final determinations. secretary’s determinations secretary annually reviews the apr and, based on...
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Final DeterminationsFinal Determinations
Secretary’s DeterminationsSecretary’s Determinations
Secretary annually reviews the APR Secretary annually reviews the APR and, based on the information provided and, based on the information provided in the report, information obtained in the report, information obtained through monitoring visits, and any other through monitoring visits, and any other public information available, the public information available, the Secretary determines if the state:Secretary determines if the state:
Meets requirementsMeets requirements Needs assistanceNeeds assistance Needs interventionNeeds intervention Needs substantial interventionNeeds substantial intervention
What did OSEP consider in What did OSEP consider in making the “Determinations?”making the “Determinations?”
OSEP considered all information OSEP considered all information available at the time of the available at the time of the determinations including:determinations including: History, nature and length of time of any History, nature and length of time of any
reported noncompliancereported noncompliance Evidence of correction, including progress Evidence of correction, including progress
toward full compliancetoward full compliance Information regarding valid and reliable Information regarding valid and reliable
datadata
Other information:Other information: Special conditionsSpecial conditions Compliance agreementsCompliance agreements Audit findingsAudit findings OSEP’s verification or focused monitoring OSEP’s verification or focused monitoring
findingsfindings
Are States required to make Are States required to make “Determinations?”“Determinations?”
States are required to make States are required to make “Determinations” under 616(d)“Determinations” under 616(d)
ODE will make the ODE will make the “Determinations” August 2007 “Determinations” August 2007 based on district/program based on district/program performance on the targets in the performance on the targets in the SPPSPP
What do states consider in What do states consider in making their making their “Determinations?”“Determinations?”
MUST consider MUST consider Performance on compliance Performance on compliance
indicatorsindicators Valid, reliable, and timely data Valid, reliable, and timely data Audit findingsAudit findings Uncorrected noncompliance from Uncorrected noncompliance from
other sourcesother sources COULD considerCOULD consider
Performance on outcomes indicatorsPerformance on outcomes indicators Others?Others?
General Supervision TimelineGeneral Supervision Timeline February 2007: ODE submitted APR February 2007: ODE submitted APR
(based on 2005-2006 PCR and KPI (based on 2005-2006 PCR and KPI data) to OSEPdata) to OSEP
March 2007: ODE publicly reported March 2007: ODE publicly reported district/program performance on SPP district/program performance on SPP through special education report through special education report cardcard
April 2007: Districts/programs April 2007: Districts/programs submitted PCR data on new files submitted PCR data on new files selected by ODEselected by ODE Targeted file review consisted of 11 standards of Targeted file review consisted of 11 standards of
general supervision, and areas of previously general supervision, and areas of previously identified noncompliance from 2004-2005 identified noncompliance from 2004-2005 comprehensive file review comprehensive file review
Districts also submitted analysis worksheets on Districts also submitted analysis worksheets on KPI that were not metKPI that were not met
General Supervision Timeline General Supervision Timeline cont’dcont’d
May – June 2007: ODE SPR&I team and May – June 2007: ODE SPR&I team and county contacts worked with districtscounty contacts worked with districts to verify corrections of previously identified to verify corrections of previously identified
noncompliance, and any corrections of newly noncompliance, and any corrections of newly identified noncompliance that could be addressedidentified noncompliance that could be addressed
Findings were then summarized using the Findings were then summarized using the district/program determinations summary sheet district/program determinations summary sheet (see handout)(see handout)
July – August 2007: ODE SPR&I team and July – August 2007: ODE SPR&I team and county contacts developed and applied county contacts developed and applied district/program final determination status district/program final determination status Letter serves as official notice of previous Letter serves as official notice of previous
noncompliance (2005-2006) that was corrected or noncompliance (2005-2006) that was corrected or is now second year noncompliance and identifies is now second year noncompliance and identifies any new compliance identified through files any new compliance identified through files reviews (2006-2007) or other meansreviews (2006-2007) or other means
Determination PacketsDetermination Packets
ODE GuidanceODE Guidance Determinations RubricDeterminations Rubric Notifications and Standards Notifications and Standards
IdentificationIdentification District Summary SheetDistrict Summary Sheet Standards Citations KeyStandards Citations Key
Factors ODE considered for Factors ODE considered for “meets requirements”“meets requirements”
SPR&I Procedural Compliance:SPR&I Procedural Compliance: No previously identified procedural No previously identified procedural
noncompliance; or,noncompliance; or, 95% or greater of previous year identified 95% or greater of previous year identified
noncompliance was corrected within the one noncompliance was corrected within the one year timeline.year timeline.
