacademic activities.
              Does the IEP include:
              a) a description of how the student's progress
              toward meeting the annual goals described will be                                         The method may include periodic
              measured,                                                                                 report cards; at a minimum, the
              b) a description of when periodic reports on the                                          frequency must be the same as
              progress the student is making toward meeting the                                         parents of nondisabled children         20 USC
              annual goals (such as through the use of quarterly                                        are informed of their children's        1414(d)(1)(A)(i)(III), 34
3-2-7                                                             Must be documented in the IEP.
              or other periodic reports, concurrent with the                                            progress. Ensure that the IEP           CFR 300.320 (3) (ii), 30
              issuance of report cards) will be provided,                                               addresses the progress made             EC 56345(a)(3).
              c) a statement of how the student's parents will be                                       toward meeting annual goals.
              regularly informed by such means as periodic
              report cards at least as often as are parents of
              nondisabled students regarding progress toward
              annual goals?
Item Number                    Compliance Test                            Compliance Standard                        Other Guidance                      Legal Citations
                                                                                                                                                20 USC
                                                                                                           Look for other documentation of
              Does the IEP include a statement regarding                                                                                        1414(d)(1)(A)(i)(VI)(aa),
                                                                      A statement must be included         contact with parents relating to the
3-2-8         participation in District or state-wide achievement                                                                               34 CFR 300.322
                                                                      in the IEP.                          child's participation in district or
              tests?                                                                                                                            (a)(1)(2),30 EC
                                                                                                           statewide achievement tests.
                                                                                                                                                56345(a)(6).
                                                                      The IEP has a statement
                                                                                                           Look on the IEP for a statement of
              Does the IEP include a statement regarding              relating to accommodations or                                                  20 USC
                                                                                                           what accommodations or
              participation in District or state-wide achievement     modifications, if any, that would                                              1414(d)(1)(A)(i)(VI)(aa),
3-2-8.1                                                                                                    modifications that would enable
              tests without accommodations or modifications, or       enable the child to participate in                                             34 CFR 300.320 (6)(i),
                                                                                                           the child to participate in district or
              with such accommodations or modifications?              the district or statewide                                                      30 EC 56345(a)(6).
                                                                                                           statewide achievement tests.
                                                                      achievement tests.
                                                                                                           If the IEP team determines that
                                                                                                           the child will not participate in a
              Does the IEP include a statement regarding
                                                                      The IEP has an explanation of        particular State or District-wide
              participation in District or state-wide achievement
                                                                      the child's nonparticipation in      assessment of student               20 USC
              tests including an explanation of why it is not
3-2-8.2                                                               District or State-wide               achievement (or part of an          1414(d)(1)(A)(i)(VI)(bb),
              appropriate for the student to participate in general
                                                                      assessments, if the IEP team         assessment), the IEP shall include 30 EC 56345(a)(6).
              education District or State-wide achievement tests,
                                                                      makes that decision.                 a statement of why that
              if the IEP team makes that decision?
                                                                                                           assessment is not appropriate for
                                                                                                           the child.
              Does the IEP include a statement regarding              The IEP includes a statement         Look on the IEP for a statement of
                                                                                                                                                     20 USC
              participation in general education District or state-   about the type of alternative        what alternative testing materials
                                                                                                                                                     1414(d)(1)(A)(i)(VI)(bb),
3-2-8.3       wide achievement tests including a statement of         testing materials that will be       will be used if the student does not
                                                                                                                                                     34 CFR 300.320(6)(i)(ii),
              how that student will be tested if state-wide or        used if state-wide or district       take state-wide or district
                                                                                                                                                     30 EC 56345(a)(6).
              District tests are not used?                            tests are not used.                  achievement tests.
                                                                                                      Check policies and procedures.
                                                                                                      Interview staff and parents about
              Does the LEA utilize state guidelines for               The District must document the
                                                                                                      the basis for making decisions for
              participation of students with disabilities in          use of state guidelines and the
                                                                                                      individual children. Check for                 34 CFR 300.320(6)(i)(ii),
3-2-8.4       alternate assessments? Does the LEA conduct             results of alternate
                                                                                                      student assessment                             30 EC 56385(b)(2).
              alternate assessments as indicated in the               assessments must be
                                                                                                      results/reports to parents.
              student's IEP?                                          documented.


                                                                                                                                                     20 USC
              Does the IEP include the projected date (month,                                                                                        1414(d)(1)(A)(i)(VII),
                                                                      Must be documented in the
3-2-9         day and year) for initiating services and                                                                                              300.320(7) & 300.323
                                                                      IEP.
              modifications?                                                                                                                         (c)(2), 30 EC
                                                                                                                                                     56345(a)(7).
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                     Legal Citations

                                                                                                  Location is the place or
                                                                                                  environment in which the service
                                                                                                  will be delivered (e.g., public
                                                                                                  school, nonresidential school,
                                                                  These elements must be
              Does the IEP include the anticipated frequency,                                     NPS, home/ hospital, special             20 USC
                                                                  documented in the IEP. The
              duration and location for the services and, if                                      school/center). Frequency may be         1414(d)(1)(A)(i)(VII), 34
3-2-10                                                            IEP must have anticipated
              needed, the modifications and/or                                                    specified as a range of times, e.g.,     CFR 300.320 (7), 30 EC
                                                                  frequency, duration and
              accommodations?                                                                     1 - 2 times per week, or total           56345(a)(7).
                                                                  location of services.
                                                                                                  number of sessions over a school
                                                                                                  year. Duration means the amount
                                                                                                  of time the session will last, e.g. 30
                                                                                                  minutes, 45 minutes, one hour.
                                                                  Must be documented in the
              Does the IEP, when appropriate, include
3-2-11                                                            IEP, when item is appropriate                                            30 EC56345(b).
              statements regarding all other required matters?
                                                                  for the student.
                                                                                                  Review IEP to determine if
                                                               Must be documented in the          extended school year is indicated
              Does the IEP, when appropriate, include extended                                                                             34 CFR 300.106 (a) &
3-2-11.1                                                       IEP, when item is appropriate      as a check-box or other method
              school year services for the student?                                                                                        (b), 30 EC 56345(b).
                                                               for the student.                   for the district to indicate if
                                                                                                  extended year is necessary.
                                                                  Must be documented in the
              Does the IEP, when appropriate, include                                             Review the IEP/ITP, as                   34 CFR
3-2-11.2                                                          IEP, when item is appropriate
              prevocational/career services for the student?                                      appropriate.                             300.324(b)(1)(2)(3).
                                                                  for the student.
                                                                  Must be documented in the
              Does the IEP, when appropriate, include                                             Review the IEP/ITP, as                   34 CFR
3-2-11.3                                                          IEP, when item is appropriate
              vocational/career services for the student?                                         appropriate.                             300.324(b)(1)(2)(3).
                                                                  for the student.
                                                                                                  The IEP team must include the
                                                                                                  type of specially designed physical
                                                                                                  education if a student is to receive
              Does the IEP, when appropriate, include the type    Must be documented in the
                                                                                                  individual specially designed P.E. 20 USC 1401(29)(b), 34
3-2-11.4      of specially designed physical education services   IEP, when it is specially
                                                                                                  The IEP need not to include          CFR 300.108 (b)(2).
              for the student?                                    designed P.E.
                                                                                                  notation of P.E. when the student
                                                                                                  is enrolled in general education
                                                                                                  P.E.
Item Number                   Compliance Test                          Compliance Standard                     Other Guidance                    Legal Citations
              Does the IEP, when appropriate, include for
              students in grades 7 through 12, any alternative
                                                                   Must be documented in the          Review IEP. Must be included if
              means and modes necessary for the student to
3-2-11.5                                                           IEP, when item is appropriate      the student is enrolled in grades 7   30 EC 56345(b)(1).
              complete the District's prescribed course of study
                                                                   for the student.                   through 12, inclusive.
              and to meet or exceed proficiency standards for
              graduation?
                                                                                                  When a student becomes 18,
                                                                                                  except for students who have
                                                                                                  been determined to be                     20 USC
              Does the IEP, beginning at least one year before
                                                                   Must be documented in the IEP incompetent under state law, the           1414(d)(1)(A)(i)(VIII)(cc),
              the student reaches the age of 18, state that the
3-2-12                                                             at least one year prior to the district must notify the student and       34 CFR 300.320 (c) &
              student has been informed of the IDEA rights that
                                                                   student reaching age 18.       the parent of the transfer. This          300.520 (b), 30 EC
              will transfer to him or her upon turning 18?
                                                                                                  must be documented on the IEP at          56345(g).
                                                                                                  least one year prior to the
                                                                                                  student's 18th birthday.

                                                                   Some documentation should
                                                                   be present that confirms
                                                                                                 Can staff describe the
              Is there coordination among all education            coordination between the
3-2-13                                                                                           coordination among all education           34 CFR )300.323(d).
              providers as specified in law and regulation?        special education program and
                                                                                                 providers?
                                                                   general education personnel
                                                                   for each eligible student.

                                                                   Some documentation should          Review IEP, formal
                                                                   be present that confirms           communication such as
              Is there coordination among all education            coordination between the           correspondence, progress reports,
3-2-13.1      providers as specified in law and regulation         resource specialist, the special   solicitation of needed assistance 30 EC 56362(a)(3-4).
              including coordination with Resource Specialists?    education program and general      and support on behalf of a
                                                                   education personnel for each       student. Interview teachers and
                                                                   eligible student.                  related service personnel.

                                                                   Some documentation should          Review IEP, formal
                                                                   be present that confirms           communication such as
              Is there coordination among all education
                                                                   coordination between the           correspondence, progress reports,
              providers as specified in law and regulation
3-2-13.2                                                           special day class teacher, the     solicitation of needed assistance 30 EC 56362(a)(3-4).
              including coordination with Special Day Class
                                                                   special education program and      and support on behalf of a
              personnel?
                                                                   general education personnel        student. Interview teachers and
                                                                   for each eligible student.         related service personnel.
Item Number                   Compliance Test                         Compliance Standard                  Other Guidance                  Legal Citations

                                                                  Some documentation should       Review IEP, formal
                                                                  be present that confirms        communication such as
              Is there coordination among all education
                                                                  coordination between speech     correspondence, progress reports,
              providers as specified in law and regulation
3-2-13.3                                                          and language personnel, the     solicitation of needed assistance 5 CCR 3051.1(a)(4).
              including coordination with Speech and Language
                                                                  special education program and   and support on behalf of a
              personnel?
                                                                  general education personnel     student. Interview teachers and
                                                                  for each eligible student.      related service personnel.

                                                                  Some documentation should       Review IEP, formal
                                                                  be present that confirms        communication such as
              Is there coordination among all education           coordination between DIS        correspondence, progress reports,
3-2-13.4      providers as specified in law and regulation        personnel, the special          solicitation of needed assistance 5 CCR 3051.1-3051.18.
              including coordination with other DIS personnel?    education program and general   and support on behalf of a
                                                                  education personnel for each    student. Interview teachers and
                                                                  eligible student.               related service personnel.
IEP Process
                                                                                                  Look for a copy of a letter to the
                                                                                                  parent in the student file; look for
                                                                                                  any other documentation such as
                                                                                                  a contact log.
              If neither parent can attend the IEP meeting does
                                                                                                  Can staff explain the steps they
              the LEA use other means to ensure parent            Documentation must be
3-3-1                                                                                             take if neither parent can attend     34 CFR 300.322 (c-f).
              participation including individual or conference    present in the record.
                                                                                                  the IEP meeting including using
              phone calls?
                                                                                                  other means to ensure parent
                                                                                                  participation including individual or
                                                                                                  conference, telephone calls or
                                                                                                  video conferencing?
Item Number                   Compliance Test                        Compliance Standard                  Other Guidance                 Legal Citations


                                                                                                 Check the IEP to see if the parent
                                                                                                 attended the IEP meeting. Look in
                                                                                                 the student record for a copy of a
                                                                                                 letter to the parent; look for any
                                                                                                 other documentation such as a
                                                                                                 contact log. An IEP meeting may
                                                                                                 be conducted without a parent in
                                                                                                 attendance if the district is unable
                                                                                                 to convince the parents that they
                                                                                                 should attend. The district must
                                                                 There must be documentation     have a record of its attempts to
              If the LEA is unable to convince the parents they
                                                                 of the district's attempts to   arrange a mutually agreed on time
              should attend the IEP meeting, does the LEA have
3-3-2                                                            arrange an IEP meeting at a     and place, such as: (1) detailed     34 CFR 300.322 (c-f).
              a record of its attempts to arrange for a mutually
                                                                 mutually agreeable time and     records of telephone calls made or
              agreed on time and place?
                                                                 place.                          attempted and the results of those
                                                                                                 calls, (2) copies of
                                                                                                 correspondence sent to the
                                                                                                 parents and any responses
                                                                                                 received, (3) detailed records of
                                                                                                 visits made to the parent's home
                                                                                                 or place of employment and the
                                                                                                 results of those visits, and (4)
                                                                                                 option on IEP notice, if used by the
                                                                                                 district, for parent to request
                                                                                                 time/day of meeting.


                                                                                                 Look for an indication that the
                                                                                                 parent or student may require
              Does the LEA take whatever action is necessary    District must document.          assistance; this may be revealed
              to ensure that the parent understands the         Interviews with staff and        as limited English proficiency,
              proceedings at the IEP meeting, including         parents must confirm that        deafness, or other reason. Look at 34 CFR 300.322 (e), 30
3-3-3
              arranging for an interpreter for parents with     actions are taken to ensure that the IEP or other materials in the  EC 56341.5(i).
              deafness or whose native language is other than   the parent understands the       student record to determine if
              English?                                          proceedings.                     interpreters or translators were
                                                                                                 employed during meetings and
                                                                                                 were in attendance at the IEP.
Item Number                   Compliance Test                         Compliance Standard                    Other Guidance                   Legal Citations

                                                                                                    Notification is not required in
                                                                                                    writing. Look for a copy of a
                                                                                                    letter to the parent in the student
                                                                                                    file; look for any other
                                                                                                    documentation, such as a contact
                                                                 Parent must be notified of the     log. However the district notifies    34 CFR 300.322 (a)(1 &
3-3-4         Does the LEA notify parents of an IEP meeting?
                                                                 meeting.                           parents, the notice must indicate     2), 30 EC 56341.5(a).
                                                                                                    the purpose, time, and location of
                                                                                                    the meeting and who will be in
                                                                                                    attendance. If a parent attended
                                                                                                    the IEP meeting, the district
                                                                                                    cannot be found non-compliant.

                                                                                                    If there is written notification,
                                                                                                    check the date on the letter. Look
                                                                If parent attended the IEP
              Does the LEA notify parents of an IEP meeting? Is                                     for feedback from parents
                                                                meeting, was notice of the                                               34 CFR 300.322 (a)(1 &
3-3-4.1       the notice early enough to ensure they have an                                        objecting to the district's proposed
                                                                meeting delivered in a timely                                            2), 30 EC 56341.5(b).
              opportunity to attend?                                                                meeting date. If parent attended
                                                                manner?
                                                                                                    the IEP meeting, the district
                                                                                                    cannot be found noncompliant.

                                                                                                    The contact log or the copy of the
                                                                                                    written notice of the IEP meeting in
              Does the LEA notify parents of an IEP meeting                                         the file; check to see if the parent
                                                                 If parent attended the IEP
              early enough to ensure that they have an                                              is offered the opportunity to
                                                                 meeting, was notice of the                                              34 CFR 300.322 (2), 30
3-3-4.2       opportunity to attend and are IEP meetings                                            schedule the IEP meeting at a
                                                                 meeting delivered in a timely                                           EC 56341.5(c).
              scheduled at a mutually agreed upon time and                                          mutually agreed upon place and
                                                                 manner?
              place?                                                                                time. Look for feedback from
                                                                                                    parents objecting to the district's
                                                                                                    proposed meeting date.

                                                                                                    Check to see if parent attended
                                                                 The district must notify parents
                                                                                                    the IEP meeting. Look for a copy
                                                                 about their child's IEP meeting.
                                                                                                    of a letter to the parent in the
              Does the LEA provide notification to parents about Written notification is not
3-3-5                                                                                               student file or log of contact with
              IEP meetings?                                      required. If the parent attended
                                                                                                    parent. If the parent attended the
                                                                 the IEP meeting, the district
                                                                                                    IEP meeting, the district cannot be
                                                                 cannot be found non-compliant.
                                                                                                    found out of compliance.
Item Number                   Compliance Test                         Compliance Standard                      Other Guidance                   Legal Citations

                                                                                                     The district notification to parents
                                                                  The district must notify parents   must indicate the purpose, time,
              Does the LEA provide notification to parents about
                                                                  about their child's IEP meeting.   and location of the meeting and
              IEP meetings and does the notice include an
                                                                  Written notification is not        who will be in attendance. If
3-3-5.1       indication of the purpose, time and location of the                                                                           34 CFR 300.322 (b).
                                                                  required. If the parent attended   notification was not provided in
              meeting and the individuals who will be in
                                                                  the IEP meeting, the district      written form, interview parents to
              attendance?
                                                                  cannot be found non-compliant.     determine if they were notified of
                                                                                                     all required elements.

                                                                                                  The district notification to parents
                                                                                                  must indicate the parent has the
                                                                                                  right to invite other individuals who
                                                                                                  have knowledge or special
                                                                                                  expertise regarding the child
              Does the LEA provide notification to parents about The district must notify parents including related services
              IEP meetings and does the notice include           about their child's IEP meeting. personnel as appropriate. The
              information relating to the participation of other Written notification is not      determination of the knowledge or 34 CFR 300.322
3-3-5.2
              individuals on the IEP team that the parent may    required. If the parent attended special expertise of any individual (b)(1)(ii).
              invite who have knowledge or special expertise     the IEP meeting, the district    described shall be made by the
              about the student?                                 cannot be found non-compliant. parent who invited the individual to
                                                                                                  be a member of the IEP. If
                                                                                                  notification was not provided in
                                                                                                  written form, interview parents to
                                                                                                  determine if they were notified of
                                                                                                  all required elements.
                                                                                                     Check the date on the current
                                                                                                     annual IEP to see it is compliant
                                                                  The most recent annual IEP         with the timelines. The most           20 USC
              Does the IEP team periodically review but, not less must be within 12 months of        recent annual IEP must be within       1414(d)(4)(A)(i), 34
3-3-6
              than annually, the student’s IEP?                   the prior annual IEP, as           12 months of the prior annual IEP,     CFR 300.324(b)(1), 30
                                                                  measured by specific dates.        as measured by specific dates.         EC 56380.
                                                                                                     No extension is permitted for
                                                                                                     annual reviews.
Item Number                    Compliance Test                           Compliance Standard                    Other Guidance                    Legal Citations
              Does the IEP team periodically review but, not less
                                                                                                     Check the IEP for a statement that
              frequently than annually, the student’s IEP
                                                                                                     indicates the IEP team reviewed
              including progress toward previous annual goals
                                                                     Evidence indicates that the IEP the student's progress toward           20 USC
              and progress in the general curriculum when
                                                                     team reviewed student           previous annual goals,                  1414(d)(4)(A)(i), 34
3-3-6.1       developing new goals?
                                                                     progress toward attainment of benchmarks and in the general             CFR 300.324
              Also, is the degree to which benchmarks are met
                                                                     prior IEP goals.                education curriculum. Look at           (b)(1)(i)(ii), 30 EC 56380.
              reviewed at least annually for students eligible for
                                                                                                     report cards, progress reports, or
              statewide testing using the California Alternate
                                                                                                     other materials in the student file.
              Performance Assessment?
                                                                                                     At the IEP meeting, the team must
                                                                                                     take actions to consider revising
                                                                                                     the IEP as a result of any of the
                                                                     Evidence indicates that the IEP                                     20 USC
              During the annual review of the IEP, does the IEP                                      following items: the student record
3-3-6.2                                                              team revised the student's IEP                                      1414(d)(4)(A)(ii), 34
              team revise the IEP as appropriate?                                                    shows evidence of any
                                                                     as they determined appropriate.                                     CFR 300.324 (b)(1)(ii).
                                                                                                     reevaluations, information from
                                                                                                     parents, or other information about
                                                                                                     the child's expected needs.
                                                                 The IEP includes information
              During the annual review of the IEP, does the IEP
                                                                 about progress and/or lack of                                               20 USC
              team revise the IEP as appropriate due to any lack                                       Check report cards and progress
3-3-6.2.1                                                        progress toward the annual                                                  1414(d)(4)(A)(ii)(I), 34
              of progress toward the annual goals and in the                                           reports.
                                                                 goals and in the general                                                    CFR 300.324 (b)(1)(ii).
              general curriculum?
                                                                 curriculum.
                                                                                                                                             20 USC
              During the annual review of the IEP, does the IEP      The IEP includes the results of   Review the IEP for the findings
                                                                                                                                             1414(d)(4)(A)(ii)(II), 34
3-3-6.2.2     team revise the IEP as appropriate due to the          any recent reevaluation, if       and/or recommendations of any
                                                                                                                                             CFR 300.324
              results of any reevaluation?                           appropriate.                      recent reevaluation.
                                                                                                                                             (b)(1)(ii)(B).
                                                                                                       Check the IEP to see if it includes
                                                                                                       information provided by the
                                                                                                       parents; the information may be
              During the annual review of the IEP, does the IEP                                                                              20 USC
                                                                  Evidence indicates that parent       summarized in the present levels
              team revise the IEP as appropriate due to                                                                                      1414(d)(4)(A)(ii)(III), 34
3-3-6.2.3                                                         information, if offered, is          section. Look in the record for any
              information about the student provided to or by the                                                                            CFR 300.324
                                                                  considered.                          information provided to or by the
              parents?                                                                                                                       (b)(1)(ii)(C).
                                                                                                       parents at any time throughout the
                                                                                                       school year. Check for a contact
                                                                                                       log.
Item Number                    Compliance Test                            Compliance Standard                  Other Guidance                     Legal Citations
                                                                  The IEP includes an indication
                                                                  that the IEP team considered                                               20 USC
              During the annual review of the IEP, does the IEP                                       Look at the Assessment Reports
                                                                  the child's needs based on its                                             1414(d)(4)(A)(ii)(IV), 34
3-3-6.2.4     team revise the IEP as appropriate due to the                                           or other information that was
                                                                  review of information, including                                           CFR 300.324
              student's anticipated needs?                                                            presented to the IEP team.
                                                                  new assessments or                                                         (b)(1)(ii)(E).
                                                                  evaluations.
                                                                  There must be a process for
                                                                  the parent and the LEA to
              In making changes to an IEP after the annual IEP,                                       Check to see if there is a
                                                                  agree not to convene an IEP
              does a process exist for the parent and the LEA to                                      procedure for IEP amendment or
                                                                  meeting and to develop a                                                   20 USC 1414(d)(3)(D),
              agree not to convene an IEP meeting for the                                             modification. Interview parents
3-3-6.3                                                           written amendment or                                                       34 CFR 300.324 (a)(4),
              purposes of making such changes, and instead                                            and administrators. Ensure that
                                                                  modification instead, if the                                               30 EC 56380.1.
              develop a written document to amend or modify                                           the procedure includes informed
                                                                  parent and LEA want to make
              the current IEP?                                                                        agreement from parents.
                                                                  changes to an IEP after the
                                                                  annual IEP.
              Was an IEP meeting held within 30 days of receipt                                       Look in the student record for a
              of a written request from a parent, not counting    IEP date must be 30 days or         written request from the parent.
                                                                                                                                            34 CFR 300.323 (c)(1),
3-3-7         days between the student's regular school           fewer from the date of the          Check for a contact log or a
                                                                                                                                            30 EC 56343.5.
              sessions, terms, or days of school vacation in      parent's written request.           written notice sent prior to the IEP;
              excess of 5 school days?                                                                look for the date of the IEP.
              Is an IEP meeting held within 30 days of receipt of                                     Look in the student record for a
              a written request from a parent, not counting days                                      notice or letter to the parent that
                                                                  The district must notify the
              in July and August? If the parent makes the                                             informs the parent that requests
3-3-7.1                                                           parent of a need for a written                                            30 EC 56343.5.
              request orally, does the LEA inform the parent of                                       must be written. Check for a
                                                                  request.
              the need for a written request and the procedure                                        contact log or elsewhere in the
              for filing a written request?                                                           record for documentation.
              Is an IEP meeting held to review previous                                               Check the contact log; a notice of
              information, records, reports and evaluations; and                                      referral/Assessment Plan; notice
                                                                      IEP team must meet prior to
              make final recommendations for placement                                                of IEP meeting; and the IEP.           1414(d)(2)(C)(i)(I), 30
3-3-8                                                                 the expiration of the 30 day
              following the requirements for holding IEP                                              Check the date on the IEP to see       EC 56325(a)(1).
                                                                      interim placement.
              meetings before the expiration of a 30 day interim                                      if it was held before the expiration
              placement?                                                                              of a 30 day interim placement.
                                                                                                      Check the LEA policies and
                                                                      Must be included in policies
              Does the LEA permit parents to electronically                                           procedures for IEP meetings;
3-3-8.1                                                               and procedures regarding IEP                                           30 EC 56341.1(g)(1).
              record the child’s IEP meeting?                                                         review the LEA procedural
                                                                      meetings.
                                                                                                      safeguards.
                                                                                                      Check the LEA policies and
              Is the parent informed of the right to electronically
                                                                      Must be include in procedural   procedures for IEP meetings;
3-3-8.2       record the IEP meeting in the LEA’s notice to                                                                                  30 EC 56321.5.
                                                                      safeguards notice.              review the LEA procedural
              parents of their rights?
                                                                                                      safeguards.
Item Number                    Compliance Test                          Compliance Standard                     Other Guidance                   Legal Citations

              Does the LEA appoint a surrogate parent where                                                                                  20 USC 1415(b)(2)(A),
                                                                                                       Check the LEA policies and
              no parent can be located, or if the court has          Must be include in policies and                                         30 EC 56028(5), 14 GC
3-3-9                                                                                                  procedures for the appointment of
              specifically limited the right of a parent or guardian procedures.                                                             Chapter 26.5, Section
                                                                                                       surrogate parents.
              to make educational decisions for the child?                                                                                   7579.5.

                                                                                                       The IEP may include the child's
                                                                                                       strengths in its documentation of
                                                                                                       present levels of performance or in   20 USC
                                                                    The IEP indicates
              Does the IEP team consider the strengths of the                                          the written statement of review of    1414(d)(3)(A)(i), 34
3-3-10.1                                                            consideration was given to the
              student?                                                                                 the student's Assessment              CFR 300.324 (a)(1)(ii),
                                                                    child's strengths.
                                                                                                       Reports or in the student             30 EC 56341.1. (a)(1).
                                                                                                       grade/report card or elsewhere
                                                                                                       based on the team preference.

                                                                                                       Parents sometimes do not indicate
                                                                                                       any concerns that would be
                                                                    The IEP indicates                  documented in the IEP. If             20 USC
              Does the IEP team consider parent concerns for        consideration was given to         concerns are documented, the          1414(d)(3)(A)(ii), 34
3-3-10.2
              enhancing the education of the student?               parent concerns, if expressed      information may be located in the     CFR 300.324 (a)(1)(ii),
                                                                    at the meeting.                    student's present levels.             30 EC 56341.1(a)(2).
                                                                                                       Information may also be found in
                                                                                                       the IEP notes pages.
                                                                                                       The IEP includes documentation
                                                                                                       or a statement of the IEP team's
                                                                    The IEP indicates                                                        20 USC
              Does the IEP team consider the results of the                                            review of the child's Assessment
                                                                    consideration was given to the                                           1414(d)(3)(A)(iii), 34
3-3-10.3      initial evaluation, most recent evaluation, and                                          Reports, student grade/report
                                                                    child's evaluations and state-                                           CFR 300.324(a)(1)(iii),
              results of state-wide assessment of the student?                                         card; state-wide assessment
                                                                    wide assessment results.                                                 30 EC 56341.1(a)(3).
                                                                                                       results to be included in student
                                                                                                       record.
                                                                                                       Review IEP documents, IEP
                                                                    The IEP team must consider         meeting notes and Assessment          20 USC
              Does the IEP team consider the academic,
                                                                    the academic, developmental        Reports to find documentation that    1414(d)(3)(A)(iv),34
3-3-10.4      developmental, and functional needs of the
                                                                    and functional needs of the        the IEP team considered the           CFR 300.324(a)(1)(iv),
              student?
                                                                    child.                             appropriate information. Interview    30 EC 56341.1(a)(4).
                                                                                                       administrators, staff and parents.
Item Number                   Compliance Test                         Compliance Standard                       Other Guidance                   Legal Citations
                                                                                                  Look in the IEP for a place for
                                                                                                  parents to initial that they have
              Does the LEA give the parent a copy of the IEP at   Must be documented in student                                              34 CFR 300.322(f), 30
3-3-11                                                                                            received a copy of the IEP. Look
              no cost?                                            record.                                                                    EC 56341.5(j).
                                                                                                  for other documentation in the
                                                                                                  student record.
                                                                                                  Review documentation in the
                                                                                                  student record. Interview
              Are parents provided with a revised copy of the     Parents must be provided with                                              20 USC 1414(d)(3)(F),
                                                                                                  administrators, staff and parents to
3-3-12        IEP, upon request, with amendments after a          a revised copy of the IEP, upon                                            34 CFR 300.324 (a)(6),
                                                                                                  determine if parents are provided
              change is made to the IEP?                          request.                                                                   30 EC 56380.1(a).
                                                                                                  with a revised copy of the IEP
                                                                                                  upon request.
IEP Team
              Does the IEP team include all required
3-4-1
              participants?
                                                                                                       Look at the IEP. Check to see if
                                                                  Records or parent interviews         there is a parent signature on the
                                                                                                                                             20 USC
                                                                  must document that the parent        IEP. Check to see if there is a
              Does the IEP team include the parents of the                                                                                   1414(d)(1)(B)(i), 34
3-4-1.1                                                           was included in the IEP team -       written notice or telephone contact
              student?                                                                                                                       CFR 300.321(a)(1), 30
                                                                  either by attendance at the          and a response by the parent to
                                                                                                                                             EC 56341(b)(2).
                                                                  meeting or other means.              the notice indicating inability to
                                                                                                       participate.
                                                                                                       Check to see if a general
                                                                  At least one general education
                                                                                                       education teacher attended the        20 USC
              Does the IEP team include not less than one         teacher of the child (if the child
                                                                                                       IEP; look for notices or other        1414(d)(1)(B)(ii), 34
3-4-1.2       general education teacher of a student with a       is in or may be participating in
                                                                                                       means to invite the teacher to the    CFR 300.321(a)(2), 30
              disability?                                         general education) participated
                                                                                                       meeting. Check if the general         EC 56341(b)(2).
                                                                  in developing the IEP.
                                                                                                       education teacher signed the IEP.
                                                                                                       Look for the general education
                                                                                                       teacher’s participation in the
                                                                                                       development of the IEP including      20 USC 1414(d)(3)(C),
                                                                  Evidence must document that
              Does the general education teacher participate in                                        appropriate positive behavior         34 CFR 300.324
3-4-1.2.1                                                         a general education teacher
              development of the IEP?                                                                  interventions and strategies;         (a)(3)(i), 30 EC
                                                                  attended the IEP meeting.
                                                                                                       supplemental aids and services;       56341(b)(2).
                                                                                                       program modifications; and
                                                                                                       support for school personnel.
Item Number                   Compliance Test                        Compliance Standard                    Other Guidance                    Legal Citations

                                                                                                   Look in the student record for
                                                                                                   evidence that the student's
                                                                                                   general education teacher
              Does the general education teacher help decide:
                                                                 If appropriate, there is evidence participated in the development of
              a) The appropriate positive behavioral
                                                                 that the general education        appropriate positive behavior (al)     20 USC 1414(d)(3)(C),
              interventions and supports, and other strategies
                                                                 teacher participated in           interventions and strategies.          34 CFR 300.324
3-4-1.2.1.1   for the student; and,
                                                                 considerations of appropriate     Check the IEP to see if the            (a)(3)(i), 30 EC
              b) Supplementary aids and services, and
                                                                 behavioral) interventions for the general education teacher              56341(b)(2).
              c) Program modifications; and,
                                                                 student.                          attended the IEP meeting.
              d) Supports for school personnel?
                                                                                                   Interview regular education
                                                                                                   teachers about their participation
                                                                                                   in IEP team decision making.

                                                                                                   Look in the student record for
                                                                                                   evidence that the student's
                                                                                                   general education teacher
                                                                 If appropriate, there is evidence
                                                                                                   participated in the determination of   20 USC 1414(d)(3)(C),
                                                                 that the general education
              Does the general education teacher help decide                                       program modifications. Check the       34 CFR 300.324
3-4-1.2.1.3                                                      teacher participated in
              program modifications for the classroom?                                             IEP to see if the general education    (a)(3),30 EC
                                                                 determination of program
                                                                                                   teacher attended the IEP meeting.      56341(b)(2).
                                                                 modifications for the student.
                                                                                                   Interview regular education
                                                                                                   teachers about their participation
                                                                                                   in IEP team decision making.

                                                                                                   Look in the student record for
                                                                                                   evidence that the student's
                                                                                                   general education teacher
                                                                 Review the student IEP for
                                                                                                   participated in the determination of
                                                                 evidence, such as a signature
                                                                                                   supports for school personnel.       20 USC 1414(d)(3)(C),
              Does the general education teacher help decide     on the IEP, that the general
3-4-1.2.1.4                                                                                        Check the IEP to see if the          34 CFR 300.324 (a)(3),
              support for school personnel?                      education teacher participated
                                                                                                   general education teacher            30 EC 56341(b)(2).
                                                                 in determination of support for
                                                                                                   attended the IEP meeting.
                                                                 school personnel, if appropriate.
                                                                                                   Interview regular education
                                                                                                   teachers about their participation
                                                                                                   in IEP team decision making.
Item Number                   Compliance Test                         Compliance Standard                    Other Guidance                  Legal Citations
                                                                  Review the student IEP for
                                                                  evidence, such as a signature                                            20 USC
              Does the IEP team include not less than one         on the IEP, that at least one     Look for a signature on the IEP or 1414(d)(1)(B)(iii), 34
3-4-1.3
              special education teacher/specialist?               special education                 a notice of invitation to the meeting. CFR 300.321 (a)(3), 30
                                                                  teacher/specialist participated                                          EC 56341(b)(3).
                                                                  in the IEP.
              Does the IEP team include a representative of the   Review the student IEP for        Determine if this representative
                                                                                                                                         20 USC
              LEA who is qualified to provide or supervise        evidence, such as a signature     has the authority to commit the
                                                                                                                                         1414(d)(1)(B)(iv), 34
3-4-1.4       specially designed instruction for students with    on the IEP, that a district       resources of the LEA on behalf of
                                                                                                                                         CFR 300.321 (a)(4), 30
              disabilities, and who is knowledgeable about the    representative attended the       the child. Look for a signature on
                                                                                                                                         EC 56341(b)(4).
              general curriculum and the resources of the LEA?    IEP.                              the IEP.
                                                                 There is evidence, such as a
                                                                 signature on the IEP, that an
                                                                 individual, such as a school
                                                                                                                                        20 USC
              Does the IEP team include an individual who can    psychologist or one of the other
                                                                                                    Look for indications of attendance, 1414(d)(1)(B)(v), 34
3-4-1.5       interpret the instructional implications of the    team members already
                                                                                                    such as a signature on the IEP.     CFR 300.321 (a)(5), 30
              evaluations?                                       indicated, who can interpret the
                                                                                                                                        EC 56341(b)(5).
                                                                 instructional implications of
                                                                 evaluations attended the IEP
                                                                 team meeting.
                                                                 There is evidence, such as a
              Does the IEP team include other individuals with                                                                           20 USC
                                                                 signature on the IEP, that an
              knowledge or expertise regarding the student,                                         Look for indications of attendance   1414(d)(1)(B)(vi), 34
3-4-1.6                                                          individual with knowledge or
              including representatives of the student's private                                    such as a signature on the IEP.      CFR 300.321 (a)(6), 30
                                                                 expertise regarding the child,
              school, as appropriate?                                                                                                    EC 56341(b)(6).
                                                                 attended the IEP meeting.
                                                                 When appropriate, there is
              Does the IEP team include other individuals who
                                                                 evidence that the parents or       Look for indications of attendance
3-4-1.7       have knowledge or special expertise regarding the                                                                          34 CFR 300.321(a)(6).
                                                                 LEA invited other individuals to   such as a signature on the IEP.
              child?
                                                                 join the IEP team.
                                                                 When appropriate, including
                                                                 students for whom post
                                                                 secondary transition will be       There may be a signature or other    20 USC
              Does the IEP team include the student, when        considered at the meeting,         indication noting that the child     1414(d)(1)(B)(vii), 34
3-4-1.8       appropriate or when the IEP team will be           there is evidence that the child   attended. If the child did not       CFR 300.321 (a)(6), 34
              considering post secondary transition?             participated in the IEP. An        attend, check the record to see if   CFR 300.321(b), 30 EC
                                                                 invitation to the IEP team         the child was invited to attend.     56341(d)(1).
                                                                 meeting is compulsory for
                                                                 students of transition age.
Item Number                    Compliance Test                          Compliance Standard                      Other Guidance                    Legal Citations
                                                                                                       If there is a written notice of the
              Does the IEP team include the behavioral                                                 IEP team meeting, check to see if
                                                                    If the child has a behavioral
              intervention case manager whenever the team                                              it includes an intent to address the
                                                                    intervention plan, the IEP team
3-4-1.9       reviews the functional analysis assessment and, if                                       student's behavior; develop a        5 CCR 3052(c).
                                                                    must include the behavioral
              necessary, develops a behavioral intervention                                            behavioral intervention plan and
                                                                    intervention case manager.
              plan?                                                                                    meet with the child's behavioral
                                                                                                       intervention case manager.
                                                                    When the IEP meeting will
                                                                    include a discussion about the
                                                                    student receiving post-
                                                                                                        There may be a signature or other
                                                                    secondary transition services, a
                                                                                                       indication noting that an agency
                                                                    representative of the agency
              Does the IEP team include representatives of any                                         representative attended. If an
                                                                    responsible to either providing
3-4-1.10      other agency that is likely to be responsible for                                        agency representative did not        34 CFR 300.321(b)(3).
                                                                    or paying for the transition
              providing or paying for transition services?                                             attend, check the record to see if a
                                                                    services must attend the
                                                                                                       representative was invited to
                                                                    meeting. There must be
                                                                                                       attend.
                                                                    evidence that a representative
                                                                    of the appropriate agency
                                                                    participated in the IEP.
                                                                    When a pupil is suspected of
              Does the IEP team include, for a student
                                                                    having a specific learning         Review the participants at the IEP.
              suspected of having a specific learning disability,
                                                                    disability, the IEP team must       Determine whether at least one of
              at least one member who is qualified to conduct                                                                              34 CFR 300.308, 30
3-4-1.11                                                            include at least one member        the IEP team members was
              individual diagnostic examinations of students,                                                                              EC 56341(c).
                                                                    qualified to conduct individual    qualified to conduct individual
              such as a school psychologist, speech-language
                                                                    diagnostic examinations of         diagnostic evaluations.
              pathologist, or remedial reading teacher?
                                                                    children.
                                                                    The IEP team decision
              Does the IEP team review assessment results,
                                                                    regarding IEP content, program
              determine eligibility, determine the content of the                                      Interviews with staff may provide
                                                                    placement and transportation
3-4-2         IEP, consider local transportation policies and                                          additional information to verify this   30 EC 56342.
                                                                    services must reflect
              criteria, and make program placement                                                     item.
                                                                    assessment results and
              recommendations?
                                                                    eligibility determination.
              In making the determination of eligibility, did the   The IEP team must consider a
                                                                                                       Interviews with staff may provide       34 CFR 300.306 (a)(1)
              IEP team draw upon a variety of sources of            variety of information when
3-4-2.1                                                                                                additional information to verify this   & 34 CFR 300.306
              information, such as tests, teacher                   making a student eligibility
                                                                                                       item.                                   (c)(i), 30 EC 56342(b).
              recommendations and parent input?                     decision.
                                                                                                       Compare dates of assessment as          20 USC 1414(a)(1)(C),
              Are all assessments completed before the
3-4-2.1.1                                                                                              stated on the Assessment Report         1414(b)(4), 34 CFR
              development of the initial IEP or triennial IEP?
                                                                                                       to that of the IEP.                     300.306(a).
Item Number                    Compliance Test                         Compliance Standard                  Other Guidance                    Legal Citations
              Does the LEA ensure that the information obtained The IEP team must document
              from all of the sources is documented and         its sources and the            Interviews with staff may provide
                                                                                                                                          34 CFR 300.306
3-4-2.2       considered?                                       consideration it gives to the  additional information to verify this
                                                                                                                                          (c)(1)(ii).
                                                                information used during an IEP item.
                                                                meeting.
                                                                  Members of an IEP team are
                                                                  excused from attending all or    Review IEP team documentation.
              Is a member of the individualized education
                                                                  part of the meeting, if the      Interview staff and parents.
              program team excused from attending an                                                                                      20 USC
                                                                  parent and the LEA agree that    Determine if members were
              individualized education program meeting, in                                                                                1414(d)(1)(C)(i), 34
3-4-3                                                             attendance is not necessary      excused by mutual agreement and
              whole or in part, if the parent and the local                                                                               CFR 300.321 (e)(1), 30
                                                                  because the member's area of     because their area of curriculum
              educational agency agree that the attendance is                                                                             EC 56341(f).
                                                                  curriculum or service is not     or service was not being modified
              not necessary?
                                                                  being modified or discussed in   or discussed.
                                                                  the meeting.
               Is a member of the individualized education
               program team excused from attending an                                              When a member's area will be
               individualized education program meeting, in                                        discussed or modified, those
               whole or in part, when the meeting involves a                                       members of an IEP team are
               modification to or discussion of the member's area                                  excused from attending if the
               of the curriculum or related services when the                                      parent and the LEA consent to the
                                                                                                                                          20 USC
               following conditions are met: (1) The parent and                                    excusal. Further, the team
                                                                  Parent agreement to the                                                 1414(d)(1)(C)(ii), 34
3-4-4          the local educational agency consent to the                                         member must submit information
                                                                  excusal must be in writing.                                             CFR 300.321 (e)(2), 30
               excusal after conferring with the member, (2) The                                   for the IEP in writing in advance of
                                                                                                                                          EC 56341(g)&(h).
               member submits in writing to the parent and the                                     the IEP meeting. Review IEP team
               individualized education program team,                                              documentation. Interview staff
               information for the development of the                                              and parents. Determine if
               individualized education program prior to the                                       members were excused in
               meeting, and (3) The parent's agreement to the                                      conformance with all conditions.
               excusal is in writing?
IEP - Additional Requirements
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                   Legal Citations

                                                                                                    Look in the Assessment Report
                                                                                                    and IEP for a statement regarding
                                                                                                    any assistive technology and
                                                                     The IEP team considers         services needs. The IEP will           20 USC
              Does the IEP team consider for each student,
                                                                     whether the student required   specify, when appropriate, the         1414(d)(3)(B)(v), 34
3-5-1         whether assistive technology and services are
                                                                     assistive technology and       need for assistive technology. The     CFR 300.324 (a)(2)(v),
              needed?
                                                                     services.                      IEP may include a check box or         30 EC 56341.1(b)(5).
                                                                                                    list of potential assistive
                                                                                                    technologies and services that
                                                                                                    may be checked.
              Does the IEP team address the transition process
                                                                     Must be documented in student Review IEP and team process
3-5-2         to elementary school for preschool children age 3                                                                            30 EC 56445.
                                                                     record.                       notes in student record.
              through 5?
              Does the IEP team address the transition process
              from preschool, for students age 3 through 5, to
              elementary school and did the IEP team describe
                                                                     Must be documented in student Review IEP and team process
3-5-2.1       a process for monitoring the continued success of                                                                            30 EC 56445.
                                                                     record.                       notes in student record.
              a student with a disability in kindergarten or first
              grade equivalency who continues to be eligible for
              special education?
              Does the IEP team address the transition process
              from preschool, for students age 3 through 5, to                                      Review IEP and team process
              elementary school and for a student who is exiting                                    notes in student record. Interview
              special education after preschool, did the IEP       Must be documented in student    kindergarten teachers to see if
3-5-2.2                                                                                                                                    30 EC 56445(d).
              team note the present levels of performance and      record.                          they routinely receive information
              learning style, and provide this information to the                                   from preschool special education
              assigned general education teacher upon the                                           programs.
              student's enrollment in kindergarten or first grade?

