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2012-2013 IEP COMPLIANCE ASSESSMENT (for use with Districts, Support Services Only, and Separate Facilities)

Special Education Record and File Review


Purpose: To support Iowas educational agencies in their effort to assure: (1) All children with disabilities receive a Free Appropriate Public Education (FAPE) in the Least Restrictive Environment (LRE) that promotes a high quality education and prepares them for higher education, employment, and living after they exit school and (2) Provision of a free appropriate public education (FAPE) to children and youth with disabilities is facilitated through parent involvement in special education services. Evidence-based decision-making: The review process involves a review of records to determine, with clear evidence, that the responses are justified. Written documentation from school files is the most convincing evidence. Directions for completing record review: In reviewing records select the most current IEP and data. IMPORTANT: ANSWER EVERY QUESTION. Apply the criteria for judging the appropriate response. There must be documentation to support your response. A gray area is shown in the table where a response is not an option. Demographic Information 1. Student name:

2. Student Date of Birth (mm/dd/yyyy):

3. Date of last IEP (mm/dd/yyyy):

4. Type of IEP (see top line of IEP)


(circle one)

5a. On the date of this IEP file review, the student is in which age group?
(circle one)

5b. File Review Type


(circle one)

Initial Review Reevaluation Amendment with a meeting Amendment without a meeting Interim

A) Early Childhood B) K through age 13 C) Secondary Transition (14 years of age or older) 6b. Attending Building (for this IEP): 8. Collaborative Reviewer (AEA Partner) name:

Complete Review Transition Only Support Services Only Separate Facilities 5c. Date of File Review (mm/dd/yyyy): 6c. AEA: 9. Transition Reviewer (certified to review Transition content) name:

6a. Attending District: 7. Special Education Teacher/Support Service Provider (for IEP being reviewed) name:

FINAL 9-20-12

Information on PAGE A of the IEP: Participation in the IEP Process Item No. Review Questions Yes No NA Criteria for Response P12. NOTE: When reviewing an IEP that is an amendment without a Were the following persons in 300.321(a) meeting, refer to the last IEP meeting to answer attendance attendance at the most recent questions. There MUST be documentation of invitation. IEP meeting? Indicators B5, B6 P12a. Yes = General education teacher was in attendance at the IEP General education 300.321(a)(2) meeting or there is written agreement (signed by parent and LEA teacher Also 300.324(a)(3) representative) indicating excusal with input provided as appropriate. Indicators B5, B6 No = General education teacher was not in attendance at the IEP meeting and there is not written agreement indicating excusal. NA = There is no possibility that the student will be in the regular education environment during the term of the IEP.
Age Group A, B, C

P12d.
300.321(a)(4) Indicators B5, B6

LEA designee (for Support Services Only, LEA means AEA)

Age Group A, B, C

(designee means: a representative of the LEA who is qualified to provide, or supervise the provision of, specially designed instruction to meet the unique needs of children with disabilities; is knowledgeable about the general education curriculum; and is knowledgeable about the availability of resources of the LEA)

Yes = LEA designee was in attendance at the IEP meeting or there is written agreement (signed by parent and LEA representative) indicating excusal with input provided as appropriate. No = LEA designee was not in attendance at the IEP meeting and there is NOT written agreement indicating excusal.

P12e.
300.321(a)(1) Also 300.501(b) Indicators B5, B6

Parent

(Parent means: a biological or adoptive parent, a foster parent, a guardian authorized to act as the childs parent, an individual acting in the place of a biological or adoptive parent with whom the child lives or a surrogate parent)

Age Group A, B, C

Yes = Parent was in attendance (in person or by other means, e.g. conference call) or there was evidence of two (2) or more attempts (e.g., meeting notice, records of telephone calls and the results of those calls, copies of correspondence sent and responses received, records of visits made to parents home or place of employment and the results of those visits) to schedule the IEP meeting at a time when parent could attend. No = Parent was not in attendance and no evidence of two (2) or more attempts to schedule the IEP meeting could be found. NA = Student has reached age of majority; therefore, parent attendance not required.

FINAL 9-20-12

Information on PAGE A of the IEP: System Supports in the IEP Process Item No. Review Questions Yes No NA Criteria for response SS15. Yes = Appropriate date is documented in all three places on Page A In the IEP meeting held during 300.520(a) the school year in which the (Rights will transfer at age 18, Notification: Student, AND Parent). Indicator B13 No = Appropriate date is not documented in all three places. student turned age 16, was it NA = Student has not yet reached age of 16 OR IEP meeting has not documented that rights would transfer at age 18? yet occurred in the school year in which the student has reached age 16.
Age Group C only Secondary Transition

NOTE: Check date on Page A for the IEP meeting held during the school year in which the student turned 16 OR date on subsequent IEP that indicate the appropriate date.

