1. Background/Trend Data
   (for reporting period July 1, 2002 through June 30, 2003):

See individual activities included under these performance indicators as well as Attachment 1 -(Cluster Area I: General Supervision Dispute Resolution - Complaints, Mediations, and Due Process Hearings Baseline/Trend Data).

2. Targets
   (for reporting period July 1, 2002 through June 30, 2003):

Complaints (2002-03)

• 100 percent of complaint investigations will be completed within regulatory timelines.
• 100 percent of corrective actions resulting from founded complaints will be resolved within specific timelines.

Monitoring (2002-03)

• Based on Department data and other selection criteria, 143 special education Quality Assurance (QA) reviews will be completed.
• 100 percent of completed 2002-03 QA reviews and 60-day complaints will be entered into the Quality Assurance Information System (QAIS) database by June 2003.
• A request for proposals (RFP) will be developed to design a Comprehensive Special Education Information System (CSEIS). This system will provide a management tool to ensure timeliness for monitoring, complaint, due process and mediation reporting.
• The preschool STAC (System to Track and Account for Children) system will be completed and used to identify and recommend preschool program modification requests.

3. Explanation of Progress or Slippage
   (for reporting period July 1, 2002 through June 30, 2003):

Complaints (2002-03)

• Information on the complaint system is available on VESID’s web site, http://www.vesid.nysed.gov/specialed/quality/qaresolv.htm and incorporated in the State’s mandated Due Process Notice, at http://www.vesid.nysed.gov/specialed/publications/policy/prosafecov803.htm.
• Developing an Access platform for QAIS has been slower than expected when combined with hardware issues across multiple regional sites.
• Standardized letters and procedures were revised to assist SEQA staff in responding to complaints and communicating with districts on the status of the corrective action plans.
• Due to staff shortages, the target of 100 percent was not reached. Information on the current timeliness of complaints and the 100 percent target were discussed with staff to determine whether there are additional strategies that can be used to ensure timely investigations.

Monitoring (2002-03)

• Five of six (83 percent) SEQA regional offices piloted Focused Review protocols in the areas of Achievement and Least Restrictive Environment (LRE). One regional office was unable to pilot the reviews because of staff shortages. The New York City regional office piloted five Focused Reviews.
• SEQA regional offices completed 143 QA Reviews. These reviews included public schools, approved nonpublic preschool and school-age programs, charter schools, State agency programs and State-operated schools.
• The QA Verification Review was revised to place more reliance on a desk audit self-review by those districts that demonstrate the highest student outcome levels.
• A Performance Review protocol was developed and implemented to facilitate a streamlined process and to permit a greater annual capacity for site reviews.
• QA protocols were developed and implemented for Nondistrict/Special Act School District programs. These programs included: Special Act school districts, approved private schools, Boards of Cooperative Educational Services (BOCES), State-operated and State-supported schools, State agency programs (i.e., OCFS, DOCS, OMH and OMRDD).
• SEQA staff developed a new QA Focused Review protocol designed to maximize the impact of a QA review by focusing on only one Key Performance Indicator area (i.e., Achievement, LRE, Student Exiting/Transition) at a time. Chapter 405 disproportionality issues were incorporated within the Achievement and LRE protocols.
• IDEA Discretionary Funds of $1,415,000 were allocated to QA review districts to facilitate the review process and to implement corrective action and improvement strategies as they relate to Key Performance Indicators.
• A Statewide QA Advisory Group meeting was held in March 2002 to provide an overview of the concepts and background related to the focus on outcomes and continuous improvements.
• QAIS was used by Regional Associates to record data for Focused Reviews and 60-day complaints that contributed to the consistent implementation of the review process across the State. SEQA staff used focused review information to identify regional training or technical assistance needs.
• The CSEIS RFP was issued in September 2003. A federal grant was used to facilitate this process, and a portion is to be used for the development of the final product.
• The Preschool STAC system was implemented at the regional level in the summer of 2003 to facilitate the timeliness of program modification recommendations for approval.