              When students transfer into the general education
                                                                                                    Look in the IEP for a statement
              classroom from special classes or centers, or from
                                                                 If appropriate, must be            relating to the student's transition
3-5-3         nonpublic, nonsectarian school to the general                                                                                30 EC 56345(b)(4).
                                                                 documented in the IEP.             into the general education
              education classroom in the public school, does the
                                                                                                    classroom.
              IEP provide for transition?
Item Number                    Compliance Test                         Compliance Standard             Other Guidance                    Legal Citations
              When students transfer into the general education
              classroom from special classes or centers, or from
              nonpublic, nonsectarian school to the general
                                                                                              Look in the IEP for a list of
              education classroom in the public school does
                                                                    If appropriate, must be   supports to assist the student in
3-5-3.1       transition planning include a description of                                                                           30 EC 56345(b)(4)(B).
                                                                    documented in the IEP.    making the transition to a regular
              activities provided to integrate the student into the
                                                                                              education program.
              regular education program describing the nature of
              each activity, and the time spent on the activity
              each day or week?
              When students transfer into the general education
              classroom from special classes or centers, or from
              nonpublic, nonsectarian school to the general                                   Look in the IEP for a list of
              education classroom in the public school, does     If appropriate, must be      supports to assist the student in
3-5-3.2                                                                                                                              30 EC 56345(b)(4)(B).
              transition planning include a description of the   documented in the IEP.       making the transition to a regular
              activities provided to support the transition of                                education program.
              students from the special education program into
              the general education program?

                                                                                              Look in the IEP for a statement
                                                                                              regarding any specialized
                                                                                              services, equipment such as
                                                                                              assistive technology, materials
                                                                                              and services needs for a student
                                                                                              with a low incidence disability.       20 USC 1414(d)(3)(B)(i-
              For a student with a low incidence disability such
                                                                                              Look for any documentation that        v), 34 CFR 300.324
              as deafness or blindness, does the IEP include,      If appropriate, must be
3-5-4                                                                                         such items have been provided,         (a)(2)(ii-iii), 30 EC
              specialized services, equipment and materials        documented in the IEP.
                                                                                              such as a low incidence funds          56345(b)(5), 30 EC
              consistent with state guidelines?
                                                                                              request form. Look for any             56136.
                                                                                              documentation of consultation with
                                                                                              a specialist such as an audiologist.
                                                                                               Check for documentation of a
                                                                                              consult/referral with the school
                                                                                              nurse.
Item Number                    Compliance Test                         Compliance Standard            Other Guidance                    Legal Citations

                                                                                             Look in the IEP for a statement
                                                                                             regarding any specialized
                                                                                             services, equipment such as
                                                                                             assistive technology, materials
                                                                                             and services needs for a student
                                                                                             with a low incidence disability.
                                                                                             Look for any documentation that        20 USC
              Does the IEP team discuss required elements for      If appropriate, must be   such items have been provided,         1414(d)(3)(B)(iii), 34
3-5-5
              a student who is blind or has visual impairments?    documented in the IEP.    such as a low incidence funds          CFR 300.324 (a)(2)(iii),
                                                                                             request form. Look for any             30 EC 56341.1(b)(3).
                                                                                             documentation of consultation with
                                                                                             a specialist such as an
                                                                                             ophthalmologist or vision
                                                                                             specialist. Check for
                                                                                             documentation of a consult/referral
                                                                                             with the school nurse.

                                                                                             Look in the IEP for a statement
                                                                                             relating to the need for appropriate
                                                                                                                                    20 USC
              For a student who is blind or has visual                                       media. Check for a specialist
                                                                                                                                    1414(d)(3)(B)(iii), 34
              impairments, does the IEP team determine the         If appropriate, must be   and/or school nurse consultation.
3-5-5.1                                                                                                                             CFR 300.324 (a)(2)(iii),
              appropriate medium/media for the student in          documented in the IEP.    Look in the IEP for a statement
                                                                                                                                    30 EC 56352(c), 30 EC
              accordance with state guidelines?                                              relating to the provision of needed
                                                                                                                                    56341.1(b)(3).
                                                                                             equipment; look for a low
                                                                                             incidence funds request form.

                                                                                             Look in the IEP for a statement
              For a student who is blind or has visual                                       relating to the need for appropriate
                                                                                                                                    20 USC
              impairments, does the IEP team consider the                                    media. Check for a specialist
                                                                                                                                    1414(d)(3)(B)(iii), 34
              provision of instruction in Braille and the use of   If appropriate, must be   and/or school nurse consultation.
3-5-5.2                                                                                                                             CFR 300.324 (a)(2)(iii),
              Braille, unless the team determines after            documented in the IEP.    Look in the IEP for a statement
                                                                                                                                    30 EC 56341.1(b)(3), 30
              evaluation that Braille instruction or use is not                              relating to the provision of needed
                                                                                                                                    EC 56352(e).
              appropriate for the student?                                                   equipment; look for a low
                                                                                             incidence funds request form.
Item Number                    Compliance Test                            Compliance Standard                    Other Guidance                   Legal Citations

                                                                                                        Look in the Assessment Report for
              For a student who is deaf, does the IEP team                                              any assessment of the student's
              consider the language and communication needs,                                            communication and any service
              opportunities for direct communications with peers      If appropriate, there must be     needs recommended. Look in the        20 USC
              and professional personnel in the student's             evidence of IEP team              IEP for documentation that the IEP    1414(d)(3)(B)(iv), 34
3-5-6
              language and communication mode, academic               consideration for the student's   team has made the appropriate         CFR 300.324 (a)(2)(iv),
              level, and full range of needs, including               communication needs.              considerations. The IEP will          30 EC 56341.1(b)(4).
              opportunities for direct instruction in the student's                                     specify, when appropriate, the
              language and communication mode?                                                          need for communication services
                                                                                                        or technology.

                                                                                                        Look for documentation or
                                                                                                        statement of review of the child's
                                                                                                        latest Assessment Report,
                                                                                                        behavior specialist report, school
                                                                                                        nurse consultation or referral to
                                                                                                        County Mental Health. Look in the
                                                                                                        IEP for a statement regarding
              For a student whose behavior impedes his or her
                                                                                                        consideration of the provision of
              learning or that of others, does the IEP team
                                                                      If appropriate, IEP               positive behavior interventions and 34 CFR 300.307(a)(3),
3-5-7         consider the provision of positive behavior
                                                                      consideration must be evident.    strategies. If the student record    5 CCR 3030(j)(4)(B).
              interventions and strategies and/or supports to
                                                                                                        contains reports about the
              address the behavior?
                                                                                                        student's disruptive behavior and
                                                                                                        there are no services noted on the
                                                                                                        IEP which address that behavior
                                                                                                        issue, ask district staff to explain
                                                                                                        how the IEP considers a student's
                                                                                                        behavior when making
                                                                                                        recommendations for services.

                                                                                                        Look in the Assessment Report
                                                                                                        and/or any other documentation
              For a student with limited English proficiency
                                                                                                        that the LEA has assessed the         20 USC
              (English language learners (ELL)), does the IEP
                                                                                                        child's language needs. Look in       1414(d)(3)(B)(ii), 34
              team consider the language needs of the student         If appropriate, IEP
3-5-8                                                                                                   the IEP for a statement that the      CFR 300.324 (a)(2)(ii),
              as such needs relate to the student’s IEP and           consideration must be evident.
                                                                                                        IEP team has considered the           30 EC 56345(b)(2), 30
              does the IEP include linguistically appropriate
                                                                                                        child's language needs. Look for      EC 56341.1(b)(2).
              goals, objectives, programs and services?
                                                                                                        linguistically appropriate goals,
                                                                                                        objectives, programs, and services.
Item Number                     Compliance Test                             Compliance Standard                      Other Guidance                  Legal Citations
                                                                        Must be documented on the
              On initial IEP's and each triennial, for students         IEP. Check the diagnostic
                                                                                                           If student is not SLD, mark this      34 CFR 300.311(a)(1 &
              determined to have a specific learning disability,        categories to make certain the
3-5-9                                                                                                      section "not applicable". Applies     2), 30 EC 56337, 5 CCR
              does the IEP team certify in writing that the             student is diagnosed as a
                                                                                                           to initial and triennial IEPs only.   3030(j).
              student meets the eligibility criteria?                   student with a specific learning
                                                                        disability.
              On initial IEP’s and each triennial, for students
                                                                        Must be documented in student      The criteria for determining
              determined to have a specific learning disability,
                                                                        record, only for students with     eligibility has ruled out these       34 CFR 300.311(a)(6),
              did the IEP team certify in writing that the disability
3-5-9.1                                                                 specific learning disabilities,    areas. Look in the IEP, the           30 EC 56337, 5 CCR
              is not the result of visual, hearing, motor
                                                                        and only on initial and three      Assessment Reports and/or a           3030(j).
              impairment, mental retardation, emotional
                                                                        year evaluations.                  district form for SLD eligibility.
              disturbance?
                                                                                                           The observation must be made by
              On initial IEP's and each triennial, for students
                                                                                                           a qualified professional other than
              determined to have a specific learning disability,
                                                                                                           the child's regular classroom
              did the IEP team certify in writing that observations
                                                                    Must be documented on the              teacher.                            34 CFR 300.310 (a-c),
3-5-9.2       of relevant behavior have been made by at least
                                                                    IEP.                                   An Assessment Report statement 30 EC 56341(c).
              one team member other than the student's teacher
                                                                                                           and an observation report check
              (in the general education classroom or other
                                                                                                           off on the IEP or the form for SLD
              appropriate environment)?
                                                                                                           eligibility criteria.
              On initial IEP’s and each triennial, for students
              determined to have a specific learning disability,                                      Check in the Assessment Report
                                                                        Must be documented in student
3-5-9.3       did the IEP team certify in writing the relationship                                    statement; SLD eligibility form; IEP 34 CFR 300.311(a)(3).
                                                                        record.
              of the behavior to the student’s academic                                               checklist for SLD eligibility.
              functioning?
              On initial IEP's and each triennial, for students
              determined to have a specific learning disability,
              did the IEP team certify in writing that there exists                                        Check in the Assessment Report,
              a disorder in one or more of the basic                                                       "SLD eligibility form"; "IEP          34 CFR
                                                                    Must be documented in student
3-5-9.4       psychological processes and a severe discrepancy                                             checklist for SLD eligibility". The   300.311(a)(7)(i), 5 CCR
                                                                    record.
              between intellectual ability and academic                                                    report rules out limited school       3030(j).
              achievement in oral and written language, reading,                                           attendance.
              or mathematics which cannot be corrected through
              regular education or categorical services?
Item Number                    Compliance Test                            Compliance Standard                   Other Guidance                 Legal Citations

                                                                                                The report includes a statement of
                                                                                                the area, the degree, and the
              On initial IEP’s and each triennial, for students                                 basis and method used in
              determined to have a specific learning disability,                                determining the discrepancy. This
              did the IEP team certify in writing that when       Must be documented in student includes information considered by 34 CFR 300.307(a)(3),
3-5-9.5
              standardized tests are considered to be invalid for record.                       the team: data from alternative     5 CCR 3030(j)(4)(B).
              a specific pupil, the discrepancy was measured by                                 tests, information from parents,
              alternative means?                                                                pupil performance in the
                                                                                                classroom setting, age of child and
                                                                                                other relevant information.


                                                                                                  Check and determine if the health
              On initial IEP's and each triennial, for students
                                                                                                  and developmental history was
              determined to have a specific learning disability,    Must be documented in student                                     34 CFR 300.311(a)(4),
3-5-9.6                                                                                           completed. A statement may be
              did the IEP team certify in writing any educationally record.                                                           5 CCR 3030(j).
                                                                                                  on the on the SLD eligibility form,
              relevant medical finding?
                                                                                                  Assessment Report and/or the IEP.

              On initial IEP's and each triennial, for students
                                                                                                       The report includes information
              determined to have a specific learning disability,
                                                                                                       considered by the team: data
              did the IEP team certify in writing that the disability
                                                                      Must be documented in student    from tests, information from        34 CFR 300.311(a)(6),
3-5-9.7       is due to a disorder in one or more of the basic
                                                                      record.                          parents, pupil performance in the 30 EC 56337(a).
              psychological processes and is not the result of
                                                                                                       classroom setting, age of child and
              environmental, cultural or economic
                                                                                                       other relevant information.
              disadvantages?
                                                                                                       Must be documented in writing.
                                                                                                       Look in the IEP for a check-off that
                                                                                                       a team member agrees or
              On initial IEP's and each triennial, for students
                                                                                                       disagrees with the team
              determined to have a specific learning disability,
                                                                      Must be documented in the        conclusion that the student has a
              did each team member certify in writing whether
                                                                      student record, only for SLD,    specific learning disability. If not
3-5-9.8       the report reflects his or her conclusion? If it does                                                                         34 CFR 300.311(b).
                                                                      and only on initial and three-   on the IEP, look for documentation
              not reflect his or her conclusion, did the team
                                                                      year evaluations.                among the Assessment Reports.
              member submit a separate statement presenting
                                                                                                       Ask district staff how a dissenting
              his or her conclusions?
                                                                                                       opinion of an IEP team member
                                                                                                       regarding specific learning
                                                                                                       disability is documented.
Transitions
Item Number                   Compliance Test                           Compliance Standard                   Other Guidance                  Legal Citations
              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                                         The IEP includes courses of study
              courses of study that focus on improving the          The IEP must include courses     that support the student's
              academic and functional achievement of the            of study needed to assist the    transition goals. The course of      34 CFR 300.320(b), 30
3-6-1
              student to facilitate their movement from school to   student in reaching transition   study is a multi-year description of EC 56345(a)(8)(B).
              post school?                                          goals.                           coursework from the student's
                                                                                                     current to anticipated exit year.


              Does the IEP to be in effect when the student                                          Transition services include:
              turns 16, or younger if determined appropriate by                                      instruction, community
                                                                                                                                         20 USC
              the IEP team, and each IEP thereafter, describe                                        experiences, employment or other
                                                                  Transition Services must be                                            1414(d)(1)(A)(i)(VIII), 34
3-6-2         needed transition services that focus on improving                                     post-school objectives, related
                                                                  documented in the IEP.                                                 CFR 300.320 (b)(2), 30
              academic and functional achievement of the                                             services and if appropriate daily
                                                                                                                                         EC 56345(a)(8).
              student to facilitate their movement from school to                                    living skills or a functional
              post school?                                                                           vocational evaluation.

                                                                                                     The MPSG should state what a
                                                                                                     student will do rather than "plans"
                                                                                                     or "hopes to" do after high school.
                                                                                                     There must be MPSGs in at least
              Does the IEP to be in effect when the student
                                                                    The student's postsecondary      two areas. For each of the MPSG
              turns 16, or younger if determined appropriate by
                                                                    goals must be documented in      areas listed there should be age    20 USC 1401 (34),34
              the IEP team, and each IEP thereafter, focus on
3-6-2.1                                                             the IEP and the transition       appropriate transition assessment CFR 300.320 (b)(1), 30
              improving academic and functional achievement of
                                                                    services must support those      information, from one or more       EC 56345.1(a).
              the student to facilitate their movement from
                                                                    goals.                           sources, provided on the student's
              school to post school?
                                                                                                     needs, taking into account
                                                                                                     strengths, preferences, or
                                                                                                     interests regarding the
                                                                                                     postsecondary goals.
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                   Legal Citations


                                                                                                    The MPSG should state what a
                                                                                                    student will do rather than "plans"
                                                                     Student's postsecondary goals
                                                                                                    or "hopes to" do after high school.
                                                                     must be documented in the IEP
              Does the IEP to be in effect when the student                                         There must be MPSGs in at least
                                                                     and the transition services
              turns 16, or younger if determined appropriate by                                     two areas. For each of the MPSG
                                                                     must support those goals.                                            20 USC
              the IEP team, and each IEP thereafter, contain                                        areas listed there should be age
                                                                     There must be at minimum two                                         1414(d)(1)(A)(i)(VIII)(aa)
3-6-2.1.2     measurable postsecondary goals based on age                                           appropriate transition assessment
                                                                     Measurable Post Secondary                                            , 34 CFR 300.320(b)(1,
              appropriate transition assessments related to                                         information, from one or more
                                                                     Goals, one in the area of                                            30 EC 56345(a)(8).
              training or education, employment, and where                                          sources, provided on the student's
                                                                     education or training,
              appropriate, independent living skills?                                               needs, taking into account
                                                                     employment and if appropriate,
                                                                                                    strengths, preferences, or
                                                                     independent living.
                                                                                                    interests regarding the
                                                                                                    postsecondary goals.

              Is the IEP to be in effect when the student turns                                                                           20 USC
                                                                     Must be documented in student Look for dates on the IEP and the
3-6-2.2       16, or younger if determined appropriate by the                                                                             1414(d)(4)(A)(i), 34
                                                                     record.                       transition forms.
              IEP team, reviewed annually?                                                                                                CFR 300.324 (b)(1)(i).
              Does the IEP to be in effect when the student
              turns 16, or younger if determined appropriate by                                                                           20 USC 1401(34)(B), 34
              the IEP team, and each IEP thereafter, contain         Must be documented in the       Look for transition services based   CFR 300.43(a)(2), 34
3-6-2.4
              transition services that are based on the individual   student's IEP.                  on assessment information.           CFR 300.321(b)(2) 30
              student's needs, taking into account the student's                                                                          EC 56345.1(a)(2).
              preferences and interests?

                                                                                                 For each of the Measurable Post
                                                                                                 Secondary Goals there should be
                                                                                                 transition services (instruction,
              Does the first IEP to be in effect when the student
                                                                                                 related service, community
              turns 16, or younger if determined appropriate by
                                                                                                 experience(s), development of
              the IEP team, and each IEP thereafter, include a
                                                                                                 employment and other post school
              statement of the needed transition services in all
                                                                                                 adult living objectives, if        20 USC 1401(34)(C), 34
              required areas including: a) instruction, b) related Must be documented in student
3-6-2.5                                                                                          appropriate, acquisition of daily  CFR 300.43(a)(2)(i-v),
              services, c) community experiences, d) the           record.
                                                                                                 living skill(s), or provision of a 30 EC 56345.1(a)(3).
              development of employment and other post school
                                                                                                 functional vocational evaluation)
              objectives and, when appropriate e) acquisition of
                                                                                                 listed in association with meeting
              daily living skills and f) functional vocational
                                                                                                 the Measurable Post Secondary
              evaluation?
                                                                                                 Goals.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                     Legal Citations

                                                                                                  Transition services listed on the
              Does the IEP to be in effect when the student                                       IEP that need to be provided or
              turns 16, or younger if determined appropriate by                                   paid for by another agency should
                                                                    Must be documented in student                                            34 CFR
3-6-2.5.6     the IEP team, and each IEP thereafter, include a                                    be documented. In some cases it
                                                                    record.                                                                  300.322(b)(2)(ii).
              statement of the needed transition services and                                     may be too early to determine if a
              interagency responsibilities?                                                       student will need outside agency
                                                                                                  involvement.
              Does the LEA reconvene the IEP team to identify                                          Look for evidence in the student
              alternative strategies to meet the transition         The district must have             record that the LEA reconvened        20 USC 1414(d)(6), 34
3-6-3         objectives when a participating agency other than     evidence that the IEP team         the IEP team if transition services   CFR 300.324 (c)(1), 30
              the LEA fails to provide the transition services in   was reconvened.                    were not provided as stated in the    EC 56345.1(c).
              the IEP?                                                                                 IEP.
                                                                                                       Look for evidence in the student
                                                                    The student record must            record that the LEA used
              Does the LEA use alternative methods to obtain
                                                                    contain evidence of the LEAs       alternative methods such as a
              agency participation in the development of
3-6-4                                                               effort to obtain the participation phone conference or written input     30 EC 56341(d)(3).
              transition services, if an invited agency
                                                                    of required agency                 when the invited agency
              representative cannot attend the IEP meeting?
                                                                    representatives.                   representative could not attend the
                                                                                                       IEP meeting.
              Does the LEA invite the student to attend the IEP     The LEA must invite the           The student record contains a
                                                                                                                                             34 CFR
              meeting when the purpose will be consideration of     student to attend the IEP         Notice of Invitation or the IEP
                                                                                                                                             300.322(b)(2)(i)(ii), 30
3-6-6         needed transition goals and services?                 meeting when the purpose          contains a signature of
                                                                                                                                             EC 56341(d)(1)(2)(3),
                                                                    includes the consideration of     parent/guardian or student that
                                                                                                                                             30 EC 56341.5(e).
                                                                    transition goals and services.    acknowledges invitation.
Item Number                    Compliance Test                          Compliance Standard                      Other Guidance                  Legal Citations


                                                                                                        The student record should include
                                                                                                        documentation that the parent (or
                                                                                                        student, when of the age of
                                                                                                        majority) provided consent to invite
                                                                                                        the other agency's representative
                                                                    The LEA must invite a
              Does the LEA invite to the IEP meeting a                                                  and documentation of the
                                                                    representative of any agency
              representative of any agency that is likely to be                                         invitation that was extended to the 30 EC 56341(d)(3), 30
3-6-7                                                               that is likely to be responsible
              responsible for providing or paying for transition                                        other agency's representative. The EC 56341.5(f).
                                                                    for providing or paying for
              services?                                                                                 consent document should be clear
                                                                    transition services.
                                                                                                        about the period of time the
                                                                                                        consent is provided for, so the
                                                                                                        parent (or student, when of the
                                                                                                        age of majority) understands the
                                                                                                        permission he or she is providing.


                                                                  Beginning not later than one (1)      The student record includes
                                                                  year before the student               documentation that the student
                                                                  reaches majority under state          was informed by age 17, of the
              Does the LEA inform the student of the rights that
                                                                  law, the student must be              rights that will transfer to them as 20 USC 1414
3-6-8         will transfer to the students upon reaching the Age
                                                                  informed of the student's rights      an adult at age 18. This may be a (d)(1)(A)(i)(VIII)(cc).
              of Majority?
                                                                  under this title, if any, that will   statement on the IEP or a
                                                                  transfer to the student on            separate notification.
                                                                  reaching the age of majority.
              Does the LEA provide the parent or the student                                       Graduation is considered a
              who has attained the age of majority written prior    The LEA must provide notice to change of placement.               34 CFR 300.503, 30 EC
3-6-9
              notice of graduation from high school with a          the parent or student.         Documentation of notification must 56500.5.
              regular high school diploma?                                                         be in the student record.
                                                                    The LEA must provide a
              Does the LEA provide the student whose eligibility
                                                                    summary of the student's
              was terminated due to graduation from secondary
                                                                    academic achievement and
              school with a regular diploma, or due to exceeding                                        The SoP will be in the record for
                                                                    functional performance (SoP)
              the age of eligibility for FAPE, with a summary of                                        students that have aged out or
                                                                    including recommendations on                                           20 USC 1414
              the student’s academic achievement and                                                    may be in the records of some
3-6-5                                                               how to assist the student in                                           (c)(5)(B)(ii), 30 EC
              functional performance which includes                                                     students in their last year of
                                                                    meeting their postsecondary                                            56381(i)(2).
              recommendations on how to assist the student in                                           school. The SoP is not required to
                                                                    goals when the student's
              meeting their post secondary goals?                                                       be part of the IEP.
                                                                    eligibility is terminated due to
                                                                    graduation or exceeding the
                                                                    age eligibility for FAPE.
Item Number                   Compliance Test                         Compliance Standard                    Other Guidance                 Legal Citations
Free Appropriate Public Education
General

                                                                                                      Review the components of FAPE
                                                                                                      in 34 CFR 300.13 and in 34 CFR
                                                                                                      300.300-313. Generally, does the
                                                                    Records, documentation and        LEA serve all eligible children?
              Does the LEA make a free appropriate public           interviews must indicate that all Are they served at no cost to the   20 USC 1412(a)(1), 34
4-1-1         education available to all eligible students, who are children with a disability have a parents? Are services provided      CFR 300.101, 30 EC
              between the ages of 3 and 22?                         free appropriate public           under public supervision? Does it 56000.
                                                                    education available to them.      include a regular preschool,
                                                                                                      elementary and secondary
                                                                                                      education? And are the services
                                                                                                      provided in conformity with an IEP?

                                                                                                     Check to make sure that every
                                                                  Records, documentation and         child has an IEP, that it is
              Does the LEA ensure that an IEP is developed,       interviews must indicate that an   reviewed as required and as      20 USC 1412(a)(4), 34
4-1-2         reviewed, and revised for each child with a         IEP is developed, reviewed and     requested, according to          CFR 300.112, 30 EC
              disability?                                         revised for each child with a      requirements and that revisions  56340.
                                                                  disability.                        are made in response to changing
                                                                                                     needs.
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                    Legal Citations

                                                                                                   Check to make sure that all
                                                                                                   services are provided as
                                                                                                   described in the IEP (e.g.,
                                                                                                   frequency, intensity, duration,
                                                                                                   location).

                                                                                                   Can staff confirm that students
                                                                                                   receive the special education and
                                                                                                   related services as stated on the
                                                                                                   IEP?
                                                                                                   Can staff describe methods that
                                                                                                   document how they ensure that
                                                                                                   student’s receive services as
                                                                  Records, documentation and       stated on the IEP?
                                                                                                                                          20 USC 1414(d), 34
              Does the LEA provide special education and          interviews must confirm that     Can staff and administration
                                                                                                                                          CFR 300.323(c)(2), 30
4-1-3         related services in accordance with the student's   the LEA provides special         describe how they ensure that
                                                                                                                                          EC 56043(i), 5 CCR
              IEP?                                                education and related services   special education and related
                                                                                                                                          3040(a).
                                                                  as indicated on the IEP.         services are provided to children
                                                                                                   with disabilities according to their
                                                                                                   IEPs?
                                                                                                   Can staff and administration
                                                                                                   describe how they determine
                                                                                                   which children are currently
                                                                                                   receiving special education and
                                                                                                   related services as stated on the
                                                                                                   IEP? and
                                                                                                   Can staff and administration
                                                                                                   describe how they determine
                                                                                                   which children are not receiving
                                                                                                   special education and related
                                                                                                   services as stated on the IEP?
Item Number                    Compliance Test                          Compliance Standard                     Other Guidance                    Legal Citations

                                                                                                       Check to make sure that a variety
                                                                                                       of services are provided based on
                                                                     Records, documentation and
                                                                                                       the student's needs, that all needs
                                                                     interviews must indicate that
              Are a variety of related services, and other                                             were addressed, and services           20 USC
                                                                     there are a variety of services
              supportive services provided based on student                                            were provided in order to progress     1414(d)(1)(A)(i)(IV),34
4-1-4                                                                provided, that they are based
              needs to assist a student with a disability to benefit                                   in the general curriculum. Ask staff   CFR 300.300, 30 EC
                                                                     on the student's needs, and
              from special education?                                                                  to confirm that there are a variety    56363(a).
                                                                     that they assist the child to
                                                                                                       of special education and related
                                                                     benefit from special education.
                                                                                                       services available and provided to
                                                                                                       students?

                                                                    A review of records, other
                                                                                                       Consider whether the goals and
                                                                    documentation and interviews
                                                                                                       objectives are appropriate,
                                                                    must demonstrate that the LEA
                                                                                                       whether they have been adjusted
              Does the LEA assist the student to achieve the        ensured that the annual IEP
                                                                                                       over time. Consider whether the
              goals listed in the IEP?                              goals and if appropriate,
                                                                                                       goals, objectives and services are
              Also, for students eligible for Statewide testing     benchmarks, were measurable
                                                                                                       reasonably calculated to enable
              using the California Alternate Performance            and designed to meet the
                                                                                                       the child to benefit from special
              Assessment (CAPA), does the LEA assist                student's needs that result from
                                                                                                       education and related services.        30 EC 56345(c), 5 CCR
4-1-5         students to achieve the benchmarks listed in the      the student's disability.
                                                                                                       Consider whether the district has      3040(c).
              IEP?                                                  Further, the IEP goals must be
                                                                                                       provided consistent related and
                                                                    written so as to enable the
                                                                                                       support services to the child
                                                                    student to be involved in and
                                                                                                       (consistent staffing). Consider
                                                                    make progress in the general
                                                                                                       whether the locations, facilities,
                                                                    curriculum and meet each of
                                                                                                       equipment and materials are
                                                                    the other educational needs
                                                                                                       comparable to those provided for
                                                                    that result from the student's
                                                                                                       all other students.
                                                                    disability.

                                                                    A review of records, other         Review information about
              Does the LEA ensure that all students with
                                                                    documentation and interviews       participation rates, particularly      20 USC 1412
              disabilities are included in general State and
                                                                    indicate that the LEA ensures      compared to general education in       (a)(16)(A), 34 CFR
              District-wide assessment programs, with
4-1-6                                                               that children with disabilities    the same district. Consider            300.320(a)(6), 30 EC
              appropriate accommodations and modifications,
                                                                    are included in state and          interview information about how        56345 (a)(6)(A), 30 EC
              as documented in the IEP?
                                                                    district-wide assessment           staff and IEP teams make               56385(a).
                                                                    programs.                          recommendations for participation.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                 Legal Citations
                                                                    Must include evidence of an
                                                                    Assessment Plan and a full
              Does the LEA conduct a full and individual initial                                                                          20 USC 1414(a)(1)(A),
                                                                    evaluation report(s) prior to     Look for the required Assessment
4-1-7         evaluation prior to the provision of special                                                                                34 CFR 300.301, 30 EC
                                                                    placement and provision of        Plan and reports.
              education and related services?                                                                                             56320.
                                                                    special education and related
                                                                    services.
              Is the IEP in effect before special education and                                                                      20 USC 1414(d)(2)(A),
                                                                  Must be documented in student
4-1-8         related services are provided to a student? Is the                                IEP start date indicated on the IEP. 34 CFR 300.323(a), 30
                                                                  record.
              IEP in effect at the beginning of each school year?                                                                    EC 56344(c).
                                                                                                  Review the IEP from sending
              Is a student transferring into the District, from
                                                                                                  district, date on interim
              another District within California, immediately                                                                             20 USC
                                                                                                  administrative placement, date on
              placed in a District or agency program in             Must be documented in student                                         1414(d)(2)(C)(i)(1),34
4-1-9                                                                                             request for confidential record,
              conformity with the student's IEP for a period not    record.                                                               CFR 300.323(e), 30 EC
                                                                                                  date on notice of Assessment
              to exceed 30 days before a new IEP is developed                                                                             56325, 30 EC 56043(m).
                                                                                                  Plan, date on notice of IEP team
              in consultation with the parent?
                                                                                                  meeting.
                                                                   A student who transfers from
                                                                   outside the State to a district
                                                                                                      Check the student record to
                                                                   within California must receive a
                                                                                                      determine if it contains a recent
              Does a student who transfers from outside the        free appropriate public
                                                                                                      IEP that was developed following
              State to a District within California receive a free education, including services
                                                                                                      the student's move from another     20 USC
              appropriate public education, including services     comparable to those described
                                                                                                      state. Look for records that were   1414(d)(2)(C)(i)(II), 34
              comparable to those described in the previously      in the previously approved
4-1-9.1                                                                                               sent from the other state. Check    CFR 300.323(f), 30 EC
              approved individualized education program until      individualized education
                                                                                                      for a recent assessment. Look to    56043(m), 30 EC
              the local educational agency conducts an             program until the local
                                                                                                      see if the current services and     56325(a)(3).
              assessment, if determined to be necessary, and       educational agency conducts
                                                                                                      placement is similar to those
              develops a new individualized education program? an assessment, if determined
                                                                                                      developed in the student's prior
                                                                   to be necessary, and develops
                                                                                                      state of residence.
                                                                   a new individualized education
                                                                   program.
                                                                                                      Copy of the IEP is in the student
              a) Is the IEP accessible to all service providers?                                      file; the distribution of copies may
              b) Are the school site and any outside agencies                                         be noted on the bottom of the IEP.
              that will provide services given a copy of the IEP?   A copy of the student's IEP        Teachers and other service
                                                                                                                                            34 CFR 300.323(d), 30
4-1-10        c) Are all teachers and providers informed of their   must be accessible to all         providers must be knowledgeable
                                                                                                                                            EC 56347.
              specific responsibilities related to implementing     service providers.                about their specific responsibilities
              the IEP?                                                                                for implementing the IEP. This
                                                                                                      item may require interview follow-
                                                                                                      up.
Item Number                   Compliance Test                           Compliance Standard                    Other Guidance                 Legal Citations

              Are services provided by appropriately
              credentialed or "qualified staff" as defined in 5
              CCR 3001(y):
              (1) Are related service personnel appropriately
              certified?                                                                              LEA lists of special education
              (2) Are teachers who provide students with            All staff must be qualified, or   personnel with and without          20 USC 1412 (a)(14),
4-1-11        disabilities instruction in content areas highly      granted temporary permits or      appropriate credentials. District   34 CFR 300.156, 30 EC
              qualified?                                            waivers.                          documentation of recruitment and    56058.
              (3) Are special education teachers who instruct                                         in-service training.
              students with disabilities highly qualified (i.e.,
              bachelors degree; certified)?
              (4) Are paraprofessionals appropriately trained
              and supervised to serve students with disabilities?
                                                                    The district should have a
              Are student services in accordance with their IEP     statement in their policies and
                                                                                                    Look at SELPA Local Plan and          34 CFR 300.320(a)(4),
4-1-12        and to the maximum extent feasible based on           procedures about the provision
                                                                                                    district policies and procedures.     30 EC 56345(a)(4).
              peer-reviewed research?                               of services based on peer
                                                                    reviewed research.
                                                                                                      The record review may not
                                                                                                      satisfactorily confirm whether the
                                                                                                      services were provided. Parent
                                                                                                      and staff interviews, along with
                                                                                                      other documentation may be the
              As determined by the IEP team, do students            Must be provided consistent       primary source of this information. 34 CFR 300.106, 30 EC
4-1-12.4
              receive extended school year services?                with the provisions of the IEP.   If the IEP team has determined        56345(b)(3).
                                                                                                      that the child requires extended
                                                                                                      school year services, look for an
                                                                                                      indication on the IEP if student will
                                                                                                      receive required services during
                                                                                                      extended school year.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                   Legal Citations

                                                                                                      The record review may not
                                                                                                      satisfactorily confirm whether the
                                                                                                      services were provided. Parent
                                                                                                      and staff interviews will be the
              As determined by the IEP team, do students with                                         primary source of this information.   34 CFR 300.156, 30 EC
              low incidence disabilities receive the services of    Must be provided consistent       Look for the service provider         56345(b)(5), 5 CCR
4-1-12.5
              interpreters, transcribers, note takers, and/or       with the provisions of the IEP.   signature on the IEP; the services    3051.16(a), 5 CCR
              readers?                                                                                described on the IEP; the current     3065.
                                                                                                      level of performance described on
                                                                                                      the IEP; the goals on the IEP;
                                                                                                      service provider schedule and
                                                                                                      service provider reports.

                                                                                                      There is no specific
                                                                                                      documentation requirement. This
                                                                                                                                            34 CFR 300.11(b)(2), 5
              Is the length of the instructional day the same as    Length of the instructional day   requirement, however, is usually
                                                                                                                                            CCR 3001(q), 5 CCR
4-1-13        for age appropriate peers including the same          must be the same as for age       indicated in the IEP. Look in the
                                                                                                                                            3053(b)(2), 5 CCR
              beginning and ending times?                           appropriate peers.                IEP for the program description
                                                                                                                                            3054(a)(1).
                                                                                                      and compare the student's
                                                                                                      schedule with school schedule.
                                                                    District must ensure that         Check individual student's records
                                                                    hearing aids are functioning      to determine audiologist's
              For students with hearing impairments, are                                                                                    34 CFR 300.113(a), 30
                                                                    properly. Interviews with         services. Check teacher
4-1-14        amplification devices, including hearing aids                                                                                 EC 56345(d)(5), 5 CCR
                                                                    students, parents and staff       monitoring logs. Interview
              monitored consistently?                                                                                                       3051.18(a)(3).
                                                                    must confirm implementation of    students with hearing aids and/or
                                                                    monitoring.                       their parents.
                                                                                                      Review LEA policies and
                                                                                                      procedures relating to monitoring
                                                                                                      low incidence disabilities for
                                                                                                      congruence with the state
                                                                    District must maintain
              Are state guidelines for low incidence disabilities                                     guidelines. Check the Self-Review
                                                                    documentation that it provides                                          30 EC 56136, 30 EC
              considered in the identification, evaluation,                                           Chapters in the guidelines found in
4-1-15                                                              instruction in a manner that is                                         56345(b)(5).5 CCR
              planning, and provision of services and program                                         the Services and Resources
                                                                    consistent with the low                                                 3051.16, 5 CCR 3065.
              reviews?                                                                                section of CDE's Special
                                                                    incidence guidelines.
                                                                                                      Education website. Determine
                                                                                                      how the LEA used these
                                                                                                      checklists to determine program
                                                                                                      effectiveness.
Item Number                     Compliance Test                          Compliance Standard                   Other Guidance                   Legal Citations

                                                                                                      Review IEPs of students with low
                                                                     The review of placements for
                                                                                                      incidence disabilities to determine
              Do students with low incidence disabilities have       students with low incidence
                                                                                                      if they are receiving any or all of   20 USC 1412 (a)(5), 30
              the opportunity to receive all or a portion of their   disabilities must confirm that
                                                                                                      their instruction in the general      EC 56364.1, 30 EC
4-1-16        instruction in the general education classroom         students have the opportunity
                                                                                                      education classroom. Review           56000.5, 5 CCR
              while being enrolled in special classes taught by      to receive all or a portion of
                                                                                                      CASEMIS data regarding LRE for        3051.16, 5 CCR 3065.
              qualified teachers?                                    their instruction in a general
                                                                                                      all students with low incidence
                                                                     education classrooms.
                                                                                                      disabilities.

              Is there evidence that caseloads are within                                             Review waiver applications on file    30 EC 56363.3, 30 EC
4-1-17        statutory limits, unless a waiver is obtained and                                       at CDE; review school schedules       56441.7, 30 EC
              has been granted by the State Board of Education?                                       and service providers logs.           56362(c).

                                                                                                      Check RSP logs; interview RSP
                                                                                                      staff. Check waivers.

                                                                                                Can Resource Specialist state that
              Is there evidence that caseloads are within
                                                                                                their caseload does not exceed
              statutory limits, unless a waiver is obtained and Caseloads are within statutory
                                                                                                28?                                30 EC 56362(c), 5 CCR
4-1-17.1      has been granted by the State Board of Education, limits unless a waiver has been
                                                                                                                                   3100.
              specifically, do resource specialist caseloads    granted.
                                                                                                If caseload exceeds 28 students,
              exceed 28 students?
                                                                                                can Resource Specialists state
                                                                                                that they have a State Board of
                                                                                                Education waiver authorizing
                                                                                                excess caseload?
Item Number                   Compliance Test                          Compliance Standard                     Other Guidance                    Legal Citations

                                                                                                      Check language, speech and
                                                                                                      hearing specialists logs; interview
                                                                                                      staff. Check SELPA MIS and
                                                                                                      waivers.