Information on PAGE B of the IEP: Appropriate Services in the Least Restrictive Environment Item No. Review Questions Yes No NA Criteria for response AS16. Yes = Strengths, interests and preferences are described. For this student age 13 and 300.324(a)(1)(i) No = Comments are absent or do not describe the students younger, did the IEP team Indicators B5, B6 consider the strengths, interests strengths, interests and preferences. Age Group A, B only and preferences of the student? AS19. Yes = Impact of disability on involvement and progress in general Does the PLAAFP for this 300.320(a)(1)(i) student (kindergarten through curriculum is documented. Indicators B5, B6 No = Impact of disability on involvement and progress in general twelfth grade) describe the effect of the students disability on curriculum is not documented. NOTE: May be found in the transition assessment section for students 14 involvement and progress in the and up. general education curriculum? Age Group B, C only Information on PAGE B, GOAL PAGE and PAGE F of the IEP: Secondary Transition Item No. Review Questions Yes No NA Criteria for response T20. Yes = Preferences or interests of the student are listed. Does the IEP include the 300.43(a)(2) No = No interests or preferences are listed OR items listed are not the students preferences or Also 300.321(b)(2) interests? students. Indicator B13
Age Group C only

NOTE: Preferences = things chosen over others. Interests = things that evoke curiosity.

T21a.
300.320(b)(1) Indicator B13

Does the IEP document that the postsecondary area of living has been sufficiently assessed and information used as basis of transition planning?

Age Group C only

Yes = Specific data related to the students living skills and the method of collection or source of the data are listed. Data are sufficient to determine that an assessment of the postsecondary area of living as it relates to students postsecondary expectations for living was done. (Look at data collected during RIOT) No = No specific data are listed OR the source or method of data collection is missing OR data are insufficient to determine that the post-secondary area of living has been assessed OR source was limited to student interview.
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Item No. T21b.


300.320(b)(1) Indicator B13

Review Questions Does the IEP document that the postsecondary area of learning has been sufficiently assessed and information used as basis of transition planning?

Yes

No

NA

Age Group C only

T21c.
300.320(b)(1) Indicator B13

Does the IEP document that the postsecondary area of working has been sufficiently assessed and information used as basis of transition planning?

Age Group C only

T22a.
300.320(b)(1) Also 300.43(a)(1) Indicator B13

Is there a postsecondary expectation of living that projects beyond high school, is consistent with available assessment information and is observable? Is there a post-secondary expectation of learning that projects beyond high school, is consistent with available assessment information and is observable? Is there a postsecondary expectation of working that projects beyond high school, is consistent with available assessment information and is observable?

Age Group C only

T22b.
300.321(b)(1) Also 300.43(a)(1) Indicator B13

Age Group C only

T22c.
300.321(b)(1) Also 300.43(a)(1) Indicator B13

Age Group C only

Criteria for response Yes = Specific data related to the students learning skills and the method of collection or source of the data are listed. Data are sufficient to determine that an assessment of the postsecondary area of learning as it relates to students postsecondary expectations for learning was done. No = No specific data are listed OR the source or method of data collection is missing OR data are insufficient to determine that the postsecondary area of learning has been assessed OR source was limited to student interview. Yes = Specific data related to the students working skills and the method of collection or source of the data are listed. Data are sufficient to determine that an assessment of the postsecondary area of working as it relates to students postsecondary expectations for working was done. No = No specific data are listed OR the source or method of data collection is missing OR data are insufficient to determine that the post-secondary area of working has been assessed OR source was limited to student interview. Yes = Postsecondary expectations statement incorporates observable post school outcomes in the area of living that are consistent with available transition assessment data. No = Area is not stated as an observable behavior OR is not addressed or addressed vaguely OR is inconsistent with available transition assessment data. Yes = Postsecondary expectations statement incorporates observable post school outcomes in the area of learning that are consistent with available transition assessment data. No = Area is not stated as an observable behavior OR is not addressed or addressed vaguely OR is inconsistent with available transition assessment data. Yes = Postsecondary expectations/vision statement incorporates observable post school outcomes in the area of working that are consistent with available transition assessment data. No = Area is not stated as an observable behavior OR is not addressed or addressed vaguely OR is inconsistent with available transition assessment data.

FINAL 9-20-12

Item No. T23a.


