Procedural Compliance Self-Assessment Webcast

1. Procedural Compliance Self-Assessment Webcast Section 1: Overview Anita Castro, Allison Luczak, Marge Resan, Christina Spector Hello. Thank you for joining us today. My name is Anita Castro, and I am an Assistant Director of Special Education at the Department of Public Instruction. During this webcast, we will provide an overview on how to complete the Procedural Compliance Self-Assessment. Information will include how to prepare for the Self-Assessment, its content, and how to report results and correction. Finally, we will describe the activities that the department will conduct. All of the materials for completing the Self-Assessment can be found online on the WDPI website. (We will provide the address later in this PowerPoint.) Hello. Thank you for joining us today. My name is Anita Castro, and I am an Assistant Director of Special Education at the Department of Public Instruction. During this webcast, we will provide an overview on how to complete the Procedural Compliance Self-Assessment. Information will include how to prepare for the Self-Assessment, its content, and how to report results and correction. Finally, we will describe the activities that the department will conduct. All of the materials for completing the Self-Assessment can be found online on the WDPI website. (We will provide the address later in this PowerPoint.)

2. July, 2011 2 If you are having audio difficulties with this presentation, there are a number of helpful suggestions we can provide. First, make sure that your computer knows whether you are using sound from a speaker or headphones. Second, make sure the volume on your computer is turned up. If you are using a PC, the volume icon is located on the right hand side of your computer task bar. If you continue to have audio difficulties, contact your local IT department. If you are deaf or hard of hearing, you can you can access the speaker notes by clicking on the PowerPoint presentation icon next to the webcast you’d like to view. If you are using a PC, you can right click on the screen when the PowerPoint opens and select “full screen.” Right click again and select “speaker notes.” The notes will appear in a small box which can be moved and will automatically change as the slides change. If you are having audio difficulties with this presentation, there are a number of helpful suggestions we can provide. First, make sure that your computer knows whether you are using sound from a speaker or headphones. Second, make sure the volume on your computer is turned up. If you are using a PC, the volume icon is located on the right hand side of your computer task bar. If you continue to have audio difficulties, contact your local IT department. If you are deaf or hard of hearing, you can you can access the speaker notes by clicking on the PowerPoint presentation icon next to the webcast you’d like to view. If you are using a PC, you can right click on the screen when the PowerPoint opens and select “full screen.” Right click again and select “speaker notes.” The notes will appear in a small box which can be moved and will automatically change as the slides change.

3. http://dpi.wi.gov/sped/spp-selfassmt.html All resource materials are also located on this website. Review forms and instructions prior to viewing webcast. Housekeeping July, 2011 3 This is a link to the Procedural Compliance Self-Assessment page on the WDPI website. All resource materials, including the Self-Assessment Manual and contact information for the members of the Procedural Compliance Self-Assessment work group are available on this page. We’ve also included contact information for work group members on the last slide of this presentation. We recommend that you download, print, and review the forms and instructions for the Procedural Compliance Self-Assessment before you view this presentation, and have the Self-Assessment manual available for reference and note taking during these presentations. This is a link to the Procedural Compliance Self-Assessment page on the WDPI website. All resource materials, including the Self-Assessment Manual and contact information for the members of the Procedural Compliance Self-Assessment work group are available on this page. We’ve also included contact information for work group members on the last slide of this presentation. We recommend that you download, print, and review the forms and instructions for the Procedural Compliance Self-Assessment before you view this presentation, and have the Self-Assessment manual available for reference and note taking during these presentations.

