2011-2012School Age:Individual Procedural Compliance Review (PCR) Form

Overview

1. It is important to note that this form does not contain all of the requirements within IDEA or OARs, but is used to monitor compliance as one part of the state’s general supervision responsibilities. Districts and programs are responsible for compliance with all of the regulations within IDEA and OARs for students with disabilities.

2. This document contains selected standards, file review guidance to help ensure consistent understanding and application of the standards, federal and state citations, and the required corrective action for each standard marked out of compliance.

3. For the purposes of this review, standards are grouped in the following categories:

I. Procedural Safeguards / IV. IEP Meeting Notice / VII. Review & Revision of IEP
II. Evaluation / V. IEP Team / VIII. IEP Timelines
III. Eligibility / VI. IEP Content / IX. Least Restrictive Environment

Reviewing and Recording PCR Data

1. Begin by locking in your students through SPR&I. Be sure to only lock in students that are still IDEA eligible and currently being served by your district/program at the time of review.

2. Once a student is locked in through SPR&I, print a blank file review form for that student using the print function. This blank form will have the student’s SSID on it and will contain only those standards that apply to the student based on the information you provided during the lock in process.

3. For each standard on the file review form:

A. Read the standard.

B. Review the guidance included below the standard.

C. Locate the required information and document(s) in the student file and review according to guidance.

D. Rate each standard by filling in the circlenext to the appropriate response:

OYes (Meets Requirement) ONo (Does Not Meet Requirement) ON/A (Not Applicable)

4. Comment Section:The reviewer must include an explanatory comment for every standard identified as “No” or “NA.”

5.Caution:Some standards require reviewing the INITIAL or MOST RECENT document.

Corrective Action Guide (CAG)

Noncompliance must always be corrected at the individual file level whenever possible, but in addition, ODE requires evidence of current compliance through additional file reviews. Some standards cannot be corrected due to the nature of the standard (e.g., missed timelines) or due to the student (e.g., no longer eligible, moved out of district, graduated with a regular diploma) and therefore require additional files to be reviewed to establish evidence of correction/compliance. To establish correction and current compliance, additional files reviewed must include files where the evidence of compliance occurs after the noncompliance reported in the initial review. In addition, ODE requires additional follow up for noncompliance that is considered systemic. See below:

In the case of non-systemic noncompliance (<33% of files show noncompliance for any single standard) the ODE requires LEAs to:

  • Report the required corrective action and the date it was corrected in SPR&I for standards that can be corrected at the individual file level; and
  • For allstandards including those that cannot be corrected at the individual file level, conduct a root cause analysis for the noncompliance and then review an additional number of files[1] and report in SPR&I the SSID and compliance status for each additional file reviewed.

If after completing the additional file review, further noncompliance is identified, the noncompliance is considered systemic.

In the case of systemic noncompliance (>33% of files out on any single standard or additional noncompliance found through additional file review), the ODE requires LEAs to:

  • Report the required corrective action and the date it was corrected in SPR&I for standards that can be corrected at the individual file level;
  • Conduct a root cause analysis for the noncompliance and an intervention of their choosing on the standard and document in SPR&I the projected and actual date of completion of the intervention; and
  • Conduct a second review of files on the same standard where the evidence of compliance occurs after the intervention; and
  • Report the number of files that are compliant (must be 100% of files reviewed after the training for the ODE to sign off on the correction) in SPR&I.

If the standard involved a particular "age linked" requirement (e.g., ECSE; school age transition), disability type, or involved files from a unique program, then the additional files to be reviewed need to target that age, disability type or program.

