Special Education Division Data Identified of Noncompliance

1. Special Education DivisionData Identified of Noncompliance

3. Data Identified Noncompliance • OSEP requires the State to account for all instances of noncompliance, including noncompliance identified: • through the review of data collected by the State, including compliance data collected through a State data system…CASEMIS

4. CASEMIS Data (NCTAG pgs. 2-3) 2011 CASEMIS data was analyzed for compliance to the following state and federal requirements: 1. Children are evaluated within 60 days of receiving parental consent for initial evaluation (SPP Indicator 11) • 3,687 Student noncompliant findings in 195 districts

5. CASEMIS Data 2. Children referred by Part C prior to age three, who are found eligible for Part B, have an Individual Education Plan (IEP) developed and implemented by their third birthday (SPP Indicator 12)  • 210 student noncompliant findings in 55 districts

6. CASEMIS Data 3. Youth aged 16 and above have an IEP that includes the eight required measurable post-secondary goals (Indicator 13) • 64,877 student noncompliant findings in 547 districts

7. CASEMIS Data 4. Annual Individual Education Plan (IEP) meeting (once a year) • 14,877 student noncompliant findings in 547 districts 5. Triennial (TRI) re-evaluation to determine the student’s continued eligibility (every three years) • 12,215 student noncompliant findings in 659 districts

8. Verifying Correction of NC (NCTAG pg. 3) • Of the identified 95,866 student noncompliant findings identified in 2011, using June 2012 CASEMIS data, AES was able to verify student level corrections for over 80,000 findings • 14,062 students (in 365 districts) continued to be noncompliant over the two CASEMIS submissions (2011 and 2012) • District identified with “continued noncompliance”

9. Continued Noncompliance (NCTAG pg.4) • Students matched from 2011 to 2012 show continued noncompliance • Finding notification will be sent to the district • Also, identified now as a district level finding • Requires a root cause analysis(RCA) • Corrective action to address RCA

10. Root Cause Analysis (NCTAG pg. 5) • Root Cause Analysis (RCA) identifies the underlying issues or problems that contribute to the continued noncompliance • RCA tries to solve problems by identifying and correcting the root causes • By focusing correction on root causes, recurrence can be prevented

11. Root Cause Analysis (NCTAG Pg. 5) • Five categories of root causes • Data entry or systems error • Inadequate tracking system • Student not available • Staff not available • Failed to engage (district’s established policies, practices, and/or procedures)

12. Tracking Spreadsheet (NCTAG pg. 6) • Districts will use a tracking spreadsheet to monitor and report the correction of noncompliant findings (student and district level) • Spreadsheet is customized for each district to reflect the areas of noncompliance • Prepopulated with district and SELPA information • Prepopulated with student information, the finding, and appropriate corrective action

13. Tracking Spreadsheet • Each customized spreadsheet will be placed on a FTP site: • Files are encrypted and password protected for confidentiality • Districts will download the spreadsheet • At each due date, the district will submit their spreadsheet through the secure portal (similar to SESR files)

14. Spreadsheet Fields (NCTAG Pgs. 7-10) • Fields to be completed by the districts: • Student correction date • Evidence and location of evidence • RCA • District Root Cause Corrective Action • Correction date, evidence, and location of evidence • Prong II date • District contact information

15. Spreadsheet Fields (NCTAG Pgs. 7-10) • Fields to be completed by FMTA: • Notification date: January 23, 2013 • RCA corrective action approval • Clearance letter date • Notes

16. Tracking Spreadsheet

17. District Notification • AES will notify districts via e-mail of noncompliant findings: • Cover letter • Includes FTP site and district password • Noncompliance Technical Assistance Guide

18. Timeline (1 page handout) • Internal due dates • Notification of noncompliance • Generating status reports to the Director’s office and FMTA Managers • External due dates • Minimum of two submissions

19. Submission Process (single page white handout) • AES will: • Place on the G Drive FMTA Wide a folder identified as 2011 Data Noncompliance • Within that folder will be a subfolder for each district (in alpha order) • Each district folder will have two subfolders: Pending and Final

20. Submission Process • Pending folder • Most recent submitted spreadsheet file • Files can be resubmitted with edits as often as needed • Version control will be the date and time stamp of the submission • Final folder • All student and district findings are corrected, Prong II completed, and letter of completion is issued • All fields of the spreadsheet are completed

21. Submission Process • Districts will submit spreadsheet file a minimum of two times • When a file is received: • AES will log it in • AES will save it to the G drive FMTA Wide folder, in the District’s Pending folder • AES will notify the FMTA managers and consultants

22. Submission Process • FMTA consultants will: • Monitor the correction process • Approve the corrective action developed by the district to address the root cause • Notify AES when correction (student and district level, Prong II) is complete • Place completed spreadsheet in the “Final” folder on the G drive

23. Questions She lost me at 98,000 noncompliant findings…. Please, please don’t ask any questions so we can get out of here… REALLY? I need to retire! Who has to clean the refrigerators this month? Who is suppose to do what? ?@#?%#^@*&*!