4. OSEP Priority Areas 20 Indicators Indicator 15 For more information about the State Performance Plan and the indicators, see www.dpi.wi.gov/sped/spp.html. Overview of Monitoring Requirements July, 2011 4 Before we begin describing the Procedural Compliance Self-Assessment process, I want to provide a brief overview of how the Procedural Compliance Self-Assessment fits in with the department’s special education monitoring system. The federal government, through the Individuals with Disabilities Education Act 2004 (IDEA), identified three priority areas for monitoring, which are: (1) provision of a free appropriate public education (FAPE) in the least restrictive environment; (2) the state exercise of general supervision authority; and (3) ensuring that there is no disproportionate representation of racial and ethnic groups in special education that is a result of inappropriate identification. IDEA 2004 requires all states to have a State Performance Plan (SPP). The SPP includes 20 indicators of performance. Each indicator falls under one of the three priority areas. The state is required to report data on every indicator every year. For each indicator, there are annual measurable and rigorous targets. Some of the targets were established with stakeholder input. Others were pre-determined by the U.S. Department of Education, Office of Special Education Programs (OSEP). DPI’s integrated system for monitoring includes annual, cyclical, and risk-based monitoring, in addition to proactive elements such as our various statewide initiatives. The Procedural Compliance Self-Assessment is one of the cyclical monitoring activities. Seven of the indicators in the State Performance Plan measure procedural compliance. OSEP established the target of 100% for each of these procedural compliance indicators. Indicator 15 requires DPI to identify and correct noncompliance as soon as possible but in no case later than one year from identification. The Procedural Compliance Self-Assessment process is one way noncompliance is identified and corrected within one year. Because the target is 100%, all noncompliance must be corrected within one year. Before we begin describing the Procedural Compliance Self-Assessment process, I want to provide a brief overview of how the Procedural Compliance Self-Assessment fits in with the department’s special education monitoring system. The federal government, through the Individuals with Disabilities Education Act 2004 (IDEA), identified three priority areas for monitoring, which are: (1) provision of a free appropriate public education (FAPE) in the least restrictive environment; (2) the state exercise of general supervision authority; and (3) ensuring that there is no disproportionate representation of racial and ethnic groups in special education that is a result of inappropriate identification. IDEA 2004 requires all states to have a State Performance Plan (SPP). The SPP includes 20 indicators of performance. Each indicator falls under one of the three priority areas. The state is required to report data on every indicator every year. For each indicator, there are annual measurable and rigorous targets. Some of the targets were established with stakeholder input. Others were pre-determined by the U.S. Department of Education, Office of Special Education Programs (OSEP). DPI’s integrated system for monitoring includes annual, cyclical, and risk-based monitoring, in addition to proactive elements such as our various statewide initiatives. The Procedural Compliance Self-Assessment is one of the cyclical monitoring activities. Seven of the indicators in the State Performance Plan measure procedural compliance. OSEP established the target of 100% for each of these procedural compliance indicators. Indicator 15 requires DPI to identify and correct noncompliance as soon as possible but in no case later than one year from identification. The Procedural Compliance Self-Assessment process is one way noncompliance is identified and corrected within one year. Because the target is 100%, all noncompliance must be corrected within one year.