300.320(b)(2) Indicator B13

Review Questions Does the course of study (COS) identify the overall number of credits, class subject areas and other requirements for general graduation?

Yes

No

NA

Age Group C only

T23b.
300.320(b)(2) Indicator B13

Does the COS identify the students current status with regards to the graduation requirements and what is needed to graduate?

Age Group C only

T23c.
300.320(b)(2) Indicator B13

Age Group C only

T24.
300.320(b)(2) Also 300.43(a)(2) Indicator B13

Age Group C only

Does the COS project other courses (in addition to those listed in T23a) and activities, including linkages specific for the student to pursue the postsecondary expectations? Do the annual goals represent relevant skills/behaviors, which are well-aligned with the transition assessment information and are priorities/essential for the students post-secondary expectations (PLAAFP)? Are there goals, services or activities for every postsecondary area (Living, Learning, and Working)?

Criteria for response Yes = COS identifies: (1) the overall number of credits the student needs to graduate, and (2) overall subject areas and required number of credits (e.g., 4 credits of English) and (3) other district graduation requirements, if appropriate OR if student is to graduate by other means, requirements specific to the student. No = One or more of the following are missing and/or are unclear: (1) the overall number of credits the student needs to graduate, 2) overall subject areas and required number of credits (e.g., 4 credits of English) and (3) other district requirements, if appropriate OR if student is going to graduate by other means, requirements specific to the student. Yes = COS identifies (1) a targeted graduation date,(2) the required courses yet to be completed, (3) the number of credits yet to be completed, (4) any other accomplishments required for graduation and (5) targeted graduation date is feasible for the student. No = Targeted graduation date, required courses yet to be taken, the number of credits yet to be completed, and/or additional requirements are not documented OR targeted date is not feasible for the student. Yes = Other courses/activities, including linkages (when needed to pursue PSEs) are listed and project to the targeted graduation date. No = Other courses/activities, including linkages needed to pursue PSEs are not listed or are vague or do not project to targeted graduation date. Yes = Each goal listed addresses a need identified in the PLAAFP and is a priority/essential skill for the student to pursue targeted postsecondary expectations. No = One or more goals do not reflect a need listed in the PLAAFP OR is not a priority skill essential for the student to pursue targeted postsecondary expectations.

T25a.
300.320(b)(2) Also 300.43(a)(2) Indicator B13

Age Group C only

Yes = Each postsecondary area of living, learning, and working is addressed through goals, services or activities AND meets priority needs identified in PLAAFP OR detailed explanation supports there are no needs in the missing post-secondary areas. No = One or more postsecondary area does not have goals, services, or activities OR there is not an adequate explanation/assessment that no need exists OR goals, services, or activities identified are not sufficient to meet needs identified as a priority for this year.

FINAL 9-20-12

Information on GOAL PAGES of the IEP: Student Results Instructions for the following section: 1. Identify ONE goal from this students IEP. When possible, choose an instructional goal. 2. Record the goal in the box. Then record the appropriate response option for the decision making practice for this goal as supported by the evidence at hand for Questions SR28-SR35. Item No. GOAL STATEMENT
300.320(a)(2)(i)

Review Questions Write the exact wording of the goal in the box at the right.

Goal

Age Group A, B, C

Rate the following questions using the response options below. Item No. Review Questions Yes No NA Criteria for Response SR28. Yes = Baseline data are numerically aligned with the goal Does the annual goal contain the 300.320(a)(3)(i) same numeric measure of measurement (e.g. number of correct words per minute and number of Indicators B3, B7 performance as the baseline? correct words per minutes or percent accuracy to percent accuracy). No = Baseline data were collected but are not numerically aligned with Age Group A, B, C the goal measurement. SR30. Goal: Does the goal state the:
Age Group A, B, C

SR30a.
300.320(a)(2)(i) Indicators B3, B7 Age Group A, B, C

Conditions (when and how the individual will perform)? Skill or behavior (what the individual will do)? Criterion (the acceptable level of performance at the end of the goal period)? Does the Progress Monitoring procedure identify how (a procedure by which) progress will be measured?