                                                                   Caseloads are within statutory     Can speech, language and
              Do language, speech and hearing specialists
                                                                   limits unless the Local Plan       hearing specialists state that their
              caseloads exceed an average of 55 students for
                                                                   specifies a higher average         caseload does not exceed an
              the District, County or SELPA? Additionally, for
                                                                   caseload and the reasons for       average of 55 in the SELPA and         30 EC 56363.3, 30 EC
              preschool children served by a speech and
4-1-17.2                                                           the greater average caseload       for preschool children ages 3-5        56441.7(a), 5 CCR
              language specialist providing services exclusively
                                                                   or unless prior written approval   years, the caseload doesn’t            3051.1(b).
              to students aged 3-5 years, do the caseloads
                                                                   has been granted by the State      exceed 40?
              exceed 40 students for the District, County or
                                                                   Superintendent of Public
              SELPA?
                                                                   Instruction.                       If over caseload, can SLH
                                                                                                      specialists state that they have a
                                                                                                      State Board of Education waiver
                                                                                                      authorizing exceeding caseload?



Staff Development
                                                                                                      Look for SELPA and/or district
                                                                                                      needs assessments for staff
                                                                                                      development; look for training
                                                                                                      announcements.
                                                                                                      Can staff describe a coordinated,
                                                                                                      ongoing program of staff
                                                                                                      development based upon a
                                                                                                      systemic identification of pupil and
              Is there evidence of a coordinated ongoing                                              personnel needs?
                                                                   District must document their                                            34 CFR 300.207, 30 EC
4-2-1         program of staff development based upon needs                                           Can staff confirm that staff
                                                                   staff development efforts.                                              56240.
              assessment?                                                                             development is designed and
                                                                                                      implemented by classroom
                                                                                                      teachers and other school
                                                                                                      personnel, including the school
                                                                                                      principal?
                                                                                                      Can staff confirm that teachers
                                                                                                      comprise the majority of any group
                                                                                                      designated to design local staff
                                                                                                      development programs?
Item Number                   Compliance Test                          Compliance Standard                  Other Guidance                   Legal Citations
                                                                                                   Check topic areas of parent and
                                                                                                   community education. Check the
                                                                                                   sign in sheets to identify
                                                                                                   participants at the training
                                                                                                   provided by the LEA and/or
                                                                                                   SELPA.
                                                                                                   Can staff describe staff
                                                                                                   development programs that are
                                                                                                   coordinated with other staff
                                                                                                   development programs in the
                                                                                                   district, SELPA or county office,
                                                                                                   including school level staff
                                                                                                   development programs authorized
              Do LEA staff development activities include
                                                                                                   by state and federal law?
              opportunities for all school personnel,
                                                                                                   Can staff describe the staff
              paraprofessionals, and volunteers to participate in                                                                        34 CFR 300.207, 34
                                                                    District must document their   development programs provided
4-2-1.1       ongoing staff development activities? Are efforts                                                                          CFR 300.156, 30 EC
                                                                    staff development efforts.     for community advisory committee
              made to include individuals with disabilities and                                                                          56241(b) & (f).
                                                                                                   members (the majority who are
              parents of students with disabilities in the planning
                                                                                                   parents, and of that majority,
              of staff development programs?
                                                                                                   parents of individuals with
                                                                                                   exceptional needs) and
                                                                                                   appropriate district and county
                                                                                                   boards?
                                                                                                   Can staff describe their efforts to
                                                                                                   ensure that individuals with
                                                                                                   exceptional needs and their
                                                                                                   parents are involved in the design
                                                                                                   and implementation of staff
                                                                                                   development programs?
                                                                                                   Check CAC Minutes for evidence
                                                                                                   of training designed by and for
                                                                                                   parents.
                                                                                                   Look at the training schedules and    34 CFR 300.207, 34
              Are LEA staff development activities coordinated     District must document their
4-2-1.2                                                                                            the flyers for evidence of            CFR 300.156, 30 EC
              with the District, County Office, or SELPA?          staff development efforts.
                                                                                                   coordination.                         56240.
Item Number                   Compliance Test                       Compliance Standard                  Other Guidance                  Legal Citations

                                                                                                Can staff describe staff
                                                                                                development programs that are
              Do LEA staff development activities include                                       coordinated with other staff
                                                                                                                                  34 CFR 300.207, 34
              participation of general education, and other     District must document their    development programs in the
4-2-1.3                                                                                                                           CFR 300.156, 30 EC
              categorical programs such as, Title 1, English    staff development efforts.      district, SELPA or county office,
                                                                                                                                  56241(b).
              learner programs, and migrant programs?                                           including school level staff
                                                                                                development programs authorized
                                                                                                by state and federal law?
                                                                                                Look for training evaluations.

              Do LEA staff development activities include                                       Can staff describe how staff         34 CFR 300.207, 34
                                                                District must document their
4-2-1.4       evaluation and modification of training on a                                      development programs are             CFR 300.156, 30 EC
                                                                staff development efforts.
              continuing basis?                                                                 evaluated and modified on a          56241(e).
                                                                                                continuing basis by participating
                                                                                                school personnel?
                                                                                                Can staff describe the staff
                                                                                                development programs provided
                                                                                                for community advisory committee
              Do LEA staff development activities include
                                                                                                members (the majority who are        34 CFR 300.207, 34
              scheduled time set-aside for staff development   District must document their
4-2-1.5                                                                                         parents and of that majority,        CFR 300.156, 30 EC
              and time when school personnel are released from staff development efforts.
                                                                                                parents of individuals with          56241(d).
              their regular duties?
                                                                                                exceptional needs) and
                                                                                                appropriate district and county
                                                                                                boards?
                                                                                                Check the training budget.
                                                                                                Review the use of CDE training
                                                                                                resources.
                                                                                                                                     34 CFR 300.207, 34
              Do LEA staff development activities include a     District must document their
4-2-1.6                                                                                                                              CFR 300.156, 30 EC
              budget for reasonable and necessary expenses?     staff development efforts.      Can staff confirm & describe if
                                                                                                                                     56241(g).
                                                                                                there is budget for reasonable and
                                                                                                necessary expenses for staff
                                                                                                development?
Suspension/Expulsion

                                                                                                Check the student record for
              When a student with a disability has been
                                                                                                evidence of notices or information   20 USC 1415(k)(1)(D),
              removed from his or her current placement for 10
                                                                Must be documented in student   provided to the student's parents    34 CFR 300.534(d), 34
4-3-1         school days in the same school year, during any
                                                                record.                         regarding arrangements to            CFR 300. 530(b)(2) and
              subsequent days of removal, did the public agency
                                                                                                continue services. Check the         (d).
              provide services?
                                                                                                student's discipline file.
Item Number                   Compliance Test                          Compliance Standard                   Other Guidance                    Legal Citations

              Did the district remove the student with disabilities
              who violated a code of student conduct from his or
              her current placement to an appropriate interim
              alternative educational setting, another setting, or
              suspension, for not more than 10 consecutive          Must be documented in the       Check the student's discipline file
4-3-1.1                                                                                                                                    34 CFR 300.530(b)(1).
              days (to the extent those alternatives are applied    student record                  for this documentation.
              to students without disabilities), and for additional
              removals for not more than 10 consecutive school
              days in that same school year for separate
              incidents of misconduct?

              If the district changed the student's placement for
              disciplinary reasons exceeding 10 consecutive
              school days and the school determined the
                                                                                                                                           20 USC 1415(k)(1)(B) &
              violation not to be a manifestation of the student's Must be documented in the        Check the student's discipline file
4-3-2                                                                                                                                      (C), 34 CFR 300.530(c),
              disability, did school personnel apply relevant       student record                  for this documentation.
                                                                                                                                           34 CFR 300.101(a).
              disciplinary procedures to students with disabilities
              in the same manner and duration as would be
              applied to students without disabilities?
              If disciplinary action is considered to change a
                                                                   The district must have           Look for evidence in the student
              student’s placement for 10 days or more, are the
                                                                   evidence that the parents were   record. Check for notifications or
4-3-2.1       parents notified on the same day this decision is                                                                            34 CFR 300.530(h).
                                                                   notified and given a copy of     contacts with the parents. Check
              made and given a copy of their rights or Notice of
                                                                   their rights.                    the student's discipline file.
              Procedural Safeguards?
              If the student's conduct was determined to be a                                       Look for a copy of the functional
              manifestation of the student's disability is a                                        analysis assessment and, if
              functional analysis assessment and, if necessary,                                     developed, the behavioral              20 USC 1415(k)(1)(F)(i)
              a behavioral intervention plan developed to         Must be documented in the         intervention plan, and for evidence    & (ii), 34 CFR
4-3-2.3
              address the behavior that resulted in the change of student record.                   that the IEP team reviewed the         300.530(f), 5 CCR
              placement? Or if a plan has already been                                              plan or modified it as necessary, to   3052(b).
              developed did the IEP team review the plan and                                        address the behavior. Check the
              modify it, as necessary, to address the behavior?                                     student's discipline file.
Item Number                   Compliance Test                           Compliance Standard                  Other Guidance                   Legal Citations
              Within 10 school days of any decision to change
              the placement of a student with a disability
              because of a violation of a code of student
              conduct, did the LEA, the parent, and relevant                                        Check for an IEP and look at the
              members of the student's IEP team (as                 Must be documented in the       date. Is the date within 10 days of 20 USC 1415(k)(1)(E),
4-3-2.2
              determined by the parent and LEA) meet to review      student file.                   the decision? Check the student's 34 CFR 300.530(e).
              all relevant information in the student's file,                                       discipline file.
              including the student's IEP, any teacher
              observations, and any relevant information
              provided by the parents?
              If a determination is made that the conduct was a
              manifestation of the student's disability, does the                                 Review district policies and
              student return to the placement from which the                                      procedures. Review district          20 USC 1415
                                                                    Must be documented in student
4-3-2.4       student was removed, unless the parent and the                                      records of suspension and            (k)(1)(F)(iii), 34 CFR
                                                                    record.
              school district agree to a change of placement as                                   expulsion. Review student record. 300.530(f)(2).
              part of the modification of the behavioral                                          Check the student's discipline file.
              intervention plan?
                                                                                                    Review student record. Review
              In making the manifestation determination, did the Must be documented in the          district records of suspension and   20 USC 1415(k)(1)(E),
4-3-3
              IEP team consider all required elements?           student record                     expulsion. Consult with district     34 CFR 300.530(e)(1).
                                                                                                    staff.
                                                                                                    Look for evidence that the IEP
              In making the manifestation determination, did the
                                                                 There is evidence of the IEP       team considered whether              20 USC
              IEP team consider whether the services included
4-3-3.1                                                          team meeting to consider the       services, including the behavior     1415(k)(1)(E)(i)(II), 34
              in the behavior intervention plan were consistent
                                                                 manifestation determination.       intervention strategies, were        CFR 300.530(e)(1)(ii).
              with the IEP?
                                                                                                    provided consistent with the IEP.
                                                                                                    The IEP team must give
                                                                                                    consideration to whether the
                                                                                                    child's disability may have
              In making the manifestation determination, did the                                    impaired the child's ability to
                                                                 There is evidence of the IEP                                            20 USC
              IEP team consider whether the disability impaired                                     understand the consequences of
4-3-3.2                                                          team meeting to consider the                                            1415(k)(1)(E)(i)(I),34
              the student's ability to understand the impact and                                    the subject behavior. Look for
                                                                 manifestation determination.                                            CFR 300.530(e)(1)(i).
              consequences of the behavior in question?                                             evaluation and diagnostic results,
                                                                                                    information supplied by parents,
                                                                                                    observations of the child, the IEP
                                                                                                    and placements.
              In making the manifestation determination, did the
                                                                     There is evidence of the IEP                                    20 USC
              IEP team consider whether the disability impaired                                     Look for an Assessment Report or
4-3-3.3                                                              team meeting to consider the                                    1415(k)(1)(E)(i)(I), 34
              the student's ability to control the behavior that led                                other written materials.
                                                                     manifestation determination.                                    CFR 300.530(e)(1)(i).
              to the disciplinary action?
Item Number                   Compliance Test                           Compliance Standard                 Other Guidance                  Legal Citations
              In making the manifestation determination, did the
                                                                                                   Look for an Assessment Report,
              IEP team consider all relevant information            There is evidence of the IEP                                       20 USC
                                                                                                   notices to parents, information
4-3-3.4       including evaluation and diagnostic results, parent   team meeting to consider the                                       1415(k)(1)(E)(i), 34
                                                                                                   received from parents, or other
              information, observations of the student, and the     manifestation determination.                                       CFR 300.530(e)(1)(i).
                                                                                                   related materials.
              student's IEP and placement?
              In making the manifestation determination, did the    There is evidence of the IEP   Review district records of          20 USC
4-3-3.5       IEP team determine that the student's IEP and         team meeting to consider the   suspension and expulsion.           1415(k)(1)(E)(i), 34
              placement were appropriate?                           manifestation determination.   Review student record.              CFR 300.530(e).
              In making the manifestation determination, did the
                                                                                                   Did district staff determine that
              IEP team determine that the special education      There is evidence of the IEP                                          20 USC
                                                                                                   services were provided
4-3-3.6       services, supplementary aids and services, and     team meeting to consider the                                          1415(k)(1)(E)(i)(II), 34
                                                                                                   consistently? Check IEP and
              behavior intervention strategies were provided     manifestation determination.                                          CFR 300.530(e).
                                                                                                   notes, reports in student record.
              consistently with the student's IEP and placement?

              In making the manifestation determination, did the
              IEP team review all relevant information in the
                                                                                                   Review district policies and
              student's file, including the IEP, any teacher
                                                                   Must be documented in student   procedures. Review district       20 USC 1415 (k)(1)(E),
4-3-3.7       observations, and any relevant information
                                                                   record.                         records of suspension and         34 CFR 300.530(e)(1)(i).
              provided by the parents to determine if the conduct
                                                                                                   expulsion. Review student record.
              in question was caused by, or had a direct and
              substantial relationship to, the child's disability?

              In making the manifestation determination, did the
              IEP team review all relevant information in the
              student's file, including the IEP, any teacher                                    Review district records of             20 USC 1415 (k)(1)(E),
                                                                  Must be documented in student
4-3-3.8       observations, and any relevant information                                        suspension and expulsion.              34 CFR
                                                                  record.
              provided by the parents to determine if the conduct                               Review student record.                 300.530(e)(1)(ii).
              in question was the direct result of the LEA's
              failure to implement the IEP?
Item Number                    Compliance Test                            Compliance Standard                      Other Guidance                  Legal Citations

              Do school personnel remove a student to an
              interim alternative educational setting for not more
              than 45 school days without regard to whether the
              behavior is determined to be a manifestation of the
              child's disability, in cases where a child:             Documentation must indicate
              1) Carries or possesses a weapon to or at school,       that school personnel remove a
                                                                                                          Interview staff and administrators.
              on school premises, or to or at a school function       student to an interim alternative
                                                                                                          Review policies and procedures.
              under the jurisdiction of a State or local              educational setting for not more
                                                                                                          Determine if students are removed
              educational agency;                                     than 45 school days without                                             20 USC 1415(k)(1)(G),
4-3-4                                                                                                     to an alternative educational
              2) Knowingly possesses or uses illegal drugs, or        regard to whether the behavior                                          34 CFR 300.530(g).
                                                                                                          setting for not more than 45 days
              sells or solicits the sale of a controlled substance,   is determined to be a
                                                                                                          in cases that meet the specified
              while at school, on school premises, or at a school     manifestation of the child's
                                                                                                          circumstances.
              function under the jurisdiction of a State or local     disability, in cases that meet
              educational agency; or                                  the specified circumstances.
              3) Has inflicted serious bodily injury upon another
              person while at school, on school premises, or at a
              school function under the jurisdiction of a State or
              local educational agency?

              Is an interim alternative educational setting           The interim alternative             Review documentation in selected
                                                                                                                                           20 USC 1415(k)(2), 34
4-3-4.1       determined by the IEP team when there is a              educational setting is              IEPs. Interview staff and
                                                                                                                                           CFR 300.531.
              change in placement?                                    determined by the IEP team.         administrators.
              On the date on which the decision is made to
              make a removal that constitutes a change in             The district must notify the        Review the documentation in the
              placement of a child with a disability because of a     parents of its decision and         student file. Look for evidence that
                                                                                                                                                20 USC 1415(k)(1)(H) ,
4-3-4.2       violation of a code of student conduct, does the        provide the parents with their      the district provided the family with
                                                                                                                                                34 CFR 300.530(h).
              district notify the parents of that decision, and       procedural safeguards               the procedural safeguards
              provide the parents with the procedural safeguards      document.                           document. Interview parents.
              notice?
                                                                                                          Review district policies and
              Does the district implement appropriate policies                                            procedures. Review district       34 CFR 300.500, 30 EC
4-3-5
              and procedures to ensure parent participation?                                              records of suspension and         56342.5, Honing v Doe.
                                                                                                          expulsion. Review student record.
              If neither parent can participate in a meeting in                                                                               20 USC 1414(f), 34
              which a decision is to be made relating to the                                                                                  CFR 300.322(c), 34
                                                                                                    Review district records of
              educational placement of their child, did the district Must be documented in District                                           CFR 300.328, 34 CFR
4-3-5.1                                                                                             suspension and expulsion.
              use other methods to ensure their participation,       Procedural Safeguards.                                                   300.501(c)(3), 30 EC
                                                                                                    Review student record.
              including individual or conference telephone calls,                                                                             56341.5(g), 30 EC
              or video conferencing?                                                                                                          56304(b).
Item Number                    Compliance Test                         Compliance Standard                    Other Guidance                   Legal Citations
              If a placement decision was made by a group
                                                                                                     Review district records of
              without the involvement of a parent, does the        Must be documented in the                                              34 CFR 300.501(c)(4),
4-3-5.2                                                                                              suspension and expulsion.
              district have a record of the attempts to ensure     student record.                                                        30 EC 56341.5(h).
                                                                                                     Review student record.
              parent involvement?
                                                                                                     Did the IEP team review the IEP,     20 USC
                                                                   There is evidence of a pre-
              Is there a pre-expulsion assessment prior to the                                       Assessment Reports, health           1415(k)(1)(E)(i)&(ii), 34
4-3-6                                                              expulsion assessment in the
              IEP meeting held to consider expulsion?                                                records, and school discipline       CFR 300.530 - 537, 30
                                                                   student record.
                                                                                                     records?                             EC 48915.5(a).
              Are parents informed that they have the right to   The district must inform                                                 20 USC 1415 (c)(1)(C),
                                                                                                     Look for a notice or copy of a
4-3-9         pursue a due process hearing if they disagree with parents of their right to a due                                          34 CFR 300.530 - 537,
                                                                                                     parent rights document.
              the decisions of the IEP team regarding expulsion? process hearing.                                                         30 EC 56301(d)(2)(D).
              Is the expulsion hearing conducted only after the    The district must have                                                 20 USC
                                                                                                     Look for the IEP and related
              pre-expulsion assessment is completed and the        evidence of their pre-expulsion                                        1415(K)(1)(E)(i), 34
4-3-10                                                                                               assessment materials and other
              IEP team convenes and makes the required             assessment and an IEP team                                             CFR 300.530 - 537, 30
                                                                                                     documents.
              findings?                                            meeting.                                                               EC 48915.5(a)
                                                                   The district must have                                                 20 USC
              Did the IEP team convene prior to the expulsion                                        Look for the IEP and related
                                                                   evidence of their pre-expulsion                                        1415(k)(1)(E)(i), 34
4-3-10.1      hearing and determine if the alleged misconduct                                        assessment materials and other
                                                                   assessment and an IEP team                                             CFR 300.530 - 537, 30
              was a manifestation of the student's disability?                                       documents.
                                                                   meeting.                                                               EC 48915.5(a).
                                                                   The district must have
                                                                                                     Look for the IEP and related         20 USC 1415(k)(1)(E),
              Did the IEP team convene prior to the expulsion      evidence of their pre-expulsion
4-3-10.2                                                                                             assessment materials and other       34 CFR 300.530 - 537,
              hearing and find that placement was appropriate?     assessment and an IEP team
                                                                                                     documents.                           30 EC 48915.5(a).
                                                                   meeting.
                                                                   The district must have                                                 20 USC 1415(k)(1)(F)(i)
              Did the IEP team convene prior to the expulsion                                        Look for the IEP and related
                                                                   evidence of their pre-expulsion                                        and (ii), 34 CFR
4-3-10.3      hearing and find that the behavior interventions                                       assessment materials and other
                                                                   assessment and an IEP team                                             300.530 - 537, 30 EC
              described in the IEP were followed?                                                    documents.
                                                                   meeting.                                                               48915.5(a).
             Are relevant disciplinary procedures applicable to
                                                                   The district must have            Look for a report or other written   20 USC 1415(k)(1)(A),
             all children carried out only when it has been
                                                                   evidence that the IEP team        materials that summarize the         (B), and (C), 34 CFR
4-3-11       determined that the placement was appropriate
                                                                   determined the placement was      findings of the determination        300.530 - 537, 30 EC
             and that the behavior was not a manifestation of
                                                                   appropriate.                      review.                              48915.5(a).
             the disability?
             Does the LEA notify parents of the decision to take   The District must provide
             disciplinary action on the same day that the          parents with notice of the        Look for a notice or copy of a       20 USC 1415(K)(1)(H),
4-3-12
             decision is made and inform families of all           decision to take disciplinary     parent rights document.              34 CFR 300.350(h).
             applicable procedural safeguards?                     action.
LRE and Other Placement Issues
Item Number                    Compliance Test                          Compliance Standard                   Other Guidance                   Legal Citations

                                                                                                                                           20 USC 1412 (a)(1), 20
              Are steps taken, including placement of classes, to   A review of the IEP must
                                                                                                     Interview students, parents and       USC 1415 (a)(5), 34
              ensure that the student with a disability             indicate that the student has
                                                                                                     staff. Review the IEP to determine    CFR 300.114(2)(i & ii),
              participates in academic, nonacademic and             been given the opportunity to
5-1-1                                                                                                the types of nonacademic and          34 CFR 300.107, 30 EC
              extracurricular services and activities to promote    participate in all types of
                                                                                                     extracurricular activities in which   56345(a)(4), 30 EC
              maximum interaction with the general education        activities in which they have
                                                                                                     the student participates.             56364.2, 30 EC
              school population?                                    interest.
                                                                                                                                           56033.5, 30 EC 56000.5.

                                                                                                     Records, documentation and
              Are students with disabilities educated with                                           interviews must indicate that the
              students who are not disabled? Does placement in                                       district removes children from the
              special classes, separate schooling, or other                                          general education classroom only
              removal of students with disabilities from the        Records, documentation and       when the nature or severity of the    20 USC 1412(a)(5), 34
5-1-2         regular educational environment occur only when interviews must be present in          child's disability is such that       CFR 300.114 (2)(ii), 30
              the nature or severity of the student's disability is the student file.                education in general education        EC 56345(a)(4).
              such that education in regular classes with the use                                    classes with supplementary aids
              of supplementary aids and services cannot be                                           and services can not be achieved
              achieved satisfactorily?                                                               satisfactorily.



                                                                                                         A full continuum of services
                                                                                                        includes: regular education
                                                                                                        programs, general ed. classroom
                                                                                                        with resource specialist services,
                                                                                                        general ed. classroom with DIS or
                                                                    District must maintain
                                                                                                        related services, general ed.
                                                                    documentation that it has a full
                                                                                                        classrooms with some services in
                                                                    continuum of options available
              Is there evidence that a full continuum of services                                       special classes or centers, special 20 USC 1412(a)(5), 34
                                                                    for all students with disabilities.
5-1-3         and placements are available if needed for each                                           classes or centers, settings other CFR 300.115, 30 EC
                                                                    Review placement options
              individual with disabilities?                                                             than classrooms where specially     56361.
                                                                    discussed and utilized as
                                                                                                        designed instruction may occur,
                                                                    documented on the IEP for the
                                                                                                        itinerant instruction in settings
                                                                    student with a disability.
                                                                                                        other than in a classroom,
                                                                                                        instruction in the home or via
                                                                                                        telecommunication, hospitals, non
                                                                                                        public non sectarian schools or
                                                                                                        state special schools.
Item Number                   Compliance Test                           Compliance Standard                Other Guidance                 Legal Citations
                                                                                                   Is there a statement on the IEP
                                                                IEP must include an                that lists the options that were
                                                                explanation of the extent to       considered and why those options
              Does the IEP team consider regular education      which the child will not           were rejected?                     20 USC 1412(a)(5), 34
5-1-3.1       programs as part of the continuum of services and participate in the general                                            CFR 300.320(a)(5), 30
              placements?                                       education class and in             Can staff explain why and how      EC 56361(a).
                                                                nonacademic and                    students are or are not removed
                                                                extracurricular activities.        from the general education
                                                                                                   environment?
                                                                    IEP must include an
                                                                    explanation of the extent to
                                                                                                   Is there a statement on the IEP
              Does the IEP team consider the general education      which the child will not                                          20 USC 1412(a)(5), 34
                                                                                                   that lists the options that were
5-1-3.2       classroom with resource specialist services as part   participate in the general                                        CFR 300.305(a)(2)(iv),
                                                                                                   considered and why those options
              of the continuum of services and placements?          education class and in                                            30 EC 56361(a)- (b).
                                                                                                   were rejected?
                                                                    nonacademic and
                                                                    extracurricular activities.
                                                                    IEP must include an
                                                                    explanation of the extent to
              Does the IEP team consider the general education                                     Is there a statement on the IEP
                                                                    which the child will not                                          20 USC 1412(a)(5), 34
              classroom with designated instruction and                                            that lists the options that were
5-1-3.3                                                             participate in the general                                        CFR 300.115(b)(2), 30
              services or related services as part of the                                          considered and why those options
                                                                    education class and in                                            EC 56361(a) & (c).
              continuum of services and placements?                                                were rejected?
                                                                    nonacademic and
                                                                    extracurricular activities.
                                                                    IEP must include an
              Does the IEP team consider the general education      explanation of the extent to
                                                                                                   Is there a statement on the IEP
              classroom with some services in special classes       which the child will not                                          20 USC 1412(a)(5), 34
                                                                                                   that lists the options that were
5-1-3.4       and centers that enroll students with similar and     participate in the general                                        CFR 300.115 (b)(2), 30
                                                                                                   considered and why those options
              more intensive educational needs as part of the       education class and in                                            EC 56361(a) & (d).
                                                                                                   were rejected?
              continuum of services and placements?                 nonacademic and
                                                                    extracurricular activities.
                                                                    IEP must include an
                                                                    explanation of the extent to                                      20 USC 1412(a)(5), 34
                                                                                                   Is there a statement on the IEP
              Does the IEP team consider special classes and        which the child will not                                          CFR 300.114(a)(2), 34
                                                                                                   that lists the options that were
5-1-3.5       centers as part of the continuum of services and      participate in the general                                        CFR 300.115(a) &
                                                                                                   considered and why those options
              placements?                                           education class and in                                            (b)(1), 30 EC 56361, 30
                                                                                                   were rejected?
                                                                    nonacademic and                                                   EC 56364.2.
                                                                    extracurricular activities.
Item Number                   Compliance Test                          Compliance Standard                Other Guidance                  Legal Citations
                                                                  IEP must include an
                                                                  explanation of the extent to
              Does the IEP team consider instruction in settings                                 Is there a statement on the IEP     20 USC 1412(a)(5), 34
                                                                  which the child will not
              other than classrooms where specially designed                                     that lists the options that were    CFR 300.115(b), 34
5-1-3.6                                                           participate in the general
              instruction may occur as part of the continuum of                                  considered and why those options    CFR 300.117, 30 EC
                                                                  education class and in
              services and placements?                                                           were rejected?                      56361.
                                                                  nonacademic and
                                                                  extracurricular activities.
                                                                  IEP must include an
              Does the IEP team consider itinerant instruction in explanation of the extent to
                                                                                                 Is there a statement on the IEP
              classrooms, resource rooms, and settings other      which the child will not                                           20 USC 1412(a)(5), 34
                                                                                                 that lists the options that were
5-1-3.7       than classrooms where specially designed            participate in the general                                         CFR 300.115, 34 CFR
                                                                                                 considered and why those options
              instruction may occur as part of the continuum of   education class and in                                             300.117, 30 EC 56361.
                                                                                                 were rejected?
              services and placements?                            nonacademic and
                                                                  extracurricular activities.
                                                                  IEP must include an
                                                                  explanation of the extent to
              Does the IEP team consider instruction using                                                                             20 USC 1412(a)(5), 34
                                                                  which the child will not       Does the IEP have a statement as
              telecommunication and instruction in the home, in                                                                        CFR 300.115(b)(1), 34
5-1-3.8                                                           participate in the general     to why the child will not participate
              hospitals, and in other institutions as part of the                                                                      CFR 300.117, 30 EC
                                                                  education class and in         in the general education classes?
              continuum of services and placements?                                                                                    56361.
                                                                  nonacademic and
                                                                  extracurricular activities.
                                                                  IEP must include an
                                                                  explanation of the extent to
                                                                                                                                       20 USC 1412(a)(5), 34
              Does the IEP team consider nonpublic,               which the child will not       Does the IEP have a statement as
                                                                                                                                       CFR 300.114(a)(2)(i),
5-1-3.9       nonsectarian school services as part of the         participate in the general     to why the child will not participate
                                                                                                                                       34 CFR 300.118, 30 EC
              continuum of services and placements?               education class and in         in the general education classes?
                                                                                                                                       56361.
                                                                  nonacademic and
                                                                  extracurricular activities.
                                                                  IEP must include an
                                                                  explanation of the extent to
              Does the IEP team consider state special schools which the child will not          Does the IEP have a statement as
5-1-3.10      as part of the continuum of services and            participate in the general     to why the child will not participate 30 EC 56361(f).
              placements?                                         education class and in         in the general education classes?
                                                                  nonacademic and
                                                                  extracurricular activities.
                                                                                                  Contact the CDE interagency-non-
              Are nonpublic schools and agency services
                                                                  Students must be served in      public schools/administration at
5-1-4.2       certified by the state?                                                                                               30 EC 56034.
                                                                  NPS/NPA certified by the state. (916) 327-0141 to verify that the
                                                                                                  NPS is certified by the state.
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                  Legal Citations

              Are nonpublic schools and agency services          The district must have a master
                                                                                                 Review the master contracts with
5-1-4.3       provided under a master contract with the LEA      contract with each NPS/NPA                                             30 EC 56366.
                                                                                                 NPS and/or NPA providers.
              when the services are utilized pursuant to an IEP? used.
                                                                                                    Review the individual service
                                                                                                    agreements within the master
              Are nonpublic schools and agency services            The district must have an
                                                                                                    contract for each student placed
              provided using an individual service agreement       individual services agreement
5-1-4.4                                                                                             with the NPS/NPA. This may          30 EC 56366.
              within the master contract for each student placed for each child placed in an
                                                                                                    require follow-up through
              with the nonpublic school or agency?                 NPS/NPA.
                                                                                                    interviews or forms and policy
                                                                                                    review.
              If the nonpublic school or agency is delegated                                        Review documentation of IEP
                                                                   The student record must
              responsibility to initiate and conduct IEP meetings,                                  meetings. Determine who was
                                                                   indicate that the parent and the
              does the LEA ensure that the parents and a                                            involved. Check the dates of the
                                                                   LEA are involved in any
5-1-4.5       representative of the LEA are involved in any                                         parent and/or district              30 EC 56366.
                                                                   decision about the child's IEP
              decision about the students IEP and agree to any                                      signoffs/consents. Compare the
                                                                   and agree to changes before
              proposed changes before the changes are                                               date of signoff to the dates when
                                                                   they are implemented.
              implemented?                                                                          service changes take place.
                                                                                                    Does the IEP include a parents
              Are all placement decisions made by a team that
                                                                   The IEP team meeting at which signature and not less than one        34 CFR 300.327, 30 EC
              includes the parents and not less than one general
5-1-5                                                              the placement decision was       general education teacher that      56304, 30 EC 56341, &
              education teacher, not less than one special
                                                                   made included the parent(s).     made the placement decisions for    30 EC 56342.5.
              educator, and an LEA representative?
                                                                                                    the students IEP.
              Are all placements determined annually, made as
                                                                   The IEP is reviewed annually
              close as possible to the student's home, and in the                                   Does the IEP have the students
5-1-5.1                                                            and lists the school at which                                        34 CFR 300.116 (b).
              school that the student would attend if                                               local school listed for services?
                                                                   the child will receive services.
              nondisabled?
                                                                                                    This may be covered in the
                                                                                                    Assessment Reports. The
                                                                   The student record contains
              Are all placement decisions made considering the                                      information may be contained in
                                                                   information that indicates
              harmful effects on the student, quality of services                                   the discussion of the child's
5-1-5.2                                                            potential harmful effects,                                           34 CFR 300.116 (d).
              and needed modifications in the general education                                     present levels of development or
                                                                   quality of services and needed
              program?                                                                              in the discussion of parent
                                                                   modifications were considered.
                                                                                                    concerns. There may be check-
                                                                                                    offs on the IEP.
Item Number                    Compliance Test                           Compliance Standard                    Other Guidance                     Legal Citations

                                                                     If the child was removed from a   Determine if a child has been
              Do placement decisions ensure that the student is      general education classroom,      changed from a general education
              not removed from age appropriate, general              the student record provides       class to another setting. Look at
5-1-5.3                                                                                                                                  34 CFR 300.116(e).
              education classrooms solely because of needed          evidence of consideration for     any documentation regarding
              modifications in the general curriculum?               modifications to the general      student study teams or IEP
                                                                     curriculum.                       placement decisions.
              In providing or arranging for the provision of
                                                                     The student record contains
              nonacademic and extracurricular services and
                                                                     information that indicates the    There may be a section of the IEP
              activities, including meals, recess periods, and the
                                                                     student's nonacademic             which contains this information. It
              services and other nonacademic activities
                                                                     activities, such as lunch,        also may be located in the
5-1-5.4       specified in federal regulations, does the LEA                                                                               34 CFR 300.117.
                                                                     recess, and extracurricular       discussion of the child's present
              ensure that the student participates with
                                                                     activities, were considered in    levels of development or in the
              nondisabled students in those services and
                                                                     relation to those of same age     discussion of parent concerns.
              activities to the maximum extent appropriate to the
                                                                     peers.
              needs of that student?
                                                                                                       Check Assessment Reports or
                                                                     If needed by the student, is                                             20 USC 1401(17), 34
              Is there evidence that transportation is available                                       parent concerns for some
5-1-6                                                                transportation addressed on                                              CFR 300.107(a) & (b),
              when required for students with disabilities?                                            indication of the potential need for
                                                                     the IEP?                                                                 30 EC 56363(a).
                                                                                                       transportation.
              Does the LEA ensure that a services plan is
              developed and implemented for each private
              school student with a disability who has been                                           Review policies and procedures.
                                                                     District policies and procedures
              designated to receive special education and                                             Check other documentation,
                                                                     must include requirements for                                            34 CFR 300.132(b), 30
5-1-7         related services (private school students with                                          including student records to
                                                                     serving children in private                                              EC 56172.
              disabilities means students with disabilities                                           ensure that individual service
                                                                     schools.
              enrolled by their parents in private schools or                                         plans are developed.
              facilities other than those designed to provide
              special education and related services)?
                                                                                                       Review documentation. Could
                                                                     District must maintain                                                   20 USC
                                                                                                       include meeting notice, letter,
              Does the LEA consult with representatives of           documentation that it has                                                1412(a)10)(A)(iii), 34
5-1-8                                                                                                  phone logs or other
              private schools as required?                           consulted with representatives                                           CFR 300.134 (a-e), 30
                                                                                                       documentation that private
                                                                     of private schools.                                                      EC 56172.
                                                                                                       schools were consulted.
                                                                                                       Review documentation. Could
              Does the LEA consult with representatives of           District must maintain
                                                                                                       include meeting notice, letter,        20 USC
              private schools to decide how to conduct the           documentation that it has
5-1-8.1                                                                                                phone logs or other                    1412(a)(10)(A)(iii), 30
              annual count of the number of private school           consulted with representatives
                                                                                                       documentation that private             EC 56172.
              students with disabilities?                            of private schools.
                                                                                                       schools were consulted.
Item Number                    Compliance Test                          Compliance Standard                      Other Guidance                  Legal Citations
                                                                                                        Review documentation. Could
                                                                    District must maintain                                                  20 USC
              Does the LEA consult with representatives of                                              include meeting notice, letter,
                                                                    documentation that it has                                               1412(a)(10)(A)(ii)(II) and
5-1-8.2       private schools to decide which students with                                             phone logs or other
                                                                    consulted with representatives                                          (iii), 34 CFR 300.134,
              disabilities will receive services?                                                       documentation that private
                                                                    of private schools.                                                     30 EC 56172.
                                                                                                        schools were consulted.
                                                                                                        Review documentation. Could
                                                                    District must maintain                                                  20 USC
              Does the LEA consult with representatives of                                              include meeting notice, letter,
                                                                    documentation that it has                                               1412(a)10)(A)(iii)(III), 34
5-1-8.3       private schools to decide what services will be                                           phone logs or other
                                                                    consulted with representatives                                          CFR 300.134 (d)(1-3),
              provided?                                                                                 documentation that private
                                                                    of private schools.                                                     30 EC 56172.
                                                                                                        schools were consulted.
                                                                                                        Review documentation. Could
                                                                    District must maintain                                                  20 USC
              Does the LEA consult with representatives of                                              include meeting notice, letter,
                                                                    documentation that it has                                               1412(a)(10)(A)(iii)(IV),
5-1-8.4       private schools to decide how and where services                                          phone logs or other
                                                                    consulted with representatives                                          34 CFR 300.134 (2 &
              will be provided?                                                                         documentation that private
                                                                    of private schools.                                                     3), 30 EC 56172.
                                                                                                        schools were consulted.
                                                                                                        Review documentation. Could
                                                                    District must maintain
              Does the LEA consult with representatives of                                              include meeting notice, letter,     20 USC
                                                                    documentation that it has
5-1-8.5       private schools to decide how the services                                                phone logs or other                 1412(a)(10)(A)(iii), 30
                                                                    consulted with representatives
              provided will be evaluated?                                                               documentation that private          EC 56172.
                                                                    of private schools.
                                                                                                        schools were consulted.
                                                                                                        Review documentation. Could
              Does the LEA consult with representatives of          District must maintain
                                                                                                        include meeting notice, letter,     20 USC
              private schools before the LEA makes any              documentation that it has
5-1-9                                                                                                   phone logs or other                 1412(a)(10)(iii)(IV), 34
              decision that affects the opportunities of private    consulted with representatives
                                                                                                        documentation that private          CFR 300.134(c).
              school students to participate in services?           of private schools.
                                                                                                        schools were consulted.
              Does each private school student with a disability
              who has been designated to receive special                                                Review any documents or lists that
                                                                    District must maintain
              education and related services have a service plan                                        identify students currently enrolled
                                                                    documentation regarding each                                             34 CFR 300.132(a) and
              that describes the special education and related                                          in private schools. Check to make
5-1-10                                                              private school child with a                                              (b), 34 CFR 300.138(b),
              services that the student will receive (in light of                                       sure that they have a current
                                                                    disability that is identified and                                        30 EC 56174.5.
              what the LEA in consultation with the private                                             service plan to receive special
                                                                    served.
              school has determined it will make available to                                           education services.
              private school students with disabilities)?

                                                                                                        Review any documents or lists that
              If a student with a disability is enrolled in a       District must maintain
                                                                                                        identify students currently enrolled
              religious or other private school and will receive    documentation regarding each
                                                                                                        in private schools. Check to make 34 CFR 300.132(b), 34
5-1-11        special education or related services from an LEA,    private school child with a
                                                                                                        sure that they have a current        CFR 300.137(c).
              does the LEA develop the service plan as              disability that is identified and
                                                                                                        service plan to receive special
              required?                                             served.
                                                                                                        education services.
Item Number                     Compliance Test                            Compliance Standard                      Other Guidance                    Legal Citations

               If a student with a disability is enrolled in a
                                                                                                           Review any documents or lists that
               religious or other private school and will receive      District must maintain
                                                                                                           identify students currently enrolled
               special education or related services from an LEA,      documentation regarding each
                                                                                                           in private schools. Check to make 34 CFR 300.132 (b), 34
5-1-11.1       does the LEA develop the service plan as required       private school child with a
                                                                                                           sure that they have a current        CFR 300.137(c.)
               and when developing the service plan, does the          disability that is identified and
                                                                                                           service plan to receive special
               LEA initiate and conduct meetings to develop,           served.
                                                                                                           education services.
               review, and revise a service plan for the student?

               If a student with a disability is enrolled in a
               religious or other private school and will receive                                          Review any documents or lists that
               special education or related services from an LEA,                                          identify students currently enrolled
               does the LEA develop the service plan as required       District must maintain              in private schools. Check to make
               and when developing the service plan does the           documentation regarding each        sure that they have a current
                                                                                                                                                34 CFR 300.132 (b), 34
5-1-11.2       LEA ensure that a representative of the religious       private school child with a         service plan to receive special
                                                                                                                                                CFR 300.137(c).
               or other private school attends each meeting? If        disability that is identified and   education services and that
               the representative cannot attend, does the LEA          served.                             representatives of the private or
               use other methods to ensure participation by the                                            religious school attended service
               private school including individual or conference                                           related meetings.
               telephone calls?

               Does the LEA meet all of the applicable content                                       The services plan must meet the
               requirements for the IEP when developing the            Must be documented in student same requirements as the IEP
5-1-12                                                                                                                                            34 CFR 300.138 (b)(2).
               service plan for a student with a disability enrolled   records.                      with respect to the service(s)
               in a religious or other private school?                                               provided.

               If a student with a disability is enrolled in a
                                                                                                           The services plan must be
               religious or other private school and will receive
                                                                  Must be documented in                    developed, reviewed and revised        34 CFR 300.138
5-1-13         special education or related services from an LEA,
                                                                  student records                          using the same requirements for        (b)(2)(ii).
               is the student's service plan developed, reviewed,
                                                                                                           IEP's.
               and revised annually as required for IEP’s?