5. Selection of Districts www.dpi.wi.gov/sped/spp-selfassmt.html The Procedural Compliance Self-Assessment Creating an Ad Hoc Committee Parents do not participate in reviewing student records and other confidential student information. Monitoring Procedural Compliance July, 2011 5 The department monitors approximately 440 local educational agencies (LEA), including independent 2R charter schools, the Wisconsin Department of Health Services, and the Wisconsin Department of Corrections. These agencies will be monitored through the Procedural Compliance Self-Assessment process at least once during the new five-year cycle. The agencies have been divided into five cohorts of approximately 90 agencies each. Each group is representative of the state for student enrollment, areas of disability, gender, ethnicity and race. Each year, during the five-year cycle, a cohort will conduct the Self-Assessment. Public agencies with average daily membership of 50,000 or more participate in compliance monitoring activities each year. The first five-year Self-Assessment cycle ended with the 2010-2011 school year. The new self assessment cycle begins with the 2011-2012 school year, and it ends with the 2015-2016 school year. Those local agencies that are in the first cohort have already been notified. For a complete list of district selection for each of the five years, go to the department’s webpage at www.dpi.wi.gov/sped/spp-selfassmt.html. The Procedural Compliance Self-Assessment is a method for LEAs to review their student Individualized Education Program (IEP) records to determine if the LEA is following the requirements of IDEA 2004 and state special education law. The Self-Assessment includes 28 selected requirements of these laws that are related to the SPP indicators and improving outcomes for students with disabilities. The requirements fall into seven topical areas: parent participation, evaluation, IEP team, IEP content, discipline, evaluation timelines, and private schools. The specific requirements are listed in Appendix A of the Procedural Compliance Self-Assessment manual. independent 2R charter schools are required to meet federal special education requirements, but are not required to meet additional requirements of State special education law. Procedural Compliance Self-Assessment requirements that do not apply to independent 2R charter schools are noted in Appendix A. The WDPI strongly recommends a public agency establish a Procedural Compliance Self-Assessment ad hoc committee composed of parents and school staff. A parent who is the school-parent liaison may be appointed as a parent member of the ad hoc committee. Prior to conducing the Self-Assessment, the ad hoc committee should plan how the Self-Assessment will be conducted. WDPI recommends a team of public agency staff, which may include agency staff from the ad hoc committee, conduct the self assessment. Parents do not participate in reviewing student records and other confidential student information. It is recommended that public agency staff participate in training, such as viewing these webcasts, before planning and conducting the Self-Assessment. The department monitors approximately 440 local educational agencies (LEA), including independent 2R charter schools, the Wisconsin Department of Health Services, and the Wisconsin Department of Corrections. These agencies will be monitored through the Procedural Compliance Self-Assessment process at least once during the new five-year cycle. The agencies have been divided into five cohorts of approximately 90 agencies each. Each group is representative of the state for student enrollment, areas of disability, gender, ethnicity and race. Each year, during the five-year cycle, a cohort will conduct the Self-Assessment. Public agencies with average daily membership of 50,000 or more participate in compliance monitoring activities each year. The first five-year Self-Assessment cycle ended with the 2010-2011 school year. The new self assessment cycle begins with the 2011-2012 school year, and it ends with the 2015-2016 school year. Those local agencies that are in the first cohort have already been notified. For a complete list of district selection for each of the five years, go to the department’s webpage at www.dpi.wi.gov/sped/spp-selfassmt.html. The Procedural Compliance Self-Assessment is a method for LEAs to review their student Individualized Education Program (IEP) records to determine if the LEA is following the requirements of IDEA 2004 and state special education law. The Self-Assessment includes 28 selected requirements of these laws that are related to the SPP indicators and improving outcomes for students with disabilities. The requirements fall into seven topical areas: parent participation, evaluation, IEP team, IEP content, discipline, evaluation timelines, and private schools. The specific requirements are listed in Appendix A of the Procedural Compliance Self-Assessment manual. independent 2R charter schools are required to meet federal special education requirements, but are not required to meet additional requirements of State special education law. Procedural Compliance Self-Assessment requirements that do not apply to independent 2R charter schools are noted in Appendix A. The WDPI strongly recommends a public agency establish a Procedural Compliance Self-Assessment ad hoc committee composed of parents and school staff. A parent who is the school-parent liaison may be appointed as a parent member of the ad hoc committee. Prior to conducing the Self-Assessment, the ad hoc committee should plan how the Self-Assessment will be conducted. WDPI recommends a team of public agency staff, which may include agency staff from the ad hoc committee, conduct the self assessment. Parents do not participate in reviewing student records and other confidential student information. It is recommended that public agency staff participate in training, such as viewing these webcasts, before planning and conducting the Self-Assessment.

6. July 1, 2011 Public agencies may begin Self-Assessment sampling and evaluation. November 15, 2011 Deadline for electronic submission of Self-Assessment results to DPI. December 2011 Districts are selected for validation and validation activities begin. DPI notifies public agencies of findings of noncompliance and directs correction of noncompliance. Public agencies begin correction of noncompliance. February 15, 2012 Public agencies submit assurance indicating that all student specific noncompliance has been corrected. Verification activities begin for selected public agencies. Sampling period for verification of current compliance begins. 2011-2012 Self-Assessment Timeline July, 2011 6 The timeline for the 2011-2012 Procedural Compliance Self-Assessment is included in the next two slides. These slides give you a general idea of the big picture for the Self-Assessment process. We will work through the general concepts, structure, and timing of the major components in this overview webcast. For more specifics on a particular component of the Self-Assessment, please reference the topical webcasts. An important date to note on this slide is the deadline for electronically submitting the district’s Procedural Compliance Self-Assessment results to DPI: November 15th.The timeline for the 2011-2012 Procedural Compliance Self-Assessment is included in the next two slides. These slides give you a general idea of the big picture for the Self-Assessment process. We will work through the general concepts, structure, and timing of the major components in this overview webcast. For more specifics on a particular component of the Self-Assessment, please reference the topical webcasts. An important date to note on this slide is the deadline for electronically submitting the district’s Procedural Compliance Self-Assessment results to DPI: November 15th.

7. March 1, 2012 DPI notifies public agencies of verification procedures. Verification activities for all public agencies begins. May 15, 2012 Sampling period for verification of current compliance ends. May 30, 2012 Lists of students for verification of current compliance due to DPI. November 1, 2012 All verification activities must be completed. 2011-2012 Procedural Compliance Self-Assessments closed. 2011-2012 Self-Assessment Timeline July, 2011 7 In the spring, DPI verifies all identified noncompliance has been corrected. All verification activities must be completed by November 1st of the following year. Now I’m going to turn it over to one of our consultants, Allison Luczak, to walk you through the rest of the overview. In the spring, DPI verifies all identified noncompliance has been corrected. All verification activities must be completed by November 1st of the following year. Now I’m going to turn it over to one of our consultants, Allison Luczak, to walk you through the rest of the overview.