4. Projected Targets
   (for next reporting period July 1, 2003 through June 30, 2004):

Complaints (2003-04)

• 100 percent of complaint investigations will be completed within regulatory timelines.
• 100 percent of corrective actions resulting from founded complaints will be resolved within specific timelines.

Monitoring (2003-04)

• Based on Department data and other selection criteria, 117 QA reviews of all types (NYC 32, Upstate 85) will be conducted, including eight pilot focused reviews in Student Exiting/Transition.
• 100 percent of completed 2003-04 QA reviews and 60-day complaints will be entered into the QAIS database by June 2004.
• The first phase of the CSEIS components will be completed by June 30, 2004. This includes the QA reviews, complaint and mediation processes and the integration of the Impartial Hearing Reporting System (IHRS) and the Preschool STAC system.
• The Preschool STAC (System to Track and Account for Children) system will be used to identify and recommend 100 percent of the program modification requests until it is integrated into CSEIS.

5. Future Activities
6. Projected Timelines and Resources
   (for next reporting period July 1, 2003 through June 30, 2004 and on going):

Complaints (2003-04)

• Update Procedural Safeguards Notice as needed.
• By 2005, CSEIS will track complaints for review within timelines. School districts will have access to viewing their data through this web-based system. The system will have the capability of generating statewide reports.

Monitoring (2003-04)

• Focused Review protocols will be developed and implemented for BOCES, Office of Children and Family Services (OCFS), approved private schools and State-supported schools. The New York City Regional Office will develop and implement four modified focused reviews, targeting those regulatory areas that most closely align with student outcomes. At least 9 Student Exiting/Transition focused reviews will be successfully piloted by June 2004.
• IDEA Discretionary Funds of $2,885,000 will be allocated to QA review districts to facilitate the review process and to implement corrective action and improvement strategies as they relate to Key Performance Indicators.
• A Statewide QA Advisory Group meeting was held in 2003 to review the results of the 2002-03 focused review pilots.
• Public meetings will be conducted to guide our statewide discussions on changes to VESID’s policy and practices to reward and sanction school districts and other programs.
• QAIS and the Preschool STAC system will be fully integrated into CSEIS by 2005.

1. Background/Trend Data (Mediations and Impartial Hearings)
   (for reporting period July 1, 2002 through June 30, 2003):

(See Attachment 1)

	1997-98	1998-99	1999-00	2000-01	2001-02	2002-03
Mediations Conducted	393	450	407	375	377	339
Impartial Hearings Conducted	1,344	1,234	1,324	1,235	1,714	1,417

Summary statistics on State Review Officer Decisions - (See Appendix 61)

2. Targets
   (for reporting period July 1, 2002 through June 30, 2003):

Impartial Hearings (2002-03)

• 100 percent of impartial hearing requests will be addressed within regulatory timelines, including the appointment of hearing officers and the issuance of decisions.
• A parent, school district and Impartial Hearing Officer satisfaction survey will be developed to collect information on satisfaction with the due process system.
• The Office of State Review will issue timely decisions on all appeals from Impartial Hearing Officer decisions.

3. Explanation of Progress or Slippage
   (for reporting period July 1, 2002 through June 30, 2003):

Impartial Hearings (2002-03)