Procedural Safeguards
Written Prior Notice
               Are parents notified in writing (“written prior
6/1/2001
               notice”).
               Are parents notified in writing (“written prior
                                                                                                           Look in the student record for
               notice”) a reasonable time before the LEA                                                                                          20 USC 1415(b)(3)(A),
                                                                  The district must provide                copies of written notice. Ask the
6-1-1.1        proposes to initiate or change the identification,                                                                                 34 CFR 300.503(a)(1),
                                                                  written notice.                          district staff where the notices are
               evaluation or educational placement of the student                                                                                 30 EC 56500.4.
                                                                                                           filed, if not in the student record.
               or the provision of FAPE?
Item Number                    Compliance Test                             Compliance Standard                      Other Guidance                     Legal Citations
              Are parents notified in writing a reasonable time
                                                                                                          Check to make sure that the
              before the LEA refuses to initiate or change, the        Records must contain                                                     20 USC 1415(b)(3)(B),
                                                                                                          parents were notified in writing. All
6-1-1.2       identification, evaluation or educational placement      documentation of required                                                34 CFR 300.503(a)(2),
                                                                                                          notices must contain appropriate
              of the student or the provision of FAPE to the           notices.                                                                 30 EC 56500.4.
                                                                                                          content.
              student?
                                                                                                                                                   20 USC 1415(c), 34
              Does the prior written notification contain all
6-1-2                                                                                                                                              CFR 303.503(b), 30 EC
              required contents?
                                                                                                                                                   56500.4.
                                                                                                          Check to make sure that the
                                                                       Notice must contain a                                                       20 USC 1415(c)(1), 34
              Does the prior written notification include a                                               parents were notified in writing. All
6-1-2.1                                                                statement of what is                                                        CFR 303.503(b), 30 EC
              description of the action proposed or refused?                                              notices must contain appropriate
                                                                       proposed/refused.                                                           56500.4.
                                                                                                          content.
                                                                                                          Look in the student record for
              Is there notification of an IEP meeting to discuss                                          copies of transition notification.
                                                                       Notice must identify that the
6-1-2.1.2     transition services, at age 16 or older, or if                                              Ask the district staff where the         34 CFR 300.322(b)(2).
                                                                       meeting will address transition.
              appropriate at ages younger than 16?                                                        notifications are filed, if not in the
                                                                                                          student record.
                                                                                                          Look in the student record for
              If there is a notification of an IEP meeting to
                                                                                                          copies of transition notification.
              discuss transition services at age 16 or older, or, if Notice must identify that the                                                 34 CFR 300.322(b)(2),
6-1-2.1.2.1                                                                                               Ask the district staff where the
              appropriate, at ages younger than 16, does the         meeting will address transition.                                              30 EC 56043(e).
                                                                                                          notifications are filed, if not in the
              notice state the purpose of the meeting?
                                                                                                          student record.
              If there is a notification of an IEP meeting to                                             Look in the student record for
                                                                       Notice must identify that
              discuss transition services, at age 16 or older, or if                                      copies of transition notification.       34 CFR 300.322(b)(2),
                                                                       meeting will address transition
6-1-2.1.2.2   appropriate at ages younger than 16, does the                                               Ask the district staff where the         30 EC 56043(e), 30 EC
                                                                       and the notice must invite the
              notice specify that the student is invited to the                                           notifications are filed, if not in the   56341(d)(1).
                                                                       student to attend.
              meeting?                                                                                    student record.
              If there is a notification of an IEP meeting to
                                                                                                          Look in the student record for
              discuss transition services, at age 16 or older, or if
                                                                       Notice must indicate any other     copies of transition notification.
              appropriate at ages younger than 16, does the                                                                                        34 CFR 300.322(b)(2),
6-1-2.1.2.3                                                            agency invited to send a           Ask the district staff where the
              notice identify and invite any other agency that                                                                                     EC 56341(d)(3).
                                                                       representative.                    notifications are filed, if not in the
              may have responsibility for payment for or
                                                                                                          student record.
              provision of transition services?
              Does the prior written notification include a       Notice must contain a                   All notices require proper               20 USC 1415(c)(A) and
6-1-2.2       description of the action and an explanation of why statement of why LEA                    documentation of what was                (B), 34 CFR
              the LEA proposes or refuses to take the action?     proposes/refuses.                       proposed or refused.                     300.503(b)(2).
Item Number                    Compliance Test                             Compliance Standard                   Other Guidance                  Legal Citations

              Does the prior written notification include a            Notice must contain a
                                                                                                        All notices require proper           20 USC 1415(c)(1)(E),
              description of the action proposed or refused and        statement of other options
6-1-2.3                                                                                                 documentation of what was            34 CFR 300.503(b)(3)
              of any other options that the agency considered          considered and why options
                                                                                                        proposed or refused.                 and (6).
              and the reasons why those options were rejected?         rejected.
              Does the prior written notification include a
                                                                                                        All notices must include required
              description of the action proposed or refused and        Notice must contain required
                                                                                                        content. If notice is not in the     20 USC 1415(c)(B), 34
6-1-2.4       of each evaluation procedure, test, record or            descriptions used as basis for
                                                                                                        student record, ask district staff   CFR 300.503(b)(1)(3).
              report the LEA used as a basis for the proposed or       proposal/refusal.
                                                                                                        about location.
              refused action?
              Does the prior written notification include a                                            All notices must include required
              description of the action proposed or refused and        Notice must include description content. If notice is not in the      20 USC 1415(c)(F), 34
6-1-2.5
              of any other factors that are relevant to the LEA's      of other relevant factors.      student record, ask district staff    CFR 300.503(b)(1)(7).
              proposal or refusal?                                                                     about location.
              Does the prior written notification include a
              statement that the parents of a student with a
                                                                       Notice must have a statement     All notices must include required
              disability have protections under the procedural
                                                                       about procedural safeguards      content. If notice is not in the     20 USC 1415(c)(1)(C),
6-1-2.6       safeguards of the law, and (if not an initial referral
                                                                       and describe how parents can     student record, ask district staff   34 CFR 300.503(b)(4).
              for assessment) the means by which a copy of a
                                                                       obtain a copy.                   about location.
              document describing the procedural safeguards
              can be obtained?
              If this is a notification of an IEP meeting, does the    If the notice is about an IEP
                                                                                                        All notices must include required
              prior written notice contain a description of the        meeting, the LEA must have
                                                                                                        content. If notice is not in the     20 USC 1415(c)(1)(D),
6-1-2.7       available procedural safeguards? Is the prior            documentation that a full
                                                                                                        student record, ask district staff   34 CFR 300.503(b)(5).
              written notice accompanied with the full document        statement of procedural
                                                                                                        about location.
              describing the procedural safeguards?                    safeguards was provided.
              Does the prior written notification include sources      Notice must identify sources     All notices must include required
              for parents to contact to obtain assistance in           where parents can obtain         content. If notice is not in the     20 USC 1415(c)(1)(D),
6-1-2.8
              understanding the provisions of the procedural           assistance in understanding      student record, ask district staff   34 CFR 300.503(b)(5).
              safeguards?                                              procedural safeguards            about location.
Item Number                    Compliance Test                            Compliance Standard                      Other Guidance                  Legal Citations


                                                                                                           Written prior notice the district
                                                                                                          must provide before it proposes or
                                                                                                          refuses to initiate or change the
                                                                                                          identification, placement, or
                                                                                                          services provided to a child must
                                                                                                          be understandable to the general
                                                                     Prior notice must be in a            public and provided in the native      20 USC 1415 (d)(2), 34
              Is the prior notice written in language
6-1-2.9                                                              language understood by the           language or other mode of              CFR 300.503(c), 30 EC
              understandable to the general public?
                                                                     general public.                      communication used by the parent 56506.
                                                                                                          unless it’s clearly not feasible to do
                                                                                                          so. There is no legal requirement
                                                                                                          that the written notices must be
                                                                                                          filed in the student record. Ask the
                                                                                                          district staff where the notices are
                                                                                                          filed, if not in the student record.


                                                                                                          Review student file for native
                                                                                                          language of parents. Compare to
                                                                      Prior notice must be in the
                                                                                                          language of notice. There is no
              Is the notice provided in the native language of the parent's native language,                                                   20 USC 1415(d)(2), 34
                                                                                                          legal requirement that the written
6-1-2.9.1     parent or other mode of communication used by           unless the district provides                                             CFR 300.503(c), 30 EC
                                                                                                          notices must be filed in the student
              the parent, unless it is clearly not feasible to do so? evidence it is not feasible to do                                        56506.
                                                                                                          record. Ask the district staff where
                                                                      so.
                                                                                                          the notices are filed, if not in the
                                                                                                          student record.
              If the native language or other mode of
              communication is not a written language, does the
                                                                     Must be documented in student        Look for documentation in student 20 USC 1415(b)(4), 34
6-1-2.9.2     public agency take the required steps to ensure
                                                                     records.                             records.                          CFR 300.503(c).
              that parents understand the provisions of the
              procedural safeguards?
                                                                     Prior notice must be translated
                                                                     orally or by other means in the      Look for documentation in student
              Does the LEA ensure and document in writing, as
                                                                     parent's native language,            records.
6-1-2.9.2.1   applicable, that the notice is translated orally or by                                                                         34 CFR 300.503(c)(2)(i).
                                                                     unless the district provides         Look for the use of an interpreter
              other means?
                                                                     evidence it is not feasible to do    or sign language translator.
                                                                     so.
Item Number                     Compliance Test                           Compliance Standard                       Other Guidance                     Legal Citations
              Does the LEA provide the student and their
                                                                      The district is required to notify
              parents a written notice that all rights under Part B                                        Look for documentation in the IEP
                                                                      the individual student and the                                            20 USC 1415(m)(1), 34
              of IDEA will be transferred to the student when the                                          and elsewhere in student records.
6-1-2.10                                                              parents of the transfer of rights                                         CFR 300.520, 30 EC
              student reaches 18 years of age (unless the                                                  Ask district staff where the notices
                                                                      when the student reaches 18                                               56041.5.
              student has been determined to be incompetent                                                are filed.
                                                                      years of age.
              under state law)?
Procedural Safeguards - General
                                                                                                           Look in the student record. Check
               Does the LEA provide the parent with a document        District must provide
                                                                                                           the back page of the Assessment
               describing the procedural safeguards available to      procedural safeguards. This                                                  20 USC 1415 (d)(1) (A)
6-2-1                                                                                                      Plan or IEP. This may require
               the parents of a student with a disability when they   may be included in the student                                               (iii), 34 CFR 300.504.
                                                                                                           interview follow-up with staff and
               ask for it?                                            record.
                                                                                                           parents.
                                                                                                           Records may or may not contain
                                                                                                           documentation that required
                                                                                                           notices were provided. Check for
                                                                                                           parent initials/signatures indicating
               Does the LEA provide the parent with a document        District must provide                                                        20 USC
                                                                                                           receipt of procedural safeguards.
               describing the procedural safeguards available to      procedural safeguards. This                                                  1415(d)(1)(A)(i), 34
6-2-1.1                                                                                                    This may require interview follow-
               the parents of a student with a disability when they   may be included in the student                                               CFR 300.504(a)(1), 34
                                                                                                           up to determine how this
               ask for it and upon initial referral for evaluation?   record.                                                                      CFR 300.504(a)(4).
                                                                                                           requirement is satisfied and how
                                                                                                           documentation is maintained.
                                                                                                           Follow-up on this issue in selected
                                                                                                           parent interview.

                                                                                                           Review policies and procedures.
                                                                      The LEA must provide parents                                                 20 USC
               Does the LEA provide the parent with a document                                             Interview staff, administrators and
                                                                      with a document describing the                                               1415(d)(1)(A)(i), 34
               describing the procedural safeguards available to                                           parents. Determine if parents
6-2-1.1.1                                                             procedural safeguards when                                                   CFR 300.504(a)(1), 34
               the parents of a child with a disability when they                                          receive procedural safeguards
                                                                      they ask for it and at a                                                     CFR 300.504(a)(4), 30
               ask for it and at a minimum, 1 time each year?                                              when they ask for it and at a
                                                                      minimum, 1 time per year.                                                    EC 56301(d)(2).
                                                                                                           minimum one time per year.
               Does the LEA provide the parent with a document                                             Review sample of student records.
                                                                      Records must contain                                                        20 USC 1415(d)(ii), 34
               describing the procedural safeguards available to                                            Check for parent
6-2-1.5                                                               documentation that required                                                 CFR 300.504(a)(2), 30
               the parents at a minimum, each time a due                                                   initials/signatures indicating receipt
                                                                      notices were provided.                                                      EC 56301(d)(2)(C).
               process hearing is requested?                                                               of procedural safeguards.
Parent Participation
Item Number                     Compliance Test                           Compliance Standard               Other Guidance                   Legal Citations
              Does the LEA’s document explaining the
              procedural safeguards contain information about
              parent participation, including the parent’s right to
              participate in the development of the IEP and to be     Procedural Safeguards notice Review procedural safeguards          20 USC 1415(b)(2)(A),
6-3-1
              informed of the availability of free appropriate        must include required contents. notice.                            34 CFR 300.501.
              public education including all program options and
              of all available alternative programs, both public
              and nonpublic?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about surrogate parents,            Procedural Safeguards notice Review procedural safeguards          20 USC 1415(b)(2)(A),
6-3-1.1
              including the assurance that in order to protect the    must include required contents. notice.                            34 CFR 300.501.
              rights of the student, an individual will be assigned
              to act as a surrogate parent?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about surrogate parents,
              including the assurance that in order to protect the
                                                                      Procedural Safeguards notice Review procedural safeguards          20 USC 1415(b)(2)(A),
6-3-1.2       rights of the student, an individual will be assigned
                                                                      must include required contents. notice.                            34 CFR 300.519.
              to act as a surrogate parent when a parent cannot
              be identified and the school District, after
              reasonable efforts, cannot discover the
              whereabouts of a parent?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about surrogate parents,
              including the assurance that in order to protect the
              rights of the student, an individual will be assigned   Procedural Safeguards notice Review procedural safeguards          20 USC 1415(b)(2)(A),
6-3-1.3
              to act as a surrogate parent when a student is          must include required contents. notice.                            34 CFR 300.519.
              adjudicated as a dependent or ward of the court
              under the state Welfare and Institution Code and
              the student is referred to special education or
              already has an IEP?
Surrogate Parents
              Does the LEA ensure and does the LEA’s                                               Review policies and procedures.
                                                                      District must have, and
              document explaining the procedural safeguards                                        Determine if the district maintains
                                                                      implement, policies and                                            20 USC 1415(b)(2)(A),
              contain information about surrogate parents,                                         a list of surrogate parents,
6-4-1                                                                 procedures regarding the                                           34 CFR 300.504, 34
              including the assurance that in order to protect the                                 conducts training and has had
                                                                      assignment of surrogate                                            CFR 300.519.
              rights of the student, an individual will be assigned                                occasion to assign surrogate
                                                                      parents.
              to act as a surrogate parent?                                                        parents.
Item Number                    Compliance Test                            Compliance Standard                 Other Guidance                Legal Citations
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about surrogate parents,
              including the assurance that in order to protect the
                                                                      Procedural Safeguards notice Review procedural safeguards         20 USC 1415 (b)(2)(A),
6-4-1.1       rights of the student, an individual will be assigned
                                                                      must include required contents. notice.                           34 CFR 300.519(a).
              to act as a surrogate parent when a parent cannot
              be identified and the school District, after
              reasonable efforts, cannot discover the
              whereabouts of a parent?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about surrogate parents,
              including the assurance that in order to protect the
              rights of the student, an individual will be assigned   Procedural Safeguards notice Review procedural safeguards         20 USC 1415(b)(2)(A),
6-4-1.2
              to act as a surrogate parent when a student is          must include required contents. notice.                           34 CFR 300.519(a)(3).
              adjudicated as a dependent or ward of the court
              under the state Welfare and Institution Code and
              the student is referred to special education or
              already has an IEP?
Consent
                                                                                                      Review policies and procedures.
                                                                                                      Interview parents and teachers
                                                                                                      about consent. Determine if       20 USC
              Does the LEA ensure, and does the LEA’s                 District must have, and
                                                                                                      parents believe they have been    1414(a)(1)(D)(i)(I), 34
6-5-1         document explaining the procedural safeguards           implement, policies and
                                                                                                      fully informed and whether they   CFR 300.504, 34 CFR
              contain information about parent consent?               procedures regarding consent.
                                                                                                      understand that they can revoke   300.300.
                                                                                                      consent. Determine when consent
                                                                                                      is sought.
              Does the LEA ensure, and does the LEA’s
                                                                      Procedural Safeguards notice Review procedural safeguards         34 CFR 300.500, 34
6-5-1.1       document explaining the procedural safeguards
                                                                      must include required contents. notice.                           CFR 300.504(3).
              contain information about written parent consent?
              Does the LEA ensure, and does the LEA’s
              document explaining the procedural safeguards
              contain information about parent consent,
                                                                      Procedural Safeguards notice Review procedural safeguards         20 USC 1414(a)(1), 34
6-5-1.1.1     including the requirement that the parent be fully
                                                                      must include required contents. notice.                           CFR 300.504(3).
              informed by the LEA and provide written consent
              for the first special education evaluation of the
              student?
Item Number                    Compliance Test                           Compliance Standard                   Other Guidance              Legal Citations

              Does the LEA ensure, and does the LEA’s
              document explaining the procedural safeguards
              contain information about parent consent,
              including the requirement that the parent be fully
                                                                 Procedural Safeguards notice Review procedural safeguards            20 USC 1414(c)(3), 34
6-5-1.1.2     informed by the LEA and provide written consent
                                                                 must include required contents. notice.                              CFR 300.504(C)(3).
              for any reevaluation of a student, except when the
              LEA can demonstrate that it has taken reasonable
              measures to obtain such consent and the
              student's parent has failed to respond?
              Does the LEA ensure, and does the LEA’s
              document explaining the procedural safeguards
              contain information about parent consent,                                                                               20 USC 1414
              including the requirement that the parent be fully                                                                      (a)(1)(D)(i)(ll), 34 CFR
                                                                     Procedural Safeguards notice Review procedural safeguards
6-5-1.1.3     informed by the LEA and provide written consent                                                                         300.300(a)(1)(ii), 34
                                                                     must include required contents. notice.
              for an initial placement in special education or the                                                                    CFR 300.300(b)(1), 34
              provision of any special education services (as a                                                                       CFR 300.504(3).
              separate consent from the consent for initial
              evaluation)?
              Does the LEA ensure, and does the LEA’s
              document explaining the procedural safeguards
              contain information about parent consent,
              including the requirement that the parent be fully
                                                                                                                                      34 CFR 300.504(3), 34
              informed by the LEA and provide written consent        Procedural Safeguards notice Review procedural safeguards
6-5-1.2                                                                                                                               CFR 300.9, 30 EC
              and state that the parent can revoke consent at        must include required contents. notice.
                                                                                                                                      56021.1.
              any time, except that revocation is not retroactive
              (does not negate actions that occurred after
              consent was given and before consent was
              revoked)?
6-5-2         The LEA ensures that the parent:
                                                                                                                                      20 USC 1414
                                                                     Policies and procedures must
              Does the LEA ensure that the parent has been                                                                            (a)(1)(D)(i)(ll), 34 CFR
                                                                     contain statement about           Review procedural safeguards
6-5-2.1       fully informed of all information relevant to the                                                                       300.504(c)(3), 34 CFR
                                                                     ensuring that parents are fully   notice.
              activity for which consent is sought?                                                                                   300.9(a), 30 EC
                                                                     informed.
                                                                                                                                      56021.1.
                                                                   Records must contain                                               34 CFR 300.504(c)(3),
              The LEA ensures that the parent understands and                                          Review procedural safeguards
6-5-2.2                                                            documentation of written                                           34 CFR 300.9(b), 30 EC
              agrees (consents) in writing;                                                            notice.
                                                                   consent.                                                           56021.1.
              Do consent forms describe the activity for which                                                                        34 CFR 300.504(c)(3),
                                                                   Consent form must include           Review procedural safeguards
6-5-3         consent is sought and list the records, if any, that                                                                    34 CFR 300.9(b), 30 EC
                                                                   required contents.                  notice.
              will be released and to whom?                                                                                           56021.1.
Item Number                     Compliance Test                           Compliance Standard              Other Guidance             Legal Citations
Procedural Safeguards - Evaluation and Assessment
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards                                                                       20 USC 1412 (a)(6)(B,
                                                                      Procedural Safeguards notice Review procedural safeguards
6-6-1         contain information about nondiscriminatory                                                                         )34 CFR 300.503(c)(1),
                                                                      must include required contents. notice.
              assessment and independent educational                                                                              34 CFR 300.304.
              evaluations?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory                                                                         20 USC 1412 (a)(6)(B),
              assessment and independent educational                                                                              20 USC
                                                                      Procedural Safeguards notice Review procedural safeguards
6-6-1.1       evaluations, including the fact that testing and                                                                    1414(b)(3)(A)(i), 34
                                                                      must include required contents. notice.
              evaluation materials and procedures used for the                                                                    CFR 300.503(c)(1), 34
              purpose of evaluation and placement are selected                                                                    CFR 300.304(c)(1)(i).
              and administered so as not to be racially, culturally
              or sexually discriminatory?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory
              assessment and independent educational                                                                              20 USC 1412 (a)(6)(B),
                                                                      Procedural Safeguards notice Review procedural safeguards
6-6-1.2       evaluations, including the fact that materials or                                                                   34 CFR 300.503(c)(1),
                                                                      must include required contents. notice.
              procedures provided and administered are in the                                                                     34 CFR 300.304(c)(1)(ii).
              student's native language or mode of
              communication, unless it is clearly not feasible to
              do so?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory
                                                                                                                                  20 USC 1412 (a)(6)(B),
              assessment and independent educational                  Procedural Safeguards notice Review procedural safeguards
6-6-1.3                                                                                                                           34 CFR 300.503(c)(1),
              evaluations, including the fact that no single          must include required contents. notice.
                                                                                                                                  34 CFR 300.304(b)(2).
              procedure is used as the sole criterion for
              determining an appropriate educational program
              for their student?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory
                                                                                                                                  20 USC 1415 (d)(2)(A),
              assessment and independent educational
                                                                      Procedural Safeguards notice Review procedural safeguards   34 CFR 300.502, 30 EC
6-6-1.4       evaluations, including the fact that if the parents
                                                                      must include required contents. notice.                     56506(c), 30 EC
              disagree with the results of the assessment, they
                                                                                                                                  56329(b) & (c).
              have the right to ask for and obtain an
              independent educational assessment at public
              expense?
Item Number                    Compliance Test                        Compliance Standard              Other Guidance              Legal Citations

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory
              assessment and independent educational              Procedural Safeguards notice Review procedural safeguards    20 USC 1415(b)(1), 34
6-6-1.5
              evaluations, including the fact that the LEA must   must include required contents. notice.                      CFR 300.502(a)(2).
              respond to a request for an independent
              evaluation and provide information about where to
              obtain an independent educational evaluation?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory
              assessment and independent educational
                                                                   Procedural Safeguards notice Review procedural safeguards   20 USC 1415(b)(1), 34
6-6-1.6       evaluations, including the fact that if the District
                                                                   must include required contents. notice.                     CFR 300.502(b)(2).
              disagrees that an independent evaluation is
              necessary, the District must request a due process
              hearing to prove that its assessment was
              appropriate?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about nondiscriminatory                                                                      20 USC 1415(b)(1), 34
              assessment and independent educational               Procedural Safeguards notice Review procedural safeguards   CFR 300.502(b)(3), 30
6-6-1.7
              evaluations, including the fact that if the District must include required contents. notice.                     EC 56329(c), 30 EC
              prevails in the due process hearing, that the parent                                                             56506(c).
              still has the right to an independent educational
              evaluation, but not at public expense?
             Does the LEA ensure and does the LEA’s
             document explaining the procedural safeguards
             contain information about nondiscriminatory          Procedural Safeguards notice Review procedural safeguards    20 USC 1415(b)(1), 34
6-6-1.8
             assessment and independent educational               must include required contents. notice.                      CFR 300.502(c).
             evaluations, including the fact that the IEP team
             must consider independent evaluations?
Access to Records
             Does the LEA ensure and does the LEA's
             document explaining the procedural safeguards        Procedural Safeguards notice Review procedural safeguards    20 USC 1415 (d)(2)(D),
6-7-1
             contain information about access to education        must include required contents. notice.                      34 CFR 300.504(c)(4).
             records and other rights related to records?
Item Number                    Compliance Test                          Compliance Standard              Other Guidance             Legal Citations
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
                                                                                                                                20 USC 1415 (d)(2)(D),
              contain information about access to education
                                                                    Procedural Safeguards notice Review procedural safeguards   34 CFR 300.504(c)(4),
6-7-1.1       records and other rights related to records,
                                                                    must include required contents. notice.                     34 CFR 300.613, 30
              including the right and opportunity to inspect and
                                                                                                                                EC 49069, 30 EC 56504.
              review all of their student's education records
              without unnecessary delay?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about access to education
                                                                                                                                20 USC 1415 (d)(2)(D),
              records and other rights related to records,          Procedural Safeguards notice Review procedural safeguards
6-7-1.1.1                                                                                                                       34 CFR 300.504(c)(4),
              including the right and opportunity to inspect and    must include required contents. notice.
                                                                                                                                34 CFR 300.613.
              review all of their student's education records
              without unnecessary delay, before any meeting
              about their student's IEP?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about access to education
                                                                                                                                20 USC 1415(b)(1), 34
              records and other rights related to records,          Procedural Safeguards notice Review procedural safeguards
6-7-1.1.2                                                                                                                       CFR 300.504(c)(4), 34
              including the right and opportunity to inspect and    must include required contents. notice.
                                                                                                                                CFR 300.613.
              review all of their students education records
              without unnecessary delay, before any due
              process hearing?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about access to education                                                                     20 USC 1415 (d)(2)(D),
                                                                    Procedural Safeguards notice Review procedural safeguards
6-7-1.2       records and other rights related to records,                                                                      34 CFR 300.504(c)(4),
                                                                    must include required contents. notice.
              including the right and opportunity to receive                                                                    30 EC 56504.
              copies within five days after a written or oral
              request?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards                                                                     20 USC 1415 (d)(2)(D),
              contain information about access to education         Procedural Safeguards notice Review procedural safeguards   34 CFR 300.504(c)(4),
6-7-1.3
              records and other rights related to records,          must include required contents. notice.                     34 CFR 300.618, 30 EC
              including the right and opportunity to challenge or                                                               49070.
              amend records?
Right to Due Process Hearing
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                 Legal Citations

              Does the LEA’s document explaining the
              procedural safeguards contain information about
              how to request a due process hearing relating to
              disagreements regarding the identification,                                                                                20 USC 1415 (d)(2)(I),
                                                                    Procedural Safeguards notice Review procedural safeguards
6-8-1         evaluation, educational placement or the provision                                                                         34 CFR 300.507(a), 34
                                                                    must include required contents. notice.
              of a free appropriate public education for the                                                                             CFR 300.504(c)(5).
              student, that must be filed within two years from
              the date the parent knew or had reason to know of
              the facts that are the basis for the hearing request?
                                                                  District must have policies and     Ask to see a list. Determine when
                                                                  procedures regarding informing      such a list is made available to the
              Does the LEA inform the parent of any free or low-
                                                                  parents of free or low cost legal   parents. Ask what documentation
              cost legal and other relevant services available in
                                                                  services. District must             the district maintains about the     34 CFR 300.507(b), 30
6-8-2         the area if the parent requests the information or
                                                                  document that if provides           provision of the list. Compare to a EC 56502(h).
              the parent or the agency initiates a due process
                                                                  information upon request and        list of due process hearings
              hearing?
                                                                  when a due process hearing is       initiated by the district or by
                                                                  initiated.                          parents.
Hearing Rights

              Does the LEA’s document explaining the
                                                                                                                                         34 CFR 300.504, 30 EC
6-9-1         procedural safeguards contain information about
                                                                                                                                         56501.
              Due Process Rights, including the right to:
              Does the LEA’s document explaining the
              procedural safeguards contain information about
              Due Process Rights, including the right to a fair                                                                          34 CFR 300.511, 34
                                                                    Procedural Safeguards notice Review procedural safeguards
6-9-1.1       and impartial administrative hearing at the state                                                                          CFR 300.504(c)(10), 30
                                                                    must include required contents. notice.
              level before a person who is knowledgeable in the                                                                          EC 56501(b)(4).
              laws governing special education and
              administrative hearings?
               Does the LEA’s document explaining the
              procedural safeguards contain information about                                                                            34 CFR 300.512(a)(1),
                                                                    Procedural Safeguards notice Review procedural safeguards
6-9-1.2       Due Process Rights, including the right to bring an                                                                        34 CFR 300.504(c)(10),
                                                                    must include required contents. notice.
              attorney and/or individuals that have knowledge                                                                            30 EC 56505(e)(1).
              about students with disabilities?
               Does the LEA’s document explaining the
                                                                                                                                         34 CFR 300.512(a)(2),
              procedural safeguards contain information about       Procedural Safeguards notice Review procedural safeguards
6-9-1.3                                                                                                                                  34 CFR 300.504(c)(10),
              Due Process Rights, including the right to present    must include required contents. notice.
                                                                                                                                         30 EC 56505(e)(2).
              evidence, written arguments and oral arguments?
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                  Legal Citations

                                                                                                    Check either Policies and
               Does the LEA’s document explaining the                                               Procedures or Procedural
              procedural safeguards contain information about       'Policies and Procedures, and Safeguards notice as appropriate.      34 CFR 300.512(a)(2),
6-9-1.4       Due Process Rights, including the right to            Procedural Safeguards notice Focus on the section that states,       34 CFR 300.504(c)(10),
              confront, cross-examine, and require witnesses to     must include required contents. "including the right to confront,    30 EC 56505(e)(3).
              be present?                                                                           cross-examine, and require
                                                                                                    witnesses to be present".

                                                                                                    Check either Policies and
                                                                                                    Procedures or Procedural
               Does the LEA’s document explaining the
                                                                                                    Safeguards notice as appropriate.
              procedural safeguards contain information about       Policies and Procedures, and                                         34 CFR 300.512(a)(4),
                                                                                                    Focus on the section that states,
6-9-1.5       Due Process Rights, including the right to receive    Procedural Safeguards notice                                         34 CFR 300.504(c)(10),
                                                                                                    "including the right to receive a
              a written or electronic verbatim record of the        must include required contents.                                      30 EC 56505(e)(4-5).
                                                                                                    written or electronic verbatim
              hearing including findings of fact and decisions?
                                                                                                    record of the hearing including
                                                                                                    findings of fact and decisions".

                                                                                                    Check either Policies and
              Does the LEA’s document explaining the                                                Procedures or Procedural             34 CFR Part 99, 34
                                                                    'Policies and Procedures, and
              procedural safeguards contain information about                                       Safeguards notice as appropriate.    CFR 300.504, 34 CFR
6-9-1.6                                                             Procedural Safeguards notice
              Due Process Rights, including the right to have                                       Focus on the section that states,    300.617(b), 30 EC
                                                                    must include required contents.
              their student present at the hearing?                                                 "including the right to have their   56515.
                                                                                                    student present at the hearing".
                                                                                                  Check either Policies and
                                                                                                  Procedures or Procedural
               Does the LEA’s document explaining the
                                                                  'Policies and Procedures, and Safeguards notice as appropriate.        34 CFR Part 99, 34
              procedural safeguards contain information about
6-9-1.7                                                           Procedural Safeguards notice Focus on the section that states,         CFR 300.504, 34 CFR
              Due Process Rights, including the right to have the
                                                                  must include required contents. "including the right to have the       300.618, 30 EC 56515.
              hearing be open or closed to the public?
                                                                                                  hearing be open or closed to the
                                                                                                  public".
                                                                                                    Check either Policies and
                                                                                                    Procedures or Procedural
               Does the LEA’s document explaining the
                                                                                                    Safeguards notice as appropriate.
              procedural safeguards contain information about                                                                            34 CFR Part 99, 34
                                                                    'Policies and Procedures, and Focus on the section that states,
              Due Process Rights, including the right to be                                                                              CFR 300.504, 34 CFR
6-9-1.8                                                             Procedural Safeguards notice "including the right to be informed
              informed by the other parties of the issues and                                                                            300.618(c), 30 EC
                                                                    must include required contents. by the other parties of the issues
              their proposed resolution of the issues at least 10                                                                        56515.
                                                                                                    and their proposed resolution of
              calendar days prior to the hearing?
                                                                                                    the issues at least 10 calendar
                                                                                                    days prior to the hearing".
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                 Legal Citations

                                                                                                  Check either Policies and
                                                                                                  Procedures or Procedural
              Does the LEA’s document explaining the                                              Safeguards notice as appropriate.
              procedural safeguards contain information about                                     Focus on the section that states,
                                                                                                                                        34 CFR Part 99, 34
              Due Process Rights, including the right to receive, Policies and Procedures, and    "including the right to receive, at
                                                                                                                                        CFR 300.504, 34 CFR
6-9-1.9       at least 5 days before a hearing, a copy of all     Procedural Safeguards notice least 5 days before a hearing, a
                                                                                                                                        300.620(b), 30 EC
              documents, including evaluations completed by       must include required contents. copy of all documents, including
                                                                                                                                        56515.
              that date and recommendations, a list of witnesses                                  evaluations completed by that date
              and their general area of testimony?                                                and recommendations, a list of
                                                                                                  witnesses and their general area
                                                                                                  of testimony".

                                                                                                    Check either Policies and
                                                                                                    Procedures or Procedural
              Does the LEA’s document explaining the
                                                                                                    Safeguards notice as appropriate.
              procedural safeguards contain information about                                                                           34 CFR Part 99, 34
                                                                    Policies and Procedures, and    Focus on the section that states,
              Due Process Rights, including the right to prohibit                                                                       CFR 300.504, 34 CFR
6-9-1.10                                                            Procedural Safeguards notice "including the right to prohibit the
              the inclusion of any items or persons listed above                                                                        300.618(c), 30 EC
                                                                    must include required contents. inclusion of any items or persons
              if the parents have not been informed within five                                                                         56515.
                                                                                                    listed above if the parents have
              business days?
                                                                                                    not been informed within five
                                                                                                    business days".

                                                                                                Check either Policies and
                                                                                                Procedures or Procedural
              Does the LEA’s document explaining the
                                                                                                Safeguards notice as appropriate.
              procedural safeguards contain information about    Policies and Procedures, and                                           34 CFR Part 99, 34
                                                                                                Focus on the section that states,
6-9-1.11      Due Process Rights, including the right to have an Procedural Safeguards notice                                           CFR 300.504, 34 CFR
                                                                                                "including the right to have an
              interpreter provided, with costs to be assumed by must include required contents.                                         300.622, 30 EC 56515.
                                                                                                interpreter provided, with costs to
              the state education agency?
                                                                                                be assumed by the state
                                                                                                education agency".

                                                                                                    Check either Policies and
              Does the LEA’s document explaining the                                                Procedures or Procedural
                                                                                                                                        34 CFR Part 99, 34
              procedural safeguards contain information about       Policies and Procedures, and    Safeguards notice as appropriate.
                                                                                                                                        CFR 300.504, 34 CFR
6-9-1.12      Due Process Rights, including the right to have a     Procedural Safeguards notice Focus on the section that states,
                                                                                                                                        300.623(a), 30 EC
              mediation conference at any point during the due      must include required contents. "including the right to have a
                                                                                                                                        56515.
              process hearing?                                                                      mediation conference at any point
                                                                                                    during the due process hearing".
Item Number                    Compliance Test                         Compliance Standard                     Other Guidance                   Legal Citations

                                                                                                    Check either Policies and
                                                                                                    Procedures or Procedural
              Does the LEA’s document explaining the
                                                                                                    Safeguards notice as appropriate.
              procedural safeguards contain information about
                                                                                                    Focus on the section that states,       34 CFR Part 99, 34
              Due Process Rights, including the right to receive Policies and Procedures, and
                                                                                                    "including the right to receive         CFR 300.504, 34 CFR
6-9-1.13      notice from the other party at least 10 days prior to Procedural Safeguards notice
                                                                                                    notice from the other party at least    300.623(b), 30 EC
              the hearing that they intend to be represented by     must include required contents.
                                                                                                    10 days prior to the hearing that       56515.
              an attorney (the parents must notify the LEA
                                                                                                    they intend to be represented by
              likewise)?
                                                                                                    an attorney (the parents must
                                                                                                    notify the LEA likewise)".

                                                                                                      Check either Policies and
              Does the LEA’s document explaining the                                                  Procedures or Procedural
                                                                   'Policies and Procedures, and                                           34 CFR Part 99, 34
              procedural safeguards contain information about                                         Safeguards notice as appropriate.
6-9-1.14                                                           Procedural Safeguards notice                                            CFR 300.504, 34 CFR
              Due Process Rights, including the right to request                                      Focus on the section that states,
                                                                   must include required contents                                          300.624, 30 EC 56515.
              an extension of the hearing timelines?                                                  "including the right to request an
                                                                                                      extension of the hearing timelines".
Filing a Request
              Does the LEA’s document explaining the                                                                                        20 USC 1415(d)(2), 20
                                                                   'Policies and Procedures, and 'Check either Policies and
              procedural safeguards contain information about                                                                               USC 1415(b)(7)(A), 34
6-10-1                                                             Procedural Safeguards notice Procedures or Procedural
              filing for a due process hearing through the state                                                                            CFR 300.504, 34 CFR
                                                                   must include required contents. Safeguards notice as appropriate.
              education agency or its designee?                                                                                             300.508, 30 EC 56501
                                                                                                      'Check either Policies and
              Does the LEA’s document explaining the
                                                                                                      Procedures or Procedural
              procedural safeguards contain information about
                                                                                                      Safeguards notice as appropriate.
              filing for a due process hearing, through the state                                                                           20 USC 1415(A), 34
                                                                    'Policies and Procedures, and     Focus on the section that states,
              education agency or its designee, including the                                                                               CFR 300.504, 34 CFR
6-10-1.1                                                            Procedural Safeguards notice      "including the fact that the parent
              fact that the parent or his/her representative needs                                                                          300.508, 30 EC
                                                                    must include required contents.   or his/her representative needs to
              to provide written notice to the District in a manner                                                                         56502(c).
                                                                                                      provide written notice to the
              consistent with 34 CFR 300.508 that shall be kept
                                                                                                      District that shall be kept
              confidential?
                                                                                                      confidential".
Item Number                   Compliance Test                          Compliance Standard                     Other Guidance                     Legal Citations


                                                                                                      'Check either Policies and
              Does the LEA’s document explaining the
                                                                                                      Procedures or Procedural
              procedural safeguards contain information about
                                                                                                      Safeguards notice as appropriate.
              filing for a due process hearing, through the state                                                                            20 USC
                                                                                                      Focus on the section that states,
              education agency or its designee including the fact Procedural Safeguards notice                                               1415(b)(7)(A)(ii)(I), 34
6-10-1.2                                                                                              "including the fact that the parent
              that the parent or his/her representative needs to  must include required contents.                                            CFR 300.508(b)(1), 30
                                                                                                      or his/her representative needs to
              provide written notice to the school in a manner                                                                               EC 56502.
                                                                                                      provide written notice to the school
              consistent with 34 CFR 300.508 that shall be kept
                                                                                                      that shall be kept confidential and
              confidential and includes the name of the student?
                                                                                                      includes the name of the student".


                                                                                                      Check either Policies and
              Does the LEA’s document explaining the                                                  Procedures or Procedural
              procedural safeguards contain information about                                         Safeguards notice as appropriate.
              filing for a due process hearing, through the state                                     Focus on the section that states,
                                                                                                                                             20 USC
              education agency or its designee, including the       Policies and Procedures, and      "including the fact that the parent
                                                                                                                                             1415(b)(7)(A)(ii)(I), 34
6-10-1.3      fact that the parent or his/her representative needs Procedural Safeguards notice       or his/her representative needs to
                                                                                                                                             CFR 300.508(b)(2), 30
              to provide written notice to the District in a manner must include required contents.   provide written notice to the
                                                                                                                                             EC 56502(c)(1)(B).
              consistent with 34 CFR 300.508 that shall be kept                                       District that shall be kept
              confidential and includes the address of the                                            confidential and includes the
              residence of the student?                                                               address of the residence of the
                                                                                                      student".

                                                                                                      Check either Policies and
              Does the LEA’s document explaining the                                                  Procedures or Procedural
              procedural safeguards contain information about                                         Safeguards notice as appropriate.
              filing for a due process hearing, through the state                                     Focus on the section that states,
                                                                                                                                             20 USC
              education agency or its designee, including the       Policies and Procedures, and      "including the fact that the parent
                                                                                                                                             1415(b)(7)(A)(ii)(I), 34
6-10-1.4      fact that the parent or his/her representative needs Procedural Safeguards notice       or his/her representative needs to
                                                                                                                                             CFR 300.508(b)(3), 30
              to provide written notice to the District in a manner must include required contents.   provide written notice to the
                                                                                                                                             EC 56502(c)(1)(A).
              consistent with 34 CFR 300.508 that shall be kept                                       District that shall be kept
              confidential and includes the name of the school                                        confidential and includes the name
              the student is attending?                                                               of the school the student is
                                                                                                      attending".
Item Number                   Compliance Test                         Compliance Standard                     Other Guidance                     Legal Citations


                                                                                                    Check either Policies and
              Does the LEA’s document explaining the                                                Procedures or Procedural
              procedural safeguards contain information about                                       Safeguards notice as appropriate.
              filing for a due process hearing, through the state                                   Focus on the section that states,
              education agency or its designee, including the                                       "including the fact that the parent     20 USC
              fact that the parent or his/her representative needs 'Policies and Procedures, and    or his/her representative needs to      1415(b)(7)(A)(ii)(III), 20
6-10-1.5      to provide written notice to the school in a manner Procedural Safeguards notice      provide written notice to the school    USC 1415(b)(7)(A)(ii),
              consistent with 34 CFR 300.508 that shall be kept must include required contents.     that shall be kept confidential and     34 CFR
              confidential and includes a description of the                                        includes a description of the           300.508(b)(5)and (6).
              nature of the problem(s) including facts relating to                                  nature of the problem(s) including
              the problem(s) and a proposed resolution of the                                       facts relating to the problem(s)
              problem(s)?                                                                           and a proposed resolution of the
                                                                                                    problem(s)".