8. Procedural ComplianceSelf-Assessment Webcast Preparing for the Procedural Compliance Self-Assessment Thank you, Anita. Hi, I’m Allison Luczak, a consultant on the Special Education team on the Procedural Compliance workgroup. In the spring of each year, the WDPI notifies public agencies that they are required to participate in the Procedural Compliance Self-Assessment during the next school year. As Anita mentioned, the WDPI strongly recommends that a public agency establish a Procedural Compliance Self-Assessment ad hoc committee composed of parents and school staff. The ad hoc committee may be appointed by any public agency personnel or public agency body with authority to do so. Action by the school board or other governing body is not required by WDPI. Prior to conducting the Self-Assessment, the ad hoc committee should plan how the Self-Assessment will be conducted. WDPI recommends a team of public agency staff conduct the Self-Assessment. The team may include agency staff from the committee. Thank you, Anita. Hi, I’m Allison Luczak, a consultant on the Special Education team on the Procedural Compliance workgroup. In the spring of each year, the WDPI notifies public agencies that they are required to participate in the Procedural Compliance Self-Assessment during the next school year. As Anita mentioned, the WDPI strongly recommends that a public agency establish a Procedural Compliance Self-Assessment ad hoc committee composed of parents and school staff. The ad hoc committee may be appointed by any public agency personnel or public agency body with authority to do so. Action by the school board or other governing body is not required by WDPI. Prior to conducting the Self-Assessment, the ad hoc committee should plan how the Self-Assessment will be conducted. WDPI recommends a team of public agency staff conduct the Self-Assessment. The team may include agency staff from the committee.

9. Sample 1: Evaluation (EVAL) Sample 2: Individualized Education Program (IEP) Sample 3: Discipline (DISC) Self Assessment Samples July, 2011 9 The Procedural Compliance Self-Assessment uses sampling techniques, in part, to develop a data set. Three samples are used in the Self-Assessment: evaluations; IEPs; and discipline. The directions for creating each sample are in Appendix C of the Special Education Procedural Compliance Self-Assessment Manual. The information gathered is used to generalize from the larger population and is weighted to ensure that certain subgroups are adequately represented in the sample. For example, samples of student evaluations and IEPs are separated by grade level and weighted to ensure elementary, middle, and high school students are represented in the proportions of the larger population. A table for determining sample size is in Appendix D to the Manual. The populations are defined in the instructions provided for each sample. However, if you would like more information on sampling, please refer to the Sampling webcast, which is the second webcast in this sequence. Don’t forget- there is also a “no sample” section of the self assessment where you will assess compliance on two private school and one evaluation timeline item. Though there is no sample developed for these items, they are also part of the Self-Assessment. A more detailed explanation of how to generate samples is provided in the webcast on sampling. At this point, we will move to assessing procedural compliance. The Procedural Compliance Self-Assessment uses sampling techniques, in part, to develop a data set. Three samples are used in the Self-Assessment: evaluations; IEPs; and discipline. The directions for creating each sample are in Appendix C of the Special Education Procedural Compliance Self-Assessment Manual. The information gathered is used to generalize from the larger population and is weighted to ensure that certain subgroups are adequately represented in the sample. For example, samples of student evaluations and IEPs are separated by grade level and weighted to ensure elementary, middle, and high school students are represented in the proportions of the larger population. A table for determining sample size is in Appendix D to the Manual. The populations are defined in the instructions provided for each sample. However, if you would like more information on sampling, please refer to the Sampling webcast, which is the second webcast in this sequence. Don’t forget- there is also a “no sample” section of the self assessment where you will assess compliance on two private school and one evaluation timeline item. Though there is no sample developed for these items, they are also part of the Self-Assessment. A more detailed explanation of how to generate samples is provided in the webcast on sampling. At this point, we will move to assessing procedural compliance.

10. Procedural ComplianceSelf-Assessment Webcast Assessing Procedural Compliance In this section, we’ll discuss the checklists to use with student records and other records when self-assessing procedural requirements. There is a record review checklist for reviewing procedural requirements in the records that make up each of the samples created. We will highlight some of the procedural requirements on the checklists selected for review, directions for locating the requirements on the department’s special education forms, and the standards to be used in determining whether the requirements have been implemented correctly. In this section, we’ll discuss the checklists to use with student records and other records when self-assessing procedural requirements. There is a record review checklist for reviewing procedural requirements in the records that make up each of the samples created. We will highlight some of the procedural requirements on the checklists selected for review, directions for locating the requirements on the department’s special education forms, and the standards to be used in determining whether the requirements have been implemented correctly.