• The web-based Impartial Hearing Reporting System (IHRS) went on-line July 1, 2002. All districts were required to input data relative to the appointment of hearing officers and the timeliness of conducting the hearing and issuance of a decision.
• The IHRS system was implemented on July 1, 2002. The first quarter was focused on getting information to the field, hiring staff to monitor the system and the development of monitoring protocols. Active monitoring of cases began in the second quarter and steady progress was made each subsequent quarter as the monitor process became more consistent. (See Appendix 60).
• Monitoring through the IHRS has increased the percentage of cases on time from 36.3 in December 2002 to 94.8 percent as of March 2004.
• Of the 7 percent of Impartial Hearing Officer (IHO) satisfaction surveys returned from parents, 92 percent responded that they were treated in a respectful and fair manner.
• 100 percent of IHOs received training on timelines and extensions for impartial hearings, cultural diversity and ensuring the hearing system is fair and impartial for parents.
• The IHRS provides information about the number of requests for hearings. Prior to IHRS, there was only information about hearings where a decision was rendered. This additional information is helpful in identifying adjustments that may need to occur at the district level to address needs before a request is filed.
• The Department increased the capacity of the Office of State Review to render decisions on appeals from Impartial Hearing Officer decisions. As a result, as of December 31, 2003 the Office of State Review had eliminated its backlog of pending appeals and had no appeal pending review beyond thirty days except for appeals in which a party had requested an extension of time to submit papers. In 2001, 2002 and 2003, State Review Officers issued 95, 101 and 165 decisions, respectively. As of March 30, 2004, the Office of State Review has continued to issue timely decisions.

4. Projected Targets
   (for next reporting period July 1, 2003 through June 30, 2004):

Impartial Hearings (2003-04)

• 100 percent of impartial hearing requests will be addressed within regulatory timelines including the appointment of hearing officers and the issuance of decisions.
• The Office of State Review will issue timely decisions on all appeals from Impartial Hearing Officer decisions.

5. Future Activities
6. Projected Timelines and Resources
   (for next reporting period July 1, 2003 through June 30, 2004 and on going):

Impartial Hearings (2003-04)

• Conduct a one-time survey regarding the costs incurred by school districts related to conducting impartial hearings.
• Due to changes as a result of the IDEA reauthorization, the New York State Dispute Resolution Association (NYSDRA) will provide eight update sessions to 200 mediators regarding changes and the effects on mediation programs. The New York City training will contain an additional component dealing with redistricting and its effect on the mediation program and processes. NYSDRA is in the fifth and final year of its contract.
• Issue an RFP to provide mediation sessions statewide and mediation training.
• Provide additional training to IHOs in spring 2004 on the parent impartial hearing satisfaction survey and speaking to parents about the importance of filling out the survey. (VESID staff and contract with Albany Law School.) Post survey on the web by spring 2004.

1. Background/Trend Data
   (for reporting period July 1, 2002 through June 30, 2003):

The five-year Special Education Space Requirements Plan is one major strategy toward decreasing the percentage of school-age students with disabilities educated in separate educational settings. The plan must provide the framework for the allocation of instructional space to:

• meet the current and future special education program and service needs;
• maximize access and participation of students with disabilities in the general curriculum; and,
• serve students with disabilities in settings with nondisabled peers.

Statewide trend data show steady progress toward decreasing the percentage of students with disabilities provided special education services in separate educational settings from 10.2 percent in 1996-97 to 7.4 percent in 2002-2003 (see Appendices 16a, 17a, 17b). The number of regions at or below the national average of placing students in separate educational settings more than doubled, from 11 regions in 1996-97 to 23 regions in 2002-03 (see Appendices 4 and 5). Over 11,000 fewer students with disabilities are reported as placed in separate educational settings as compared to five years ago. These efforts ensure that students with disabilities statewide have greater meaningful access to the general education curriculum, increased opportunities to be integrated with nondisabled peers, and increased opportunities for independence.

2. Targets
   (for reporting period July 1, 2002 through June 30, 2003):

• By July 1, 2002, 14 BOCES grant awardees will have approved Year 1 Program Development grants to stimulate program development for students with disabilities extraordinarily challenged by autism and severe emotional disturbance.
• By December 1, 2003, all 38 BOCES regions and the New York City Department of Education will meet their five-year target level of integration established by the Department in 1999.

3. Explanation of Progress/Slippage
   (for reporting period July 1, 2002 through June 30, 2003):

• Thirteen BOCES grant recipients received program approval on June 19, 2002 to implement the Program Development grant. One BOCES received approval on October 22, 2002 after submitting clarifying information on project activities.
• All 38 BOCES regions and the New York City Department of Education project to meet their five-year target level of integration for December 2003.

