writing compliant etrs

Writing Compliant ETRs

State Approved Training Module

4-2-2012 1

ETR Compliance

• This presentation is for “Monitoring” purposes based on 2011-2012 Compliance.

• Refer to Record Review Tool for details.

4-2-2012 2

Record Review Item CF-1*Reevaluation Only*

Was the child's reevaluation completed within 3 years? Evidence

•Comparison of the current and previous ETR dates provides evidence that the most current evaluation was completed within 3 years of the previous evaluation or the parent and district agreed a reevaluation was not necessary within 3 years of the previous evaluation. (Compliant)

•No date is identified or more than 3 years has lapsed since the previous evaluation. (Non-Compliant)

•This is an initial evaluation or transfer ETR from previous LEA and current LEA had no control of timelines. (NA)

4-2-2012 3

Potential Source(s) of Documentation

• PR-06 ETR Front Page• PR-07 IEP Front Page - IEP Time Lines• Documentation of LEA and Parent Agreement (must be verified

by consultant for compliance)─ PR-01 (Recommended for documentation of agreement between

both parties)

─ Verbal agreement (Recommend district document. If not documented, ODE/OEC consultant will verify that this action took place)

Regulation

34 CFR 300.303(b)(2)

4-2-2012 4

ActivityDates to assure compliance

• Look at a copy of a written ETR.

• Do you have dates to assure compliance or non-compliance?

• Compare what you have with others at your table.

4-2-2012 5

Record Review Item CF-2For children transitioning from (Part C-Help Me Grow-Early

Intervention): Did district utilize information from IFSP & other Help Me Grow documentation in suspecting or determining

eligibility for Part B supports & services?

• Information from Part C must be documented and can include:─ Observations in more than one setting and in multiple

activities─ Interviews (information provided by parents or caregivers)─ Results of the Bailey or Battelle (Compliant)

• No evidence that the data above is documented as part of the decision making process (Noncompliant).

• The child is not transitioning from C to B (NA)

4-2-2012 6

Potential Sources of Documentation (CF-2)

•Help Me Grow Forms and medical records

•Records from the Transition Conference

•PR-06 Evaluation Team Report

•PR-04 Referral Form

•PR-01 Prior Written Notice

•Information provided by the parent

•Documentation of related services

Regulation

34 CFR 300.305(a)

4-2-2012 7

Record Review Item CF-3*Initial Evaluations Only

Does the district provide interventions to resolve concerns for any school-age child who is performing below grade-level

standards?Evidence

•Record shows evidence of intervention data and provides a summary of the interventions that have been implemented prior to referral or during the evaluation process. (Compliant)

•The student record contains no evidence that interventions were provided to the child. (Non-compliant)

•Evaluation is not an initial ETR or transfer ETR from previous LEA. (NA)

4-2-2012 8


• Data from interventions• PR-06 Evaluation Team Report – Part 2• PR-04 Referral Form• PR-01 Prior Written Notice

Regulation

OAC 3301-51-06(2) & OAC 3301-51-06(4)

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CF-3 Provision of Interventions and Evaluations

Important Points for school-age

• A school district may not use interventions to delay an evaluation if the district suspects a disability.

• See Procedures and Guidance for Ohio Educational Agencies serving Children with Disabilities http://www.edresourcesohio.org/ogdse/home (Section 6.1, pages 2-8) for details on Components of Effective Interventions and description of Scientifically Based Research.

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http://www.edresourcesohio.org/ogdse/home

4-2-2012 11

CF-3 Provision of Interventions and Evaluations

Important Points for preschool

• IDEA does not require or encourage districts to use interventions prior to determining eligibility for special education and related services for preschool children.

• Districts cannot require other agencies to utilize an intervention process with a preschooler suspected of having a disability.

ActivityLooking at “Interventions”

• Look for potential sources of documentation.• Do you have evidence of interventions?• Compare what you have with others at your

table.

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Record Review Item CF-4Did the evaluation planning team include the parent?

Evidence•There is evidence of parental involvement in evaluation planning or evidence the parent was provided the opportunity to participate in evaluation planning. (Compliant)

•No evidence of parental involvement or no evidence the parent was provided the opportunity to participate in the evaluation planning. (Non-compliant)

•The parent and the district agreed that a reevaluation was unnecessary or transfer ETR from previous LEA. (NA)

4-2-2012 13


• Evaluation Planning Form• PR-01 Prior Written Notice (Specify that the PR-01 documented

planning)• PR-02 Parent Invitation• PR-04 Referral Form• Other Documentation: Phone logs, parent contact logs, emails or

conference call• Documentation of LEA and Parent Agreement (must be verified by

consultant for compliance)Regulations

34 CFR 300.501(b)(1)

OAC 3301-51-01(B)(50) = Definition of “Qualified Personnel”

4-2-2012 14

CF-4 Parent involvement with ETR Planning

• Purpose is to review existing data, and on the basis of that review and input from the child’s parents, identify what additional data if any, are needed to determine whether the child is a child with a disability and the educational needs of the child.