11. Compliance Areas: Parent Involvement Evaluation IEP teams IEP content Discipline Evaluation timelines Private Schools Assessing Procedural Compliance July, 2011 11 The procedural requirements selected for Self-Assessment review can be grouped in seven general topics. These are: parent participation, evaluation, IEP team, IEP content, discipline, evaluation timelines, and private schools. Procedural requirements related to parent involvement are incorporated in the record review checklists for evaluation and IEPs. The student’s most recent evaluation, IEP, and LEA records are used to conduct the Self-Assessment. Record review checklists have been developed by the WDPI for use with pupil records of students in the samples. The checklists contain requirements relevant for each sample. An electronic recording form has been developed to summarize the results from each sample. The electronic recording form must be completed and uploaded electronically for each sample. All records created for the self assessment must be maintained for the year in which the Self-Assessment is completed and for four (4) additional fiscal years (July 1 through June 30). Record review checklists and recording forms appear in Appendix E of the Manual. The record review checklists include selected requirements of IDEA 2004 and state law which are more closely related to improving student outcomes. In addition, the requirements are related to the State Performance Plan indicators and to improving outcomes for students with disabilities. The WDPI has established evaluation standards and directions for each requirement in the Self-Assessment. The standards and directions are applied by the public agency staff in completing the Self-Assessment. These appear in Appendix F of the Manual.The procedural requirements selected for Self-Assessment review can be grouped in seven general topics. These are: parent participation, evaluation, IEP team, IEP content, discipline, evaluation timelines, and private schools. Procedural requirements related to parent involvement are incorporated in the record review checklists for evaluation and IEPs. The student’s most recent evaluation, IEP, and LEA records are used to conduct the Self-Assessment. Record review checklists have been developed by the WDPI for use with pupil records of students in the samples. The checklists contain requirements relevant for each sample. An electronic recording form has been developed to summarize the results from each sample. The electronic recording form must be completed and uploaded electronically for each sample. All records created for the self assessment must be maintained for the year in which the Self-Assessment is completed and for four (4) additional fiscal years (July 1 through June 30). Record review checklists and recording forms appear in Appendix E of the Manual. The record review checklists include selected requirements of IDEA 2004 and state law which are more closely related to improving student outcomes. In addition, the requirements are related to the State Performance Plan indicators and to improving outcomes for students with disabilities. The WDPI has established evaluation standards and directions for each requirement in the Self-Assessment. The standards and directions are applied by the public agency staff in completing the Self-Assessment. These appear in Appendix F of the Manual.

12. Evaluation Sample 7 items IEP Sample 14 Items Discipline Sample 4 Items No Sample Private Schools Services Plans Initial evaluations within 60 days of receiving parental consent for evaluation (Indicator 11). Self-Assessment Content July, 2011 12 The 2011-2016 cycle has 3 samples, with an additional three items where no sample is generated. Each respective sample has items within it that are tied to compliance areas in federal and state laws and are tied to specific indicators. As a general overview, the evaluation sample has 7 items; the IEP sample has 14 items; and the discipline sample has 4 items. The 3, “no sample” items relate to consultation with private schools, services plans, and initial evaluation timelines. Data for Indicator 11 is also collected through the Procedural Compliance Self-Assessment. A more complete list of the sample items, with compliance statements and corresponding indicators and citations is available in Appendix A of the Manual. The 2011-2016 cycle has 3 samples, with an additional three items where no sample is generated. Each respective sample has items within it that are tied to compliance areas in federal and state laws and are tied to specific indicators. As a general overview, the evaluation sample has 7 items; the IEP sample has 14 items; and the discipline sample has 4 items. The 3, “no sample” items relate to consultation with private schools, services plans, and initial evaluation timelines. Data for Indicator 11 is also collected through the Procedural Compliance Self-Assessment. A more complete list of the sample items, with compliance statements and corresponding indicators and citations is available in Appendix A of the Manual.

13. Procedural ComplianceSelf-Assessment Webcast Reporting Results and Reviewing Self-Assessment Results Let’s move on to how LEAs will review their Procedural Compliance Self-Assessment results and report your to WDPI. A more detailed webcast with step by step instructions on electronic submission will be available in September. Let’s move on to how LEAs will review their Procedural Compliance Self-Assessment results and report your to WDPI. A more detailed webcast with step by step instructions on electronic submission will be available in September.