                                                                                                    'Check either Policies and
              Does the LEA’s document explaining the                                                Procedures or Procedural
              procedural safeguards contain information about                                       Safeguards notice as appropriate.
              filing for a due process hearing, through the state Policies and Procedures, and      Focus on the section that states,       20 USC 1415(b)(7)(B),
6-10-1.6      education agency or its designee including the fact Procedural Safeguards notice      "including the fact that either party   34 CFR 300.508(c), 30
              that either party filing for a due process hearing  must include required contents.   filing for a due process hearing        EC 56502(c)(1).
              must provide a copy of the written due process                                        must provide a copy of the written
              request to the other party?                                                           due process request to the other
                                                                                                    party"

Hearing Timelines

              Does the LEA’s document explaining the             'Policies and Procedures, and 'Check either Policies and                   20 USC 1415(d), 34
6-11-1        procedural safeguards contain information about    Procedural Safeguards notice Procedures or Procedural                      CFR 300.504, 30 EC
              the due process timeline?                          must include required contents. Safeguards notice as appropriate.          56505.
Item Number                        Compliance Test                          Compliance Standard                  Other Guidance                   Legal Citations
                                                                                                        'Check either Policies and
                                                                                                        Procedures or Procedural
                                                                                                        Safeguards notice as appropriate.
                  Does the LEA’s document explaining the
                                                                                                        Focus on the section that states,
                  procedural safeguards contain information about
                                                                                                        "including the fact that upon
                  the due process timeline, including the fact that
                                                                        'Policies and Procedures, and receipt of the parent’s written         20 USC 1415(f)(1)(B),
                  upon receipt of the parent’s written request, a due
6-11-1.1                                                                Procedural Safeguards notice request, a due process hearing is        34 CFR 300.510(c), 30
                  process hearing is immediately scheduled and
                                                                        must include required contents. immediately scheduled and             EC 56505(f)(1)(C)(3).
                  completed within 45 days of the request, including
                                                                                                        completed within 45 days of the
                  any mediation conferences, with a final written
                                                                                                        request, including any mediation
                  decision mailed to each of the parties?
                                                                                                        conferences, with a final written
                                                                                                        decision mailed to each of the
                                                                                                        parties".
Status of Child
                  Does the LEA ensure and does the LEA's
                                                                                                                                              20 USC 1415(d)(2)(F),
                  document explaining the procedural safeguards        Policies and Procedures, and    Check either Policies and
                                                                                                                                              34 CFR 300.504(c)(7),
6-12-1            contain information about the students status        Procedural Safeguards notice Procedures or Procedural
                                                                                                                                              34 CFR 300.518, 30 EC
                  during administrative or judicial proceedings ("Stay must include required contents. Safeguards notice as appropriate.
                                                                                                                                              56346(f).
                  put")?
                                                                                                        Check either Policies and
                  Does the LEA ensure and does the LEA's
                                                                                                        Procedures or Procedural
                  document explaining the procedural safeguards
                                                                                                        Safeguards notice as appropriate.
                  contain information about the students status
                                                                                                        Focus on the section that states,     20 USC 1415(j), 20
                  during an administrative or judicial proceeding     Policies and Procedures, and
                                                                                                        "including the fact that unless the   USC 1415 (d)(2)(F)34
6-12-1.1          ("Stay put"), including the fact that unless the    Procedural Safeguards notice
                                                                                                        parent and the school District        CFR 300.518 (a)30 EC
                  parent and the school District agree otherwise, the must include required contents.
                                                                                                        agree otherwise, the student          56346(f)
                  student involved in any administrative or judicial
                                                                                                        involved in any administrative or
                  proceeding must remain in the current educational
                                                                                                        judicial proceeding must remain in
                  placement?
                                                                                                        the current educational placement".
Item Number                     Compliance Test                            Compliance Standard                    Other Guidance                    Legal Citations

                                                                                                       'Check either Policies and
              Does the LEA ensure and does the LEA's                                                   Procedures or Procedural
              document explaining the procedural safeguards                                            Safeguards notice as appropriate.
              contain information about the student's status                                           Focus on the section that states,
                                                                                                                                                20 USC 1415(j), 34
              during an administrative or judicial proceeding          Policies and Procedures, and    "including the fact that if the parent
                                                                                                                                                CFR 300.518 (b), 30 EC
6-12-1.2      ("Stay put"), including the fact that if the parent is   Procedural Safeguards notice is applying for initial admission to a
                                                                                                                                                56505(d) and 30
              applying for initial admission to a public school,       must include required contents. public school, their student, with
                                                                                                                                                EC56505(k).
              their student, with the consent of the parents, will                                     the consent of the parents, will be
              be placed in a public school program until all                                           placed in a public school program
              proceedings are completed?                                                               until all proceedings are
                                                                                                       completed".
Appeal
              Does the LEA’s document explaining the                   Policies and Procedures, and                                      20 USC 1415(d)(2)(K),
                                                                                                       'Check Policies and Procedures
6-13-1        procedural safeguards contain information about          Procedural Safeguards notice                                      34 CFR 300.504, 30 EC
                                                                                                       and Procedural Safeguards notice.
              due process appeal?                                      must include required contents.                                   56505(k)

                                                                                                       Check either Policies and
              Does the LEA's document explaining the                                                   Procedures or Procedural
                                                                                                                                                20 USC 1415(i)(1)(A),
              procedural safeguards contain information about          Policies and Procedures, and    Safeguards notice as appropriate.
                                                                                                                                                34 CFR 300.514 and
6-13-1.1      due process appeal, including the fact that the          Procedural Safeguards notice Focus on the section that states
                                                                                                                                                300.504, 30 EC
              hearing decision is final and binding on both            must include required contents. "including the fact that the hearing
                                                                                                                                                56505(h)
              parties?                                                                                 decision is final and binding on
                                                                                                       both parties".

                                                                                                       'Check either Policies and
                                                                                                       Procedures or Procedural
              Does the LEA's document explaining the
                                                                                                       Safeguards notice as appropriate.        20 USC 1415(i)(2)(A),
              procedural safeguards contain information about          Policies and Procedures, and
                                                                                                       Focus on the section that states,        34 CFR 300.516(a) and
6-13-1.2      due process appeal, including the fact that either       Procedural Safeguards notice
                                                                                                       "including the fact that either party    300.504, 30 EC
              party can appeal the final decision to a state or        must include required contents.
                                                                                                       can appeal the final decision to a       56505(k)
              federal court of competent jurisdiction?
                                                                                                       state or federal court of competent
                                                                                                       jurisdiction".
Item Number                       Compliance Test                             Compliance Standard                   Other Guidance                   Legal Citations

                                                                                                          'Check either Policies and
                Does the LEA's document explaining the                                                    Procedures or Procedural
                                                                                                                                                 20 USC 1415(i)(2)(B),
                procedural safeguards contain information about           Policies and Procedures, and    Safeguards notice as appropriate.
                                                                                                                                                 34 CFR 300.516(b) and
6-13-1.3        due process appeal, including the fact that a party       Procedural Safeguards notice Focus on the section that states,
                                                                                                                                                 300.504, 30 EC
                may bring a civil action in court within 90 days of       must include required contents. "including the fact that a party may
                                                                                                                                                 56505(k)
                the final decision?                                                                       bring a civil action in court within
                                                                                                          90 days of the final decision".
Attorney Fees

                Does the LEA’s document explaining the                    'Policies and Procedures, and 'Check either Policies and               20 USC 1415(d)(2)(L),
6-14-1          procedural safeguards contain information about           Procedural Safeguards notice Procedures or Procedural                  34 CFR 300.504, 30 EC
                attorney fees?                                            must include required contents. Safeguards notice as appropriate.      56507(b)
                Does the LEA’s document explaining the
                procedural safeguards contain information about                                                                                  20 USC 1415(i)(3)(B),
                                                                          Policies and Procedures, and    Check either Policies and
                attorney fees, including the fact that the court in its                                                                          34 CFR
6-14-1.1                                                                  Procedural Safeguards notice Procedures or Procedural
                discretion may award reasonable attorney fees if                                                                                 300.517(a)(1)(i), 30 EC
                                                                          must include required contents. Safeguards notice as appropriate.
                the parent of a student with a disability is the                                                                                 56507(b).
                prevailing party?
                Does the LEA’s document explaining the
                procedural safeguards contain information about                                                                                  20 USC 1415(i)(3), 20
                                                                          Policies and Procedures, and    Check either Policies and
                attorney fees, including the fact that reasonable                                                                                USC 1415(i)(3)(B)(i)(I),
6-14-1.2                                                                  Procedural Safeguards notice Procedures or Procedural
                attorney fees may also be awarded following the                                                                                  34 CFR 300.517, 30 EC
                                                                          must include required contents. Safeguards notice as appropriate.
                conclusion of the administrative hearing with the                                                                                56507.
                agreement of the parties?
                Does the LEA’s document explaining the                    'Policies and Procedures, and 'Check either Policies and               20 USC 1415(i)(3), 34
6-14-1.3        procedural safeguards contain information about           Procedural Safeguards notice Procedures or Procedural                  CFR 300.517, 30 EC
                attorney fees?                                            must include required contents. Safeguards notice as appropriate.      56507

                Does the LEA’s document explaining the                                                                                           20 USC
                procedural safeguards contain information about           Policies and Procedures, and    Check either Policies and              1415(I)(3)(B)(i)(II) and
6-14-1.3.1      attorney fees, including the fact that the court may      Procedural Safeguards notice Procedures or Procedural                  1415(i)(3)(F)(i), 34 CFR
                reduce attorney fees if it finds that the parent          must include required contents. Safeguards notice as appropriate.      300.517(c)(4)(i), 30 EC
                unreasonably delayed the final resolution?                                                                                       56507(a)(2)(A)
Item Number                     Compliance Test                            Compliance Standard                  Other Guidance                  Legal Citations
              Does the LEA’s document explaining the
              procedural safeguards contain information about
              attorney fees, including the fact that the court may
                                                                       Policies and Procedures, and    Check either Policies and
              reduce attorney fees if it finds that the hourly                                                                             20 USC 1415(i)(3)(F)(ii),
6-14-1.3.2                                                             Procedural Safeguards notice Procedures or Procedural
              attorneys’ fees rate exceeds the prevailing rate in                                                                          34 CFR 300.517(c)(4)(ii).
                                                                       must include required contents. Safeguards notice as appropriate.
              the community for similar services by attorneys of
              reasonably comparable skill, reputation and
              experience?
              Does the LEA’s document explaining the
              procedural safeguards contain information about          Policies and Procedures, and    Check either Policies and           20 USC
6-14-1.3.3    attorney fees, including the fact that the court may     Procedural Safeguards notice Procedures or Procedural               1415(i)(3)(F)(iii), 34
              reduce attorney fees if it finds that the time spent     must include required contents. Safeguards notice as appropriate.   CFR 300.517(c)(4)(iii).
              and legal services provided were excessive?

              Does the LEA’s document explaining the
              procedural safeguards contain information about
                                                                       Policies and Procedures, and    Check either Policies and           20 USC
              attorney fees, including the fact that the court may
6-14-1.3.4                                                             Procedural Safeguards notice Procedures or Procedural               1415(i)(3)(F)(iv), 34
              reduce attorney fees if it finds that the attorney did
                                                                       must include required contents. Safeguards notice as appropriate.   CFR 300.517(c)(4)(iv).
              not provide to the school District the appropriate
              information in the due process complaint?

                                                                                                       'Check either Policies and
                                                                                                       Procedures or Procedural
                                                                                                       Safeguards notice as appropriate.
              Does the LEA’s document explaining the
                                                                                                       Focus on the section that states,
              procedural safeguards contain information about
                                                                                                       "including the fact that reduction of
              attorney fees, including the fact that reduction of
                                                                                                       attorneys’ fees will not apply if the
              attorneys’ fees will not apply if the court finds that   Policies and Procedures, and
                                                                                                       court finds that the state or school 20 USC 1415(i)(3)(G),
6-14-1.4      the state or school District unreasonably                Procedural Safeguards notice
                                                                                                       District unreasonably protracted      34 CFR 300.517(c)(5).
              protracted the final resolution of the action or         must include required contents.
                                                                                                       the final resolution of the action or
              proceeding, or there was a violation of section
                                                                                                       proceeding, or there was a
              1415 (Procedural Safeguards) of the Individuals
                                                                                                       violation of section 1415
              with Disabilities Education Act?
                                                                                                       (Procedural Safeguards) of the
                                                                                                       Individuals with Disabilities
                                                                                                       Education Act".
Item Number                   Compliance Test                        Compliance Standard                    Other Guidance                   Legal Citations
              Does the LEA’s document explaining the
              procedural safeguards contain information about
                                                                 Policies and Procedures, and    Check either Policies and               20 USC
              attorneys’ fees not awarded, related to any
6-14-1.5                                                         Procedural Safeguards notice Procedures or Procedural                   1415(i)(3)(D)(ii), 34 CFR
              meeting of the IEP team unless an IEP meeting is
                                                                 must include required contents. Safeguards notice as appropriate.       300.517(c)(2)(ii).
              convened as a result of a due process hearing
              proceeding or judicial action?
Mediation
                                                                                                                                         20 USC
              Does the LEA’s document explaining the             Policies and Procedures, and    Check either Policies and
                                                                                                                                         1415(d)(2)(E)(iii), 34
6-15-1        procedural safeguards contain information about    Procedural Safeguards notice Procedures or Procedural
                                                                                                                                         CFR 300.504, 34 CFR
              mediation?                                         must include required contents. Safeguards notice as appropriate.
                                                                                                                                         300.506.
                                                                                                  Check either Policies and
                                                                                                  Procedures or Procedural
              Does the LEA’s document explaining the                                              Safeguards notice as appropriate.
              procedural safeguards contain information about     Policies and Procedures, and    Focus on the section that states,      20 USC 1415(e)(1), 34
6-15-1.1      mediation, including the fact that parents may also Procedural Safeguards notice "including the fact that parents          CFR 300.504, 34 CFR
              attempt to resolve disputes in a nonadversarial     must include required contents. may also attempt to resolve            300.506.
              manner through the use of mediation?                                                disputes in a nonadversarial
                                                                                                  manner through the use of
                                                                                                  mediation".
                                                                                                 Check either Policies and
              Does the LEA’s document explaining the                                             Procedures or Procedural
                                                                                                                                         20 USC 1415(e)(2)(A)(i)-
              procedural safeguards contain information about    Policies and Procedures, and    Safeguards notice as appropriate.
                                                                                                                                         (ii), 34 CFR
6-15-1.2      mediation, including the fact that mediation is    Procedural Safeguards notice Focus on the section that states,
                                                                                                                                         300.506(b)(1)(i) and (ii),
              voluntary and may not be used to delay a due       must include required contents. "including the fact that mediation is
                                                                                                                                         and 300.504.
              process hearing?                                                                   voluntary and may not be used to
                                                                                                 delay a due process hearing".

Suspension/Expulsion

              Does the LEA ensure and does the LEA’s
                                                                 Policies and Procedures, and    Check either Policies and               20 USC 1415(d)(2)(G),
              document explaining the procedural safeguards
6-16-1                                                           Procedural Safeguards notice Procedures or Procedural                   34 CFR 300.504, 34
              contain information about: Suspension, Expulsion
                                                                 must include required contents. Safeguards notice as appropriate.       CFR 300.530(h).
              and Alternative Interim Educational Settings?
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                 Legal Citations

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about: Suspension, Expulsion                                                                           20 USC 1415(k)(1)(B),
                                                                    Policies and Procedures, and    Check either Policies and
              and Alternative Interim Educational Settings,                                                                              34 CFR 300.504, 34
6-16-1.1                                                            Procedural Safeguards notice Procedures or Procedural
              including that the school District may suspend or                                                                          CFR 300.530(h),34
                                                                    must include required contents. Safeguards notice as appropriate.
              place in other alternative interim settings a student                                                                      CFR 300.530(b)(1).
              with disabilities to the same extent these options
              would be used for students without disabilities?

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about: Suspension, Expulsion                                                                           20 USC
              and Alternative Interim Educational Settings,          Policies and Procedures, and    Check either Policies and           1415(k)(1)(D)(i), 34
6-16-1.2      including that the school District must continue to    Procedural Safeguards notice Procedures or Procedural               CFR 300.504, 34 CFR
              provide special education and services (free           must include required contents. Safeguards notice as appropriate.   300.530(h), 34 CFR
              appropriate public education) and may not place a                                                                          300.530(b)(2).
              student in an alternative setting for longer than 10
              days unless by court order or parent consent?

               Does the District ensure and does the District's
              document explaining the procedural safeguards
              contain information about Suspension, Expulsion
                                                                                                                                         20 USC
              and Alternative Interim Educational Settings,        Policies and Procedures, and    Check either Policies and
                                                                                                                                         1415(k)(1)(D)(ii), 34
6-16-1.3      including, that provided there was parental          Procedural Safeguards notice Procedures or Procedural
                                                                                                                                         CFR 300.504, 34 CFR
              consent or a court order, alternative settings allow must include required contents. Safeguards notice as appropriate.
                                                                                                                                         300.530(h).
              the student to continue to participate and progress
              in the general curriculum and ensure continuation
              of services and modifications detailed in the IEP?
               Does the District ensure and does the District's
              document explaining procedural safeguards
              contain information about: Suspension, Expulsion
                                                                                                                                         20 USC
              and Alternative Interim Educational Settings,          Policies and Procedures, and    Check either Policies and
                                                                                                                                         1415(k)(1)(E)(i), 34
6-16-1.4      including that prior to the student exceeding 10       Procedural Safeguards notice Procedures or Procedural
                                                                                                                                         CFR 300.504, 34 CFR
              days in an alternative setting for suspension, an      must include required contents. Safeguards notice as appropriate.
                                                                                                                                         300.530(e),
              IEP meeting must be held to determine if the
              student’s misconduct is a manifestation of the
              disability?
Item Number                   Compliance Test                          Compliance Standard                  Other Guidance                 Legal Citations

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about Suspension, Expulsion
              and Alternative Interim Educational Settings,
                                                                                                                                       20 USC
              including that prior to the student exceeding 10     Policies and Procedures, and    Check either Policies and
                                                                                                                                       1415(k)(1)(E)(i), 34
6-16-1.4.1    days in an alternative setting for suspension, an    Procedural Safeguards notice Procedures or Procedural
                                                                                                                                       CFR 300.504, 34 CFR
              IEP meeting must be held to determine if the         must include required contents. Safeguards notice as appropriate.
                                                                                                                                       300.530(e).
              student’s misconduct was a manifestation of the
              disability and that an IEP meeting must take place
              within 10 school days of any decision to change
              the placement of a student with a disability?

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about: Suspension, Expulsion
              and Alternative Interim Educational Settings,
              including that prior to the student exceeding 10
              days in an alternative setting for suspension, an                                                                        20 USC 1414(b)(3)(A)
              IEP meeting must be held to determine if the         Policies and Procedures, and    Check either Policies and                  20 USC 1415
6-16-1.4.2    student’s misconduct is a manifestation of the       Procedural Safeguards notice Procedures or Procedural               (k)(1)(E)(i), 34 CFR
              disability and that the student’s parent must be     must include required contents. Safeguards notice as appropriate.   300.504, 34 CFR
              provided with a written notice of the proposed                                                                           300.530(h).
              action and must be invited to participate as a
              member of the IEP team on the date on which the
              decision is made to make a removal that
              constitutes a change in placement of a student
              with a disability?
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about Suspension, Expulsion
              and Alternative Interim Educational Settings,
              including that prior to the student exceeding 10                                                                         20 USC
              days in an alternative setting for suspension, an    Policies and Procedures, and    Check either Policies and           1415(k)(1)(D)(ii) and 20
6-16-1.4.3    IEP meeting must be held to determine if the         Procedural Safeguards notice Procedures or Procedural               USC 1415(k)(1)(F)(i),34
              student’s misconduct is a manifestation of the       must include required contents. Safeguards notice as appropriate.   CFR 300.504, 34 CFR
              disability and that the school District may be                                                                           300.530(f).
              required to develop an Assessment Plan to
              address the misconduct, or if the student has a
              behavior intervention plan, review and modify the
              plan, as necessary?
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                 Legal Citations

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about Suspension, Expulsion
              and Alternative Interim Educational Settings,
              including that prior to the student exceeding 10
              days in an alternative setting for suspension, an
              IEP meeting must be held to determine if the          Policies and Procedures, and    Check either Policies and           20 USC 1415(k)(5)(A),
6-16-1.4.4    student’s misconduct is a manifestation of the        Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
              disability and if the IEP team concludes that the     must include required contents. Safeguards notice as appropriate.   CFR 300.530(h).
              misconduct was NOT a manifestation of the
              student’s disability, the school District must
              provide the parents with the notice of procedural
              safeguards and may take disciplinary action, such
              as expulsion, in the same manner as for students
              without a disability?

              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information about Suspension, Expulsion
              and Alternative Interim Educational Settings,
              including that prior to the student exceeding 10                                                                          20 USC 1415(k)(3)(A),
                                                                    Policies and Procedures, and    Check either Policies and
              days in an alternative setting for suspension, an                                                                         20 USC 1415(k)(4)(B),
6-16-1.4.5                                                          Procedural Safeguards notice Procedures or Procedural
              IEP meeting must be held to determine if the                                                                              34 CFR 300.504, 34
                                                                    must include required contents. Safeguards notice as appropriate.
              student’s misconduct is a manifestation of the                                                                            CFR 300.532(c).
              disability and if the parent disagrees with the IEP
              team’s decision; the parent can request an
              expedited due process hearing from the CDE’s
              Special Education Hearing Office?
Item Number                     Compliance Test                           Compliance Standard                Other Guidance                  Legal Citations

               Does the LEA ensure and does the LEA’s
               document explaining the procedural safeguards
               contain information about Suspension, Expulsion
               and Alternative Interim Educational Settings,
               including that prior to the student exceeding 10
               days in an alternative setting for suspension, an
                                                                     Policies and Procedures, and    Check either Policies and           20 USC 1415(k)(4)(A),
               IEP meeting must be held to determine if the
6-16-1.4.6                                                           Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
               student’s misconduct is a manifestation of the
                                                                     must include required contents. Safeguards notice as appropriate.   CFR 300.533.
               disability and if the parent requests a hearing or an
               appeal regarding disciplinary action to challenge
               the interim alternative setting or the manifestation
               determination, the student will stay in the interim
               alternative setting (unless the maximum of 45
               days is reached)?
Unilateral Placement
               Does the LEA ensure and does the LEA’s
               document explaining the procedural safeguards
                                                                                                      Check the Procedural Safeguards
               contain information that the full cost of special      Procedural Safeguards notice                                       20 USC 1415(d)(2)(H),
6-17-1                                                                                                Notice and the IEP for
               education in a private school or nonpublic,            must include required contents.                                    34 CFR 300.504(c)(9).
                                                                                                      documentation.
               nonsectarian school, may be provided by the
               District under certain conditions?
               Does the LEA ensure and does the LEA’s
               document explaining the procedural safeguards
               contain information that the full cost of special
               education in a private school or nonpublic,
                                                                                                                                         20 USC
               nonsectarian school, may be provided by the
                                                                      Procedural Safeguards notice Review procedural safeguards          1412(a)(10)(B)(i), 34
6-17-1.1       school District when the District, together with the
                                                                      must include required contents. notice.                            CFR 300.504, 34 CFR
               IEP team, recommends that this would be the
                                                                                                                                         300.146.
               most appropriate placement for the student, the
               District pays for these services?
Item Number                    Compliance Test                            Compliance Standard                  Other Guidance                  Legal Citations
              Does the LEA ensure and does the LEA’s
              document explaining the procedural safeguards
              contain information that the full cost of special
                                                                                                      Check either Policies and           20 USC
              education in a private school or nonpublic,             Policies and Procedures, and
                                                                                                      Procedures, Procedural              1412(a)(10)(C)(ii), 34
6-17-1.2.2    nonsectarian school, may be provided by the             Procedural Safeguards notice
                                                                                                      Safeguards notice or the IEP as     CFR 300.504, 34 CFR
              school District when the parent unilaterally places     must include required contents.
                                                                                                      appropriate.                        300.148(c).
              the student in a private or nonpublic, nonsectarian
              school without District consent or referral by a
              court or hearing officer?
                                                                                                                                          20 USC 1415(d)(2)(H),
              Does the LEA’s document explaining the                  Procedural Safeguards notice Review procedural safeguards
6-17-2                                                                                                                                    34 CFR 300.504, 34
              procedural safeguards contain information about:        must include required contents. notice.
                                                                                                                                          CFR 300.148.
                                                                                                                                          20 USC
              Payment may be reduced or denied for children
                                                                      Procedural Safeguards notice Review procedural safeguards           1412(a)(10)(C)(iii), 34
6-17-2.1      attending private schools under the following
                                                                      must include required contents. notice.                             CFR 300.504, 34 CFR
              conditions:
                                                                                                                                          300.148.
              Does the LEA’s document explaining the
              procedural safeguards contain information that
                                                                                                                                          20 USC
              payment may be reduced or denied for students
                                                                      Policies and Procedures, and    Check either Policies and           1412(a)(10)(C)(iii)(II), 34
              attending private schools when the court or
6-17-2.1.1                                                            Procedural Safeguards notice Procedures or Procedural               CFR 300.504, 34 CFR
              hearing officer finds that the parent did not make
                                                                      must include required contents. Safeguards notice as appropriate.   300.148(d)(2), 30 EC
              the student available for an evaluation by the
                                                                                                                                          56176.
              school District that provided appropriate written
              notice?
              Does the LEA’s document explaining the
              procedural safeguards contain information that
                                                                                                                                          20 USC
              payment may be reduced or denied for students
                                                                                                                                          1412(a)(10)(C)(iii)(I)(aa)-
              attending private schools if the parent did not         Policies and Procedures, and    Check either Policies and
                                                                                                                                          (bb), 34 CFR 300.504,
6-17-2.1.2    notify the school District that they were rejecting     Procedural Safeguards notice Procedures or Procedural
                                                                                                                                          34 CFR
              the special education placement proposed by the         must include required contents. Safeguards notice as appropriate.
                                                                                                                                          300.148(d)(1)(i), EC
              school District and stated the concerns and intent
                                                                                                                                          56176.
              to enroll their student in a private school at public
              expense?
Item Number                      Compliance Test                            Compliance Standard                  Other Guidance                  Legal Citations

               Does the LEA’s document explaining the
               procedural safeguards contain information that
               payment may be reduced or denied for students                                                                                20 USC
               attending a private school if the parent did not         Policies and Procedures, and    Check either Policies and           1412(a)(10)(C)(iii)(aa),
6-17-
               notify the school District that they were rejecting      Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
2.1.2.1.1
               the special education placement proposed by the          must include required contents. Safeguards notice as appropriate.   CFR 300.148(d)(1)(i),
               school District by informing the IEP team at the                                                                             30 EC 56176(a).
               most recent IEP meeting they attended before
               removing their student from the public school?

               Does the LEA’s document explaining the
                                                                                                                                            20 USC
               procedural safeguards contain information that
                                                                        Policies and Procedures, and    Check either Policies and           1412(a)(10)(C)(iii)(bb),
6-17-          payments may be reduced or denied if parents
                                                                        Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
2.1.2.1.2      don't notify the school District in writing at least ten
                                                                        must include required contents. Safeguards notice as appropriate.   CFR 300.148(d)(1)(ii),
               (10) business days (including holidays) before
                                                                                                                                            30 EC 56176(b).
               removing their student from the public school?

               Does the LEA’s document explaining the                   Procedural Safeguards notice Review procedural safeguards           34 CFR 300.504, 34
6-17-3
               procedural safeguards contain information about:         must include required contents. notice.                             CFR 300.148
               * Payment may not be reduced or denied for
                                                                        Procedural Safeguards notice Review procedural safeguards           34 CFR 300.504, 34
6-17-3.1       children attending private schools under the
                                                                        must include required contents. notice.                             CFR 300.148
               following circumstances:
                                                                                                                                            20 USC
               * If the parent did not give the district the required   Procedural Safeguards notice Review procedural safeguards           1412(a)(10)(C)(iv)(II),
6-17-3.1.1
               notice for any of the following reasons:                 must include required contents. notice.                             34 CFR 300.504, 34
                                                                                                                                            CFR 300.148(e)
               Does the LEA’s document explaining the
                                                                                                                                            20 USC
               procedural safeguards contain information that
                                                                    Policies and Procedures, and    Check either Policies and               1412(a)(10)(C)(IV)(II)(aa
               payment may not be reduced or denied for
6-17-3.1.2.1                                                        Procedural Safeguards notice Procedures or Procedural                   ), 34 CFR 300.504, 34
               students attending private schools if the parent did
                                                                    must include required contents. Safeguards notice as appropriate.       CFR 300.148(e)(2)(i),
               not give the District the required notice because
                                                                                                                                            30EC 56177.
               the parent cannot read or write English?
Item Number                     Compliance Test                           Compliance Standard                  Other Guidance                 Legal Citations

               Does the LEA’s document explaining the
                                                                                                                                          20 USC
               procedural safeguards contain information that
                                                                                                                                          1412(a)(10)(C)(iv)(I)
               payment may not be reduced or denied for             Policies and Procedures, and    Check either Policies and
                                                                                                                                          and (II), 34 CFR
6-17-3.1.2.2   students attending private schools if the parent did Procedural Safeguards notice Procedures or Procedural
                                                                                                                                          300.504, 34 CFR
               not give the District the required notice if         must include required contents. Safeguards notice as appropriate.
                                                                                                                                          300.148(e)(1) and
               compliance with the notice would likely result in
                                                                                                                                          (2),30 EC 56177(b).
               physical or serious emotional harm to the student?
              Does the LEA’s document explaining the
              procedural safeguards contain information that                                                                              20 USC
              explains that if the parent did not give the District   Policies and Procedures, and    Check either Policies and           1412(a)(10)(C)(I)(aa),
6-17-3.1.2.3 the required notice payment may not be reduced           Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
              or denied for students attending private schools if     must include required contents. Safeguards notice as appropriate.   CFR 300.148(e)(1)(i),
              the school prevented the parent(s) from providing                                                                           30 EC 56177(a)(1).
              such notice?
              Does the LEA’s document explaining the
              procedural safeguards contain information that
              explains that if the parent did not give the District                                                                       20 USC
              the required notice payment may not be reduced          Policies and Procedures, and    Check either Policies and           1412(a)(10)(C)(I)(bb),
6-17-3.1.2.4 or denied for students attending private schools if      Procedural Safeguards notice Procedures or Procedural               34 CFR 300.504, 34
              the parent(s) had not been notified, by the District,   must include required contents. Safeguards notice as appropriate.   CFR 300.148(e)(1)(ii),
              that they were required to inform the District before                                                                       30 EC 56177(a)(2).
              placing their student with disabilities in a private
              school?
State Complaints
              Does the LEA’s document explaining the                                                                                      20 USC 1415(d)(2)(E),
              procedural safeguards contain information about         Procedural Safeguards notice Review procedural safeguards           34 CFR 300.504, 34
6-18-1
              the right to file a complaint with the California       must include required contents. notice.                             CFR 300.152, 30 EC
              Department of Education and that:                                                                                           56500.1.
               Does the LEA’s document explaining the
                                                                                                                                          20 USC 1415(b)(6), 34
               procedural safeguards contain information about
                                                                  Procedural Safeguards notice Review procedural safeguards               CFR 300.504, 34 CFR
6-18-1.1       the right to file a complaint with the California
                                                                  must include required contents. notice.                                 300.152(a), 30 EC
               Department of Education and that within sixty days
                                                                                                                                          56500.1.
               after a complaint is filed, CDE will:
               Does the LEA’s document explaining the
               procedural safeguards contain information about                                                                            20 USC 1415(b)(6), 34
                                                                  Policies and Procedures, and
               the right to file a complaint with the California                                  Review procedural safeguards            CFR 300.504, 34 CFR
6-18-1.1.1                                                        Procedural Safeguards notice
               Department of Education and that within sixty days                                 notice.                                 300.152(a)(1), 30 EC
                                                                  must include required contents.
               after a complaint is filed, CDE will carry out an                                                                          56500.1.
               independent investigation?
Item Number                    Compliance Test                            Compliance Standard                    Other Guidance                 Legal Citations

              Does the LEA’s document explaining the
              procedural safeguards contain information about
                                                                                                                                           20 USC 1415(c)(2), 34
              the right to file a complaint with the California  Policies and Procedures, and
                                                                                                 Review procedural safeguards              CFR 300.504, 34 CFR
6-18-1.1.2    Department of Education and that within sixty days Procedural Safeguards notice
                                                                                                 notice.                                   300.152(a), 30 EC
              after a complaint is filed, CDE will complete      must include required contents.
                                                                                                                                           56500.1 & 52171.
              specific steps including giving the complainant an
              opportunity to provide additional information?
              Does the LEA’s document explaining the
              procedural safeguards contain information about
                                                                                                                                           20 USC 1415(b)(6), 34
              the right to file a complaint with the California
                                                                 Policies and Procedures, and                                              CFR 300.504, 34 CFR
              Department of Education and that within sixty days                                 Review procedural safeguards
6-18-1.1.3                                                       Procedural Safeguards notice                                              300.152(a)(4), 30 EC
              after a complaint is filed, CDE will review all                                    notice.
                                                                 must include required contents.                                           56500.1 and
              information and make a determination as to
                                                                                                                                           52171(a)(2)(B).
              whether the LEA has violated state or federal laws
              and regulations?
              Does the LEA’s document explaining the
                                                                                                                                           20 USC 1415(b)(6), 34
              procedural safeguards contain information about
                                                                   Policies and Procedures, and                                            CFR 300.504, 34 CFR
              the right to file a complaint with the California                                    Review procedural safeguards
6-18-1.1.4                                                         Procedural Safeguards notice                                            300.152(a)(5), 30 EC
              Department of Education and that within sixty days                                   notice.
                                                                   must include required contents.                                         56500.1 and
              after a complaint is filed, CDE will issue a written
                                                                                                                                           52171(a)(3).
              decision that addresses each allegation?

              Does the LEA’s document explaining the                                                                                       20 USC
              procedural safeguards contain information about         Policies and Procedures, and                                         1415(c)(2)(C)&(D), 34
                                                                                                      Review procedural safeguards
6-18-1.2      the right to file a complaint with the California       Procedural Safeguards notice                                         CFR 300.153, 34 CFR
                                                                                                      notice.
              Department of Education and include specific            must include required contents.                                      300.507(b), 30 EC
              information about how to file a complaint?                                                                                   56500.1

Access to Records - Annual Notice (Family Educational Rights and Privacy Act - FERPA)
                                                                                                                                             20 USC 1415(d)(2)(D),
                                                                                                                                             20 USC 1439(a)(2), 34
                                                                                                         Review the District's annual parent
                                                                                                                                             CFR Part 99, 34 CFR
              Does the LEA give an annual notice to parents           Annual notice of confidentiality   notification. Documentation of
                                                                                                                                             300.504, 34 CFR
6-19-1        concerning confidentiality of personally identifiable   must be provided to parents in     annual notice to families may be
                                                                                                                                             300.610- 300.625, 34
              information in their native language?                   their native language.             found in the student's permanent
                                                                                                                                             CFR 300.9, 34 CFR
                                                                                                         record or teacher files.
                                                                                                                                             300.503(c)(1), 30 EC
                                                                                                                                             56515.
Item Number                    Compliance Test                            Compliance Standard                     Other Guidance                   Legal Citations

              Does the LEA give an annual notice to parents                                              Review the District's annual parent
                                                                                                                                               34 CFR Part 99, 34
              concerning confidentiality of personally identifiable   Annual notice of confidentiality   notification. Documentation of
                                                                                                                                               CFR 300.504, 34 CFR
6-19-1.1      information in their native language that describes     must include the required          annual notice to families may be
                                                                                                                                               300.612(a)(2), 30 EC
              the personally identifying information maintained       contents.                          found in the student's permanent
                                                                                                                                               56515.
              by the LEA?                                                                                record or teacher files.

              Does the LEA give an annual notice to parents                                              Review the District's annual parent
                                                                                                                                               34 CFR Part 99, 34
              concerning confidentiality of personally identifiable   Annual notice of confidentiality   notification. Documentation of
                                                                                                                                               CFR 300.504, 34 CFR
6-19-1.2      information in their native language that describes     must include the required          annual notice to families may be
                                                                                                                                               300.612(2), 30 EC
              the uses to be made of personally identifying           contents.                          found in the student's permanent
                                                                                                                                               56515.
              information?                                                                               record or teacher files.

              Does the LEA give an annual notice to parents                                              Review the District's annual parent
              concerning confidentiality of personally identifiable Annual notice of confidentiality     notification. Documentation of      20 USC 1417 (c), 34
6-19-1.3      information in their native language that describes must include the required              annual notice to families may be    CFR Part 99, 30 EC
              the methods that the LEA uses to protect the           contents.                           found in the student's permanent    56515.
              confidentiality of personally identifying information?                                     record or teacher files.

              Does the LEA give an annual notice to parents                                              Review the District's annual parent   34 CFR Part 99, 34
              concerning confidentiality of personally identifiable   Annual notice of confidentiality   notification. Documentation of        CFR 300.504, 34 CFR
6-19-1.4      information in their native language that describes     must include the required          annual notice to families may be      300.612(a)(2) and
              the sources from whom the information is                contents.                          found in the student's permanent      300.503(c)(1), 30 EC
              gathered?                                                                                  record or teacher files.              56515.

                                                                                                         Review the District's annual parent
              Does the LEA give an annual notice to parents                                                                                    34 CFR Part 99, 34
                                                                      Annual notice of confidentiality   notification. Documentation of
              concerning confidentiality of personally identifiable                                                                            CFR 300.504, 34 CFR
6-19-1.5                                                              must include the required          annual notice to families may be
              information in their native language that describes                                                                              300.612(a)(2), 30 EC
                                                                      contents.                          found in the student's permanent
              the uses to be made of the information?                                                                                          56515.
                                                                                                         record or teacher files.
              Does the LEA give an annual notice to parents
                                                                                                         Review the District's annual parent
              concerning confidentiality of personally identifiable                                                                            34 CFR Part 99, 34
                                                                      Annual notice of confidentiality   notification. Documentation of
              information in their native language that describes                                                                              CFR 300.504, 34 CFR
6-19-1.6                                                              must include the required          annual notice to families may be
              the policies and procedures that the LEA follows                                                                                 300.612(a)(3), 30 EC
                                                                      contents.                          found in the student's permanent
              regarding storage, disclosure, retention, and                                                                                    56515.
                                                                                                         record or teacher files.
              destruction of information?
              Does the LEA give an annual notice to parents                                              Review the District's annual notice.
              concerning confidentiality of personally identifiable                                       Documentation of annual notice      34 CFR Part 99, 34
                                                                      Annual notice must include the
6-19-1.7      information in their native language that describes                                        to families may be found in the      CFR 300.504, 34 CFR
                                                                      required contents.
              the rights of parents regarding access to                                                  students permanent record or         300.61330 EC 56160.
              information?                                                                               teacher files.
Item Number                    Compliance Test                            Compliance Standard                   Other Guidance                   Legal Citations

              Does the LEA give an annual notice to parents
                                                                                                       Review the annual parent
              concerning confidentiality of personally identifiable
                                                                                                       notifications. Documentation of       34 CFR Part 99, 34
              information in their native language that describes     Annual notice must include the
6-19-1.8                                                                                               annual notice to families may be      CFR 300.504, 34 CFR
              the rights of parents to inspect and review records     required contents.
                                                                                                       found in the students permanent       300.61330 EC 56504.
              and receive copies, relating to their student that
                                                                                                       record or teacher files.
              are collected, maintained or used by the LEA?

              Does the LEA give an annual notice to parents                                            Review the District's annual parent
                                                                                                                                             20 USC 1415 (d)(2)(I),
              concerning confidentiality of personally identifiable                                    notification. Documentation of
                                                                    Annual notice must include the                                           34 CFR Part 99, 34
6-19-1.9      information in their native language, that describes                                     annual notice to families may be
                                                                    required contents.                                                       CFR 300.504, 30 EC
              rights of parents to request a hearing and file a                                        found in the student's permanent
                                                                                                                                             56515.
              complaint?                                                                               record or teacher files.

