Indicator 12. Phase I Desk Audit Purpose

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Louisa Baker
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1 Indicator 12 Percent of children referred by Part C prior to age 3, who are found eligible for Part B, and who have an IEP developed and implemented by their third birthdays. IDEA Reference: (b)(1)(i)(ii) FAPE must be made available to each eligible child no later than the child s third birthday An IEP must be in place by the child s third birthday AU must be notified by the CCB in order to begin the referral process AU must complete the initial evaluation in order to determine eligibility and develop the initial IEP Data Source: The data for Indicator 12 come from the Special Education End-of-Year Student report (EoY). ECEA rules were amended December 30, The changes in rules are reflected in the EoY data collection questions. Data collected to address Indicator 12 requests information related to the date of implementation of the IEP for children transitioning from Part C to Part B. The Indicator 12 review has been developed as a three phase process. Phase I Desk Audit Purpose Process In Phase I, data submitted in the EoY report are verified. The CDE reviewer s role is to examine the reported data for accuracy. Phase I of the Indicator 12 review: Individual indicator reports are generated by the data department after the EOY reporting period closes. The CDE reviewer receives the Indicator 12 report for an individual AU from the data department. The CDE reviewer assists in verifying the accuracy of the Indicator 12 report. The CDE reviewer analyzes the data for general trends. The CDE reviewer cross references data submitted by Part C for Indicator 8A. Specific data points to consider when verifying data for accuracy and trends: 1. number of students who have IEPs developed after the third 1

order to begin the referral process AU must complete the initial evaluation in order to determine eligibility and develop the initial IEP Data Source: The data for Indicator 12 come from the Special

2 birthday 2. number of days the IEP was developed beyond the third birthday 3. trends in reasons Does anything stand out as improbable? Are a high percentage of students over the timeline? Are a high percentage of students over the timeline by only a few days? Are a high percentage of students over the timeline by an excessive number of days? Reason codes: For any student who exceeds the allowable timeline, the AU submits a reason code when completing the EOY report. The following reason codes are considered allowable: 01 parent refused to provide consent 02 moved 03 deceased 20 illness of student or immediate family 21 parent requested delay in meeting 22 parent no show, meeting rescheduled 24 parent could not be located surrogate parent process started 25 parent requested someone else to attend; i.e. legal representation 26 weather/school cancellation 27 parent requested independent educational evaluation 28 IEP team requested additional evaluation at eligibility meeting; 43 mutual written agreement by parents and eligibility team extends time for specific learning disability identification The following reason code indicates noncompliance with Indicator 12 and therefore requires a further review: 05 no valid reason Summary of Phase I: Phase I is a data verification designed to include all AUs. If the data appear accurate, through a Phase I review, and fall within the 95% compliance threshold, no further drill down is necessary. If the AU s data does not meet substantial compliance, move on to Phase II. 2

Reason codes: For any student who exceeds the allowable timeline, the AU submits a reason code when completing the EOY report.

3 Phase II: Individual Student Record Review for Verification Purpose Process Summary of Phase II: The purpose of Phase II is to identify potential noncompliance for IEPs being developed beyond the child s third birthday for those AUs who did not meet the 95% compliance threshold. Individual student records must be reviewed to determine the date the IEP was completed. Step 1: Request individual student report showing the student identifier, and dates submitted for fields related to Indicator 12 Step 2: Pull individual student records for review (see below) Step 3: Review individual student records for required information Step 4: Verify the date the CCB notified the AU Step 5: Recalculate the Indicator 12 compliance rate Step 6: Determine whether the AU s performance meets substantial compliance and take action The purpose of Phase II is to determine the rate of compliance with Indicator 12 and the AU s performance in meeting the required timeline for having an IEP in place by the child s third birthday. 3

Step 1: Request individual student report showing the student identifier, and dates submitted for fields related to Indicator 12 Step 2: Pull individual student records for review (see below) Step 3:

4 Indicator 12 Focused Student Record Review Student Information: Initials Total and DOB IEP date eligibility Part C to Part B Transition 1. Is there evidence that the CCB notified the AU? 2. What is the date the CCB notified the AU (if documented)? 3. Is there an IFSP in the file? Comments 4. Is there a transition plan in the IFSP? 5. What is the date of the transition plan (should be dated at least 90 days prior to the child s 3rd birthday or at least 90 days prior to starting preschool services whichever is earliest)? 6. Is there documentation indicating a representative participated in developing the transition plan? 7. What is the date of Part B eligibility determination? 8. What is the date of the initial IEP? 9. What is the date services were to be initiated? 4

What is the date of the transition plan (should be dated at least 90 days prior to the child s 3rd birthday or at least 90 days prior to starting preschool services whichever is earliest)? 6.

