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Special Education Division (SED) Data Identified Noncompliance Patricia Skelton, Ed.D., Administrator Assessment, Evaluation, and Support Unit. Data Identified Noncompliance. OSEP requires the State to account for all instances of noncompliance, including noncompliance identified:

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Data identified noncompliance

Special Education Division(SED)Data Identified NoncompliancePatricia Skelton, Ed.D., AdministratorAssessment, Evaluation, and Support Unit

Data identified noncompliance
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

Casemis data nctag pgs 2 3
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

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

Casemis data1

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

Casemis data2

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

Verifying correction of nc nctag pg 3
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”

Continued noncompliance nctag pg 4
Continued Noncompliance (NCTAG pg.4)

  • Districts were notified on January 23 of the student level noncompliant findings

  • In addition, student findings are also identified as district level findings

    • Requires a root cause analysis(RCA)

    • Corrective action to address RCA

Root cause analysis nctag pg 5
Root Cause Analysis (NCTAG pg. 5)

  • Root Cause Analysis (RCA) identifies the underlying issues or problems that contribute to the continued noncompliance:

    • Review and analyze student level findings for patterns of noncompliance. For example is the finding an:

      • Isolated incidence ?

      • Misinterpretation of requirement ?

      • Data input error ?

      • Staffing issue ?

      • Etc.

Root cause analysis nctag pg 51
Root Cause Analysis(NCTAG pg. 5)

  • RCA tries to solve problems by identifying and correcting the root causes

  • By focusing correction on root causes, recurrence can be prevented

Root cause analysis nctag pg 52
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)

Root cause analysis
Root Cause Analysis

  • Once a district has identified a root cause, they will need to develop a corrective action to address the root cause

    • Root cause corrective actions developed by the district must be reviewed and approved by their FMTA consultant

Monitoring and tracking corrective actions
Monitoring and Tracking Corrective Actions

  • Districts will use a tracking spreadsheet to monitor and report the correction of noncompliant findings (student and district level)

Tracking spreadsheet nctag pg 6
Tracking Spreadsheet (NCTAG pg. 6)

  • The spreadsheet is customized for each district to reflect the areas of noncompliance

  • Prepopulated with district and SELPA information

  • Prepopulated with student information, the student level finding, and appropriate student level corrective action

Tracking spreadsheet1
Tracking Spreadsheet

  • The district’s customized spreadsheet is located on the ftp site identified in the January 23 letter to the district superintendent:

    • Files are encrypted and password protected for confidentiality

    • Districts download the spreadsheet

    • At each due date, the district will submit their spreadsheet through the SED’s secure portal (similar to SESR files)

Tracking spreadsheet nctag pgs 7 10
Tracking Spreadsheet (NCTAG Pgs. 7-10)

  • Fields to be completed by the district:

    • Student correction date, evidence and location of evidence

    • RCA result

    • RC corrective action

    • RC correction date, evidence, and location of evidence

    • Prong II date

    • District contact information

Tracking spreadsheet nctag pgs 7 101
Tracking Spreadsheet (NCTAG Pgs. 7-10)

  • Fields to be completed by FMTA:

    • Notification date: January 23, 2013

    • RCA corrective action approval

    • Clearance letter date

    • Notes

Nctag table of contents
NCTAG Table of Contents Technical Assistance Guide

  • Background

  • Noncompliance Results for 2010–11

  • Correction of Noncompliant Findings Using June 2012 CASEMIS Data

  • Prong 2 for Corrected Student Finding

  • Continued Noncompliance

  • Identifying Root Cause of Continued Noncompliance

Nctag table of contents con t
NCTAG Table of Contents, con’t Technical Assistance Guide

  • Contact Information

  • Correction Tracking Spreadsheet Overview

  • Tracking Spreadsheet Fields

  • Submission of Data Noncompliance Tracking Spreadsheet

  • Appendix 1: CASEMIS Data References for Noncompliant Findings

Due dates
Due Dates Technical Assistance Guide

  • May 1, 2013: Final date for the LEA to upload tracking spreadsheet with student corrections, the district’s Root Cause Analysis (RCA) result, and the RCA district’s corrective action plan

  • November 1, 2013: Final submission; all corrections completed and Prong II completed

  • Additional submissions may be requested by the FMTA consultant

Submission process
Submission Process Technical Assistance Guide

  • By each due date, and as requested by the FMTA consultant, the tracking spread sheet must be submitted through the SED’s secure portal at:


  • To adhere to federal and state confidentiality regulations, districts should never submit student level data via unsecured e-mail or fax.

Submission process1
Submission Process Technical Assistance Guide

  • Similar to a SESR submission, each district will log in as their SELPA, using the SELPA’s PIN number (Districts should contact their SELPA if they do not have the SELPA PIN)

  • When signing into the portal, districts should always select “No” under final submission and leave the district box blank (The portal will close behind them if “YES” for Final submission is selected, preventing other districts in the SELPA to submit)

Questions Technical Assistance Guide

She lost me at 98,000 noncompliant findings….

?@#?%#^@*&*! “?!

REALLY? I need to retire now!

What’s a Prong II ?

Does it hurt?

Please, please don’t ask any questions, I’m confused enough as it is…

Who is suppose to do what?