• Planning is NOT optional. The planning form is embedded in the required ETR form.

• Parents must be involved in planning (or have the opportunity to be involved)

4-2-2012 15

Record Review Item CF-5Did the evaluation team review existing data on the child?

Evidence•In planning for the evaluation, the evaluation planning team, as appropriate, reviewed existing data:

─ Existing evaluations─ Information provided by the parent─ Current classroom-based, local, or State assessments─ Classroom-based observations: observations by teachers & related

service providers. (Compliant)

•There is no evidence the evaluation planning team, as appropriate, reviewed the existing data on the child. (Non-compliant)

•The parent and the district agreed that a reevaluation was unnecessary or transfer ETR from previous LEA. (NA)

4-2-2012 16


• Evaluation Planning Form• PR-04 Referral Form• PR-01 Prior Written Notice• Help Me Grow Forms• Other district documentation (emails, written

correspondence, meeting notes, phone logs, etc.)

Regulation

34 CFR 300.305(a)(1)

4-2-2012 17

Record Review Item CF-6Did the evaluation planning team identify what

additional data, if any, were needed?

Evidence•There is evidence that the evaluation planning team determined what additional data if any was needed or the team determined that no additional data was needed.

(Compliant)

•There is no evidence the evaluation planning team, identified additional data, if needed, during the evaluation planning. (Non-compliant)

•The parent and the district agreed that a reevaluation is not necessary or transfer ETR from previous LEA or this is a preschool record. (NA)

4-2-2012 18

Potential Source(s) of Documentation (CF-6)

• Evaluation Planning Form • PR-04 Referral Form • PR-01 Prior Written Notice • Other district documentation (emails, written

correspondence, meeting notes, phone logs, etc.)

Regulation

34 CFR 300.305(a)(2)

4-2-2012 19

Record Review Item CF-7Is there evidence that the evaluation addresses all areas

related to the suspected disability?

• There is evidence that the evaluation addressed all areas related to the suspected disability, including, if appropriate, health, vision, hearing, social and emotional status, general intelligence, academic performance, communicative status, and motor abilities.

• Refer to the definitions within OAC 3301-51-01 for direction when determining if the child is assessed in all areas (Operating Standards, pages 15-20).

• OAC 3301-51-06 contains additional procedures for evaluating for SLD, MD and Deafness or Hearing Impairment (Operating Standards pages 116-123) and preschool age children (Operating Standards page 112).

4-2-2012 20

Record Review Item CF-7 (Continued)

The preschool form addresses the requirements in Rule 3301-51-11(C).

Multiple sources of information are required to determine preschool eligibility, including but not limited to:•information from Part C when children transition from early intervention;•structured observations in more than one setting and in multiple activities; •information provided by the parent or caregiver; and •criteria and norm-referenced evaluations.

All developmental domains, not just those related to the disability, must be assessed with at least one source of information.

(Compliant)

4-2-2012 21

Record Review Item CF-7 (continued)

• The evaluation report did not address all areas related to the suspected disability.

(Non-compliant)• The parent and the district agreed that a

reevaluation is not necessary or Transfer ETR from previous LEA. (NA)

4-2-2012 22

Record Review Item CF-7 (Continued)

Preschool Methods and Strategies•Information from Part C for children transitioning from early intervention•Observations in more than one setting and in multiple activities•Interview of parent or caregiver•Criterion Referenced•Norm Referenced

All of the above must be included for preschool.

4-2-2012 23


• Evaluation Planning Form • PR-04 Referral Form• PR-01 Prior Written Notice • Pre-school evaluation form• School-age evaluation form

Regulation34 CFR 300.304(c)(4);

OAC 3301-51-01; and OAC 3301-51-06

4-2-2012 24

Activity CF-7Directions: Too often when teams plan for an evaluation, they miss areas of concern and a full evaluation isn’t planned. Using the School Aged Planning form, as a “table team” compose a list of key questions that will peel back the layers for each area of assessment to be sure that teams aren’t missing areas of concern and that a full evaluation is planned:

Example: Communicative Status • Is the child able to express him/herself in a way comparable

with peers?• Does the child seem to understand auditory information in a

way comparable with peers?• Is the child able to follow directions comparable with peers?

Activity CF-7Directions:

•Given several Summary Part 1’s what would you take from these and put in the summary page?