Data timely and accurate:Data timely and accurate: District/program data submissions were both District/program data submissions were both
completed within the designated windows for completed within the designated windows for reporting and identified as accurate: No edits reporting and identified as accurate: No edits and/or error reports were generated for the and/or error reports were generated for the district/program for the collections informing this district/program for the collections informing this process after the designated windows for process after the designated windows for correction.correction.
District/program data was District/program data was eithereither submitted after the submitted after the designated window for reporting but was accurate, designated window for reporting but was accurate, or was submitted within the designated windows for or was submitted within the designated windows for reporting, but identified as inaccurate and required reporting, but identified as inaccurate and required correction by districts/programs. correction by districts/programs.
Meets Requirements-Meets Requirements-Enforcement Enforcement ActionsActions((Each year ODE determines that a district/program Meets Requirements it Each year ODE determines that a district/program Meets Requirements it will consider taking one or more of the following actions)will consider taking one or more of the following actions)
ODE determines district/program has ODE determines district/program has met all requirements and no further met all requirements and no further action is required; action is required;
ODE offers technical assistance at the ODE offers technical assistance at the request of the district/program; orrequest of the district/program; or
ODE identifies district/program as in ODE identifies district/program as in need of support in implementing the need of support in implementing the requirements within the timelines, requirements within the timelines, which may include, but is not limited which may include, but is not limited to, focused monitoring activities.to, focused monitoring activities.
ODE is not restricted from utilizing any ODE is not restricted from utilizing any other authority available to it to monitor other authority available to it to monitor and enforce the requirements of Part B and enforce the requirements of Part B
Factors ODE considered forFactors ODE considered for “needs assistance” “needs assistance”SPR&I Procedural Compliance:SPR&I Procedural Compliance: Between 50% and 94% of previous Between 50% and 94% of previous
noncompliance was corrected within noncompliance was corrected within the one year.the one year.
Data timely and accurate:Data timely and accurate: District/program data submissions were District/program data submissions were
not completed within the designated not completed within the designated windows for reporting and;windows for reporting and;
District/program data has been District/program data has been identified as inaccurate: Edits and/or identified as inaccurate: Edits and/or error reports were generated for the error reports were generated for the district/program for the collections district/program for the collections informing this process after the informing this process after the designated windows for correction.designated windows for correction.
Needs Assistance-Needs Assistance-Enforcement Enforcement ActionsActions((After 2 consecutive years the ODE may take one or more of After 2 consecutive years the ODE may take one or more of the following enforcement actions)the following enforcement actions)
Advises the district/program of available technical Advises the district/program of available technical assistance to address the areas in which it needs assistance to address the areas in which it needs assistanceassistance
Direct the use of district/program - level funds under Direct the use of district/program - level funds under section 611(e) of the Act on the area or areas in which section 611(e) of the Act on the area or areas in which the State needs assistance.the State needs assistance.
Prohibit the district/program from reducing the Prohibit the district/program from reducing the district’s/program’s maintenance of effort under 34 district’s/program’s maintenance of effort under 34 CFR §300.203 for any fiscal yearCFR §300.203 for any fiscal year
Identify the district/program as a high-risk grantee and Identify the district/program as a high-risk grantee and impose special conditions on the district’s/program’s impose special conditions on the district’s/program’s grant under Part B of the Act. [34 CFR 300.604(a)] [20 grant under Part B of the Act. [34 CFR 300.604(a)] [20 U.S.C. 1416(e)(1)]U.S.C. 1416(e)(1)]
ODE is not restricted from utilizing any other authority ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements available to it to monitor and enforce the requirements of Part Bof Part B
Factors ODE considered for Factors ODE considered for “needs intervention”“needs intervention”
SPR&I Procedural Compliance:SPR&I Procedural Compliance: Less than 50% of previous identified Less than 50% of previous identified
noncompliance not corrected within the one noncompliance not corrected within the one yearyear
Data verification by ODE indicates need for Data verification by ODE indicates need for comprehensive reviewcomprehensive review
Data timely and accurate:Data timely and accurate: District/program data submissions were not District/program data submissions were not
completed within the designated windows for completed within the designated windows for reporting and;reporting and;
District/program data has been identified as District/program data has been identified as inaccurate: inaccurate: FrequentFrequent edits and/or error reports edits and/or error reports were generated for the district for the collections were generated for the district for the collections informing this process after the designated informing this process after the designated windows for correction.windows for correction.