District/school/Reviewer/Title ______/______
Review Date(s) _____/______/______
A)List the Student’s SSIDand disability code: ______/___
B)List the student’s date of birth: ______
C)List the date range of the current IEP used for the review (start and end dates): Start date: ______/______End date: ______/____
D)List the student’s grade (for the IEP in effect at the time of review, not census year grade): ______
E)Has the student been reevaluated (3 year reeval) since initial eligibility? O Yes O No
F)Did the district establish eligibility? O Yes O No
G)Did the student transfer into district from another Oregon district with eligibility? O Yes O No
H)Did the student transfer from out of state with eligibility? O Yes O No
I)Will the student be taking all general assessments? O Yes O No
J)Will the student be taking all alternate assessments? O Yes O No
K)Will the student be taking a mix of general and alternate assessments? O Yes O No
Notes on lock-in items (A-K):
  • Items A and Bwill be populated in SPR&I by the system since this information comes directly from the SECC.
  • Item C is used in conjunction with item B to indicate if transition standards apply to the student (e.g., if the students will turn 16 while the current IEP is in effect).
  • Item D is used to determine if assessment standards apply for the current IEP in effect. Assessment grades include 3-8 and 11.
  • Item E is used to determine if the standard for the three year reevaluation applies.
  • Items F, G and H are used to determine if the current district is responsible for noncompliance during the initial evaluation-eligibility process, or if it occurred in a previous district. It is important to note that in cases where noncompliance occurred in a previous district, the current district still has a responsibility to ensure the current file is complete and compliant at the time of move in or takes appropriate action to make it compliant as soon as possible.
  • Items I, J, and K are used to determine which assessment standards apply to the student.

Eligibility and Census Verification: OAR 581-015-2010(Census and Data Reporting); OAR 581-015-2120(Determination of Eligibility); OAR 581-015-

2200(Contentof IEP); OAR 581-015-2220(When IEPs Must be in Effect)

Eligibility and Census Verification / SSID #
The student file being reviewed includes:
  • Documentation that the student was enrolled in the district on December 1st of the census review year (2010)or documentation that the resident student was enrolled in an out-of district charter school; and,
  • A statement of eligibility signed by an Eligibility Team which was in effect on December 1st of the census review year(2010); and,
  • An Individualized Education Program (IEP) which was in effect on December1st of the census review year(2010); and,
  • The IEP in effect on December 1st of the census review year (2010) contained specially designed instruction; and,
  • The student is still enrolled in the district and eligible for special education at the time of review.
  • If the answer is "No" to any one of these, the file should not be reviewed and an alternate file selected for review.

Guidance:
Documentation for students enrolled in the district but receiving services outside the district may include: Inter-district Agreements, contact logs showing that tutoring was being provided, and attendance reports from service providers (e.g., state or regional programs; out-of district charter school students will have an IEP, but not district enrollment). / Comment: / Corrective Action:
Use the replace functionin SPR&I until the system selectsa file that meets this criteria. Contact your county contact if there was an error in your Dec. 10SECC submission.

I. Procedural Safeguards: OAR 581-015-2090 (Consent); OAR 581-015-2095(Exceptions to Consent); OAR 581-015-2100(General Evaluation and Reevaluation Procedures); OAR 581-015-2310(Prior Written Notice); OAR 581-015-2315(Notice of Procedural Safeguards); OAR 581-015-2320(Surrogate Parents); OAR 581-015-2325(Transfer of Procedural Rights at Age of Majority); OAR 581-015-2330(Notice of Transfer of Rights at Majority)