14. Reporting Ad Hoc Committee Involvement Corrective Action Reporting and Reviewing July, 2011 14 Once a public agency completes Self-Assessment activities, it submits Self-Assessment reports to the WDPI. Each year, the WDPI reviews all public agency Self-Assessment reports, and the WDPI reviews information about the extent of parent participation in the public agency’s ad hoc Procedural Compliance Self-Assessment committee, the number of compliance errors for each requirement, and the extent, if any, that the public agency’s Self-Assessment process varied from proscribed procedures. Procedural Compliance Self-Assessment results from independent 2r charter schools are reported by WDPI to the charter school and the charter school’s authorizing entities. The WDPI strongly recommends that the public agency’s Procedural Compliance Self-Assessment ad hoc committee review the Self-Assessment results and proposed corrective actions prior to the public agency reporting the results to WDPI. The WDPI has developed an Internet-based system for public agencies to report Self-Assessment results and submit recording forms. Public agencies must report their results to the WDPI by November 15 via the web-based application. The directions for reporting are found in Appendix G, along with a webcast which will be made available in September 2011. At the time the public agency reports the Self-Assessment results, the web-based application identifies any areas of noncompliance. The public agency must correct any noncompliance and engage in corrective activities as soon as possible. The corrections must be made no later than one year from the date the WDPI notifies the public agency of noncompliance by letter.Once a public agency completes Self-Assessment activities, it submits Self-Assessment reports to the WDPI. Each year, the WDPI reviews all public agency Self-Assessment reports, and the WDPI reviews information about the extent of parent participation in the public agency’s ad hoc Procedural Compliance Self-Assessment committee, the number of compliance errors for each requirement, and the extent, if any, that the public agency’s Self-Assessment process varied from proscribed procedures. Procedural Compliance Self-Assessment results from independent 2r charter schools are reported by WDPI to the charter school and the charter school’s authorizing entities. The WDPI strongly recommends that the public agency’s Procedural Compliance Self-Assessment ad hoc committee review the Self-Assessment results and proposed corrective actions prior to the public agency reporting the results to WDPI. The WDPI has developed an Internet-based system for public agencies to report Self-Assessment results and submit recording forms. Public agencies must report their results to the WDPI by November 15 via the web-based application. The directions for reporting are found in Appendix G, along with a webcast which will be made available in September 2011. At the time the public agency reports the Self-Assessment results, the web-based application identifies any areas of noncompliance. The public agency must correct any noncompliance and engage in corrective activities as soon as possible. The corrections must be made no later than one year from the date the WDPI notifies the public agency of noncompliance by letter.

15. Procedural ComplianceSelf-Assessment Webcast Implementing Corrective Action Plans Let’s move on to implementing corrective action plans.Let’s move on to implementing corrective action plans.