Needs Intervention-Needs Intervention-Enforcement Enforcement ActionsActions((After 3 consecutive years the ODE may take one or more of the After 3 consecutive years the ODE may take one or more of the following enforcement actions)following enforcement actions)
The ODE may take any of the actions described in 34 The ODE may take any of the actions described in 34 CFR 300.604(a) (Needs Assistance).CFR 300.604(a) (Needs Assistance).
Requires the district/program to prepare a corrective Requires the district/program to prepare a corrective action plan or improvement plan.action plan or improvement plan.
For each year of the determination, withhold not less For each year of the determination, withhold not less than 20 percent and not more than 50 percent of the than 20 percent and not more than 50 percent of the district’s/program’s funds under section 611(e) of the district’s/program’s funds under section 611(e) of the Act, until the ODE determines the district/program has Act, until the ODE determines the district/program has sufficiently addressed the areas in which the sufficiently addressed the areas in which the district/program needs intervention.district/program needs intervention.
Seek to recover funds under section 452 of GEPA.Seek to recover funds under section 452 of GEPA. Withhold, in whole or in part, any further payments to the Withhold, in whole or in part, any further payments to the
district/program under Part B of the Act. [34 CFR district/program under Part B of the Act. [34 CFR 300.604(b)] [20 U.S.C. 1416(e)(2)]300.604(b)] [20 U.S.C. 1416(e)(2)]
ODE is not restricted from utilizing any other authority ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of available to it to monitor and enforce the requirements of Part B Part B
Factors ODE considered for Factors ODE considered for “needs substantial intervention”“needs substantial intervention”
ODE reserves the right to identify ODE reserves the right to identify a district/program as Needs a district/program as Needs Substantial Intervention if its Substantial Intervention if its substantial failure to comply substantial failure to comply significantly affected the core significantly affected the core requirements of the program, such requirements of the program, such as the delivery of services to as the delivery of services to children with disabilities or the children with disabilities or the district’s/program’s exercise of district’s/program’s exercise of general supervision, or if the general supervision, or if the district/program informed the ODE district/program informed the ODE it was unwilling to comply.it was unwilling to comply.
Needs Substantial Intervention- Needs Substantial Intervention- Enforcement ActionsEnforcement Actions ((Any time that the ODE determines that a district/program Any time that the ODE determines that a district/program needs needs substantial interventionsubstantial intervention or that there is a substantial failure to comply with or that there is a substantial failure to comply with any condition of an district’s/program’s eligibility under Part B, the any condition of an district’s/program’s eligibility under Part B, the Secretary takes one or more of the following actions)Secretary takes one or more of the following actions)
Recover funds under section 452 of Recover funds under section 452 of GEPAGEPA.. Withholds, in whole or in part, any further Withholds, in whole or in part, any further payments to the district/program under Part payments to the district/program under Part B of the Act.B of the Act. Refers the case to the Office of the Refers the case to the Office of the Inspector General at the Department of Inspector General at the Department of Education.Education. Refers the matter for appropriate Refers the matter for appropriate enforcement action, which may include enforcement action, which may include referral to the Department of Justice. 34 CFR referral to the Department of Justice. 34 CFR 300.604(c)] [20 U.S.C. 1416(e)(3)]300.604(c)] [20 U.S.C. 1416(e)(3)] ODE is not restricted from utilizing any ODE is not restricted from utilizing any other authority available to it to monitor and other authority available to it to monitor and enforce the requirements of Part B enforce the requirements of Part B
Timing of enforcements Timing of enforcements actionsactions Are enforcement actions Are enforcement actions
sequential?sequential? No, the enforcement actions are not sequential.No, the enforcement actions are not sequential.