              Does the LEA give an annual notice to parents                                            Review the District's annual parent
                                                                                                                                             34 CFR Part 9934 CFR
              concerning confidentiality of personally identifiable                                    notification. Documentation of
                                                                    Annual notice must include the                                           300.50434 CFR
6-19-1.10     information in their native language that describes                                      annual notice to families may be
                                                                    required contents.                                                       300.613(b)(3), 30 EC
              the rights of parents to send a legal representative                                     found in the student's permanent
                                                                                                                                             56515.
              to review the records?                                                                   record or teacher files.
                                                                                                                                             34 CFR Part 99, 34
              Does the LEA keep a record of access to the             LEA must keep a record of        Records of access are typically
6-19-2                                                                                                                                       CFR 300.504, 34 CFR
              confidential records?                                   access.                          found in the student record.
                                                                                                                                             300.614, 30 EC 56515.
                                                                                                       Review the District's annual parent
                                                                      Policies and procedures must     notice. Documentation of annual       34 CFR Part 99, 34
              Does the LEA provide information on only the
6-19-3                                                                address provision of             notice to families may be found in    CFR 300.504, 34 CFR
              specific student's record requested?
                                                                      information.                     the student's permanent record or     300.615, 30 EC 56515.
                                                                                                       teacher files.
                                                                                                       Review the District's annual parent
                                                                      LEA must have a list of types
                                                                                                       notice Documentation of annual        34 CFR Part 99, 34
              Does the LEA provide a list of types and locations      and locations of information.
6-19-4                                                                                                 notice to families may be found in    CFR 300.504, 34 CFR
              of information?                                         LEA must have documentation
                                                                                                       the student's permanent record or     300.616, 30 EC 56515.
                                                                      of requests for lists.
                                                                                                       teacher files.
                                                                                                       Review the District's annual parent
                                                                                                                                             34 CFR Part 99, 34
              Does the LEA waive the fee for reproduction of                                           notice. Documentation of annual
                                                                      Policies and procedures must                                           CFR 300.504, 34 CFR
6-19-5        records if the charges would prevent parental                                            notice to families may be found in
                                                                      address waiver of fees.                                                300.617(a), 30 EC
              access to the records?                                                                   the students permanent record or
                                                                                                                                             56515.
                                                                                                       teacher files. Done
Item Number                    Compliance Test                            Compliance Standard                    Other Guidance                   Legal Citations
                                                                                                        Review the District's annual parent
                                                                                                                                              34 CFR Part 99, 34
                                                                                                        notice. Documentation of annual
              Does the LEA search and retrieve the information        Policies and procedures must                                            CFR 300.504, 34 CFR
6-19-6                                                                                                  notice to families may be found in
              at no charge?                                           address retrieval of information.                                       300.617(b), 30 EC
                                                                                                        the student's permanent record or
                                                                                                                                              56515.
                                                                                                        teacher files.
              Does the LEA give an annual notice to parents                                            Review the District's annual parent
              concerning confidentiality of personally identifiable                                    notice. Documentation of annual     34 CFR Part 99, 34
                                                                      Annual notice must include the
6-19-7        information in their native language, and does the                                       notice to families may be found in CFR 300.504, 34 CFR
                                                                      required contents.
              LEA's annual notice inform the parent of the                                             the student's permanent record or 300.618, 30 EC 56515.
              process for amendment of records?                                                        teacher files.
              Does the LEA give an annual notice to parents
                                                                                                       Review the District's annual parent
              concerning confidentiality of personally identifiable                                                                           34 CFR Part 99, 34
                                                                                                       notice. Documentation of annual
              information in their native language, that informs      Annual notice must include the                                          CFR 300.504, 34 CFR
6-19-8                                                                                                 notice to families may be found in
              the parent a hearing will be held if the parent         required contents.                                                      300.618(c), 30 EC
                                                                                                       the student's permanent record or
              chooses to amend the record and the LEA                                                                                         56515.
                                                                                                       teacher files.
              disagrees under 34 CFR 99.22?
              Does the LEA give an annual notice to parents
                                                                                                       Review the District's annual parent
              concerning confidentiality of personally identifiable                                                                           34 CFR Part 99, 34
                                                                                                       notice. Documentation of annual
              information in their native language, that describes    Annual notice must include the                                          CFR 300.504, 34 CFR
6-19-9                                                                                                 notice to families may be found in
              the process for adding an explanation to the            required contents.                                                      300.620(b), 30 EC
                                                                                                       the student's permanent record or
              students record if the record will not be changed                                                                               56515.
                                                                                                       teacher files.
              as a result of the hearing?
              Does the LEA give an annual notice to parents                                            Review the District's annual parent
                                                                                                                                              34 CFR Part 99, 34
              concerning confidentiality of personally identifiable                                    notice. Documentation of annual
                                                                      Annual notice must include the                                          CFR 300.504, 34 CFR
6-19-10       information in their native language that describes                                      notice to families may be found in
                                                                      required contents.                                                      300.618(c), 30 EC
              the process for a hearing conducted under 34                                             the student's permanent record or
                                                                                                                                              56515.
              CFR 99.22?                                                                               teacher files.
              Does the LEA give an annual notice to parents
                                                                                                       Review the District's annual parent
              concerning confidentiality of personally identifiable
                                                                                                       notice. Documentation of annual     34 CFR Part 99, 34
              information in their native language and does the       Annual notice must include the
6-19-11                                                                                                notice to families may be found in CFR 300.504, 34 CFR
              LEA’s annual notice explain that personally             required contents.
                                                                                                       the student's permanent record or 300.622, 30 EC 56515.
              identifiable information requires consent before
                                                                                                       teacher files.
              disclosure to other agencies?
              Does the LEA give an annual notice to parents
                                                                                                       Review the District's annual parent
              concerning confidentiality of personally identifiable                                                                           34 CFR Part 99, 34
                                                                                                       notice. Documentation of annual
              information in their native language, that describes    Annual notice must include the                                          CFR 300.504, 34 CFR
6-19-12                                                                                                notice to families may be found in
              the protection of personally identifiable information   required contents.                                                      300.623(a), 30 EC
                                                                                                       the student's permanent record or
              at the collection, storage, disclosure and                                                                                      56515.
                                                                                                       teacher files.
              destruction stages?
Item Number                      Compliance Test                             Compliance Standard                       Other Guidance                    Legal Citations
                                                                                                              District administration may identify
                                                                                                              the designated custodian of
                                                                        LEA must be able to identify          records. District administration
               Does the LEA appoint one person to ensure                person responsible for                may also provide a list of persons
                                                                                                                                                     34 CFR Part 99, 34
               confidentiality of student records, maintain a list of   confidentiality; must have a list     with routine access to student
                                                                                                                                                     CFR 300.504, 34 CFR
6-19-13        employees who routinely have access to student           of employees who routinely            records. Agendas or other
                                                                                                                                                     300.623(b), 30 EC
               records, and train the staff to use the student          have access; and must have            documentation regarding the
                                                                                                                                                     56515.
               record information confidentially?                       documentation of the training         provision of training on
                                                                        provided.                             confidentiality may also be
                                                                                                              available from District
                                                                                                              administration.
               Does the LEA inform parents of the process for                                                 Review the District's annual parent
               destruction of the personally identifiable                                                     notice. Documentation of annual        34 CFR Part 99, 34
                                                                        Annual notice must include the
6-19-14        information upon request; however, certain                                                     notice to families may be found in     CFR 300.504, 34 CFR
                                                                        required contents.
               information may be maintained without time                                                     the student's permanent record or      300.624, 30 EC 56515.
               limitation?                                                                                    teacher files.
Preschool
Preschool - Identification and Referral

                                                                Transition should include timely
                                                                coordination of services as
                                                                                                              Review district policies and
               Do students participating in early intervention  required in 17 CCR 52112 prior
                                                                                                              procedures. Interview staff and
               programs assisted under Part C of IDEA, who may to the eligible child reaching
                                                                                                              parents of children entering the       20 USC 1412 (a)(9), 34
7-1-1          be eligible for preschool services, experience a three years of age. Steps for
                                                                                                              preschool program. Look for an         CFR 300.124.
               smooth transition to preschool programs in the   the transition beginning 6
                                                                                                              IEP prepared prior to the child's
               LEA?                                             months prior to the child's third
                                                                                                              third birthday.
                                                                birthday should be evident in
                                                                the student record.

                                                                                                              Look for a notice of meeting sent
                                                                                                              by the regional center or LEA
                                                                                                              operating the infant program.
               Did the LEA participate in all transition planning       District representative(s)
                                                                                                              Look for documentation that the
               conferences arranged by the regional center (or          attended transition planning                                                20 USC 1412(a)(9), 34
                                                                                                              district attended transition planning
7-1-2          the LEA providing early intervention services) for       conferences to prepare steps                                                CFR 300.124, 17 CCR
                                                                                                              meetings and initiated
               students they would be responsible to serve at age       to evaluate the child's eligibility                                         52112(a).
                                                                                                              assessments if appropriate.
               three?                                                   for special education.
                                                                                                              Review referral logs. Review
                                                                                                              Individualized Family Service
                                                                                                              Plans forwarded to the district.
Item Number                   Compliance Test                          Compliance Standard                   Other Guidance                   Legal Citations

                                                                                                   Review records of any newspaper
              Is there evidence that the LEA has actively sought
                                                                   District must maintain          articles, participation in community
              to locate, identify and evaluate all students with                                                                        20 USC 1412(a)(10), 34
7-1-3                                                              documentation of child find     events, screening programs or,
              disabilities, including students attending private                                                                        CFR 300.111.
                                                                   activities.                     interagency and private service
              (pre-) schools?
                                                                                                   provider collaboration.

Preschool - Evaluation and Assessment

              Is there documentation that the LEA uses a variety   District must use more than     Check Assessment Report for
              of assessment tools and strategies to gather         one method to evaluate a        types of assessment tools and
                                                                                                                                          20 USC 1414(b)(2)(A),
7-2-1         relevant functional, developmental and academic      child's functional and          methods used by the district and
                                                                                                                                          34 CFR 300.304(b)(1).
              information, including information provided by the   developmental status. Must be   any information or evaluation
              parent?                                              documented in student record.   reports provided by the parent.

                                                                                                   Check Assessment Report for
              Is there documentation that the LEA uses a variety
                                                                   District must use more than     types of assessment tools and
              of assessment tools and strategies to gather
                                                                   one method to evaluate a        methods used by the district and       20 USC
              relevant functional, developmental and academic
7-2-1.1                                                            child's functional and          any information or evaluation          1414(b)(2)(A)(i), 34
              information, including information provided by the
                                                                   developmental status. Must be   reports provided by the parent. Is     CFR 300.304(b)(1)(i).
              parent, that may assist in determining whether the
                                                                   documented in student record.   the disability identified on the IEP
              student is a student with a disability?
                                                                                                   and in the assessment report?

              Is there documentation that the LEA uses a variety
                                                                   Needs identified in the
              of assessment tools and strategies to gather
                                                                   assessment are reflected in
              relevant functional, developmental and academic                                                                             20 USC
                                                                   goals and services in the IEP
7-2-1.2       information, including information provided by the                                                                          1414(b)(2)(A)(ii), 34
                                                                   and enable the student to
              parent, that may assist in determining the content                                                                          CFR 300.304(b)(1)(ii).
                                                                   participate in appropriate
              of the student’s IEP and enable the student to
                                                                   (preschool) activities.
              participate in appropriate (preschool) activities?

              Is there evidence that, when standardized tests      The student record contains
              are considered invalid for students between three    evidence the district used
              and five years, alternative means of assessment      alternative methods to assess
7-2-3                                                                                                                                     30 EC 56441.11(e).
              (i.e., scales, instruments, observations, and        and evaluate the child for
              interviews) are specified in the Assessment Plan     special education and related
              and used for evaluation and assessment?              services.

              Do preschool age students with disabilities
              participate in the statewide assessment programs     Must be documented in student                                          20 USC 1412(a)(16)(A),
7-2-4
              using the Desired Results Developmental Profile      record.                                                                30 EC 56385.
              (DRDP), PSDRDP-R or DRDP Access.
Item Number                      Compliance Test                          Compliance Standard                       Other Guidance                  Legal Citations
Preschool Eligibility

                                                                                                          Look for documentation in the
                                                                                                          student record. Districts are not
                                                                      The student record contains
                Is there documentation that all students, three to                                        required to document the child's      20 USC 1401(3), 34
                                                                      evidence of the child's eligibility
7-3-5           five years of age, enrolled in preschool special                                          disability on the IEP. However, the CFR 300.8, 30 EC
                                                                      for special education and
                education programs meet eligibility criteria?                                             disability may be listed on the IEP 56441.11(b).
                                                                      related services.
                                                                                                          under the eligibility criteria. Check
                                                                                                          the assessment report.

                Are preschool students identified by the IEP team
                as having one of the eligible disabling conditions:
                Autism, Deaf-Blindness, Hearing Impairment,
                                                                      The student record contains
                Mental Retardation, Multiple Disabilities,                                                                                      20 USC 1401(3), 34
                                                                      evidence of the child's eligibility Look for documentation in
7-3-5.1         Orthopedic Impairment, Other Health Impairment,                                                                                 CFR 300.8, 30 EC
                                                                      for special education and           assessment report or on the IEP.
                Serious Emotional Disturbance, Specific Learning                                                                                56441.11(b).
                                                                      related services.
                Disability, Speech or Language Impairment,
                Traumatic Brain Injury, Visual Impairment, or an
                Established Medical Disability?

                                                                      The student record contains
                                                                                                          Is the disability identified on the   20 USC 1401(3), 34
                                                                      evidence of the child's eligibility
7-3-5.1.1       * Autism                                                                                  IEP and in the Assessment             CFR 300.8, 30 EC
                                                                      for special education and
                                                                                                          Report?                               56441.11(b).
                                                                      related services.

                                                                      The student record contains
                                                                                                          Is the disability identified on the   20 USC 1401(3), 34
                                                                      evidence of the child's eligibility
7-3-5.1.2       * Deaf-Blindness                                                                          IEP and in the Assessment             CFR 300.8, 30 EC
                                                                      for special education and
                                                                                                          Report?                               56441.11(b).
                                                                      related services.

                                                                      The student record contains
                                                                                                          Is the disability identified on the   20 USC 1401(3), 34
                                                                      evidence of the child's eligibility
7-3-5.1.3       * Hearing impairment                                                                      IEP and in the Assessment             CFR 300.8, 30 EC
                                                                      for special education and
                                                                                                          Report?                               56441.11(b).
                                                                      related services.

                                                                      The student record contains
                                                                                                          Is the disability identified on the   20 USC 1401(3), 34
                                                                      evidence of the child's eligibility
7-3-5.1.4       * Mental retardation                                                                      IEP and in the Assessment             CFR 300.8, 30 EC
                                                                      for special education and
                                                                                                          Report?                               56441.11(b).
                                                                      related services.
Item Number                     Compliance Test       Compliance Standard                       Other Guidance                  Legal Citations

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.5     * Multiple disabilities                                                 IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.6     * Orthopedic impairment                                                 IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.7     * Other health impairment                                               IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.8     * Serious emotional disturbance                                         IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.9     * Specific learning disability                                          IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.10    * Speech or language impairment                                         IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.11    * Traumatic brain injury                                                IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.

                                                  The student record contains
                                                                                      Is the disability identified on the   20 USC 1401(3), 34
                                                  evidence of the child's eligibility
7-3-5.1.12    * Visual impairment                                                     IEP and in the Assessment             CFR 300.8, 30 EC
                                                  for special education and
                                                                                      Report?                               56441.11(b).
                                                  related services.
Item Number                      Compliance Test                              Compliance Standard                        Other Guidance                   Legal Citations

                                                                         The student record contains           If this disability area is used, can
                                                                         evidence of the child's eligibility   the child also be identified for the   34 CFR 300.8, 30 EC
7-3-5.1.13      * Established medical disability
                                                                         for special education and             pupil count as having one of the       56441.11(b).
                                                                         related services.                     13 disabilities?

                Is there documentation that all students, three to       The student record contains           Specially designed instruction is
                five years of age, enrolled in preschool special         evidence of the child's eligibility   documented in the IEP and is
                                                                                                                                                      34 CFR 300.8, 30 EC
7-3-5.2         education programs meet eligibility criteria and are     for special education and need        provided for through a
                                                                                                                                                      56441.11(b).
                identified by the IEP team as needing specially          for specially designed                combination of supports and
                designed instruction or services?                        instruction or services.              services.
                Is there documentation that the preschooler meets
                                                                         The student record contains           Review IEP team notes and
                eligibility criteria and is identified by the IEP team
                                                                         evidence that the IEP team            reasons provided for the child not
                as having needs that cannot be met with
7-3-5.3                                                                  determined the child's needs          participating in the general           30 EC 56441.11(b).
                modification of a regular environment in the home
                                                                         cannot be met with modification       education environment. Interview
                or (pre-) school, or both without ongoing
                                                                         of child's regular environment.       staff and parents.
                monitoring or support?
Preschool IEP
                                                                                                        Check dates of the IEP. For
                Did all students transitioning from early                                               children who transition from an               20 USC 1412 (a)(9), 34
                                                                         Student record must contain an
                intervention services under Part C have an IEP                                          early intervention program under              CFR 300.124, Citation
7-4-1                                                                    IEP developed by the child's
                developed and implemented by the student’s third                                        Part C of IDEA, the date of the IEP           refers to P and P, 17
                                                                         third birthday.
                birthday?                                                                               must be on or before the third                CCR 52112(a).
                                                                                                        birthday.
                In addition to other state and federal requirements
                                                                                                                                                      20 USC 1414 (d)(1)(A),
                pertaining to all students with disabilities, do the
7-4-2                                                                                                          30 EC 56345.                           34 CFR 300.320, 30 EC
                IEP's of all students, three to five years, include:
                                                                                                                                                      56345.
                contained in the sub items.
                In addition to other state and federal requirements      Present levels of performance
                pertaining to all students with disabilities, does the   and a statement on how the            Is there a statement on the IEP
                                                                                                                                                      20 USC 1414(d)(1)(A),
                IEP for the preschool age student include a              disability affects the student’s      that tells present levels of
                                                                                                                                                      34 CFR
7-4-2.1         statement of the student’s present levels of             participation in appropriate          performance and a statement that
                                                                                                                                                      300.320(a)(1)(ii), 30 EC
                educational performance, including how the               activities must be recorded and       specifies how preschool activities
                                                                                                                                                      56345.
                disability affects the student’s participation in        updated annually on the               are affected?
                appropriate activities?                                  student's IEP.
                Does the IEP for the preschool age student
                include the projected date for the beginning of the                                                                                   34 CFR
7-4-2.7         services and modifications, and the anticipated          Must be included in the IEP.                                                 300.320(a)(1)(iii), 30 EC
                frequency, duration and location of those services                                                                                    56345.
                and modifications?
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                    Legal Citations
              Does the IEP for the preschool age student
              include a statement of measurable annual goals,                                      Do the goals, benchmarks and/or
                                                                                                                                           20 USC 1414(d)(1)(A),
              including academic and functional goals related to                                   objectives on the IEP relate to the
                                                                                                                                           34 CFR
7-4-2.2.1     meeting the student’s needs that result from the    Must be included in the IEP.     child's present levels and ability to
                                                                                                                                           300.320(a)(1)(ii), 30 EC
              student’s disability to enable the student to be                                     participate in appropriate activities
                                                                                                                                           56345.
              involved in and progress in the general (preschool)                                  in the general preschool? D559
              curriculum?
              Does the IEP for the preschool age student
              include a statement of measurable annual goals,                                      Do the goals, benchmarks and/or
              including academic and functional goals related to                                   objectives on the IEP relate to the
                                                                                                                                           34 CFR
7-4-2.2.2     meeting the student’s needs that result from the    Must be included in the IEP.     child's present levels and ability to
                                                                                                                                           300.320(a)(2)(i)(A) & (B).
              student’s disability to enable the student to be                                     participate in appropriate activities
              involved in and progress in the general (preschool)                                  in the general preschool?
              curriculum?
              Does the IEP for the preschool age student                                                                                   20 USC
                                                                                                   Are the related services, and
              include a statement of the special education and                                                                             1414(d)(1)(A)(i)(IV), 34
7-4-2.3                                                           Must be included in the IEP.     supplementary aids listed on the
              related services and supplementary aids and                                                                                  CFR 300.320(a)(4), 30
                                                                                                   IEP?
              services to be provided?                                                                                                     EC 56345.
                                                                                                   Are the times when the
              Does the IEP for the preschool age student                                           preschooler will not be in regular
              include an explanation of the extent, if any, to                                     preschool noted on the IEP with         34 CFR 300.17, 34 CFR
7-4-2.4       which the student will not participate with typical   Must be included in the IEP.   the reasons why not? This is            300.320(a)(5), 34 CFR
              preschool students in the general education                                          generally recorded as a                 300.116, 30 EC 56345.
              (preschool) class?                                                                   percentage of the school day.
                                                                                                   Done
                                                                                                   Are the times when the
              Does the IEP for the preschool age student                                                                                   20 USC
                                                                                                   preschooler will not be in regular
              include an explanation of the extent, if any, to                                                                             1414(d)(1)(A)(i)(V), 34
                                                                                                   preschool noted on the IEP with
7-4-2.5       which the student will not participate with typical   Must be included in the IEP.                                           CFR 300.17, 34 CFR
                                                                                                   the reasons why not? This is
              preschool students in the general education                                                                                  300.320(a)(5), 34 CFR
                                                                                                   generally recorded as a
              (preschool) class?                                                                                                           300.116, 30 EC 56345.
                                                                                                   percentage of the school day.
              Does the IEP for the preschool age student                                           If there is a district-wide
                                                                                                                                           20 USC
              include a statement of the individual                                                assessment of preschoolers, are
                                                                                                                                           1414(d)(1)(A)(i)(V), 34
7-4-2.6       accommodations in the administration of District   Must be included in the IEP.      there modifications for special
                                                                                                                                           CFR 300.320(a)(6), 30
              wide assessment of pre-school age students, if the                                   education children written on the
                                                                                                                                           EC 56345.
              need exists?                                                                         IEP?
Item Number                    Compliance Test                           Compliance Standard                      Other Guidance                 Legal Citations

              Does the IEP for the preschool age student
              include: a) a description of how the student’s
              progress toward meeting the annual goals
              described will be measured, b) a description of
              when periodic reports on the progress the student
                                                                                                         For each child, is there a
              is making toward meeting the annual goals (such
                                                                                                         statement of how and when
              as through the use of quarterly or other periodic                                                                             20 USC
                                                                                                         progress will be reported to the
              reports, concurrent with the issuance of report                                                                               1414(d)(1)(A)(i)(III), 34
7-4-2.8                                                             Must be included in the IEP.         parents? Is there evidence that
              cards) will be provided, c) a statement of how the                                                                            CFR 300.320(a)(3), 30
                                                                                                         service providers are completing
              student’s parents will be regularly informed by                                                                               EC 56345.
                                                                                                         and sending these reports to
              such means as periodic report cards at least as
                                                                                                         parents?
              often as are parents of nondisabled students
              regarding progress toward annual goals, d) a
              statement of the extent to which that progress will
              enable the student to achieve the annual goals by
              year’s end?


                                                                     There must be evidence that a
                                                                     general education preschool
                                                                     teacher was included in the IEP
                                                                     team if the student is or may be
                                                                     participating in the general
                                                                     education environment. This
                                                                     evidence would include a
              Does each preschool age student’s IEP team
                                                                     signature on the IEP of the                                            20 USC
              include at least one general education preschool
7-4-3                                                                general education provider                                             1414(d)(1)(B)(ii), 34
              teacher, if the student is, or may be participating in
                                                                     and/or notes indicating                                                CFR 300.321(a)(2).
              a general education environment?
                                                                     involvement in the meeting.
                                                                     Absence of a general
                                                                     education preschool teacher
                                                                     may occur when the student
                                                                     will spend no time with typically
                                                                     developing peers in the general
                                                                     education environment.

Preschool FAPE
Item Number                     Compliance Test                            Compliance Standard                  Other Guidance                  Legal Citations
                                                                                                                                            20 USC 1412(a), 34
                                                                                                                                            CFR 300.101, 34 CFR
               Does the LEA provide special education and
                                                                                                                                            300.109, 30 EC 56000,
7-5-1          related services to all students, three to five years
                                                                                                                                            30 EC 56040, 30 EC
               of age, who are eligible?
                                                                                                                                            56026(c)(2), 30 EC
                                                                                                                                            56440 (c).
               Does the LEA provide special education and
                                                                                                     Interview parents and staff
               related services to all students, three to five years
                                                                       Must be documented in student (including regular preschool staff),   20 USC 1412(a), 34
               of age, who are eligible for special education and
7-5-1.1                                                                record. Must be confirmed by to determine if special education       CFR 300.17(a), 34 CFR
               are services provided at public expense, under
                                                                       staff and parent interviews.  and related services are provided      300.101.
               public supervision, and without charge to the
                                                                                                     without charge to parents.
               parents?
                                                                                                     Interview parents and staff
               Does the LEA provide special education and                                            (including regular preschool staff),
               related services at public expense, under public                                      to determine if special education
                                                                       Must be documented in student                                       20 USC 1412(a), 34
               supervision, and without charge to the parents, to                                    and related services are provided
7-5-1.2                                                                record. Must be confirmed by                                        CFR 300.17(d), 34 CFR
               all students, three to five years of age who are                                      as written in the IEP. Allegations of
                                                                       staff and parent interviews.                                        300.101.
               eligible and are services provided in conformity                                      noncompliance should be checked
               with the student’s IEP?                                                               using attendance records or
                                                                                                     service provider logs.
              Is there evidence that, to the maximum extent
                                                                                                     Does the student's IEP contain
              appropriate, preschool age students are educated
                                                                                                     evidence that general education
              with students who are not disabled and special
                                                                                                     preschool was considered for
              classes, separate schooling and other removal
                                                                       Must be documented in student each child? Is the reason stated
              from the general education environment occurs                                                                             20 USC 1412 (a)(5), 34
7-5-2                                                                  record. Must be confirmed by why general education preschool
              only when the nature or severity of the disability of                                                                     CFR 300.114.
                                                                       staff and parent interviews.  was rejected? Were these
              the student is such that education in general
                                                                                                     considerations noted on the IEP?
              education preschool classes (with the use of
                                                                                                     This can be confirmed by staff and
              supplementary aids and services) cannot be
                                                                                                     parent interview.
              satisfactorily achieved?
Preschool Service Delivery
                                                                                                    Interview staff and parents about
                                                                                                    the program. Observe in the
                                                                    Individual student services may
                                                                                                    classroom as appropriate. Review
                                                                    be individual or group both of
                                                                                                    other documentation that the
               Is there evidence that the preschool program         which are part of the continuum
7-6-1                                                                                               district maintains (e.g., program 30 EC 56441.2.
               includes both individual and small group activities? of options available. The
                                                                                                    brochures, service logs, lesson
                                                                    student's IEP must identify the
                                                                                                    plans, daily/weekly schedules,
                                                                    level of service provided.
                                                                                                    etc.). Review the SELPA Annual
                                                                                                    Service Plan.
Item Number                    Compliance Test                          Compliance Standard                    Other Guidance                 Legal Citations

                                                                    Required elements include:
                                                                    observing and monitoring
                                                                    behavior and development,
                                                                    presenting developmentally
                                                                    appropriate activities,            'Interview staff and parents about
                                                                    interaction and consultation,      the program. Observe in the
                                                                    coordination, providing            classroom as appropriate. Review
                                                                    opportunities for play and         other documentation that the
              Is there evidence that early education services for
7-6-2                                                               exploration, providing access to   district maintains (e.g., program  30 EC 56441.3(a).
              preschool include required elements?
                                                                    appropriate equipment and          brochures, service logs, lesson
                                                                    specialized materials, providing   plans, daily/weekly schedules,
                                                                    related services which include     etc.). Review the SELPA Annual
                                                                    parent counseling and training,    Service Plan.
                                                                    and provision for group
                                                                    services up to four hours a day
                                                                    unless determined otherwise
                                                                    by an IEP team.

                                                                                                       Interview staff and parents about
                                                                    District must maintain             the program. Observe in the
              Is there evidence that early education services for
                                                                    documentation of observation       classroom as appropriate. Review
              preschool include required elements such as,
7-6-2.1                                                             and monitoring of the child's      other documentation that the      30 EC 56441.3.
              observing and monitoring the student’s behavior
                                                                    behavior in the various settings   district maintains (e.g., program
              and development in his/her environment?
                                                                    assigned through the IEP.          brochures, service logs, lesson
                                                                                                       plans, daily/weekly schedules).

                                                                                                       Interview staff and parents about
              Is there evidence that early education services for                                      the program. Observe in the
              preschool include required elements such as                                              classroom as appropriate. Review
                                                                    District must maintain
7-6-2.2       presenting developmentally appropriate activities                                        other documentation that the      30 EC 56441.3.
                                                                    documentation.
              that are specially designed to enhance the                                               district maintains (e.g., program
              student’s development?                                                                   brochures, service logs, lesson
                                                                                                       plans, daily/weekly schedules).
Item Number                    Compliance Test                           Compliance Standard            Other Guidance                 Legal Citations
                                                                                               Interview staff and parents about
                                                                                               the program. Observe in the
              Is there evidence that early education services for                              classroom as appropriate. Review
              preschool include required elements such as                                      other documentation that the
                                                                     District must maintain
7-6-2.3       interacting and consulting with family members,                                  district maintains (e.g., program 30 EC 56441.3.
                                                                     documentation.
              general education preschool teachers, and other                                  brochures, service logs, lesson
              service providers?                                                               plans, daily/weekly schedules).
                                                                                               Review the SELPA Annual Service
                                                                                               Plan.
                                                                                               Interview staff and parents about
                                                                                               the program. Observe in the
              Is there evidence that early education services for                              classroom as appropriate. Review
              preschool include required elements such as            District must maintain    other documentation that the
7-6-2.4                                                                                                                          30 EC 56441.3.
              assisting parents to seek and coordinate other         documentation.            district maintains (e.g., program
              services?                                                                        brochures, service logs, lesson
                                                                                               plans, daily/weekly schedules,
                                                                                               etc.).
                                                                                               Interview staff and parents about
                                                                                               the program. Observe in the
              Is there evidence that early education services for
                                                                                               classroom as appropriate. Review
              preschool include required elements such as
                                                                     District must maintain    other documentation that the
7-6-2.5       providing opportunities for students to participate                                                                30 EC 56441.3.
                                                                     documentation.            district maintains (e.g., program
              in play and exploration activities, to develop self-
                                                                                               brochures, service logs, lesson
              esteem, and to develop pre-academic skills?
                                                                                               plans, daily/weekly schedules,
                                                                                               etc.).
                                                                                               Interview staff and parents about
                                                                                               the program. Observe in the
              Is there evidence that early education services for
                                                                                               classroom as appropriate. Review
              preschool include required elements such as            District must maintain
7-6-2.6                                                                                        other documentation that the      30 EC 56441.3.
              providing access to developmentally appropriate        documentation.
                                                                                               district maintains (e.g., program
              equipment and specialized materials?
                                                                                               brochures, service logs, lesson
                                                                                               plans, daily/weekly schedules).

                                                                                               Check the IEP for documentation
              Is there evidence that early education services for
                                                                     District must maintain    of specific related services. Check
7-6-2.7       preschool include required elements such as the                                                                       30 EC 56441.3.
                                                                     documentation.            service provider logs, if necessary,
              provision of related services?
                                                                                               to corroborate delivery of services.
Item Number                    Compliance Test                          Compliance Standard            Other Guidance                    Legal Citations

              Is there evidence that the duration of group                                    If group services are provided are
                                                                District must maintain
7-6-3         services does not exceed four hours per day                                     they limited to 4 hours daily unless   30 EC 56441.3(b).
                                                                documentation.
              unless determined otherwise in the student’s IEP?                               specified in the IEP?
                                                                                              Review a sample of student IEPs
                                                                                              for notations on considered
              Is there evidence that early education services for                             options. Are all of the children
                                                                    District must maintain
7-6-4         preschool age students take place in the                                        served in one or a combination of      30 EC 56441.4.
                                                                    documentation.
              appropriate settings?                                                           the appropriate preschool
                                                                                              settings? Review the SELPA
                                                                                              Annual Service Plan.
              Is there evidence that early education services for                             Review a sample of student IEPs.
              preschool age students take place in the              District must maintain    Are all of the children served in
7-6-4.1                                                                                                                              30 EC 56441.4.
              appropriate settings such as the regular public or    documentation.            one or a combination of the
              private nonsectarian preschool program?                                         appropriate preschool settings?

              Is there evidence that early education services for                             Review a sample of student IEPs.
              preschool age students take place in the              District must maintain    Are all of the children served in
7-6-4.2                                                                                                                              30 EC 56441.4.
              appropriate settings such as the student              documentation.            one or a combination of the
              development center or family day care home?                                     appropriate preschool settings?

              Is there evidence that early education services for                             Review a sample of student IEPs.
              preschool age students take place in the              District must maintain    Are all of the children served in
7-6-4.3                                                                                                                              30 EC 56441.4
              appropriate settings such as the student’s regular    documentation.            one or a combination of the
              environment that may include the home?                                          appropriate preschool settings?
              Is there evidence that early education services for
              preschool age students takes place in the
                                                                                              Review a sample of student IEPs.
              appropriate settings such as a special site where
                                                                    District must maintain    Are all of the children served in
7-6-4.4       preschool programs for both disabled and typically                                                                     30 EC 56441.4.
                                                                    documentation.            one or a combination of the
              developing students are located close to each
                                                                                              appropriate preschool settings?
              other and have an opportunity to share resources
              and programming?
              Is there evidence that early education services for
              preschool age students takes place in the                                       Review a sample of student IEPs.
              appropriate settings such as a special education      District must maintain    Are all of the children served in      34 CFR 300.114(a)(2),
7-6-4.5
              preschool program that includes students who are      documentation.            one or a combination of the            30 EC 56441.4.
              not disabled and who participate for all or part of                             appropriate preschool settings?
              the program?
Item Number                     Compliance Test                          Compliance Standard              Other Guidance                     Legal Citations
               Is there evidence that early education services for
                                                                                                 Review a sample of student IEPs.
               preschool age students takes place in the
                                                                     District must maintain      Are all of the children served in
7-6-4.6        appropriate settings such as a public school                                                                              30 EC 56441.4.
                                                                     documentation.              one or a combination of the
               setting which provides an age-appropriate
                                                                                                 appropriate preschool settings?
               environment, materials, and services?
                                                                                                 Review a sample of student IEPs.
               Is there evidence that the LEA uses the
                                                                     District must maintain      Are all of the children served in
7-6-5          appropriate adult to student ratios for group                                                                             30 EC 56441.5.
                                                                     documentation.              one or a combination of the
               services for preschool?
                                                                                                 appropriate preschool settings?
               Is there evidence that the LEA uses the                                           Review District caseload and staff
                                                                     District must maintain
               appropriate adult to student ratios for group                                     assignments for preschool classes
7-6-5.1                                                              documentation. See EC                                          30 EC 56441.5.
               services, adult-to-student ratios less than 1 to 6                                operated by the LEA to determine
                                                                     56441.5 regarding ratios.
               for preschool age students with disabilities?                                     adult to student ratios.
               Is there evidence that the LEA uses the                                           Review District caseload and staff
               appropriate adult-to-student ratios of 1 to 5 for     District must maintain      assignments for preschool classes
7-6-5.2                                                                                                                             30 EC 56441.5.
               preschool age students identified as having severe    documentation.              operated by the LEA to determine
               disabilities?                                                                     adult to student ratios.
                                                                                                 Interview staff and parents about
                                                                                                 the program. Observe in the
               Is there evidence that services for preschool age
                                                                                                 classroom as appropriate. Review
               students are provided through a transdisciplinary
                                                                                                 other documentation that the
               team consisting of a group of professionals from      District must maintain
7-6-6                                                                                            district maintains (e.g., program       30 EC 56441.6.
               various disciplines and parents, who share their      documentation.
                                                                                                 brochures, service logs, lesson
               expertise to provide appropriate services to
                                                                                                 plans, daily/weekly schedules).
               students and families?
                                                                                                 Review the IEP for participant
                                                                                                 signatures and goal responsibility.

Infants and Toddlers
Identification and Referral
                Is there documentation that LEA’s conduct child
                                                                                                 Interview program staff. Inquire
                find activities to locate all infants and toddlers,                                                                      20 USC 1412(a)(3)(A),
                                                                                                 about child find efforts - ads,
                including infants and toddlers with disabilities who                                                                     20 USC 1435(a)(5), 20
                                                                     District must maintain      flyers, presentations, screening
8-1-1           are homeless students and their families, and                                                                            USC 1437(b)(7), 30 EC
                                                                     documentation.              clinics, etc. Review referral logs to
                infants and toddlers with disabilities who are wards                                                                     56301, 17 CCR 52040
                                                                                                 determine the number and type of
                of the State who may be eligible for early                                                                               (a) - (e).
                                                                                                 referrers.
                intervention services?
Item Number                    Compliance Test                             Compliance Standard                    Other Guidance                   Legal Citations
                                                                                                        Secure a copy of interagency
                                                                                                        agreement. Inquire about the
                                                                                                                                               20 USC 1435(a)(5), 17
              Is there evidence that LEA’s coordinate child find,                                       process of cross referral,
                                                                       District must maintain                                                  CCR 52140(b)(2), 17
8-1-2         intake, evaluation, assessment, and individualized                                        assessment, and IFSP
                                                                       documentation.                                                          CCR 52040, 14 GC
              family service plans with Regional Centers?                                               development when a child is first
                                                                                                                                               95014(d).
                                                                                                        referred to the LEA? To the
                                                                                                        Regional Center?
                                                                                                 Review the record to determine if
                                                                                                 the child was initially referred to
                                                                                                 the regional center. The reviewer
                                                                Must be documented in student
              Is there documentation in the record when the LEA                                  must determine the point at which
                                                                record, if child was referred to
8-1-3         receives an oral or written referral for early                                     the district's responsibilities for the 17 CCR 52060.
                                                                the LEA before the regional
              intervention?                                                                      various evaluation, assessment,
                                                                center.
                                                                                                 and IFSP development and
                                                                                                 implementation functions
                                                                                                 becomes established.
                                                                                                        Date of initial referral must be in
              When the LEA receives an oral or written referral        Must be documented in student
                                                                                                        the child's file or on their IFSP.
              for early intervention, is there documentation that      record, if child was referred to
8-1-3.1                                                                                                 Was the child directly referred to     17 CCR 52060.
              the date of the referral is documented in the            the LEA before the regional
                                                                                                        the district or was the child
              infant’s or toddler’s record?                            center.
                                                                                                        referred from the regional center?
                                                                                                        The initial assignment of a service
                                                                                                        coordinator to conduct evaluation
                                                                    District records must include
              When the LEA receives an oral or written referral                                         and assessment functions may be        34 CFR 303.321(e), 17
                                                                    assignment of (interim) service
              for early intervention, is there documentation that a                                     found in the student file in their     CCR 52060, 17 CCR
8-1-3.2                                                             coordinator if the child was
              service coordinator is assigned to coordinate                                             Assessment Plan. Is a district staff   52120(a), 17 CCR
                                                                    referred to the LEA before the
              evaluations and assessments?                                                              designated as the service              52121(a)(7).
                                                                    regional center.
                                                                                                        coordinator for evaluation and
                                                                                                        assessment?

              When the LEA receives an oral or written referral
                                                                                                         Separate notice of referral or
              for early intervention, is there documentation that      Must be documented in student
                                                                                                         information on the signed        34 CFR 303.403, 17
              the parent is provided with a written notice             record if LEA staff is identified
8-1-3.3                                                                                                  Assessment Plan that the         CCR 52060(c), 17 CCR
              regarding the proposal to initiate the identification,   as service coordinator for the
                                                                                                         Assessment Plan also serves as a 52161(a).
              evaluation and assessment of the student’s needs         child/family.
                                                                                                         notice of referral.
              for early intervention services?
EIS - Evaluation and Assessment
Item Number                   Compliance Test                          Compliance Standard                      Other Guidance                    Legal Citations
                                                                   Determine if the district or       If the regional center received the
                                                                   regional center was                referral and was designated as the
              Is there evidence that all evaluations and           responsible for the initial        service coordinator, the district is
8-2-1
              assessments:                                         evaluation, assessments and        held responsible for evaluation
                                                                   determination of eligibility for   and assessment they agreed to
                                                                   early intervention services.       conduct.
                                                                   If the district was responsible    Check job titles of personnel listed
              Is there evidence that all evaluations and           for completing the                 on the Assessment Plan. Look for
                                                                                                                                           34 CFR 303.322(b), 17
8-2-1.1       assessments are conducted by qualified               assessments, district must         licenses, credentials, academic
                                                                                                                                           CCR 52082.
              personnel?                                           maintain documentation of staff    degrees, professional
                                                                   qualifications.                    designations.
                                                                   If the district was responsible
                                                                   for completing the                 Check the staff assigned to
              Is there evidence that all evaluations and
                                                                   assessments, district must         conduct assessments. Look at            34 CFR 303.322(a)(1),
8-2-1.2       assessments are conducted by multidisciplinary
                                                                   have evidence that                 the job titles of personnel listed in   17 CCR 52082.
              teams?
                                                                   assessments were                   assessment report.
                                                                   multidisciplinary.
                                                                   If the district was responsible
              Is there evidence that all evaluations and                                              Check the Assessment Report(s).         34 CFR
                                                                   for completing the
              assessments include a review of pertinent records                                       Check to see if there is a recent       303.322(c)(3)(i), 17
8-2-1.3                                                            assessments, district must
              related to the infant or toddler’s health status and                                    health appraisal report. This is        CCR 52084, 17 CCR
                                                                   have evidence of review of
              medical history?                                                                        usually done by the school nurse.       52082(b).
                                                                   health information.
                                                                   If the district was responsible
                                                                   for completing the                 Check the Assessment Report. If
              Is there evidence that all evaluations and
                                                                   assessments, district must         necessary, ask district staff how       17 CCR 52082(b)(2), 17
8-2-1.4       assessments include information obtained from
                                                                   have evidence of parent            the district obtains information        CCR 52084)(c)(2).
              parental observation and report?
                                                                   observation or review of parent    from parents.
                                                                   information if any was provided.

              Is there evidence that evaluation and assessment
              includes a determination of the student’s level of   If the district was responsible    The Assessment Report includes          34 CFR
              functioning in cognitive development, physical and   for completing the                 information in all five areas and       303.322(c)(3)(ii), 17
8-2-1.5
              motor development (including vision and hearing),    assessments, district must         also vision and hearing                 CCR 52084(a)(1), 17
              communication development, social or emotional       maintain documentation.            assessment.                             CCR 52082(b)(3).
              development, and adaptive development?
Item Number                    Compliance Test                           Compliance Standard                      Other Guidance                 Legal Citations
              Is there evidence that evaluation and assessment
              includes the identification of the unique strengths
              and needs of the student in each of the               If the district was responsible                                          34 CFR
                                                                                                         The Assessment Report should
              developmental areas (cognitive development,           for completing the                                                       303.322(c)(3)(iii), 17
8-2-1.6                                                                                                  note the child's strengths and
              physical and motor development (including vision      assessments, district must                                               CCR 52084, 17 CCR
                                                                                                         needs.
              and hearing); communication development, social       maintain documentation.                                                  52082(b)(3).
              or emotional development, and adaptive
              development)?
                                                                    If the district was responsible      The Assessment Report should
                                                                    for completing the                   state the location(s) where
              Is there evidence that all evaluations and            assessments and determining          assessment was conducted.
8-2-1.7       assessments are conducted in natural                  eligibility for early intervention   Natural environments means the      17 CCR 52084(e).
              environments whenever possible?                       services, the district must          home and other settings that are
                                                                    maintain documentation of            natural or normal for the child's
                                                                    assessment location(s).              age peers who have no disabilities.