•What links are there to the IEP? •Flip tables and see if you could make a good IEP from what your peers marked.

•What would be in the Profile, PLOP, Prioritized Goals, Specialized Instruction, Accommodations/Modifications and LRE?

•What is missing?

Record Review Item CF-8Did the parent of the child determine whether the child is a child

with a disability?*Both Initial and Reevaluations

Evidence•Parent was involved in eligibility determination or was provided the opportunity to participate in eligibility determination as evidenced by three attempts to contact parent. (Compliant)

•Parent was not involved in determining child’s eligibility and no evidence of three attempts by LEA to contact the parent in student record. (Non-compliant)

•The parent and the district agreed that a reevaluation is not necessary or transfer ETR from previous LEA. (NA)

4-2-2012 27

Guidance Document – Section 7-3

Document all attempts to contact the parents to schedule the meeting

•When attempting to contact parents to schedule the meeting, document every attempt to do so. This documentation should include detailed records and notes, including dates, times and results of attempts made, such as:

─ Telephone calls;

─ Copies of correspondence sent to the parents and any responses received;

─ Visits to the parents' home or places of employment; and

─ Face to face meetings or conversations.

•The school district should make three attempts to contact the parents.

Finalize the meeting date

•Once the date is agreed upon and parents have agreed to attend, acquire and file written parental agreement to attend (Parent Invitation PR-02 form).

4-2-2012 28

Guidance Document – Section 7-3

• Arrange for a meeting place that is convenient for the child’s parents.

• Before the meeting:─ Confirm meeting date with all participants,─ Send invitations to all team members.─ Provide the parents (by fax, mail, e-mail, or opportunity to pick-up) a

draft IEP, when appropriate.─ Make the draft IEP, when appropriate, available to other IEP team

members.─ Send a reminder of the date and time of the meeting to parents.

• If the parents cannot attend:─ Discuss the option of the parents participating via a telephone

conference or other means, or ─ Suggest another meeting date.

4-2-2012 29


• PR-01 Prior Written Notice to Parents • PR-02 Parent Invitation • PR-06 Evaluation Team Report - Parent Signature • Other Documents: Phone logs, parent contact logs, emails,

conference calls • LEA must make three attempts to contact parent(s) • Documentation of LEA and Parent Agreement (must be

verified by consultant for compliance)

Regulation

34 CFR 300.306(a)(1)

4-2-2012 30

Record Review Item CF-9*Initial Evaluations Only*

Did a group of qualified professionals (QP’s) as appropriate to the suspected disability determine whether the child is a child

with a disability?

Evidence•A group of qualified professionals determined eligibility.

4-2-2012 31


• A group of qualified professionals would include the following, but not limited to:

1. Parent,

2. Additional group members, ─ The child’s regular teacher; or ─ If the child does not have a regular teacher, a regular classroom

teacher qualified to teach a child of his or her age; or ─ For a child of less than school age, an individual qualified by the

SEA to teach a child of his or her age; and ─ At least one person qualified to conduct individual diagnostic

examinations of children, such as a school psychologist, speech-language pathologist, or remedial reading teacher. (Compliant)

• Eligibility was not determined by a group of Q.P.’s. (Non-compliant)• Transfer ETR from previous LEA. (NA)

4-2-2012 32


• PR-06 Evaluation Team Report - Section 1 Individual Evaluator’s Assessment and

• Section 5 Signatures

Regulation34 CFR 300.306(a)(1)

4-2-2012 33

Record Review Item CF-10*Reevaluations Only*

Did a group of qualified professionals as appropriate to the suspected disability determine whether the child is a child with a disability?

Evidence•The IEP team and additional qualified professionals determined eligibility. •IEP Team Members

1. Parent

2. Regular Education Teacher

3. Special Education Provider

4. District Representative

5. An individual who can interpret the instructional implications of evaluation results

6. At the discretion of the parent or the school district, other individuals who have knowledge or special expertise regarding the child, including related services personnel as appropriate

7. Whenever appropriate, the child with a disability (Compliant)

4-2-2012 34


• Eligibility was not determined by the IEP Team. (Non-compliant)

• The parent and the district agreed that a reevaluation is not necessary or Transfer ETR from previous LEA. (NA)

4-2-2012 35


• PR-01 Prior Written Notice to Parents • PR-02 Parent Invitation • PR-06 Evaluation Team Report

─ Section 1 Individual Evaluator’s Assessment, and ─ Section 5 Signatures

• Documentation of LEA and Parent Agreement (must be verified by consultant for compliance)

Regulation

34 CFR 300.306(a)(1); 300.305(a); and 3301-51-01 (B)(21)

4-2-2012 36