16. Student-Specific Corrective Actions Steps to Ensure current compliance System of Internal Controls 1-Year Timeline Corrective Action Plans July, 2011 16 Each individual instance of noncompliance found in the Self-Assessment must be corrected as specified in the Self-Assessment report, and the public agency must take steps to ensure current compliance. When the public agency finds an error, the public agency must develop agency-wide corrective actions and implement a system of internal controls to make the corrections and ensure current compliance. An effective internal control system ensures that districts maintain compliance with state and federal special education law. Internal controls systems provide real-time opportunities for ongoing professional development and mechanisms to allow districts to continuously identify and correct noncompliance. More information on systems of internal control is available on the Procedural Compliance Self-Assessment web page. All public agency noncompliance must be corrected as soon as possible, and no later than one year from the date WDPI notifies the public agency of noncompliance by letter. WDPI will verify that the agency has corrected each individual case of noncompliance by reviewing records found in error, and that the agency is currently in compliance with the regulatory requirements by reviewing a new set of student records. Each public agency is required to submit a corrective action plan to the WDPI where it addresses the noncompliance, through a drop down selection in the web-based Self-Assessment report. We strongly recommend that the agency’s ad hoc Self-Assessment committee reviews the Self-Assessment results and proposed corrective actions prior to submitting a corrective action plan through the Self-Assessment report to WDPI. The corrective action plan will include required activities to ensure current compliance. Examples of corrective actions can include, but are not limited to, revising policies, procedures, or forms; training staff; increasing review; changing staff assignments; or adding staff and other resources. WDPI’s web-based reporting system provides the proposed correction strategies reasonably calculated to correct the identified noncompliance in a timely manner and to ensure current compliance. Each individual instance of noncompliance found in the Self-Assessment must be corrected as specified in the Self-Assessment report, and the public agency must take steps to ensure current compliance. When the public agency finds an error, the public agency must develop agency-wide corrective actions and implement a system of internal controls to make the corrections and ensure current compliance. An effective internal control system ensures that districts maintain compliance with state and federal special education law. Internal controls systems provide real-time opportunities for ongoing professional development and mechanisms to allow districts to continuously identify and correct noncompliance. More information on systems of internal control is available on the Procedural Compliance Self-Assessment web page. All public agency noncompliance must be corrected as soon as possible, and no later than one year from the date WDPI notifies the public agency of noncompliance by letter. WDPI will verify that the agency has corrected each individual case of noncompliance by reviewing records found in error, and that the agency is currently in compliance with the regulatory requirements by reviewing a new set of student records. Each public agency is required to submit a corrective action plan to the WDPI where it addresses the noncompliance, through a drop down selection in the web-based Self-Assessment report. We strongly recommend that the agency’s ad hoc Self-Assessment committee reviews the Self-Assessment results and proposed corrective actions prior to submitting a corrective action plan through the Self-Assessment report to WDPI. The corrective action plan will include required activities to ensure current compliance. Examples of corrective actions can include, but are not limited to, revising policies, procedures, or forms; training staff; increasing review; changing staff assignments; or adding staff and other resources. WDPI’s web-based reporting system provides the proposed correction strategies reasonably calculated to correct the identified noncompliance in a timely manner and to ensure current compliance.

17. Procedural ComplianceSelf-Assessment Webcast Validating the Self-Assessment Let’s talk briefly about validation.Let’s talk briefly about validation.

18. Purpose: to ensure Procedural Compliance Self-Assessment data is valid and reliable Criteria for LEA Selection in Validation The number of requirements found in noncompliance The extent of parent participation Geographic representation Public agency size Timeliness of reporting Random selection Validation July, 2011 18 Each year, the WDPI selects public agencies to validate the accuracy of Procedural Compliance Self-Assessments. The purpose of the validation is to ensure the data collected through the self-assessment is valid and reliable and to give members of the Procedural Compliance Self-Assessment workgroup feedback on the technical assistance we provide to LEAs on the self-assessment. The WDPI uses a number of factors to determine which public agency Self-Assessment to validate, including, but not limited to: the number of requirements found in noncompliance, the extent of parent participation, geographic representation, public agency size, and timeliness of reporting. The WDPI also randomly selects the Self-Assessments of some public agencies for validation. WDPI may collect additional data onsite if warranted. A more specific webcast on Validation will be available in October. Each year, the WDPI selects public agencies to validate the accuracy of Procedural Compliance Self-Assessments. The purpose of the validation is to ensure the data collected through the self-assessment is valid and reliable and to give members of the Procedural Compliance Self-Assessment workgroup feedback on the technical assistance we provide to LEAs on the self-assessment. The WDPI uses a number of factors to determine which public agency Self-Assessment to validate, including, but not limited to: the number of requirements found in noncompliance, the extent of parent participation, geographic representation, public agency size, and timeliness of reporting. The WDPI also randomly selects the Self-Assessments of some public agencies for validation. WDPI may collect additional data onsite if warranted. A more specific webcast on Validation will be available in October.

19. Self-Assessment Webcast Verifying Public Agency Noncompliance is Corrected Finally, let’s discuss verification. The verification of correction of noncompliance is a two-step process.Finally, let’s discuss verification. The verification of correction of noncompliance is a two-step process.

