Indicator 12
Percent of children referred by Part C prior to age 3, who are found eligible for Part B, and who have an IEP developed and implemented by their third birthdays.
IDEA Reference: 300.101(b)(1)(i)(ii)
FAPE must be made available to each eligible child no later than the child’s third birthday
An IEP must be in place by the child’s third birthday
AU must be notified by the CCB in order to begin the referral process
AU must complete the initial evaluation in order to determine eligibility and develop the initial IEP
Data Source:
The data for Indicator 12 come from the Special Education End-of-Year Student report (EoY). ECEA rules were amended December 30, 2007. The changes in rules are reflected in the EoY data collection questions. Data collected to address Indicator 12 requests information related to the date of implementation of the IEP for children transitioning from Part C to Part B.
The Indicator 12 review has been developed as a three phase process.
Phase I – Desk Audit
Purpose In Phase I, data submitted in the EoY report are verified. The CDE
reviewer’s role is to examine the reported data for accuracy.
Process Phase I of the Indicator 12 review:
Individual indicator reports are generated by the data department after the EOY reporting period closes.
The CDE reviewer receives the Indicator 12 report for an individual AU from the data department.
The CDE reviewer assists in verifying the accuracy of the Indicator 12 report.
2 birthday
2. number of days the IEP was developed beyond the third birthday
3. trends in reasons
Does anything stand out as improbable?
Are a high percentage of students over the timeline?
Are a high percentage of students over the timeline by only a few days? Are a high percentage of students over the timeline by an excessive number of days?
Reason codes: For any student who exceeds the allowable timeline, the AU submits a
reason code when completing the EOY report.
The following reason codes are considered allowable: 01 – parent refused to provide consent
02 – moved 03 – deceased
20 – illness of student or immediate family 21 – parent requested delay in meeting 22 – parent no show , meeting rescheduled
24 – parent could not be located – surrogate parent process started 25 – parent requested someone else to attend; i.e. legal
representation
26 – weather/school cancellation
27 – parent requested independent educational evaluation 28 – IEP team requested additional evaluation at eligibility meeting;
43 – mutual written agreement by parents and eligibility team extends time for specific learning disability identification
The following reason code indicates noncompliance with Indicator 12 and therefore requires a further review:
05 – no valid reason
Summary of Phase I:
Phase I is a data verification designed to include all AUs. If the data appear accurate, through a Phase I review, and fall within the 95% compliance threshold, no further drill down is necessary.
If the AU’s data does not meet substantial compliance, move on to Phase II.
Phase II: Individual Student Record Review for Verification
Purpose The purpose of Phase II is to identify potential noncompliance for IEPs
being developed beyond the child’s third birthday for those AUs who did not meet the 95% compliance threshold. Individual student records must be reviewed to determine the date the IEP was completed.
Process Step 1: Request individual student report showing the student identifier,
and dates submitted for fields related to Indicator 12
Step 2: Pull individual student records for review (see below) Step 3: Review individual student records for required information Step 4: Verify the date the CCB notified the AU
Step 5: Recalculate the Indicator 12 compliance rate
Step 6: Determine whether the AU’s performance meets substantial compliance and take action
Summary of Phase II:
The purpose of Phase II is to determine the rate of compliance with Indicator 12 and the AU’s performance in meeting the required timeline for having an IEP in place by the child’s third birthday.
4
Indicator 12 Focused Student Record Review
Student Information: Initials Total and
Comments
DOB IEP date eligibility Part C to Part B Transition
1. Is there evidence that the CCB notified the AU?
2. What is the date the CCB notified the AU (if documented)?
3. Is there an IFSP in the file? 4. Is there a transition plan in the
IFSP?
5. What is the date of the transition plan (should be dated at least 90 days prior to the child’s 3rd
birthday or at least 90 days prior to starting preschool services –
whichever is earliest)?
6. Is there documentation indicating a representative participated in developing the transition plan? 7. What is the date of Part B eligibility
determination?