I. Procedural Safeguards / SSID #
1 / The District provided Procedural Safeguards to parents upon initial referral forevaluation. §300.504 / O Yes O No
Guidance:
Identify the date of the initialreferral for evaluation. Check the referral form or referral team notes for documentation that the parent was given a copy of the Procedural Safeguards at the time of the initial referral for evaluation.
If the district identifies the point of referral as the time of consent for evaluation, check to ensure that Procedural Safeguards were provided at the time of the consent for evaluation. / Comment: / Corrective Action:
1)Send Procedural Safeguards to parents immediately. Include date safeguards were provided to parents in SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
2 / The district provided a copy of the Notice of Procedural Safeguards to the student at least a year before the student’s 18th birthday. OAR 581-015-2315 / O Yes O No O NA
Guidance:
Procedural safeguards must be provided to the student and the parent at this time and every year after.
Look for indication procedural safeguards were provided to the student; this may include a checked box on the prior notice form or indicated in meeting minutes.
If the student has not reached age 17, mark this standard NA. / Comment: / Corrective Action:
1)Send Procedural Safeguards to student immediately. Include date safeguards were provided to studentin SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
3 / The District gave prior written notice to the parent within a reasonable time before the district’s proposal or refusal;
1) To conduct an evaluation or reevaluation;
2) For initial placement;
3) To initiate or to change the identification, evaluation, placement, or provision of FAPE; and the most recent Prior Written Notice in the file includes:
a)A description of the action proposed or refused;
b)An explanation of why the action was proposed or refused;
c)A description of any options considered and the reasons these options were rejected;
d)A description of each evaluation procedure, test, record, or report used as a basis for the proposal or refusal;
e)A description of any other factors relevant to the proposal or refusal;
f)A statement that parents of a child with a disability have protection under Procedural Safeguards and the means by which a copy of the notice of Procedural Safeguards may be obtained;
g)Sources for parents to contact to obtain assistance in understanding their Procedural Safeguards;
h)Written in a language understandable to the general public;
i)Provided in the native language of the parent or other mode of communication used by the parent unless it is clearly not feasible to do so; and,
j)If the native language or other mode of communication used by the parent is not a written language:
  • Reasonable effort is made to aid the parent in understanding the content of the notice; and,
  • There is written evidence that the requirements in this section have been met. §300.503
/ O Yes O No
Guidance:
Check for evidence that the most recent notice meets all content requirements. Check for evidence that the notice was provided after a decision and before the implementation of the decision. / Comment: / Corrective Action:
Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
4 / Written parental consent was obtained prior to initial evaluation or reevaluation or, if no consent was obtained documentation of reasonable measures to obtain consent is evident. §300.300 / O Yes O No O NA
Guidance:
Apply Consent Standards to the most recent evaluation. Check the student file for documentation of written parental consent for evaluation (initial or reevaluation). Check the date(s) on the consent for initial evaluation or reevaluation against the date(s) of the evaluation(s) to ensure that consent was obtained prior to the evaluation.
If no written consent for evaluation/reevaluation can be found, check for documentation of reasonable effortsto obtain written consent. Reasonable effortsinclude records of calls and the results of those calls, copies of correspondence and any response received; copies of consent documents sent to parents and responses received, and records of visits made to the parent’s home or workplace and the results of those visits.
New testing can only be conducted without written parental consent if consent was requested and the parent failed to respond. Non-response is not the same as disagreeing with a district proposed date or slow response. Parent consent must always be obtained for any test of intelligence or tests of personality.
Consent must be in writing; verbal consent does not meet these requirements.
Oregon law requires written consent for Intelligence and personality testing before the test administration. Compare the consent date and the test administration date(s) to verify prior consent.
Reasonable “efforts” to obtain consent do not justify administration of these tests without written consent.
An intelligence test is required for IntD eligibility.
If the IEP team determines that no further evaluation is needed during the review of existing information, consent is not needed. Mark the standard NA. / Comment: / Corrective Action:
Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
5 / Written parental consent was obtained prior to initialprovision of special education services. §300.300 / O Yes O No
Guidance:
ECSE consent is valid for school age services.
Check the file for initial documentation of consent for initial provision of special education services. Check the date of consent against the start date of the IEP to ensure consent was obtained prior to the provision of services.
IEPs do not have to be developed prior to getting consent for the provision of services. / Comment: / Corrective Action:
1)Get consent from parent and date it when received; do not back date it. Include date consent was received in SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
6 / A notice was provided to the child and the parent that rights will transfer at age of majority. The notice was given:
  • At the IEP meeting and documented on the IEP; and,
  • Given at least one year before the child’s 18th birthday, or upon knowledge that the child, within a year, will marry or become emancipated. §300.320
/ O Yes O No O NA
Guidance:
If the student has a legal guardian (or surrogate parent) appointed by the courts, mark this standard NA.
If the student has not reached age 17 or is not within a year of marrying or becoming emancipated,mark this standard NA. / Comment: / Corrective Action:
1)Provide notice to student and parent immediately. Include date sent to student and parents in SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
7 / At age of majority written notice was provided to the student at the time of the transfer. §300.520 / O Yes O No O NA
Guidance:
Rights transfer by law; IEP teams do not make this decision.
Check the date of the IEP against the student’s birthdate to ensure that the transfer of rights information and discussion were documented on the IEP in effect on the student’s 17th birthday or developed one year before the student’s 18th birthday. Ensure that documentation indicates the transfer of rights information and date they were provided to the parent and student.
If the student has a legal guardian appointed by the courts, the district would mark this standard NA.
If the student has not reached age 18 or is not married or emancipated, mark this standard NA. / Comment: / Corrective Action:
1)Provide notice to student and parent immediately. Include date sent to student and parents in SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.