4. Projected Targets
   (for next reporting period July 1, 2003 through June 30, 2004):

• By July 1, 2003, 14 BOCES grant awardees will have approved Year 2 Program Development grants to continue to stimulate program development for students with disabilities extraordinarily challenged by autism and severe emotional disturbance.
• By February 1, 2004, 37 BOCES and New York City will submit their 2004-09 Special Education Space Requirements Plans. One BOCES was granted a two-month extension.
•  By July 1, 2004, all 38 BOCES and New York City will have approved 2004-09 Special Education Space Requirements Plans.

5. Future Activities
6. Projected Timelines and Resources
   (for next reporting period July 1, 2003 through June 30, 2004 and on going):

• Fourteen BOCES Program Development grant awardees will receive funding for the third and final year, 2004-05, at the same level as Year 2, pending availability of funds and success of the grant application in meeting the goals of the project.
• Eight BOCES regions with the highest percentage of students with disabilities in separate educational settings and New York City will receive funding for 2004-05 to implement the next five-year Special Education Space Requirements Plan.
• The Department will issue a new Request for Proposal to stimulate program development for students with disabilities extraordinarily challenged by autism and severe emotional disturbance.

1. Background/Trend Data
   (for reporting period July 1, 2002 through June 30, 2003):

Special Education Training and Resource Centers (SETRC) Networks
Through involvement in local planning processes, the Special Education Training and Resource Center (SETRC) is committed to the delivery of services within the context of total school improvement. Each of the 42 SETRC programs must annually determine how SETRC resources will be utilized in individual districts/schools, and must also identify “target” districts/schools prior to the beginning of each school year through collaboration with the BOCES District Superintendent/Big 4 Superintendent, VESID staff and Regional School Support Centers (RSSC). Districts/schools identified as targets for SETRC assistance must include Chapter 405 Targeted districts/schools and IDEA State Improvement Grant (SIG) districts and give priority to districts/schools identified by VESID for Focused Review. (See Appendix 6 - Chapter 405 of the Laws of 1999 Number of School Districts by Type of Assigned Technical Assistance).

During the 2002-2003 program year, SETRC provided the following services:

• Approximately 200 districts statewide and 100 school buildings in New York City received intensive support through SETRC.

• Information Dissemination: 314,529 information items were disseminated; and,

• Professional Development/Technical Assistance: 119,627 hours were provided (conducted or coordinated) by the SETRC programs.

Early Childhood Direction Centers
A statewide network of 15 Early Childhood Direction Centers (ECDC) provide information and referral for programs and services for young children, ages birth through five, who have physical, mental or emotional disabilities. ECDC works with parents, schools and agencies to match the needs of children with available services.

The data for 2002-2003 is as follows:

Data: (2002-2003) Total for ALL ECDC's
Parents assisted:	9,279
Follow up contact to Parents:	30,103
Children referred to various services:	18,199
Outreach to professionals:	12,855
Outreach to parents:	6,326
Info requests from parents:	13,675
Info requests from agencies/professionals:	14,084
Parents trained:	3,403

Transition Coordination Sites
The Transition Coordination Site (TCS) network is responsible for coordinating regional resources critical to the implementation of transition planning and resources. This performance-based network provides technical assistance and assists local school districts/schools and stakeholders to develop, implement and evaluate the current status of transition planning and services and promotes staff development and community collaborations based on scientifically researched principles that result in improved student outcomes.

The TCS promote individual district/school level self-assessment of transition practices and guide subsequent strategic planning to address the specific issues identified. The TCS use a research-based checklist of 75 quality and compliance indicators (Transition Quality Indicators-TQI) to guide district/school teams in this self-assessment and strategic planning process. During 2002-03, the paper-generated TQI became available on-line (TRANSQUAL) so as to permit schools to revisit their confidential improvement plans over time and allow the aggregation of regional capacity needs data for prioritizing technical assistance interventions. The TCS frequently use mini-grant funds to assist individual districts/schools in implementing changes that have cost implications.  As of June 2003, there were 332 registered users of the site, representing all regions of the state with 206 district/school level work plans created to improve practices in areas such as development of district policies and procedures regarding transition, individualized student planning and the development of interagency collaborations.