              Is there evidence that infants and toddlers with
              solely low incidence disabilities are evaluated and                                                                            34 CFR 303.322, 34
                                                                  District must maintain                 Job titles of assessors should
8-2-2         assessed by qualified personnel of the LEA whose                                                                               CFR 303.323(d), 17
                                                                  documentation.                         include low incidence assessors.
              professional preparation, license or certification                                                                             CCR 52082(g).
              are specific to the suspected disability?

                                                                                                         If the regional center received the
                                                                    There must be evidence that
                                                                                                         referral and was designated as the
                                                                    the district uses                                                        20 USC
              Is there evidence that the LEA uses non-                                                   service coordinator, the district
8-2-3                                                               nondiscriminatory assessment                                             1414(b)(3)(A)(i), 34
              discriminatory evaluation procedures?                                                      can only be held responsible for
                                                                    procedures in all evaluations                                            CFR 303.323(b).
                                                                                                         evaluation and assessments they
                                                                    that they conduct.
                                                                                                         agreed to conduct.
              Is there evidence that the LEA uses non-
                                                                                                         Review information about the        21 USC
              discriminatory evaluation procedures to ensure
                                                                  If the district was responsible,       language of the family. Check the   1414(b)(3)(A)(ii), 34
              that tests and other evaluation materials are
8-2-3.1                                                           the student record must                Assessment Report or other          CFR 303.323(a), 17
              administered in the language of the family's choice
                                                                  contain evidence.                      documentation for the language      CCR 52084(d)(4), 17
              or other mode of communication, unless it is
                                                                                                         used in the student's assessment.   CCR 52082(f).
              clearly not feasible to do so?
Item Number                     Compliance Test                           Compliance Standard                      Other Guidance                     Legal Citations

              Is there evidence that the LEA uses non-
                                                                     If the district was responsible
              discriminatory evaluation procedures to ensure
                                                                     for completing the                   Check Assessment Reports for a          20 USC
              that any standardized tests or instruments used to
                                                                     assessments and determining          discussion of the suitability and       1414(b)(3)(A)(i), 34
8-2-3.2       assess students with impaired sensory, motor or
                                                                     eligibility for early intervention   appropriateness of the                  CFR 303.323(b), 17
              speaking skills accurately reflect the student’s
                                                                     services, the district must          assessment.                             CCR 52082(d).
              aptitude, developmental level or any other factors
                                                                     maintain documentation.
              the test purports to measure?
              Is there evidence that the LEA uses non-
                                                                                                                                                  20 USC
              discriminatory evaluation procedures to ensure         If the district was responsible,     Check Assessment Reports for
                                                                                                                                                  1414(b)(2)(A)(i), 34
8-2-3.3       that any assessment and evaluation procedures          the student record must              discussion of the validity of the
                                                                                                                                                  CFR 303.323(a)-(d), 17
              are selected and administered so as not to be          contain evidence.                    assessment.
                                                                                                                                                  CCR 52082(f).
              racially or culturally discriminatory?
                                                                                                          The child's eligibility must be
              Is there evidence that the LEA uses non-                                                    determined through more than one        20 USC 1414
                                                                     If the district was responsible,
              discriminatory evaluation procedures to ensure                                              assessment procedure. Check             (b)(2)(A)(i), 34 CFR
8-2-3.4                                                              the student record must
              that no single procedure is used as the sole                                                the Assessment Report and other         303.323(c), 17 CCR
                                                                     contain evidence.
              criterion for determining the student’s eligibility?                                        documentation for multiple              52082(c).
                                                                                                          assessment methods.
                                                                                                          Determine if the district or regional
                                                                     If the district was responsible
                                                                                                          center was responsible for the
                                                                     for completing the                                                           20 USC 1436(a)(2), 34
                                                                                                          evaluation. Parent must consent to
              Is there documentation that assessments include        assessments and determining                                                  CFR 303.322(d)(1)(ii),
8-2-4                                                                                                     a family assessment. Information
              a family assessment?                                   eligibility for early intervention                                           14 GC 95016(a), 17
                                                                                                          secured during the family
                                                                     services, the district must                                                  CCR 52084(d).
                                                                                                          assessment may be recorded on
                                                                     maintain documentation.
                                                                                                          the IFSP.

                                                                                                          Determine if the district or regional
                                                                     If the district was responsible
                                                                                                          center was responsible for the
                                                                     for completing the
              Is there documentation that all infant and toddler                                          evaluation. Parent must consent to 34 CFR 303.322(d)(2),
                                                                     assessments and determining
8-2-4.1       assessments include a family assessment and                                                 a family assessment. Information 14 GC 95616(a), 17
                                                                     eligibility for early intervention
              that it is voluntary on the part of the family?                                             secured during the family             CCR 52084(d).
                                                                     services, the district must
                                                                                                          assessment may be recorded on
                                                                     maintain documentation.
                                                                                                          the IFSP.
Item Number                    Compliance Test                             Compliance Standard                      Other Guidance                    Legal Citations

                                                                      If the district was responsible
              Is there documentation that all assessments             for completing the                   Check Assessment Reports. Ask
              include a family assessment and that it is based        assessments and determining          district staff how this is done;      34 CFR 303.322(a)(2),
8-2-4.2
              on information provided by the family through a         eligibility for early intervention   follow-up with parent interview, if   17 CCR 52084(d)(2).
              personal interview?                                     services, the district must          necessary.
                                                                      maintain documentation.

              Is there documentation that all assessments             If the district was responsible
              include a family assessment and that it                 for completing the
              incorporates the family’s description of its            assessments and determining          Check Assessment Reports and          34 CFR 303.322, 17
8-2-4.3
              resources, priorities and concerns related to           eligibility for early intervention   the IFSP.                             CCR 52084(d)(3).
              enhancing the development of the infant or              services, the district must
              toddler?                                                maintain documentation.

                                                                      If the district was responsible
              Is there documentation that all assessments
                                                                      for completing the
              include a family assessment that it is conducted in                                                                                34 CFR 303.322(d)(2)
                                                                      assessments and determining          Check Assessment Reports and
8-2-4.4       the language of the family’s choice or other mode                                                                                  and 34 CFR 303.323(a),
                                                                      eligibility for early intervention   the IFSP.
              of communication unless it is clearly not feasible to                                                                              17 CCR 52084(a)(4).
                                                                      services, the district must
              do so?
                                                                      maintain documentation.


                                                                      If the district was responsible
                                                                      for completing the                   Determine if the district or regional
              Is there documentation that all evaluations and         assessments and determining          center was responsible for the
                                                                                                                                                 34 CFR 303.321(e), 34
              assessments are completed within 45 days of the         eligibility for early intervention   evaluation and assessment.
8-2-5                                                                                                                                            CFR 303.322(e), 17
              date that the LEA or regional center received the       services, district must maintain                               Compare
                                                                                                                                                 CCR 52086(a).
              referral?                                               documentation that the               date of initial referral with date of
                                                                      evaluations and assessments          IFSP (should be 45 days or less).
                                                                      were completed within 45 days.


                                                                                                           'Determine if the district or regional
                                                                      If the district was responsible      center was responsible for the
                                                                      for completing the                   evaluation and assessment.
              Is there documentation in the student's record in
                                                                      assessments and determining          Exceptional circumstances must         34 CFR
              the event that the evaluation and assessment are
8-2-6                                                                 eligibility for early intervention   documented and can only be             303.322.(e)(2)(i), 17
              not completed within 45 days of the date that the
                                                                      services, the district must          events beyond the control of the       CCR 56086(b)(1).
              LEA or regional center received the referral?
                                                                      maintain documentation of            LEA, such as the child or family's
                                                                      exceptional circumstances.           illness, absence, or natural
                                                                                                           disaster.
Item Number                          Compliance Test                            Compliance Standard                       Other Guidance                   Legal Citations

                                                                                                                For incomplete assessments,
                                                                                                                there must be a statement of
                    In the event that the evaluation and assessment        If the district was responsible
                                                                                                                exceptional circumstances and an
                    were not completed within 45 days of the date that     for completing the
                                                                                                                alternative date of completion in
                    the LEA or regional center received the referral, is   assessments and determining
                                                                                                                the file. Exceptional circumstances 34 CFR 303.322.(e)(2),
8-2-6.1             there documentation in the student’s record of         eligibility for early intervention
                                                                                                                do not mean LEA operational         17 CCR 52086(b)(3).
                    exceptional circumstances and of an alternative        services, district must maintain
                                                                                                                problems. Exceptional
                    completion date that has been agreed to by the         documentation of exceptional
                                                                                                                circumstances are defined as
                    parent?                                                circumstances.
                                                                                                                situations that prevent the family
                                                                                                                from being available.

                    In the event that the evaluation and assessment
                                                                           If the district was responsible
                    are not completed within 45 days of the date that
                                                                           for completing the
                    the LEA or regional center received the referral, is
                                                                           assessments and determining          An interim IFSP should be in the
                    there documentation in the student's record of                                                                                     34 CFR 303.322.(e)(2),
8-2-6.2                                                                    eligibility for early intervention   file and services should be in
                    exceptional circumstances and that the student                                                                                     17 CCR 52086(c)(4).
                                                                           services, district must maintain     place.
                    has been determined eligible and an interim
                                                                           the documentation of
                    Individualized Family Service Plan has been
                                                                           exceptional circumstances.
                    developed and services initiated?

                                                                         If the district was responsible
                                                                         for completing the
                    In the event that the evaluation and assessment
                                                                         assessments and determining
                    are not completed within 45 days of the date that                                           There should be a parent request
                                                                         eligibility for early intervention
                    the LEA or regional center received the referral, is                                        for extension in the file. The
8-2-6.3                                                                  services, the district must                                                   17 CCR 52086(c)(4).
                    there documentation in the student’s record of a                                            request for an extension must be
                                                                         maintain documentation of
                    parent’s signed request for extension of the 45 day                                         originated by the parent.
                                                                         exceptional circumstances and
                    timeline?
                                                                         the parent request for an
                                                                         extension.

EIS - Eligibility

                                                                           If the district was responsible
                                                                                                                                                       34 CFR 303.344(a)(1)
                    Is there evidence in the student’s record that the     for completing the evaluation
                                                                                                                 Look for a statement of eligibility   and (2), 5 CCR 3030,
8-3-1               IFSP team found the student eligible for special       and assessments to determine
                                                                                                                 on IFSP.                              17 CCR 52106(b)(2)
                    education and related services?                        the child's eligibility, the district
                                                                                                                                                       and (3).
                                                                           must maintain documentation.
Item Number                    Compliance Test                            Compliance Standard                         Other Guidance                 Legal Citations

                                                                     If the district was responsible
                                                                                                             Assessment Reports should
              Is there evidence that no single procedure is used     for completing the evaluation                                               34 CFR 303.323 (c), 5
                                                                                                             reference several tests and may
8-3-2         as the sole criterion for determining an infant’s or   and assessments to determine                                                CCR 3030, 17 CCR
                                                                                                             also include information provided
              toddler’s eligibility?                                 the child's eligibility, the district                                       52082(c).
                                                                                                             by parents.
                                                                     must maintain documentation.

              Is there evidence that each student found eligible
              for special education and related services through
              the LEA satisfy all of the following: a) Is younger
              than 3 years of age, b) Has a disabling condition
              as defined in 5 CCR 3030, and c) Has a need for
              intensive special education and services because
                                                                                                                                                 17 CCR 52110, 17 CCR
              the student is: 1) functioning at or below 50% of      Must be documented in student Check the student folder. Look at
8-3-3                                                                                                                                            52022, 5 CCR 3030, 5
              his chronological age in any one of the skill areas    records.                      the child's IFSP.
                                                                                                                                                 CCR 3031.
              identified in 5 CCR 3031; or 2) functioning
              between 51% and 75% of his chronological age in
              any two skill areas identified in 5 CCR 3031; or 3)
              Has a condition of known etiology which has a
              high probability of resulting in developmental
              delay?

                                                                     District must have evidence in          Evidence should be in the         34 CFR 303.343, 17
8-3-3.1       * Is younger than 3 years of age,
                                                                     student records.                        Assessment Report or in the IFSP. CCR 52104(a)-(c).

              * Has a disabling condition as defined in 5 CCR        District must have evidence in          Evidence should be in the
8-3-3.2                                                                                                                                        5 CCR 3030-3031.
              3030, and                                              student records.                        Assessment Report or in the IFSP.

              * Has a need for intensive special education and       District must have evidence in          Evidence should be in the         17 CCR 52110, 5 CCR
8-3-3.3
              services because the child is:                         student records.                        Assessment Report or in the IFSP. 3031

              Is there evidence that each student found eligible
              for special education and related services through
              the LEA is under 3 years of age, has a disabling
                                                                                                             Evidence of a 50% delay should      17CCR 52110(b)(1), 5
              condition as defined in 5 CCR 3030 and has a           District must have evidence in
8-3-3.3.1                                                                                                    be in the Assessment Report or in   CCR 3031(a)(1) and
              need for intensive special education and related       student records.
                                                                                                             the IFSP.                           (a)(2)(A).
              services because the student is functioning at or
              below 50% of his chronological age in any one of
              the skill areas identified in 5 CCR 3031?
Item Number                    Compliance Test                        Compliance Standard                  Other Guidance                 Legal Citations

              Is there evidence that each IFSP's for infants and
              toddlers found eligible for special education and
              related services through the LEA is under 3 years
              of age, has a disabling condition as defined in 5                                   Evidence of a delay of 51% to
                                                                 District must have evidence in
8-3-3.3.2     CCR 3030, has a need for intensive special                                          75% delay should be in the        17 CCR 52110(b)(2)
                                                                 student records.
              education and related services because the IFSP's                                   Assessment Report or in the IFSP.
              for infants and toddlers is functioning between
              51% and 75% of his chronological age in any two
              skill areas identified in 5 CCR 3031?
              Is there evidence that each IFSPs for infants and
              toddlers found eligible for special education and
              related services through the LEA is under 3 years
                                                                                                                                     17 CCR 52110(b)(3), 5
              of age has a need for intensive special education District must have evidence in    In Assessment Report or in IFSP,
8-3-3.3.3                                                                                                                            CCR 3031 (a)(1) and
              and related services because the IFSPs for infants student records.                 expressed as established risk.
                                                                                                                                     (a)(2)(E)
              and toddlers has a condition of known etiology
              which has a high probability of resulting in
              developmental delay?
                                                                                                  Information may be inferred from
                                                                                                  child's IFSP or other information in
                                                                                                  the child's record. Look for any
              Is there evidence that the LEA or a multi-                                          other agency's involvement in
              disciplinary team sponsored by the LEA has                                          providing services on the IFSP.
                                                                  Must not be documented in                                            14 GC 95014(d), 17
8-3-4         presumed or determined eligibility for any other                                    Try to determine if the other
                                                                  student records.                                                     CCR 52082(h).
              state or local government program or service? (If                                   agency determined the child's
              YES, the LEA is non-compliant).                                                     eligibility for their agency's
                                                                                                  services; the district must not
                                                                                                  presume a child's eligibility for
                                                                                                  another agency's program.
EIS - IFSP
                                                                                                                                     20 USC 1435(a)(4), 20
                                                                                                                                     USC 1436, 34 CFR
              Is there documentation that an IFSP has been
                                                                                                Pull a sample of records. Every      303.340, 30 EC 56032,
              developed and implemented for each infant or
                                                                  Must be documented in student student found eligible must have     30 EC 56340-1, 14 GC
8-4-1         toddler who has been evaluated, assessed and
                                                                  records.                      one (and only one) IFSP that is      95020(a), 30 EC
              determined eligible for early intervention by the
                                                                                                current.                             56340.1, 17 CCR
              LEA?
                                                                                                                                     52100, 17 CCR
                                                                                                                                     52102(a).
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                 Legal Citations
              Is there documentation that the IFSP for an infant
                                                                     The latest copies of IFSPs are                                        20 USC 1436(b), 34
              or toddler and the infant or toddler’s family is                                        On IFSP, check for dates of
                                                                     dated within six months. Must                                         CFR 303.342(b), 14 GC
8-4-2         reviewed every six months or more frequently if                                         periodic reviews, at least every six
                                                                     be documented in student                                              95020(e), 17 CCR
              service needs change, or if the parent requests                                         months.
                                                                     records.                                                              52102(b)(1).
              such a review?
                                                                                                                                        34 CFR 303.342(b) (i
              Does the documentation for each periodic review        Must be documented in student
8-4-3                                                                                                                                   and ii), 14 GC 95020(f),
              include:                                               records.
                                                                                                                                        17 CCR 52102(c)
              Does the documentation for each periodic review
                                                                     Must be documented in student                                      34 CFR 303.342(b)(i),
8-4-3.1       include the degree to which progress toward                                          Check periodic reviews on IFSP.
                                                                     records.                                                           17 CCR 52102(c)(1).
              achieving the outcomes is being made?
              Does the documentation for each periodic review
                                                                     Must be documented in student                                      34 CFR 303.342(b)(ii),
8-4-3.2       include all modifications or revisions of the                                        Check periodic reviews on IFSP.
                                                                     records.                                                           17 CCR 52102(c)(2).
              outcomes or services as necessary?
              Is there documentation that there is an annual
                                                                                                                                        34 CFR 303.342(c), 14
              meeting to review each student's IFSP (document        Must be documented in student Check IFSP for date of annual
8-4-4                                                                                                                                   GC 95020(f), 17 CCR
              the student's progress and revise the provisions of    records.                      meeting.
                                                                                                                                        52102(e).
              the IFSP)?
              Is there evidence that each IFSP meeting is
              conducted in settings and at times or by means
                                                                     Must be documented in student                                      34 CFR 303.342(d)(1),
8-4-5         that are reasonably convenient to the parent; and
                                                                     records.                                                           17 CCR 52102(g).
              in the language of the parent’s choice, unless it is
              clearly not feasible to do so?
                                                                                                   Check written notice to parents
              Is there evidence that the arrangements for each
                                                                                                   and team members of the IFSP         34 CFR
              meeting are made with, and written notice              Must be documented in student
8-4-6                                                                                              meeting. Check IFSP to see if        303.342(d)(1),17 CCR
              provided to the parent and other members of the        records.
                                                                                                   parent attended. Look for contact    52102(h).
              multidisciplinary team in a timely manner?
                                                                                                   logs or notes.
                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
              Is there documentation that each initial and annual the service coordinator and                                           34 CFR 303.343(a), 17
8-4-7
              IFSP meeting included the following participants:   was not responsible for                                               CCR 52104(a)-(c).
                                                                  developing the initial IFSP, it
                                                                  cannot be found non-compliant.
Item Number                   Compliance Test                           Compliance Standard                    Other Guidance                   Legal Citations

                                                                                                Look for parent signatures on
              Is there documentation that each initial and annual
                                                                  Must be documented in student IFSP. (Signatures are not legally          34 CFR 303.343(a)(i),
8-4-7.1       IFSP meeting included the parent of the infant or
                                                                  records.                      required.) There may be other              17 CCR 52104(a)(1).
              toddler?
                                                                                                evidence of parent attendance.
                                                                                                      Check signatures on IFSP for
                                                                                                      service coordinator. (Signatures     34 CFR
              Is there documentation that each initial and annual Service coordinator is required
8-4-7.2                                                                                               are not legally required.) There     303.343,(a)(1)(iv), 17
              IFSP meeting included the service coordinator?      to attend the IFSP.
                                                                                                      may be other evidence of             CCR 52104(a)(2).
                                                                                                      attendance.
              Is there documentation that each initial and annual
              IFSP meeting included the person(s) who
              conducted the evaluations and assessments? If                                           Check signatures on IFSP for
                                                                    Documentation in student
              the person was unable to attend a meeting, were                                         evaluators. Signatures are not
                                                                    record indicates the assessor
              arrangements made for the persons involvement                                           legally required.) There may be      34 CFR 303.343, 17
8-4-7.3                                                             either attended the IFSP or
              through other means, including-- (1) Participating                                      other indications of attendance or   CCR 52104(a)-(c).
                                                                    provided information by other
              in a telephone conference call; (2) Having a                                            participation. Look for copies of
                                                                    means.
              knowledgeable authorized representative attend                                          reports.
              the meeting; or (3) Making pertinent records
              available at the meeting?
              Is there documentation that each initial and annual                                   Check signatures on IFSP for
                                                                  If requested by parent, there                                            34 CFR
              IFSP meeting included other family members, an                                        advocates. (Signatures are not
8-4-7.4                                                           must be evidence of the                                                  303.343(a)(1)(iii), 17
              advocate and/or a person outside the family, if                                       legally required.) There may be
                                                                  request and an attempt to invite.                                        CCR 52104(b).
              requested by the parent?                                                              other indications of attendance.
                                                                                                    Check signatures on IFSP for
                                                                                                    service provider (Signatures are
              Is there documentation that each initial and annual If it is determined necessary     not legally required). There may
                                                                                                                                           34 CFR
              IFSP meeting included persons who will be           that the service provider attend, be other indications of
8-4-7.5                                                                                                                                    303.343(a)(1)(vi), 17
              providing services to the infant or toddler and     there must be evidence of         participation, e.g. telephone
                                                                                                                                           CCR 52104(c).
              family, as appropriate?                             attempts to arrange attendance. conference call or attendance by a
                                                                                                    knowledgeable authorized
                                                                                                    representative.
              Is there documentation that each periodic review      Must be documented in student                                          34 CFR 303.343, 17
8-4-8
              of the IFSP included the following participants:      records.                                                               CCR 52104(d).
              Is there documentation that each periodic review                                    Check signatures, or other
                                                                    Must be documented in student                                          34 CFR 303.343(d), 17
8-4-8.1       of the IFSP included the parent of the infant or                                    indications of attendance, on the
                                                                    records.                                                               CCR 52104(d)(4).
              toddler?                                                                            periodic reviews for parent.
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                     Legal Citations
                                                                                                    Check signatures of periodic
              Is there documentation that each periodic review   Must be documented in student                                              34 CFR 303.343(d), 17
8-4-8.2                                                                                             reviews for service coordinator. *
              of the IFSP included the service coordinator?      records.                                                                   CCR 52104(d)(2).
                                                                                                    Signature is required.
                                                                                                    Check signatures, or other
                                                                                                    indications of attendance, on
                                                                                                    periodic reviews for other family
              Is there documentation that each periodic review                                      members, advocates, etc. Note
                                                                 Evidence that LEA made
              of the IFSP included other family members, an                                         that these persons are not              34 CFR 303.343(d), 17
8-4-8.3                                                          provision for the participation of
              advocate and/or a person outside the family, if                                       required to attend. If there is no      CCR 52104(d)(4).
                                                                 service providers.
              requested by the parent?                                                              written documentation in file,
                                                                                                    interviews of staff and parents
                                                                                                    may yield more compliance
                                                                                                    information.
                                                                 The record must contain
              Is there documentation that each periodic review                                      Check signatures, or other
                                                                 evidence that the person
              of the IFSP included persons who will be providing                                    evidence of attendance such as          34 CFR 303.343(d), 17
8-4-8.4                                                          providing services to the child
              services to the infant or toddler and family, as                                      participation by phone conference       CCR 52104(d)(3).
                                                                 or family participated in the
              appropriate?                                                                          or by report.
                                                                 periodic review.
                                                                                                                                            20 USC 1436(d), 34
              Is there documentation that each child’s IFSP         Must be documented in student
8-4-9                                                                                                                                       CFR 303.344, 17 CCR
              includes:                                             records.
                                                                                                                                            52106.
              Is there documentation that each student’s IFSP       The parent must consent to
                                                                                                    If it is not included, the parent may   20 USC 1436(d)(2), 34
              includes, with the agreement of the parent, a         provide this information. The
                                                                                                    not have provided consent. Check        CFR 303.344(b), 14 GC
8-4-9.1       statement of the family’s resources, priorities and   absence of this information
                                                                                                    the IFSP for family's resources,        95020(d)(2), 17 CCR
              concerns related to enhancing the student's           alone does not indicate non-
                                                                                                    priorities and concerns.                52106(b)(1).
              development?                                          compliance.
              Is there documentation that each student’s IFSP
              includes a statement of the infant’s or toddler’s
                                                                                                                                            20 USC 1436(d)(1), 34
              present levels of physical development (including                                     Check the IFSP for all 5 levels of
                                                                    Must be documented in child's                                           CFR 303.344(a)(1) and
8-4-9.2       gross and fine motor, vision, hearing and health                                      child's development and vision
                                                                    IFSP.                                                                   (2), 14 GC 95020(d)(1),
              status), cognitive development, communication                                         and hearing assessment.
                                                                                                                                            17 CCR 52106(b)(4).
              development, social or emotional development,
              and adaptive development?

              Is there documentation that each student's IFSP
              includes a statement of the measurable results or                                                                             20 USC 1436(d)(3), 34
              major outcomes expected to be achieved for the        Must be documented in child's   Check the IFSP for outcomes             CFR 303.344(c), 14 GC
8-4-9.3
              infant or toddler and their family, including pre-    IFSP.                           related to assessment.                  95020(d)(4), 17 CCR
              literacy and language skills, as developmentally                                                                              52106(b)(4).
              appropriate for the student?
Item Number                   Compliance Test                          Compliance Standard                   Other Guidance                   Legal Citations
                                                                                                                                          20 USC 1436(d)(4), 34
              Is there documentation that each student's IFSP                                      Check outcomes on the IFSP for
                                                                   Must be documented in child's                                          CFR 303.344(c), 14 GC
8-4-9.4       includes a statement of the criteria, procedures                                     criteria, procedures and timelines
                                                                   IFSP.                                                                  95020(d)(4), 17 CCR
              and timelines used to determine progress?                                            to determine progress.
                                                                                                                                          52106(b)(4).
              Is there documentation that the annual and                                                                                  20 USC 1436(d)(3), 34
              periodic review of the IFSP includes a statement     Must be documented in child's   Check the Assessment Reports           CFR 303.344(c)(2), 14
8-4-9.4.1
              of the progress toward achieving the results or      IFSP.                           and the IFSP.                          GC 95020(f), 17 CCR
              outcomes?                                                                                                                   52106(c) and (e).
              Is there documentation that the annual or periodic                                                                          20 USC 1436(d)(3),34
                                                                                                   On periodic IFSP, check for
              review of the IFSP includes a statement of           Must be documented in child's                                          CFR 303.344(c)(2), 14
8-4-9.4.2                                                                                          modifications of outcomes with
              whether modifications or revisions of results or     IFSP.                                                                  GC 95020(f), 17 CCR
                                                                                                   permission from parent.
              outcomes or services are needed?                                                                                            52106(d) and (e).
              Is there documentation that each student's IFSP
                                                                                                                                          20 USC 1436(d), 34
              includes a statement of the specific early                                           Check the IFSP for services
                                                                   Must be documented in child's                                          CFR 303.344(c), 14 GC
8-4-9.5       intervention services necessary to meet the unique                                   related to assessment and
                                                                   IFSP.                                                                  95020(c), 17 CCR
              needs of the infant or toddler and the family to                                     outcomes.
                                                                                                                                          52106(b).
              achieve the outcomes?
                                                                                                                                      20 USC 1436(d)(4), 34
              Is there documentation that each student's IFSP                                                                         CFR 303.344(d)(1)(i)
                                                                   Must be documented in child's   Check the IFSP for frequency,
8-4-9.5.1     includes a statement of the frequency, intensity                                                                        and (2), 14 GC
                                                                   IFSP.                           intensity and method of services.
              and method of service delivery?                                                                                         95020(d)(5), 17 CCR
                                                                                                                                      52106(b)(6)(A).
                                                                                                                                      20 USC 1436(d)(5), 34
              Is there documentation that each student’s IFSP
                                                                   Must be documented in child's   Check the IFSP service section for CFR 303.344(d)((1)(iii),
8-4-9.5.2     includes a statement of the location where
                                                                   IFSP.                           location.                          14 GC 95020(d)(5), 17
              services will be delivered?
                                                                                                                                      CCR 52106(b)(6)(B).
                                                                                                   Natural environments means the
                                                                                                   home and other settings that are
                                                                                                   natural or normal for the child's
                                                                                                   age peers who have no
                                                                                                   disabilities. E.I. services can only   20 USC 1436(d)(5), 34
              Is there documentation that each student’s IFSP
                                                                   Must be documented in child's   occur in a setting other than a        CFR 303.344(d)(1)(ii),
8-4-9.5.3     includes a statement of the natural environments
                                                                   IFSP.                           natural environment when E.I.          14 GC 95020(d)(5), 17
              in which services will be delivered?
                                                                                                   outcomes cannot be achieved            CCR 52106(b)(6)(B)(1).
                                                                                                   satisfactorily for the child in a
                                                                                                   natural environment. Check the
                                                                                                   IFSP service section for natural
                                                                                                   environments and justifications.
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                  Legal Citations
                                                                                                    Natural environments means the
                                                                                                    home and other settings that are
              Is there documentation that each student’s IFSP                                                                            20 USC 1436(d)(2), 34
                                                                                                    natural or normal for the child's
              includes a justification of the extent to which, if   Must be documented in child's                                        CFR 303.344(d)(1)(ii),
8-4-9.5.4                                                                                           age peers who have no
              any, individual services will not be provided in a    IFSP.                                                                17 CCR
                                                                                                    disabilities. Check the IFSP
              natural environment?                                                                                                       52106(b)(6)(B)(2).
                                                                                                    service section for natural
                                                                                                    environments and justifications.
                                                                                                                                        20 USC 1436(d)(6), 34
              Is there documentation that each student’s IFSP
                                                                    Must be documented in child's   Check the IFSP service section for CFR 303.344(f), 14 GC
8-4-9.5.5     includes the projected date for initiation of
                                                                    IFSP.                           initiation/beginning/start.         95020(d)(9), 17 CCR
              services?
                                                                                                                                        52106(b)(6)(C).
                                                                                                                                        20 USC 1436(d)(6), 34
              Is there documentation that each student's IFSP
                                                                    Must be documented in child's   Check IFSP service section for      CFR 303.344(d)(1)(i),
8-4-9.5.6     includes the anticipated length and duration of
                                                                    IFSP.                           duration/end of services.           14 GC 95020(d)(5)17
              services?
                                                                                                                                        CCR 52106(b).
                                                                                                    Check service section for
              Is there documentation that each student's IFSP                                       information which lists the
              includes the scheduled days when services will not Must be documented in child's      scheduled days when the service
8-4-9.5.7                                                                                                                               17 CCR 52106(b)(6)(E).
              be available (when the service provider has a fixed IFSP.                             will not be available. It may be in
              schedule)?                                                                            the form of a calendar or a list of
                                                                                                    dates.
              Is there documentation that each student's IFSP
              includes the name of the regional center, LEA, or     Must be documented in           Check the IFSP for agency
8-4-9.5.8                                                                                                                                17 CCR 52106(b)(8).
              other service provider who will provide each early    student's IFSP.                 funding of each service.
              intervention service?
              Is there documentation that each student's IFSP
              includes the funding source for “other” or non-                                       Check the IFSP for type of
                                                                  Must be documented in                                                  34 CFR 303.344(e), 17
8-4-9.6       required services provided by any entity other than                                   service: early intervention, other
                                                                  student's IFSP.                                                        CCR 52106(b)(7).
              regional center or the LEA, including procedures                                      public or non-required.
              that will be followed to obtain such funding?
                                                                                                                                         20 USC 1436(d)(7), 34
              Is there documentation that each student's IFSP       Must be documented in           Check the IFSP for name of           CFR 303.344(g), 14 GC
8-4-9.7
              includes the name of the service coordinator?         students' records               service coordinator.                 95020(d)(7), 17 CCR
                                                                                                                                         52106(b).
Item Number                    Compliance Test                           Compliance Standard              Other Guidance                     Legal Citations

                                                                                                 It may take the form of a separate
                                                                                                                                        20 USC 1436(d)(8), and
                                                                                                 IFSP or a transition page of a
              Is there documentation that each student's IFSP                                                                           1437(a)(9)(A)(ii)(II) and
                                                                                                 periodic IFSP for children who are
              includes a statement of the transition steps (for                                                                         1437 (a)(9)(C), 34 CFR
                                                                     Must be documented in the   2 yrs. 6 months or older; if the
8-4-9.8       students who are two years, nine months of age,                                                                           303.344(h)(1), 14 GC
                                                                     child's IFSP.               referral occurs after the child has
              or beginning at two years, six months if all parties                                                                      95020(d)(8), 17 CCR
                                                                                                 already become age 30 months or
              agree)?                                                                                                                   52106(b), 17 CCR
                                                                                                 more, the initial IFSP must include
                                                                                                                                        52112(c)-(d).
                                                                                                 the transition steps.
              Is there documentation that each student's IFSP                                                                           20 USC
              includes discussions with, and training of the                                                                            1437(a)(9)(A)(ii)(II) and
              family regarding future placements and community       Must be documented in the   Notations on transition page of        1437 (a)(9)(C), 34 CFR
8-4-9.8.1
              resources for students who are two years, nine         child's IFSP.               program options.                       303.344(h)(2)(i), 17
              months of age, or beginning at two years, six                                                                             CCR 52106(b)(9), 17
              months if all parties agree?                                                                                              CCR 52112(c)(1)(A).
              Is there documentation that each transition age
                                                                                                                                        34 CFR
              student's IFSP includes procedures to prepare for
                                                                     Must be documented in the   Notations on transition page of        303.344(h)(2)(ii)17 CCR
8-4-9.8.2     changes in service delivery, including steps to help
                                                                     child's IFSP.               preparation of the child.              52106(b), 17 CCR
              the student adjust to, and function in, a new
                                                                                                                                        52112(c)(1)(B).
              setting?
              Is there documentation that each transition age
                                                                                                 Notations on transition page for
              student's IFSP includes, with parent consent,          Must be documented in the                                          34 CFR 303.344(h)(iii),
8-4-9.8.3                                                                                        the exchange of information with
              transmission of information about the student to       child's IFSP.                                                      17 CCR 52112(d)(1).
                                                                                                 the LEA.
              the appropriate LEA?
              Is there documentation that each transition age
              student's IFSP includes information about                                          Transition page plan for transition
              assessments needed to determine regional center                                    assessments, timelines,
                                                                     Must be documented in the
8-4-9.8.4     and special education eligibility, the timelines                                   responsibilities on transition page    17 CCR 52112(d)(2).
                                                                     child's IFSP.
              related to eligibility and services, and agency                                    also for regional center timelines
              responsibilities for carrying out the transition,                                  for IPP.
              eligibility and service delivery steps?
              Is there documentation in each student's IFSP that
              includes the steps necessary to ensure that the
                                                                                                                                        34 CFR
              referral to the LEA is received in time to ensure                                  Transition page plan for referral to
                                                                  Must be documented in the                                             303.344(h)(1)(i), 17
8-4-9.8.5     that assessments are completed and an                                              the LEA for transition
                                                                  child's IFSP.                                                         CCR 52106(b)(9), 17
              Individualized Education Program (IEP)                                             assessments, timelines.
                                                                                                                                        CCR 52112(d)(3).
              implemented by the student’s third birthday
              (including consideration of LEA breaks in service)?
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                   Legal Citations
              Is there documentation that each transition age
                                                                     Must be documented in the       Transition page date for final exit
8-4-9.8.6     student's IFSP includes a projected date for                                                                                 17 CCR 52112(c)(3).
                                                                     child's IFSP.                   IFSP review.
              conducting a final review of the IFSP?
              Is there documentation that each student's IFSP
              includes identification of the people responsible for
              convening a final IFSP, initial IEP, and Individual   Must be documented in the        Transition page of the IFSP lists
8-4-9.8.7                                                                                                                                  17 CCR 52112(d)(5).
              Program Plan (IPP) if the student may also be         child's IFSP.                    persons responsible.
              eligible for services from regional center under the
              Welfare and Institutions Code?
                                                                  'Must be documented in the
              Is each service listed on the IFSP identified as onechild's IFSP. If the LEA is not
                                                                                                     Check the student record to
              of the three types of services, "required early     the service coordinator and
                                                                                                     determine which agency
              intervention service", "non Part C required public  was not responsible for                                                  14 GC 95020(e), 17
8-4-10                                                                                               developed the IFSP and for what
              service provided through another public or private  developing the IFSP, it can only                                         CCR 52108(a).
                                                                                                     services the district has
              service agency" or "other non required service      be found noncompliant for
                                                                                                     responsibility.
              referral that may benefit the family"?              those services it agreed to
                                                                  provide.
                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
                                                                  the service coordinator and
                                                                                                                                           34 CFR 303.344(d), 14
              Are services identified on the IFSP identified as a was not responsible for            'The IFSP lists service type as
8-4-10.1                                                                                                                                   GC 95020(d), 17 CCR
              "required" early intervention service?              developing the IFSP, it can only   early intervention.
                                                                                                                                           52108(a)(2).
                                                                  be found noncompliant for
                                                                  those services it agree to
                                                                  provide.
                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
              Is each service listed on the IFSP identified as a  the service coordinator and
              service provided through another public program     was not responsible for            The IFSP lists service type as        14 GC 95020(e)(2), 17
8-4-10.2
              (e.g., Head Start, Medi-Cal, Supplemental Security developing the IFSP, it can only    "other public funded service".        CCR 52108(a)(3)(A).
              Programs, etc.)?                                    be found noncompliant for
                                                                  those services it agree to
                                                                  provide.
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                   Legal Citations
                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
                                                                  the service coordinator and
                                                                                                   The IFSP lists service type as non-
              Is each service listed on the IFSP identified as a  was not responsible for                                                14 GC 95020(e)(3), 17
8-4-10.3                                                                                           required funded service that LEA
              referral to a (non-required) community service?     developing the IFSP, it can only                                       CCR 52108(a)(3)(A).
                                                                                                   is not required to provide.
                                                                  be found noncompliant for
                                                                  those services it agree to
                                                                  provide.
                                                                                                   Check the student record to
                                                                  Must be documented in the        determine which agency
                                                                  child's IFSP. If the LEA is not  developed the IFSP. If the district
              Is there documentation that, if an interim IFSP has the service coordinator and      has responsibility for the child as   34 CFR 303.345, 17
8-4-11
              been developed.                                     was not responsible for          service coordinator, check to         CCR 52107(a).
                                                                  developing the IFSP, it cannot ensure the interim IFSP was
                                                                  be found non-compliant.          developed according to
                                                                                                   requirements.
                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
              Is there documentation that the IFSP includes                                         The interim IFSP includes
                                                                  the service coordinator and                                            34 CFR 303.345, 17
8-4-11.1      timelines for completing assessments if the                                           timelines for completing
                                                                  was not responsible for                                                CCR 52107(b)(1).
              student has an "interim IFSP"?                                                        assessments.
                                                                  developing the IFSP, it cannot
                                                                  be found non-compliant.

              Is there documentation that the Interim IFSP        Must be documented in the
              includes the name of the service coordinator        child's IFSP. If the LEA is not
              responsible for completion of the evaluation and    the service coordinator and       The interim IFSP includes name of 34 CFR 303.345(b)(1),
8-4-11.2
              assessment within the 45 day timeline and           was not responsible for           service coordinator.              17 CCR 52107(b)(2).
              implementation of the IFSP, including transition    developing the IFSP, it cannot
              services, if the student has an "interim IFSP"?     be found non-compliant.

                                                                  Must be documented in the
                                                                  child's IFSP. If the LEA is not
              Is there documentation that each IFSP includes
                                                                  the service coordinator and       The interim IFSP includes agreed     34 CFR 303.345(b)(2),
8-4-11.3      the services agreed upon at the interim IFSP
                                                                  was not responsible for           services.                            17 CCR 52107(b)(3).
              meeting?
                                                                  developing the IFSP, it cannot
                                                                  be found non-compliant.
Item Number                     Compliance Test                          Compliance Standard                   Other Guidance                 Legal Citations

               Is there documentation that the IFSP team                                               Check the record to observe
                                                                     Must be documented in the
               provided opportunities for the participation in the                                     evidence that efforts were made to
                                                                     child's IFSP. If the LEA is not
               meeting of the parent, the service coordinator,                                         include the parents, assessors,
                                                                     the service coordinator and
8-4-11.4       persons responsible for assessments, and (at the                                        the service coordinator and, at the 17 CCR 52107(c).
                                                                     was not responsible for
               parent’s request) other family members, an                                              parent's request, an advocate or
                                                                     developing the IFSP, it cannot
               advocate or other person outside the family at the                                      family member or a person outside
                                                                     be found non-compliant.
               interim IFSP meeting?                                                                   the family of the family's choosing.

                                                                     Must be documented in the
               Is there documentation that the IFSP includes         child's IFSP. If the LEA is not
               statements or services addressing the immediate       the service coordinator and       The interim IFSP states           34 CFR 303.345(b)(2),
8-4-11.5
               need prompting the development of the interim         was not responsible for           immediate need for service.       17 CCR 52107(a).
               IFSP?                                                 developing the IFSP, it cannot
                                                                     be found non-compliant.
               Is there evidence that the contents of the initial    May be indicated on the IFSP
                                                                                                       Are parents given a copy? Look
               and annual IFSP are fully explained to the parent     or elsewhere in the child's                                         34 CFR 303.342(e), 17
8-4-12                                                                                                 for indications in the student
               and a legible copy of the document is given to the    record. This may require                                            CCR 52102(i).
                                                                                                       record.
               parent?                                               interview follow-up.
EIS - Service Delivery

                                                                     Consent to each service must                                    34 CFR 303.404(a)(2)
               Is there documentation that written consent was
                                                                     be given. Must be documented Is the IFSP signed before services and 34 CFR 303.342(e),
8-5-1          obtained prior to providing early intervention
                                                                     in student records. May be on are given?                         17 CCR 52162(a) and
               services listed on the IFSP?
                                                                     the IFSP.                                                       52102(i).