Yes = Goal states the conditions (when and how: e.g. In 36 weeks, given a fourth grade level passage). No = Only one (when OR how) or no condition is described in the goal. Yes = Goal states the student skill/behavior (e.g. Maribelle will read). No = Student skill/behavior is not described in the goal. Yes = Goal states the criterion (e.g. 100 words per minute with 95% decoding accuracy). No = Criterion is not described in the goal. Yes = Progress Monitoring procedure states how progress will be measured (e.g. tallies, observations, probe type, test scores, record books, work samples, type of rubric). No = Progress Monitoring procedure does not state how progress will be measured.
NOTE: The how should align with the baseline. 6
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SR30b.
300.320(a)(2)(i) Indicators B3, B7 Age Group A, B, C

SR30c.
300.320(a)(2)(i) Indicators B3, B7 Age Group A, B, C

SR31.
300.320(a)(3)(i) Indicators B3, B7

Age Group A, B, C

SR32.
300.320(a)(3)(i) Indicators B3, B7

Does the Progress Monitoring procedures identify how often (frequency that) progress will be measured?

Age Group A, B, C

SR33.
300.320(a)(3)(i) Indicators B3, B7

Can the goal be monitored using the procedures described in the Progress Monitoring procedure section of the IEP?

Age Group A, B, C

SR34.
300.320(a)(2)(i)(A) Indicators B3, B7

Is the goal stated above based on the district standards and benchmarks?
NOTE: In 2013-2014 this will switch to Core Standards and Benchmarks.

Age Group A, B, C

SR34a.
300.320(a)(3)(i) Indicators B3, B7

Is a decision rule and description of the decision rule stated that will be used to consider the need for instructional changes?

Age Group A, B, C

SR34b.
300.320(a)(3)(i) Indicators B3, B7

Age Group A, B, C

Have the data as described in the Progress Monitoring procedures section of the IEP been collected and visually represented (graphed or otherwise visually represented)?

Yes = Progress Monitoring procedures state how often progress will be measured (e.g. daily, weekly, etc.) The Statewide Procedures Manual states that PM must occur at least every two weeks (with exceptions for some nonacademic goals.) No = Progress Monitoring procedures do not state how often progress will be measured or Progress Monitoring is occurring less than every two weeks (with exceptions for some nonacademic goals). Yes = Progress Monitoring procedure monitors the same numeric measure as stated in the goal (e.g. Baseline: Suzy is on-task 62% of the time. Goal criterion: Suzy will be on-task 90% of the time. Evaluation: Weekly, structured classroom observations.). No = Progress Monitoring procedure does not monitor the same numeric measure as stated in the goal (e.g. for an oral reading fluency goal, classroom observations of on-task behavior are used to monitor). Yes = This goal documents the district standard(s) and benchmark(s) related to the goal, or alternative expectations such as district learning goal, extended benchmarks, developmental milestones or essential learnings. No = District standard(s) and benchmark(s) are not stated. Yes = Description of progress monitoring procedure includes a clear and complete description of the decision-making rule that will be applied to progress monitoring data to determine the need for changes in instruction [e.g. 4 Point Decision-Making Rule: After 6 weeks of instruction, if 4 consecutive data points fall above (or below) the goal line, the special education teacher, parent and special education consultant will meet to consider the need for instructional changes. OR Trendline: One weekly writing sample will be scored using the districts writing rubric. Instructional changes will be considered when the trendline (based on at least seven data points) does not project meeting the annual goal.] No = Decision rule is not clearly stated in the description of monitoring procedures OR the decision rule is stated but not described specifically (as in the example above). Yes = Data have been collected and visually represented (e.g. graphed) at least every two weeks (with exceptions for some nonacademic goals. No = Data have not been collected as described OR have not been visually represented (e.g. graphed), at least every two weeks (with exceptions for some nonacademic goals).

FINAL 9-20-12

SR35.
300.320(a)(3)(i) Indicators B3, B7

Age Group A, B, C

Were decisions to continue or change instruction made based on the application of a decision rule to progress monitoring data? (These changes are called phase changes and are modifications to the instruction/intervention.)

Yes = A phase change occurred based on the individuals progress monitoring data using the stated decision rule and its description OR data were collected and no phase change was needed according to the application of the decision rule and its description. No = Progress monitoring data were collected but no phase changes occurred when needed according to the decision rule and its description OR phase changes occurred but data were not collected to support the change.

Information on PAGE F of the IEP: Appropriate Services in the Least Restrictive Environment Item No. Review Questions Criteria for response Yes No NA AS49c Yes = Student is eligible under NIMAS. Is this student identified as 300.210 No = Student is not eligible under NIMAS. (If No, skip to AS44) being eligible under NIMAS on Indicators B5, B6 Page B (requiring specialized format versions of printed textbooks and printed core related instructional materials, such as Braille, large print, Age Group A, B, C audio, digital text)? AS49d Yes = Student was eligible under NIMAS and the AIM described on Were the AIM (Accessible 300.210 Instructional Material) described Page F was received in a timely manner (when other students received Indicators B5, B6 on Page F received in a timely their materials). No = Student was eligible under NIMAS but did not receive AIM in a manner (at the same time as timely manner OR the need for AIM was not described on Page F. nondisabled peers received NOTE: Requires checking to see when materials for other students available. Age Group A, B, C their materials)?