8. What is the date of the initial IEP? 9. What is the date services were to be
Phase III: Drill Down to identify root cause and guide corrective action
Purpose The purpose in Phase III is two-fold. The first objective is to identify the
root causes of noncompliance identified during Phase II. The second objective is to support the development of a corrective action plan and determine the technical assistance will support the AU to meet
compliance.
Process Step 2: Based upon the body of evidence collected in Phase II, determine
the possible causes of the noncompliance.
Step 3: Determine what assistance an AU may need to correct noncompliance.
Step 4: Provide technical assistance to support the corrective plan.
Summary of Phase II:
In Phase III it is determined whether an AU will be cited as out of
compliance. Citation requires the development of a corrective action plan and the provision of technical assistance, as necessary.
6
Indicator 12 Review of Policies, Procedures, and Practices
Sources of data Technical assistance
4.03(1)(c) the administrative unit of residence shall participate in meetings regarding the transition planning process from infant/toddler to special education preschool services consistent with the requirements of 34CFR §300.124 (below)
5.01 (6) Requirements regarding the transition of children from Part C programs to preschool programs under Part B of IDEA as established by 34 CFR §300.124 (below)
(a) Children participating in early intervention programs assisted under Part C of the Act, and who will participate in preschool programs assisted under Part B of the Act, experience a smooth and effective transition to those preschool programs in a manner consistent with section 637(a)(9) of the Act.
300.124(a)
(b) By the third birthday of a child describe in paragraph (a) of this section [see above], an IEP or, if consistent with 300.323(b) and section 636(d) of the Act, an IFSP, has been developed and is being implemented for the child consistent with 300.101(b); and 300.124(b)
(c) Each affected LEA will participate in transition planning conference arranged by the designated lead agency under section 635(a)(10) of the Act. 300.124(c)
▪ Each public agency must ensure that as soon as possible following
development of the IEP, special
education and related services are made available to the child in accordance with the child’s IEP. 300.323(c)(2)
▪ A free appropriate public education must be available to all children
residing in the State between the ages of 3 and 21, inclusive, including children with disabilities who have been suspended or expelled from school, as provided for in §300.530(d).
300.101(a)
▪ Each State must ensure that – (i) The obligation to make FAPE available to each eligible child residing in the State begins no later than the child’s third birthday.
(ii) An IEP or an IFSP is in effect for the child by that date, in accordance with §300.323(b). [34 CFR
300.101(b)(1)]
▪ If a child’s third birthday occurs during the summer, the child’s IEP Team shall determine the date when services under the IEP or IFSP will begin.
300.101(b)(2)
8 300.321 (f) Initial IEP Team meeting
for child under Part C. In the case of a child who was previously served under Part C of the Act, an invitation to the initial IEP Team meeting must, at the request of the parent, be sent to the Part C service coordinator or other
representatives of the Part C system to assist with the smooth transition of services.
Additional References
The National Early Childhood Technical Assistance Center for full checklist: Early Childhood Part C and Part Be Requirements Related to Transition Timelines at http://www.nectac.org/~pdfs/topics/transition/TRANSITION_REGS%20BY%20STEPS_05-16-08_FINAL.pdf Guidelines for Transition from Early Intervention (Part C) Services to Preschool (Part B) Services at:
http://www.cde.state.co.us/early/downloads/Guidelines%20for%20EI%20to%20Part%20B%20Transitions%205-2-08.doc Birth to Age Three Child Find Responsibilities (Implementation of SB 07_255):
As a result of the review, the AU has identified the following strengths:
1. ___________________________________________________________________________________________ 2. ___________________________________________________________________________________________ 3. ___________________________________________________________________________________________
As a result of the review, the AU has identified the following areas for improvement; these will be addressed through a corrective action plan.
1. ___________________________________________________________________________________________ 2. ___________________________________________________________________________________________ 3. ___________________________________________________________________________________________