                                                                                                        Must be documented in the child's
                                                                                                        record. Check the IFSP to see if
                                                                                                        there is a place to state which
                                                                     Consent to each service must
                                                                                                        services the parent does not give
                                                                     be given. Must be documented
               Is there evidence that, if the parent does not                                           consent. Check the file for contact
                                                                     in student records. If the
               provide consent to a particular service, or                                              notes or written materials          34 CFR 303.405, 17
8-5-2                                                                parent refuses consent to a
               withdraws consent, that the particular service is                                        indicating withdrawal of consent.   CCR 52102(j).
                                                                     service, the IFSP should
               not provided?                                                                            Ask district staff how consent is
                                                                     indicate that the service will not
                                                                                                        explained to families and what
                                                                     be provided.
                                                                                                        families understand about
                                                                                                        consent. Follow-up with parent
                                                                                                        interviews, if appropriate.
Item Number                    Compliance Test                            Compliance Standard                     Other Guidance                 Legal Citations

                                                                                                         Check the child's IFSP to inspect
                                                                                                         the starting date for all services.
                                                                                                         Do the starting dates appear to be
              Is there evidence that the LEA arranges,                The IFSP must include a            reasonably close to the time the
                                                                                                                                             34 CFR 303.344(f)(1),
8-5-3         purchases, or provides services required by the         specific starting date for each    IFSP was developed? If dates
                                                                                                                                             17 CCR 52106(d).
              IFSP as soon as possible?                               service.                           appear to be "unreasonably" late,
                                                                                                         check for contact with the parent.
                                                                                                         This may be an interview follow-up
                                                                                                         issue.

                                                                                                         Check the IFSP to review the
                                                                                                         starting dates for services. If the
              Are students placed on a waiting list for Early                                            starting dates are more than a few
                                                                      The IFSP must include a
              Intervention services when the District cannot                                             weeks from the date the IFSP is
                                                                      specific starting date for each
              provide the service beginning on the date specified                                        signed, or if the dates do not
                                                                      service. There must be no                                                 17 CCR 52106(c) and
8-5-4         on the IFSP or at the time when assessment                                                 represent the start of a school
                                                                      indication that the service will                                          (d),
              materials identify the need for the service? Note: If                                      period, ask district staff to explain.
                                                                      not be provided within a
              the response to this question is yes, mark "non                                            Ask district staff about the
                                                                      reasonable time.
              compliant" on the record review or other protocols.                                        availability and time it takes to get
                                                                                                         services. Follow-up during the
                                                                                                         parent interviews if appropriate.
              Is there evidence that the LEA arranges,
              purchases or provides early intervention services                                     Are all solely low incidence
              required by the IFSP; and acts as payer of last                                       children served? Interview staff
                                                                      Must be documented in student
              resort for all students birth to three years of age,                                  and parents about services               14 GC 95014(b)(2)(C),
8-5-5                                                                 records. Must be confirmed by
              who have a solely low incidence disability                                            provided (and not provided) for          17 CCR 52110(a).
                                                                      staff and parent interview.
              (identified as blindness, deafness and/or severe                                      children with solely low incidence
              orthopedic impairment, and not eligible for                                           disabilities.
              services from the regional center)?
Item Number                   Compliance Test                         Compliance Standard                   Other Guidance                 Legal Citations


                                                                                                 Check a sample of records for
                                                                                                 children who have a solely low
                                                                                                 incidence disability. Interview staff
                                                                                                 and parents about the provision of
              Is there evidence that the LEA provides                                            early intervention services. Please
                                                                   Must be documented in student                                       34 CFR 303.12, 14 GC
              appropriate early intervention services for students                               see 34 CFR 303.12 for a list and
8-5-6                                                              records. Must be confirmed by                                       95014(b)(2), 17 CCR
              who have a "solely low incidence" disability as                                    definitions of sixteen early
                                                                   staff and parent interview.                                         52110(a).
              identified on the student’s IFSP?                                                  intervention services. Note that
                                                                                                 the list is not exhaustive. Early
                                                                                                 intervention services may include
                                                                                                 such services as respite and other
                                                                                                 family support services.

              Is there evidence that the LEA provides
                                                                                                                                      20 USC
              appropriate early intervention services for students Must be documented in student
                                                                                                 Do IFSPs list assistive technology   1432(a)(4)(E)(xiii), 34
8-5-6.1       who have a "solely low incidence" disability as      records. Must be confirmed by
                                                                                                 for SLI children?                    CFR 303.12(d)(1), 17
              identified on the student’s IFSP including assistive staff and parent interview.
                                                                                                                                      CCR 5200(b)(12).
              technology?
              Is there evidence that the LEA provides
              appropriate early intervention services for students
                                                                   Must be documented in student
              who have a "solely low incidence" disability as
8-5-6.2                                                            records. Must be confirmed by Do IFSPs list audiology?             20 USC 1432(a)(4)(E)(iii)
              identified on the child’s IFSP including speech-
                                                                   staff and parent interview.
              language pathology and audiology, sign language
              and cued language services?

              Is there evidence that the LEA provides
              appropriate early intervention services for students Must be documented in student
                                                                                                 Do IFSPs list family training,       20 USC 1432(a)(4)(E),
8-5-6.3       who have a "solely low incidence" disability as      records. Must be confirmed by
                                                                                                 counseling and home visits?          17 CCR 52000(b)(12).
              identified on the student’s IFSP including family    staff and parent interview.
              training, counseling and home visits?
              Is there evidence that the LEA provides
                                                                                                                                      20 USC
              appropriate early intervention services for students Must be documented in student
                                                                                                                                      1432(a)(4)(E)(x), 34
8-5-6.4       who have a "solely low incidence" disability as      records. Must be confirmed by Do IFSPs list health services?
                                                                                                                                      CFR 303.12(d)(4) and
              identified on the student’s IFSP including health    staff and parent interview.
                                                                                                                                      303.13.
              services?
Item Number                    Compliance Test                           Compliance Standard                  Other Guidance                Legal Citations
              Is there evidence that the LEA provides
              appropriate early intervention services for students                                                                     20 USC
                                                                     Must be documented in student
              who have a "solely low incidence" disability as                                                                          1432(a)(4)(E)(viii), 34
8-5-6.5                                                              records. Must be confirmed by Do IFSPs list medical services?
              identified on the student’s IFSP including medical                                                                       CFR 303.12(d)(5), 17
                                                                     staff and parent interview.
              services (only for diagnostic or evaluation                                                                              CCR 52000(b)(12).
              purposes)?
              Is there evidence that the LEA provides
              appropriate early intervention services for students   Must be documented in student
                                                                                                   Do IFSPs list nursing services,     34 CFR 303.12(d)(6),
8-5-6.6       who have a "solely low incidence" disability as        records. Must be confirmed by
                                                                                                   especially respite?                 17 CCR 52000(b)(12).
              identified on the student’s IFSP including nursing     staff and parent interview.
              services?
              Is there evidence that the LEA provides
              appropriate early intervention services for students   Must be documented in student
                                                                                                                                       20 USC 1432(a)(4)(E)
8-5-6.7       who have a "solely low incidence" disability as        records. Must be confirmed by Do IFSPs list nutrition services?
                                                                                                                                       and (F)
              identified on the student’s IFSP including nutrition   staff and parent interview.
              services?
              Is there evidence that the LEA provides
                                                                                                                                       20 USC
              appropriate early intervention services for students   Must be documented in student
                                                                                                                                       1432(a)(4)(E)(v), 34
8-5-6.8       who have a "solely low incidence" disability as        records. Must be confirmed by Do IFSPs list OT?
                                                                                                                                       CFR 303.12(d)(8), 17
              identified on the student’s IFSP including             staff and parent interview.
                                                                                                                                       CCR 52000(b)(12).
              occupational therapy?
              Is there evidence that the LEA provides
                                                                                                                                       20 USC
              appropriate early intervention services for students   Must be documented in student
                                                                                                                                       1432(a)(4)(E)(iv), 34
8-5-6.9       who have a "solely low incidence" disability as        records. Must be confirmed by Do IFSPs list PT?
                                                                                                                                       CFR 303.12(d)(9), 17
              identified on the student’s IFSP including physical    staff and parent interview.
                                                                                                                                       CCR 52000(b)(12).
              therapy?
              Is there evidence that the LEA provides
                                                                                                                                       20 USC 1432(a)(4)(E)
              appropriate early intervention services for students   Must be documented in student
                                                                                                   Do IFSPs list psychological         and (F), 17 CCR
8-5-6.10      who have a "solely low incidence" disability as        records. Must be confirmed by
                                                                                                   services?                           52110(a) and
              identified on the student’s IFSP including             staff and parent interview.
                                                                                                                                       52000(b)(12).
              psychological services?
              Is there evidence that the LEA provides
                                                                                                                                       20 USC 1432(a)(4)(E)
              appropriate early intervention services for students   Must be documented in student
                                                                                                   Do IFSPs list the service           and (F), 17 CCR
8-5-6.11      who have a "solely low incidence" disability as        records. Must be confirmed by
                                                                                                   coordination services?              52110(a) and
              identified on the student’s IFSP including service     staff and parent interview.
                                                                                                                                       52000(b)(12).
              coordination services?
Item Number                    Compliance Test                           Compliance Standard                   Other Guidance                Legal Citations
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.12      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student's IFSP including social
                                                                     IFSP reviews document that                                          52110(a).
              work services?
                                                                     services were delivered.
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.13      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student’s IFSP including special
                                                                     IFSP reviews document that                                          52110(a).
              instruction?
                                                                     services were delivered.
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.14      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student’s IFSP including speech
                                                                     IFSP reviews document that                                          52110(a).
              language pathology?
                                                                     services were delivered.
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.15      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student’s IFSP including
                                                                     IFSP reviews document that                                          52110(a).
              transportation and related costs?
                                                                     services were delivered.
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.16      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student’s IFSP including vision
                                                                     IFSP reviews document that                                          52110(a).
              services?
                                                                     services were delivered.
                                                                     If the IFSP team determined
              Is there evidence that the LEA provides
                                                                     the service is needed, it must                                      20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                     be documented on student's       Staff and parent interviews help   and (F), 17 CCR
8-5-6.17      who have a "solely low incidence" disability as
                                                                     IFSP. Periodic and annual        confirm record review findings.    52000(b)(12) and
              identified on the student’s IFSP including respite
                                                                     IFSP reviews document that                                          52110(a).
              care?
                                                                     services were delivered.
              Is there evidence that the LEA provides
                                                                                                                                         20 USC 1432(a)(4)(E)
              appropriate early intervention services for students Must be documented in student
                                                                                                 Staff and parent interviews help        and (F), 17 CCR
8-5-6.18      who have a "solely low incidence" disability as      records. Must be confirmed by
                                                                                                 confirm record review findings.         52000(b)(12) and
              identified on the student’s IFSP including nutrition staff and parent interview.
                                                                                                                                         52110(a).
              services?
Item Number                    Compliance Test                             Compliance Standard                Other Guidance                   Legal Citations
              Is there evidence that the LEA provides              If the IFSP team determined
              appropriate early intervention services for students the service is needed, it must                                          20 USC 1432(a)(4)(E)
              who have a "solely low incidence" disability as      be documented on student's        Staff and parent interviews help      and (F), 17 CCR
8-5-6.19
              identified on the student’s IFSP including vision    IFSP. Periodic and annual         confirm record review findings.       52000(b)(12) and
              specialists, including ophthalmologists and          IFSP reviews document that                                              52110(a).
              optometrists?                                        services were delivered.
                                                                   If the IFSP team determined
              Is there evidence that the LEA provides
                                                                   the service is needed, it must                                          20 USC 1432(a)(4)(E)
              appropriate early intervention services for students
                                                                   be documented on student's        Staff and parent interviews help      and (F), 17 CCR
8-5-6.20      who have a "solely low incidence" disability as
                                                                   IFSP. Periodic and annual         confirm record review findings.       52000(b)(12) and
              identified on the student’s IFSP including family
                                                                   IFSP reviews document that                                              52110(a).
              support services and or training?
                                                                   services were delivered.
                                                                                                     Determine if district has IPSUs for
                                                                                                     infants and toddlers. Check list of
              Is there evidence that, if the LEA has instructional
                                                                                                     students currently enrolled.          30 EC 56432, 14 GC
              personnel service units for infants, the LEA
8-5-7                                                                                                Number of students served must        95014 (c), Annual
              provides special education and related services as
                                                                                                     exceed the product of 12 and the      Budget Act.
              identified in the IFSP for 12 to 16 students per unit?
                                                                                                     number of IPSUs (12 x No. of
                                                                                                     units).

                                                                                                 Check the IFSP. Check CASEMIS
                                                                                                 data. Please see 34 CFR 303.12
              Is there evidence that, for students served by the
                                                                                                 for a list and definitions of sixteen     14 GC 95014(c), 30 EC
              LEA who do not have a "solely low incidence"         Must be documented in student
                                                                                                 early intervention services. Note         56426.1, 30 EC
8-5-8         disability that the LEA provides appropriate special records. Must be confirmed by
                                                                                                 that the list is not exhaustive. Early    56426.2, 30 EC
              education and related services as identified in the staff and parent interview.
                                                                                                 intervention services may include         56426.3.
              student's IFSP.
                                                                                                 such services as respite and other
                                                                                                 family support services.

              Is there evidence, for students served by the LEA
                                                                                                     Check the IFSP. Interview parents
              who do not have a solely low incidence disability
                                                                       Must be documented in student and staff about services. Check   20 USC 1432(a)(4)(G),
              that the LEA provides appropriate special
8-5-8.1                                                                records. Must be confirmed by CASEMIS data to see if services   30 EC 56426.1 &
              education and related services as identified in the
                                                                       staff and parent interview.   are provided to one or more       56425.2 & 56426.3.
              student’s IFSP including group and/or home
                                                                                                     students.
              services?
Item Number                   Compliance Test                        Compliance Standard                    Other Guidance                  Legal Citations

              Is there evidence that for students served by the
                                                                                                   Check the IFSP. Interview parents
              LEA who do not have a solely low incidence
                                                                   Must be documented in student   and staff about services. Check
              disability that the LEA provides appropriate special                                                                   20 USC 1432(4)(c)(iii),
8-5-8.2                                                            records. Must be confirmed by   CASEMIS data to see if services
              education and related services as identified in the                                                                    30 EC 56426.3
                                                                   staff and parent interview.     are provided to one or more
              student’s IFSP including audiology, sign language
                                                                                                   students.
              and cued language services?

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check   20 USC 1432(a)(4(E)(i),
8-5-8.3       disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services   30 EC 56426.3, 17 CCR
              education and related services as identified in the staff and parent interview.      are provided to one or more       52000(b)(12).
              student’s IFSP including counseling?                                                 students.
                                                                                                   Staff and parent interviews help
              Is there evidence that for students served by the
                                                                                                   confirm record review findings.     20 USC
              LEA who do not have a solely low incidence           Must be documented in student
                                                                                                   Medical Services are limited to     1432(a)(4)(E)(ix), 30 EC
8-5-8.4       disability that the LEA provides appropriate special records. Must be confirmed by
                                                                                                   evaluations and services needed     56426.3 and 30 EC
              education and related services as identified in the staff and parent interview.
                                                                                                   to permit delivery other required   56363(a)
              student’s IFSP including early identification?
                                                                                                   services.
              Is there evidence that for students served by the
              LEA who do not have a solely low incidence                                           Check the IFSP. Interview parents
                                                                                                                                       20 USC
              disability that the LEA provides appropriate special Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)(viii), 30
8-5-8.5       education and related services as identified in the records. Must be confirmed by    CASEMIS data to see if services
                                                                                                                                       EC 56426.3, 17 CCR
              student’s IFSP including medical services (to        staff and parent interview.     are provided to one or more
                                                                                                                                       52000(b)(12)
              determine a student’s medically related                                              students.
              handicapping condition)?

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)(iv), 30 EC
8-5-8.6       disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services
                                                                                                                                       56426.3, 17 CCR
              education and related services as identified in the staff and parent interview.      are provided to one or more
                                                                                                                                       52000(b)(12).
              student’s IFSP including occupational therapy?                                       students.
              Is there evidence that for students served by the
                                                                                                   Check the IFSP. Interview parents
              LEA who do not have a solely low incidence                                                                               20 USC
                                                                   Must be documented in student   and staff about services. Check
              disability that the LEA provides appropriate special                                                                     1432(a)(4)(E)(i), 30 EC
8-5-8.7                                                            records. Must be confirmed by   CASEMIS data to see if services
              education and related services as identified in the                                                                      56426.3, 17 CCR
                                                                   staff and parent interview.     are provided to one or more
              student’s IFSP including parent counseling and                                                                           52000(b)(12).
                                                                                                   students.
              training?
Item Number                   Compliance Test                        Compliance Standard                   Other Guidance                  Legal Citations

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)(v), 30 EC
8-5-8.8       disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services
                                                                                                                                       56426.3, 17 CCR
              education and related services as identified in the staff and parent interview.      are provided to one or more
                                                                                                                                       52000(b)(12).
              student’s IFSP including physical therapy?                                           students.

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)(vi), 30 EC
8-5-8.9       disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services
                                                                                                                                       56426.3, 17 CCR
              education and related services as identified in the staff and parent interview.      are provided to one or more
                                                                                                                                       52000(b)(12).
              student’s IFSP including psychological services?                                     students.

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
8-5-8.10      disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services   30 EC 56426.3.
              education and related services as identified in the staff and parent interview.      are provided to one or more
              student’s IFSP including recreation?                                                 students.

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)(x), 30 EC
8-5-8.11      disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services
                                                                                                                                       56426.3, 17
              education and related services as identified in the staff and parent interview.      are provided to one or more
                                                                                                                                       CCR52000(b)(12)
              student’s IFSP including school health services?                                     students.

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
                                                                                                                                       1432(a)(4)(E)iii), 30 EC
8-5-8.12      disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services
                                                                                                                                       56426.3, 17
              education and related services as identified in the staff and parent interview.      are provided to one or more
                                                                                                                                       CCR52000(b)(12)
              student’s IFSP including speech pathology?                                           students.

              Is there evidence that for students served by the                                    Check the IFSP. Interview parents
              LEA who do not have a solely low incidence           Must be documented in student   and staff about services. Check
8-5-8.13      disability that the LEA provides appropriate special records. Must be confirmed by   CASEMIS data to see if services   30 EC 56426.3.
              education and related services as identified in the staff and parent interview.      are provided to one or more
              student’s IFSP including transportation?                                             students.
Item Number                    Compliance Test                          Compliance Standard                  Other Guidance                 Legal Citations
                                                                    If the IFSP team determined
                                                                    the service is needed, it must   The service locations must be
              Is there evidence that home-based services are
                                                                    be documented on student's       documented in the IFSP. Staff and
8-5-9         provided once or twice a week, depending on the                                                                          30 EC 56426.1(b).
                                                                    IFSP. Periodic and annual        parent interviews help confirm
              needs of the infant and family?
                                                                    IFSP reviews document that       record review findings.
                                                                    services were delivered.
                                                                                                     Evidence may be obtained from
                                                                    If the IFSP team determined      reviewing child records, checking
              Is there evidence that home visits provided in        the service is needed, it must   center attendance records against
              conjunction with group services range from one to     be documented on student's       the number of parents and parent
8-5-10                                                                                                                                  30 EC 56426.2(d).
              eight times per month, depending on the needs of      IFSP. Periodic and annual        volunteers present, and reviewing
              the student and family?                               IFSP reviews document that       policies and procedures. Staff and
                                                                    services were delivered.         parent interviews help confirm
                                                                                                     findings.
                                                                                                     Evidence may be obtained by
                                                                                                     reviewing infant records and LEA
              Is there evidence that group services are provided District must maintain
8-5-11                                                                                               policies and procedures. Staff and 30 EC 56426.2(e).
              on a ratio of no more than four infants to one adult? documentation.
                                                                                                     parent interviews help confirm
                                                                                                     record review findings.
                                                                                                     Review the IFSP, consent to
                                                                                                     services and other documents in
              Is there documentation that family involvement        District must maintain
8-5-12                                                                                               the infant's record. Policy and    30 EC 56426.4(b).
              activities are offered at least one time per month?   documentation.
                                                                                                     procedure review, parent and staff
                                                                                                     interview help confirm findings.
                                                                                                  Check the IFSP. Interview parents
                                                                                                  and staff about services. Check
              Is there evidence that for students served by the                                   CASEMIS data to see if services
                                                                                                                                       20 USC
              LEA who do not have a solely low incidence           Must be documented in student are provided to one or more
                                                                                                                                       1432(a)(4)(E)(xiv), 30
8-5-13        disability that the LEA provides appropriate special records. Must be confirmed by students. The justification must be
                                                                                                                                       EC 56426.3, 17 CCR
              education and related services as identified in the staff and parent interview.     based on student's needs, not
                                                                                                                                       52000(b)(12).
              student’s IFSP including transportation?                                            whether services with typically
                                                                                                  developing infant's/toddlers are
                                                                                                  available.
              Are early intervention services provided, as
                                                                                                  Look for the justification on the
              determined by the parent and the IFSP Team,          A justification must be
                                                                                                  services page. Services should be
              outside of a natural environment only when early     documented in the child's IFSP
                                                                                                  provided outside the natural         20 USC 1435(a)(16)(B),
8-5-14        intervention cannot be achieved satisfactorily in a for services not provided in a
                                                                                                  environment only when an             34 CFR 303.167(c).
              natural environment (the home or a community-        natural environment or with
                                                                                                  outcome cannot be achieved in
              based setting in where students without disabilities typically developing peers.
                                                                                                  the natural environment.
              participate).
Item Number                    Compliance Test                         Compliance Standard            Other Guidance                  Legal Citations

                                                                                             Check the assessment materials
              Is there evidence that home-based and group
                                                                                             and the IFSP for appropriate
              services are provided through a transdisciplinary    District must maintain
8-5-15                                                                                       assessors and service providers.     30 EC 56426.6(a).
              team consisting of a group of professionals from     documentation.
                                                                                             Parent and staff interviews help
              various disciplines and the parents?
                                                                                             confirm findings.

                                                                                             Check the assessment materials
              Is there evidence that credentialed personnel with
                                                                                             and the IFSP for appropriate
              expertise in vision and hearing are the primary      District must maintain
8-5-16                                                                                       assessors and service providers.    30 EC 56426.6(b).
              providers of services to infants and toddlers with   documentation.
                                                                                             Parent and staff interviews help
              blindness and/or deafness whenever possible?
                                                                                             confirm findings.
              Is there evidence that all personnel authorized to
8-5-17        provide early intervention services to infants and                                                                 34 CFR 303.12.
              toddlers:
              Is there evidence that all personnel authorized to
              provide early intervention services to infants and
              toddlers have appropriate experience in normal       District must maintain    Review staff list and qualifications.
8-5-17.1                                                                                                                           30 EC 56426.6(d).
              and atypical development and understanding of        documentation.            Review history of staff in-services.
              the unique needs of families of infants with
              exceptional needs?
              Is there evidence that all personnel authorized to
              provide early intervention services to infants and
                                                                                             Review history of staff in-services.
              toddlers who lack the necessary experience or        District must maintain
8-5-17.2                                                                                     For new staff inquire about training 30 EC 56426.6(d).
              qualifications, have a comprehensive training plan   documentation.
                                                                                             plans.
              developed and implemented as part of the staff
              development activities of the local plan?
EIS - Service Coordination
                                                                                             The interagency agreement is at
                                                                                             the SELPA level and usually
                                                                                             describes interactions between the
              Is there evidence that regional centers and the
                                                               The district must maintain    SELPA/infant programs and the
8-6-1         LEA have a local interagency agreement regarding                                                                  17 CCR 52140(b)(4).
                                                               documentation.                regional center. District staff
              the assignment of service coordinators?
                                                                                             should have a copy of the
                                                                                             agreement and should be familiar
                                                                                             with its terms.
Item Number                    Compliance Test                            Compliance Standard                Other Guidance                      Legal Citations
                                                                                                   May be documented in a variety of
                                                                                                   sources. Review policies and
                                                                                                   procedures. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
                                                                      The district must maintain                                             34 CFR 303.23, 17
8-6-2         a student, is there evidence that the service                                        Check on in-service training
                                                                      documentation.                                                         CCR 52121(a).
              coordinator:                                                                         contents or mentorship
                                                                                                   arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
              If LEA staff is acting as the service coordinator for                                sources. Check on duty
              a student, is there evidence that the service                                        statements or staff handbooks.
                                                                                                                                             34 CFR 303.23, 17
              coordinator provides the initial notice to the parent   The district must maintain   Check on in-service training
8-6-2.1                                                                                                                                      CCR 52161(a) and
              regarding confidentiality of personally identifying     documentation.               contents or mentorship
                                                                                                                                             52162.
              information and the types of information used for                                    arrangements. Interview staff and
              evaluation, assessment and IFSP development?                                         families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for
                                                                                                   statements or staff handbooks.
              a student, is there evidence that the service
                                                                      The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.2       coordinator obtains consents that are required for
                                                                      documentation.               contents or mentorship                    CCR 52162(a).
              initial evaluation and the provision of early
                                                                                                   arrangements. Interview staff and
              intervention services?
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for
                                                                                                   statements or staff handbooks.
              a student, is there evidence that the service
                                                                      The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.3       coordinator serves as the primary point of contact
                                                                      documentation.               contents or mentorship                    CCR 52121(a)(3).
              for coordinating services and assistance for the
                                                                                                   arrangements. Interview staff and
              family, agencies and service providers?
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, is there evidence that the service           The district must maintain   Check on in-service training              34CFR 303.23, 17
8-6-2.4
              coordinator informs the family of available "non-       documentation.               contents or mentorship                    CCR 52121(a).
              required" services that may assist the family?                                       arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
Item Number                    Compliance Test                            Compliance Standard                Other Guidance                      Legal Citations
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, is there evidence that the service           The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.5
              coordinator facilitates the delivery of services on     documentation.               contents or mentorship                    CCR 52121(a)(5).
              the initiation date identified in the IFSP?                                          arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for
                                                                                                   statements or staff handbooks.
              a student, is there evidence that the service
                                                                      The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.6       coordinator continuously seeks the appropriate
                                                                      documentation.               contents or mentorship                    CCR 52121(a)(6).
              services and providers necessary to enhance the
                                                                                                   arrangements. Interview staff and
              infant or toddler's development?
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, is there evidence that the service         The district must maintain     Check on in-service training              34 CFR 303.23, 17
8-6-2.7
              coordinator arranges the performance of initial and documentation.                   contents or mentorship                    CCR 52121(a)(7).
              subsequent evaluations and assessments?                                              arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, is there evidence that the service           The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.8
              coordinator participates in the development and         documentation.               contents or mentorship                    CCR 52121(a)(8).
              review of the IFSP?                                                                  arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for
                                                                                                   statements or staff handbooks.
              a student, is there evidence that the service
                                                                      The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.9       coordinator monitors the delivery of services and
                                                                      documentation.               contents or mentorship                    CCR 52121(a)(9).
              the degree to which progress is being made
                                                                                                   arrangements. Interview staff and
              through the periodic review?
                                                                                                   families to confirm that all activities
                                                                                                   are done.
Item Number                    Compliance Test                            Compliance Standard                Other Guidance                      Legal Citations
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for
                                                                                                   statements or staff handbooks.
              a student, there is evidence that the service
                                                                      The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.10      coordinator informs the parents of advocacy
                                                                      documentation.               contents or mentorship                    CCR 52121(a)(10).
              services and procedural safeguards available
                                                                                                   arrangements. Interview staff and
              under the law?
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, there is evidence that the service           The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.11
              coordinator facilitates the exchange of information     documentation.               contents or mentorship                    CCR 52121(a)(11).
              between service providers?                                                           arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   May be documented in a variety of
                                                                                                   sources. Check on duty
              If LEA staff is acting as the service coordinator for                                statements or staff handbooks.
              a student, there is evidence that the service           The district must maintain   Check on in-service training              34 CFR 303.23, 17
8-6-2.12
              coordinator facilitates the development of              documentation.               contents or mentorship                    CCR 52121(a)(12).
              transition steps in the IFSP?                                                        arrangements. Interview staff and
                                                                                                   families to confirm that all activities
                                                                                                   are done.
                                                                                                   Interview administrator about
                                                                                                   training of service coordinators.
              Is there evidence that service coordinators
                                                                      The district must maintain   Review in-service training topics.        34CFR 303.23, 17
8-6-3         assigned by the LEA have demonstrated
                                                                      documentation.               Interview staff about their training      CCR 52122.
              knowledge about:
                                                                                                   to act as service coordinator and
                                                                                                   about local procedures.

                                                                                                   Interview administrator about
              Is there evidence that service coordinators                                          training of service coordinators.
              assigned by the LEA have demonstrated                   The district must maintain   Review in-service training topics.        34 CFR 303.23, 17
8-6-3.1
              knowledge about infants and toddlers who are            documentation.               Interview staff about their training      CCR 52122(a).
              eligible for early intervention services?                                            to act as service coordinator and
                                                                                                   about local procedures.
Item Number                    Compliance Test                       Compliance Standard                Other Guidance                   Legal Citations

              Is there evidence that service coordinators                                     Interview administrator about
              assigned by the LEA have demonstrated                                           training of service coordinators.
              knowledge about procedures for conducting          The district must maintain   Review in-service training topics.     34CFR 303.23, 17
8-6-3.2
              evaluations and assessments of infants and         documentation.               Interview staff about their training   CCR 52122.
              toddlers who are referred for early intervention                                to act as service coordinator and
              services?                                                                       about local procedures.

                                                                                              Interview administrator about
              Is there evidence that service coordinators                                     training of service coordinators.
              assigned by the LEA have demonstrated              The district must maintain   Review in-service training topics.     34 CFR 303.23, 17
8-6-3.3
              knowledge about working with family and            documentation.               Interview staff about their training   CCR 52122(b).
              community resources?                                                            to act as service coordinator and
                                                                                              about local procedures.

                                                                                              Interview administrator about
              Is there evidence that service coordinators                                     training of service coordinators.
              assigned by the LEA have demonstrated              The district must maintain   Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4
              knowledge about federal and state requirements     documentation.               Interview staff about their training   CCR 52122(c).
              related to California's Early Start Program?                                    to act as service coordinator and
                                                                                              about local procedures.

                                                                                              Interview administrator about
              Is there evidence that service coordinators                                     training of service coordinators.
              assigned by the LEA have demonstrated              The district must maintain   Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.1
              knowledge about federal and state requirements     documentation.               Interview staff about their training   CCR 52122(c)(1).
              related to parent rights and responsibilities?                                  to act as service coordinator and
                                                                                              about local procedures.

                                                                                              Interview administrator about
              Is there evidence that service coordinators                                     training of service coordinators.
              assigned by the LEA have demonstrated              The district must maintain   Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.2
              knowledge about federal and state requirements     documentation.               Interview staff about their training   CCR 52122(c)(2).
              related to due process?                                                         to act as service coordinator and
                                                                                              about local procedures.
Item Number                     Compliance Test                          Compliance Standard                Other Guidance                   Legal Citations

                                                                                                  Interview administrator about
               Is there evidence that service coordinators                                        training of service coordinators.
               assigned by the LEA have demonstrated                The district must maintain    Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.3
               knowledge about federal and state requirements       documentation.                Interview staff about their training   CCR 52122(c)(3).
               related to confidentiality?                                                        to act as service coordinator and
                                                                                                  about local procedures.

                                                                                                  Interview administrator about
               Is there evidence that service coordinators                                        training of service coordinators.
               assigned by the LEA have demonstrated                The district must maintain    Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.4
               knowledge about federal and state requirements       documentation.                Interview staff about their training   CCR 52122(c)(4).
               related to required components of the IFSP?                                        to act as service coordinator and
                                                                                                  about local procedures.

               Is there evidence that service coordinators
               assigned by the LEA have demonstrated                                              Interview administrator about
               knowledge about federal and state requirements                                     training of service coordinators.
               related to timelines associated with completion of   The district must maintain    Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.5
               evaluation and assessment, transition planning,      documentation.                Interview staff about their training   CCR 52122(c)(5).
               access to records, amendment of records at                                         to act as service coordinator and
               parent request, investigation of complaints, and                                   about local procedures.
               due process hearing procedures?

                                                                                                  Interview administrator about
               Is there evidence that service coordinators                                        training of service coordinators.
               assigned by the LEA have demonstrated                 The district must maintain   Review in-service training topics.     34 CFR 303.23, 17
8-6-3.4.6
               knowledge about federal and state requirements        documentation.               Interview staff about their training   CCR 52122(c)(6).
               related to transition processes and responsibilities?                              to act as service coordinator and
                                                                                                  about local procedures.

                                                                                                  Interview administrator about
               Is there evidence that service coordinators                                        training of service coordinators.
               assigned by the LEA have demonstrated                The district must maintain    Review in-service training topics.     34 CFR 303.23(d), 17
8-6-3.4.7
               knowledge about the system of payments for           documentation.                Interview staff about their training   CCR 52122(c)(7).
               services identified in the IFSP?                                                   to act as service coordinator and
                                                                                                  about local procedures.
EIS - Transition
Item Number                    Compliance Test                            Compliance Standard                 Other Guidance                Legal Citations
              Do preschool LEAs participate in transition
              planning for toddlers served under the California                                                                         20 USC 1412 (a)(9), 34
                                                                      Must be documented in student Check IFSP/IEP signatures on
8-7-1         Early Intervention Services Act who may be                                                                                CFR 303.148, 17 CCR
                                                                      records.                      transition plan.
              eligible for preschool programs under Part B of the                                                                       52112(a).
              Individuals with Disabilities Education Act?
              If the infant LEA is the service coordinator for the    Must be documented in the
8-7-2                                                                                                                                   34 CFR 303.23.
              child, does the infant LEA:                             child's record on the IFSP.
              Is there evidence that service coordinators
              assigned by the LEA have demonstrated
                                                                                                                                         34 CFR 303.23, 34
              knowledge about federal and state requirements                                         Check notice to parent of
                                                                   Evidence must be included in                                         CFR 303.148, 34 CFR
8-7-2.1       related to notifying the parent of a toddler who may                                   transition planning at 2 years 6
                                                                   the child's record.                                                  303.344(h), 17 CCR
              be eligible for preschool special education services                                   months.
                                                                                                                                        52112 (b)(6).
              that transition planning will occur within the next
              three to six months?
               Is there evidence that service coordinators
               assigned by the LEA have demonstrated
               knowledge about federal and state requirements
               related to notifying the preschool LEA that there                                     Check notice to parent of          20 USC 1412(a)(9), 17
                                                                      Evidence must be included in
8-7-2.2        will be an IFSP meeting requiring the attendance                                      transition planning at 2 years 6   CCR 52112 (b) and
                                                                      the child's record.
               of a pre-school LEA representative before the                                         months.                            56122(b)(6).
               toddler is two years, nine months (or up to six
               months before the child’s third birthday, if all
               parties agree)?
               Is there evidence that service coordinators
               assigned by the LEA have demonstrated
                                                                                                     Check notice to parent of          34 CFR 303.2334CFR
               knowledge about federal and state requirements         Evidence must be included in
8-7-2.3                                                                                              transition planning at 2 years 6   303.148, 17 CCR 52112
               related to securing agreement regarding a date for     the child's record.
                                                                                                     months.                            (b).
               the transition IFSP meeting, within thirty days
               following notification?
EIS - Interagency Agreement
                                                                                                     The interagency agreement is at
                                                                                                     the SELPA level and usually
              Does LEA or SELPA have a local interagency
                                                                                                     describes interactions between the
              agreement with the regional center regarding
                                                                      District must maintain         SELPA/infant programs and the
8-8-1         services to infants, toddlers and their families that                                                                     17 CCR 52140(a)-(c).
                                                                      documentation.                 regional center. District staff
              is dated and signed by representatives of the
                                                                                                     should have a copy of the
              regional center and LEA or SELPA?
                                                                                                     agreement and should be familiar
                                                                                                     with its terms.
Item Number                    Compliance Test                          Compliance Standard            Other Guidance                  Legal Citations
                                                                                              The interagency agreement is at
                                                                                              the SELPA level and usually
              Has the local interagency agreement been                                        describes interactions between the
              reviewed, revised as necessary, dated and signed District must maintain         SELPA/infant programs and the
8-8-2                                                                                                                              17 CCR 52140(d).
              by both the LEA or SELPA and the regional center documentation.                 regional center. District staff
              within the last year?                                                           should have a copy of the
                                                                                              agreement and should be familiar
                                                                                              with its terms.
                                                                                              The interagency agreement is at
                                                                                              the SELPA level and usually
                                                                                              describes interactions between the
                                                                    District must maintain    SELPA/infant programs and the
8-8-3         Does the local interagency agreement include:                                                                        17 CCR 52140.
                                                                    documentation.            regional center. District staff
                                                                                              should have a copy of the
                                                                                              agreement and should be familiar
                                                                                              with its terms.
                                                                                              The interagency agreement is at
                                                                                              the SELPA level and usually
                                                                                              describes interactions between the
              Does the local interagency agreement between                                    SELPA/infant programs and the
              the LEA and the regional center include a                                       regional center. District staff
                                                                    District must maintain
8-8-3.1       statement of the responsibilities of each LEA and                               should have a copy of the            17 CCR 52140(b)(1).
                                                                    documentation.
              regional center for meeting the terms of the                                    agreement and should be familiar
              agreement?                                                                      with its terms. The interagency
                                                                                              agreement must include all 13
                                                                                              components as specified by 17
                                                                                              CCR 52140.
                                                                                              The interagency agreement is at
              Does the local interagency agreement between                                    the SELPA level and usually
              the LEA and the regional center include a                                       describes interactions between the
              statement of procedures for coordination of           District must maintain    SELPA/infant programs and the
8-8-3.2                                                                                                                            17 CCR 52140(b)(2)
              student find activities to identify infants and       documentation.            regional center. District staff
              toddlers who may be eligible for early intervention                             should have a copy of the
              services?                                                                       agreement and should be familiar
                                                                                              with its terms.
Item Number                    Compliance Test                         Compliance Standard            Other Guidance                  Legal Citations
                                                                                             The interagency agreement is at
                                                                                             the SELPA level and usually
              Does the local interagency agreement between                                   describes interactions between the
              the LEA and the regional center include a            District must maintain    SELPA/infant programs and the
8-8-3.3                                                                                                                           17 CCR 52140(b)(3)
              statement of specific procedures for coordination    documentation.            regional center. District staff
              of referrals for evaluation and assessment?                                    should have a copy of the
                                                                                             agreement and should be familiar
                                                                                             with its terms.
                                                                                             The interagency agreement is at
                                                                                             the SELPA level and usually
              Does the local interagency agreement between                                   describes interactions between the
              the LEA and the regional center include a            District must maintain    SELPA/infant programs and the
8-8-3.4                                                                                                                           17 CCR 52140(b)(4)
              statement of procedures for assignment of a          documentation.            regional center. District staff
              service coordinator?                                                           should have a copy of the
                                                                                             agreement and should be familiar
                                                                                             with its terms.
                                                                                             The interagency agreement is at
              Does the local interagency agreement between
                                                                                             the SELPA level and usually
              the LEA and the regional center include a
                                                                                             describes interactions between the
              statement of interagency procedures for identifying
                                                                  District must maintain     SELPA/infant programs and the
8-8-3.5       responsibilities for completing evaluation and                                                                      17 CCR 52140(b)(5)
                                                                  documentation.             regional center. District staff
              assessment within required timelines when an
                                                                                             should have a copy of the
              infant or toddler may receive services from both
                                                                                             agreement and should be familiar
              agencies?
                                                                                             with its terms.
                                                                                             The interagency agreement is at
                                                                                             the SELPA level and usually
              Does the local interagency agreement between                                   describes interactions between the
              the LEA and the regional center include a            District must maintain    SELPA/infant programs and the
8-8-3.6                                                                                                                           17 CCR 52140(b)(6)
              statement of procedures for timely exchange of       documentation.            regional center. District staff
              information?                                                                   should have a copy of the
                                                                                             agreement and should be familiar
                                                                                             with its terms.
                                                                                             The interagency agreement is at
                                                                                             the SELPA level and usually
              Does the local interagency agreement between                                   describes interactions between the
              the LEA and the regional center include a            District must maintain    SELPA/infant programs and the
8-8-3.7                                                                                                                           17 CCR 52140(b)(7)
              statement of mechanisms for ensuring the             documentation.            regional center. District staff
              availability of contacts at all times of the year?                             should have a copy of the
                                                                                             agreement and should be familiar
                                                                                             with its terms.
Item Number                    Compliance Test                           Compliance Standard            Other Guidance                  Legal Citations
                                                                                               The interagency agreement is at
                                                                                               the SELPA level and usually
              Does the local interagency agreement between
                                                                                               describes interactions between the
              the LEA and the regional center include a
                                                                     District must maintain    SELPA/infant programs and the
8-8-3.8       statement of procedures for interagency IFSP                                                                          17 CCR 52140(b)(8)
                                                                     documentation.            regional center. District staff
              development when infants and toddlers may be
                                                                                               should have a copy of the
              eligible for services from more than one agency?
                                                                                               agreement and should be familiar
                                                                                               with its terms.
                                                                                               The interagency agreement is at
                                                                                               the SELPA level and usually
              Does the local interagency agreement between
                                                                                               describes interactions between the
              the LEA and the regional center include a
                                                                     District must maintain    SELPA/infant programs and the
8-8-3.9       statement of procedures to ensure provision of                                                                        17 CCR 52140(b)(9)
                                                                     documentation.            regional center. District staff
              services during periods of school vacations when
                                                                                               should have a copy of the
              services are required on the IFSP?
                                                                                               agreement and should be familiar
                                                                                               with its terms.
                                                                                               The interagency agreement is at
                                                                                               the SELPA level and usually
              Does the local interagency agreement between
                                                                                               describes interactions between the
              the LEA and the regional center include a
                                                                     District must maintain    SELPA/infant programs and the
8-8-3.10      statement of transition planning procedures which                                                                     17 CCR 52140(b)(10)
                                                                     documentation.            regional center. District staff
              begin at least six months prior to a toddler’s third
                                                                                               should have a c