Information on PAGE G of the IEP: Appropriate Services in the Least Restrictive Environment Item No. Review Questions Criteria for response Yes No NA AS44. Yes = Student participates in nonacademic activities with nondisabled Does this student participate in 300.117 nonacademic activities with peers and has the same opportunity to participate in extracurricular Indicators B5, B6 activities as nondisabled peers. (If Yes, Skip to AS46) nondisabled peers and have the No = Student does not participate in nonacademic activities with same opportunity to participate in extracurricular activities as nondisabled peers and does not have the same opportunity to nondisabled peers? participate in extracurricular activities as nondisabled peers. Age Group A, B, C AS45. Yes = An explanation why student does not participate in nonacademic Since this student does not 300.320(a)(5) participate in nonacademic activities with nondisabled peers is provided. Indicators B5, B6 No = An explanation why student does not participate in nonacademic activities with nondisabled peers, is an explanation activities with nondisabled peers is not provided. Age Group A, B, C provided? AS46. Yes = Student attends the school (building) he/she would attend if not Does this student attend the 300.116(b) & (c) disabled. (If Yes, Skip to SS51) school (building) he/she would
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Indicators B5, B6 Age Group A, B, C

attend if nondisabled? Since this student does not attend the school building) he/she would attend if not disabled, is an explanation provided? Does this student attend a special school? Have the special school questions been answered in the development of this IEP?

AS47.
300.116(b) & (c) Indicators B5, B6

No = Student does not attend the school (building) he/she would attend if not disabled. Yes = An explanation why student does not attend the school building he/she would attend if not disabled is provided. No = An explanation why student does not attend the school building he/she would attend if not disabled is not provided. Yes = Student attends a special school. No = Student does not attend a special school. (If No, skip to SS51) Yes = Responses to the special school questions for the current IEP are documented on the Justification for Special School Placement Form. No = Responses to the special school questions for the current IEP are not documented on the Justification for Special School Placement Form.

Age Group A, B, C

AS48.
300.116(b) & (c) Indicators B5, B6 Age Group A, B, C

AS49.
300.116(b) & (c) Indicators B5, B6

Age Group A, B, C

Information found in MEETING NOTICE and CONSENT forms


Item No. SS51.
300.321(a) Indicators B5, B6

Review Questions Were the following required participants invited to the meeting: The parents of the eligible individual, At least one general education teacher*, At least one special education teacher OR support service provider for support service only review, A representative of the LEA** who is qualified to provide or supervise the provision of specially designed instruction (for Support Services Only review, may be the support service provider if qualified), AND

Yes

No NA

Criteria for response Yes = All participants required to attend the meeting were listed on the Meeting Notice form (or included in the other appropriate documentation of meeting notification) or excusal form. No = All participants required to attend the meeting were not listed on the Meeting Notice form (or included in the other appropriate documentation of meeting notification) or excusal form.

FINAL 9-20-12

An individual who can interpret the instructional implications of evaluation results (for Support Services Only review, may be the support service provider if qualified)?

* The general education teacher is


not a required member of the IEP team ONLY if there is no possibility that the student will be in the general education environment at any time during the term of the IEP. ** For Support Services Only, LEA means AEA

Age Group A, B, C

SS51a
300.321(b)(3) Indicator B13

For this secondary transitionaged student, was a representative of a participating agency invited to the meeting with prior consent of the parent or student who has reached the age of majority, if applicable?

Age Group C only

SS52.
300.321(a)(7) Indicator B13 Age Group C only

Was the student invited to attend the IEP meeting? (age 14


and above)

Yes = Meeting Notice form (or other appropriate documentation of meeting notification) indicates that, if applicable, representatives of participating agencies were invited to the meeting with prior consent of the parent or age-of-majority student. No = Meeting Notice form (or other appropriate documentation of meeting notification) indicates that, if applicable, representatives of participating agencies were NOT invited to the meeting with prior consent of the parent or age-of-majority student OR invited without prior consent OR no documentation of meeting notification exists. Yes = Student's name is listed on the completed Meeting Notice or the students meeting notification is otherwise appropriately documented. No = Students name is NOT listed on the completed Meeting Notice or documentation of students meeting notification is absent.

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