20. “Step One” Student-Specific Corrections May require more than one round of corrections “Step Two” Current Compliance – new sample May require additional corrections to student records and more than one sample of student records. Verifying Correction of Public Agency Noncompliance July, 2011 20 WDPI verifies all public agencies in the cohort have corrected any identified noncompliance, and are currently in compliance with regulatory requirements, within one year of notifying public agencies of noncompliance. The verification process is conducted as soon as possible and prior to the end of the one-year period for correcting noncompliance, so that WDPI can provide additional technical assistance to ensure that the public agency’s noncompliance is corrected within one year of notification. During Step One, the WDPI determines whether student-specific noncompliance identified during the LEA’s Self-Assessment is corrected. WDPI staff randomly select student names from the Self-Assessment sample lists and examine the records. WDPI staff review these student’s IEPs and other documents and may conduct interviews when warranted. During Step Two, the WDPI determines whether the agency is currently in compliance with regulatory requirements by examining a new sample of current IEPs. WDPI randomly selects pupil records created after the agency completes its corrective action activities. The WDPI will notify the agency, if, as a result of the verification activities, the WDPI determines that all student-specific noncompliance is corrected and the agency is in current compliance with regulatory requirements. If the WDPI determines that all student-specific noncompliance is not corrected, or the agency is not currently in compliance with regulatory requirements, the WDPI will provide training or technical assistance to assist the public agency to correct the noncompliance as soon as possible, It is important to remember that verification activities continue until the public agency is able to demonstrate 100% compliance. If the public agency is an independent 2r charter school, the school’s status is reported by the WDPI to the school’s authorizing entity. The Self-Assessment is complete when the WDPI verifies all noncompliance is corrected and notifies the agency. Annually, the WDPI is required to determine whether each public agency meets the requirements and purposes of the Individuals with Disabilities Education Act (IDEA). If the agency does not correct identified noncompliance and demonstrate that it is currently in compliance with regulatory requirements within one year of being notified of noncompliance by WDPI, the public agency’s annual determination is affected and sanctions may be applied. A more detailed webcast on verification will be available October 1, 2011. WDPI verifies all public agencies in the cohort have corrected any identified noncompliance, and are currently in compliance with regulatory requirements, within one year of notifying public agencies of noncompliance. The verification process is conducted as soon as possible and prior to the end of the one-year period for correcting noncompliance, so that WDPI can provide additional technical assistance to ensure that the public agency’s noncompliance is corrected within one year of notification. During Step One, the WDPI determines whether student-specific noncompliance identified during the LEA’s Self-Assessment is corrected. WDPI staff randomly select student names from the Self-Assessment sample lists and examine the records. WDPI staff review these student’s IEPs and other documents and may conduct interviews when warranted. During Step Two, the WDPI determines whether the agency is currently in compliance with regulatory requirements by examining a new sample of current IEPs. WDPI randomly selects pupil records created after the agency completes its corrective action activities. The WDPI will notify the agency, if, as a result of the verification activities, the WDPI determines that all student-specific noncompliance is corrected and the agency is in current compliance with regulatory requirements. If the WDPI determines that all student-specific noncompliance is not corrected, or the agency is not currently in compliance with regulatory requirements, the WDPI will provide training or technical assistance to assist the public agency to correct the noncompliance as soon as possible, It is important to remember that verification activities continue until the public agency is able to demonstrate 100% compliance. If the public agency is an independent 2r charter school, the school’s status is reported by the WDPI to the school’s authorizing entity. The Self-Assessment is complete when the WDPI verifies all noncompliance is corrected and notifies the agency. Annually, the WDPI is required to determine whether each public agency meets the requirements and purposes of the Individuals with Disabilities Education Act (IDEA). If the agency does not correct identified noncompliance and demonstrate that it is currently in compliance with regulatory requirements within one year of being notified of noncompliance by WDPI, the public agency’s annual determination is affected and sanctions may be applied. A more detailed webcast on verification will be available October 1, 2011.

21. Janice Duff, 414-227-1845, janice.duff@dpi.wi.gov Teresa Goodier, 608-267-2947, teresa.goodier@dpi.wi.gov Allison Luczak, 608-266-3126, allison.luczak@dpi.wi.gov Courtney Reed Jenkins, 608-267-9158, courtney.jenkins@dpi.wi.gov Marge Resan, 608-267-9158, Margaret.resan@dpi.wi.gov Paul Sherman, 608-267-9157, paul.sherman@dpi.wi.gov Christina Spector, 608-267-3747, christina.spector@dpi.wi.gov Paula Volpiansky, 608-267-3725, paula.volpiansky@dpi.wi.gov Patricia Williams, 608-267-3720, patricia.williams@dpi.wi.gov Questions? July, 2011 21 If you have any general questions about the procedural compliance self-assessment, please don’t hesitate to contact one of the members of the Procedural Compliance Self-Assessment workgroup. Our names, email addresses, and phone numbers are listed on this page. I hope the information I have provided has been helpful. Have a great day. If you have any general questions about the procedural compliance self-assessment, please don’t hesitate to contact one of the members of the Procedural Compliance Self-Assessment workgroup. Our names, email addresses, and phone numbers are listed on this page. I hope the information I have provided has been helpful. Have a great day.