Must ODE wait two (Must ODE wait two (needs needs assistanceassistance) or three () or three (needs needs interventionintervention) years before taking ) years before taking enforcement action?enforcement action? Under section 616(g) of the Act, the ODE may at any Under section 616(g) of the Act, the ODE may at any
time utilize any authority under the General time utilize any authority under the General Education Provisions Act (GEPA) to monitor and Education Provisions Act (GEPA) to monitor and enforce the requirements of IDEA, regardless of the enforce the requirements of IDEA, regardless of the determinations made of the district’s/program’s determinations made of the district’s/program’s status under section 616(d) of the Act. status under section 616(d) of the Act.
Maintenance of Effort (MOE)Maintenance of Effort (MOE)
If an SEA determines that an LEA If an SEA determines that an LEA is not meeting the requirements of is not meeting the requirements of Part B of the Act, including the Part B of the Act, including the targets in the SPP, the SEA must targets in the SPP, the SEA must prohibit the LEA from reducing the prohibit the LEA from reducing the LEA’s maintenance of effort under LEA’s maintenance of effort under 34 CFR §300.203 for any fiscal 34 CFR §300.203 for any fiscal yearyear
Determination DistributionDetermination Distribution 10 districts10 districts
5%5% 71 districts71 districts
35%35%
119 districts119 districts 60%60%
What are ODE’s expectations What are ODE’s expectations for districts?for districts?
Develop and sustain a system Develop and sustain a system that allows you to:that allows you to: Identify noncomplianceIdentify noncompliance Correct noncompliance at Correct noncompliance at
individual and systemic levelsindividual and systemic levels Improve the process and system Improve the process and system
to ensure desired outcomesto ensure desired outcomes
Expectations of districts (cont.)Expectations of districts (cont.)
IdentificationIdentification Components to identify Components to identify
noncompliance may includenoncompliance may include Self-assessments (file reviews)Self-assessments (file reviews) Database with unique identifiers Database with unique identifiers
(SPR&I)(SPR&I) Focus on priorities (Set by OSEP and Focus on priorities (Set by OSEP and
ODE)ODE) Dispute resolution Dispute resolution
Expectations of districts (cont.)Expectations of districts (cont.) CorrectionCorrection
When is it corrected?When is it corrected? When a CAP is submitted? When a CAP is submitted? NONO When a CAP is approved?When a CAP is approved? NO NO When the CAP activities are completed?When the CAP activities are completed?
Maybe Maybe When new policies and/or procedures are When new policies and/or procedures are
approved? approved? Maybe Maybe When the district/program has documentation When the district/program has documentation
that practice has changed and has notified that practice has changed and has notified the State?the State? YES!! YES!!
ImprovementImprovement Attend annual SPR&I trainingsAttend annual SPR&I trainings Utilize SPR&I system and improvement Utilize SPR&I system and improvement
planplan Conduct individual file corrections and Conduct individual file corrections and
professional development for local staffprofessional development for local staff
How do we “measure” the one How do we “measure” the one year timeline for correction?year timeline for correction?
From timely identification of From timely identification of noncompliance; i.e., when the noncompliance; i.e., when the ODE notifies the district/program ODE notifies the district/program in writing of the noncompliancein writing of the noncompliance
To state closure of the To state closure of the noncompliance; i.e., when the noncompliance; i.e., when the ODE notifies the district/program ODE notifies the district/program and documents in writing that the and documents in writing that the noncompliance is correctednoncompliance is corrected
ODE On-going OversightODE On-going Oversight
Will continue to focus on Will continue to focus on performance and complianceperformance and compliance
Will primarily identify Will primarily identify districts/programs for focused districts/programs for focused monitoring by looking at continued monitoring by looking at continued noncompliance and performance noncompliance and performance against the targetsagainst the targets
Other data sources such as rank Other data sources such as rank orders and audits may also be usedorders and audits may also be used
Take awaysTake aways Identification of noncompliance through Identification of noncompliance through
SPR&I is not what determines your SPR&I is not what determines your statusstatus
Lack of documented and verified Lack of documented and verified evidence of correction of evidence of correction of noncompliance is what contributes to noncompliance is what contributes to determination status determination status
Future determinations may include a Future determinations may include a comprehensive review of compliance comprehensive review of compliance and performance indicators as well as and performance indicators as well as timely and accurate submission of datatimely and accurate submission of data
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