5 Phase III: Drill Down to identify root cause and guide corrective action Purpose The purpose in Phase III is two-fold. The first objective is to identify the root causes of noncompliance identified during Phase II. The second objective is to support the development of a corrective action plan and determine the technical assistance will support the AU to meet compliance. Process Step 2: Based upon the body of evidence collected in Phase II, determine the possible causes of the noncompliance. Step 3: Determine what assistance an AU may need to correct noncompliance. Step 4: Provide technical assistance to support the corrective plan. Summary In Phase III it is determined whether an AU will be cited as out of of Phase II: compliance. Citation requires the development of a corrective action plan and the provision of technical assistance, as necessary. 5

The second objective is to support the development of a corrective action plan and determine the technical assistance will support the AU to meet compliance.

6 Indicator 12 Review of Policies, Procedures, and Practices 4.03(1)(c) the administrative unit of residence shall participate in meetings regarding the transition planning process from infant/toddler to special education preschool services consistent with the requirements of 34CFR (below) 5.01 (6) Requirements regarding the transition of children from Part C programs to preschool programs under Part B of IDEA as established by 34 CFR (below) (a) Children participating in early intervention programs assisted under Part C of the Act, and who will participate in preschool programs assisted under Part B of the Act, experience a smooth and effective transition to those preschool programs in a manner consistent with section 637(a)(9) of the Act (a) (b) By the third birthday of a child describe in paragraph (a) of this section [see above], an IEP or, if consistent with (b) and section 636(d) of the Act, an IFSP, has been developed and is being implemented for the child consistent with (b); and (b) (c) Each affected LEA will participate in transition planning conference arranged by the designated lead agency under section 635(a)(10) of the Act (c) Sources of data 6 Technical assistance

requirements of 34CFR 300.124 (below) 5.01 (6) Requirements regarding the transition of children from Part C programs to preschool programs under Part B of IDEA as established by 34 CFR 300.

7 Each public agency must ensure that as soon as possible following development of the IEP, special education and related services are made available to the child in accordance with the child s IEP (c)(2) A free appropriate public education must be available to all children residing in the State between the ages of 3 and 21, inclusive, including children with disabilities who have been suspended or expelled from school, as provided for in (d) (a) Each State must ensure that (i) The obligation to make FAPE available to each eligible child residing in the State begins no later than the child s third birthday. (ii) An IEP or an IFSP is in effect for the child by that date, in accordance with (b). [34 CFR (b)(1)] If a child s third birthday occurs during the summer, the child s IEP Team shall determine the date when services under the IEP or IFSP will begin (b)(2) Consistent with (c), the State must ensure that there is no delay in implementing a child s IEP, including any case in which the payment source for providing or paying for special education and related services to the child is being determined (c) 7

suspended or expelled from school, as provided for in 300.

8 (f) Initial IEP Team meeting for child under Part C. In the case of a child who was previously served under Part C of the Act, an invitation to the initial IEP Team meeting must, at the request of the parent, be sent to the Part C service coordinator or other representatives of the Part C system to assist with the smooth transition of services. Additional References The National Early Childhood Technical Assistance Center for full checklist: Early Childhood Part C and Part Be Requirements Related to Transition Timelines at Guidelines for Transition from Early Intervention (Part C) Services to Preschool (Part B) Services at: Birth to Age Three Child Find Responsibilities (Implementation of SB 07_255): 8

or other representatives of the Part C system to assist with the smooth transition of services.

9 As a result of the review, the AU has identified the following strengths: As a result of the review, the AU has identified the following areas for improvement; these will be addressed through a corrective action plan

following areas for improvement; these will be addressed

Questions and Answers about Indicator 12 Data Report. to the NC Department of Public Instruction

Questions and Answers about Indicator 12 Data Report to the NC Department of Public Instruction This document addresses frequently asked questions about reporting Indicator 12 data to the NC Department