II. Evaluation: OAR 581-015-2100(Responsibility for Evaluation and Eligibility Determination); OAR 581-015-2105 (Evaluation & Reevaluation Requirements); OAR 581-015-2110 (General Evaluation and Reevaluation Procedures); OAR 581-015-2115 (Evaluation Planning); OAR 581-015-2125(Interpretation of Evaluation Data); OAR 581-015-2130 through 581-015-2180: (Disability categories); OAR 581-015-2190(Parent Participation – General); OAR 581-015-2230(Transfer Students)

II. Evaluation / SSID #
8 / Initial evaluation or most recentreevaluation began with an IEP team review of existing evaluation information including:
  • review of evaluations and information provided by the parents;
  • current classroom-based, local or state assessments;
  • classroom-based observations; and observations by teachers and related services providers.
  • On the basis of the team review of existing information and input from the child’s parent, the IEP team identified additional information needed to determine:
  • The child’s eligibility, the child’s present levels, or the child’s special education and related service needs;or,
  • That no additional evaluation data were needed and the district notified the parent(s) of that determination, the reasons for it, and the right to request an assessment. §300.305; OAR 581-015-2115
/ O Yes O No O NA
Guidance:
Check the student’s file for documentation that the parent was involved in the review of existing information and in the planning of the evaluation to be conducted. Planning did not need to occur in a meeting, but parent information is required, even without a meeting. Documentation may be found in team notes, planning documents or reports. Eligibility document alone does not provide this evidence.
Mark NA for this standard for reevaluation only if there is a written agreement between the district and parent that no evaluation is necessary. / Comment: / Corrective Action:
1)Team to review existing evaluation information (including completed evaluation). Document in SPR&I the date the review was conducted and determination completed.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
9 / Initial or most recent evaluation:
  • Was sufficientlycomprehensive, and conducted in all areas of suspected disability(ies) and identified all the student’s special education and related services needs, whether or not commonly linked to the disability(ies);
  • Used a variety of assessment tools and strategies to gather relevant functional, developmental and academic information, including information from parents to assist in determining whether the child is a child with a disability and the content of the child’s IEP, including Information related to enabling the child to be involved and progress in the general curriculum; and,
  • Did not use any single measure or assessment as the sole criterion for determining a disability and the appropriate educational program. §300.304
  • Tests and evaluation (including previously existing) materials used to assess the child:
  1. Were selected and administered so as not to be racially or culturally discriminatory;
  2. Were provided and administered in a language and form most likely to yield accurate information on what the child knows and can do academically, developmentally, and functionally, unless it is not feasible to so provide or administer;
  3. Were used for the purposes for which the assessments or measures are valid or reliable;
  4. Were administered by trained and knowledgeable personnel;
  5. Were administered in accordance with any instructions provided by the producer of such assessments;
  6. For students with sensory, manual, or speaking impairments, the evaluation materials were selected to ensure assessment of the student’s abilities;
  7. Included those tailored to assess specific areas of educational need and not merely those that were designed to provide a single IQ score; and,
  8. Provided relevant information that directly assists in determining the educational needs of the child. §300.304
/ O Yes O No
Comment: / Corrective Action:
1)Conduct additional evaluation beginning with the evaluation planning process using appropriate assessment tools and strategies. Document date additional evaluation was completed in SPR&I.
2)Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.
10 / Reevaluation was completed at least every three years or if reevaluation did not occur every three years, documentation is evident that the parent and district agreed not to conduct an evaluation. §300.303 / O Yes O No
Guidance:
Check student file for date of last two eligibility determinations. Is there evidence that reevaluation occurred within three years of the last eligibility? There are no exceptions for a longer timeframe, unless there is documentation of written parent and district agreement not to conduct reevaluation.
If the parent and district agreed not to conduct a three year reeval by signed written agreement, then mark this standard “YES.” / Comment: / Corrective Action:
Review additional files where this event occurred after the incidence of noncompliance and list in SPR&I the compliance status for each.

III. Eligibility: OAR 581-015-2100(Responsibility for Evaluation and Eligibility Determination); OAR 581-015-2120 (Determination of Eligibility);OAR 581-015-2125 (Interpretation of Evaluation Data); OAR 581-015-2130 through 581-015-2180 (Eligibility Criteria by Disability Category)