The TCS also participate in creating products to assist in the development and replication of effective practices in transition. One such product, produced in April 2002, was a PBS Tools for Schools broadcast entitled Effective Models of Transition Planning. In conjunction with this broadcast, a printed guidebook and video training program was disseminated in the fall 2002 to 1,500 consumers, including SETRC, TCS and other stakeholder groups. The guide was published on the transition web page and is located at: http://www.vesid.nysed.gov/specialed/transition.

Independent Living Centers (ILC)
A statewide network of 36 Independent Living Centers (ILC) provides a set of core services promoting self-help, equal access, peer role modeling, personal growth and empowerment. VESID funds six projects to provide ILC and school district partnerships to infuse independent living services into school to adult life transition.

Last year the network of centers served over 70,000 individuals including 38,000 of whom were people with disabilities, 9,000 family members and significant others and 22,000 other nondisabled persons from businesses and agencies. Additionally, Independent Living Centers provided technical assistance and related services to nearly 13,000 businesses across the state.

Technology Resources for Education (TRE) Center
The TRE Center program allows New York State to meet the goals of the No Child Left Behind (NCLB) Act of 2001, a federal law to improve education equity for all children. It also allows for compliance with the Individuals with Disabilities Education Act (IDEA) which mandates that children who it is felt would benefit from an assistive technology (AT) device/service, be evaluated for, and receive the necessary AT device/service that has been recommended on his/her Individualized Education Program (IEP). In 2002-2003, the TRE Center provided 450 hours of training to 951 people.

Higher Education Support Center (HESC)
The New York Higher Education Support Center (HESC) for Systems Change is an initiative of the Office of Vocational and Educational Services for Individuals with Disabilities (VESID) within the New York State Education Department. The HESC is committed to two goals:

• To develop and to sustain high quality inclusive teacher preparation programs.
• To engage in and to support the professional development efforts of selected schools in the seven regions of New York State.

Currently, there are 67 institutions that are members of our Higher Education Task Force. They are working with over 30 targeted schools during the 2003-04 school year.

VESID Parent Centers
The New York State Education Department provides fiscal support or complete funding for five Parent Centers: one in Western New York, three in New York City and one in Long Island.  During the 2002-2003 program year, more than 5,430 parents attended parent center training sessions and presentations, and more than 17,000 parents were provided with information about special education and related topics.

Mediations
The New York State Dispute Resolution Association (NYSDRA), under a contract with VESID, provides special education mediation for parents and school districts throughout New York State. NYSDRA implements the special education mediation system through its Community Dispute Resolution Centers (CDRC's) located in each county. Experienced mediators who have received training in the special education system conduct the mediations. (See Cluster Area I: General Supervision - Attachment 1: Dispute Resolution - Complaints, Mediations, and Due Process Hearings Baseline/Trend Data, 1b: Mediations)

2. Targets
   (for reporting period July 1, 2002 through June 30, 2003):

• Each SETRC will target a minimum of five districts/buildings.
• Six contract awards will be approved to provide independent living services to secondary level students with disabilities that result in measurable benefits in terms of transition outcomes.

3. Explanation of Progress/Slippage
   (for reporting period July 1, 2002 through June 30, 2003):

• Not all targeted districts submitted a timely CSPD plan.
• SETRC Professional Development Specialists had difficulty in filling out the Target District Narrative Reports (TDNRs).
• SETRCs targeted 329 districts/buildings (each SETRC center was required to target a minimum of five districts/buildings).
• Time spent in individual districts depended on identified needs and cooperation of the district personnel.
• Six projects received approval to continue implementation of ILC and school district partnerships to improve transition outcomes for students with disabilities in 2003-04.

4. Projected Targets
   (for next reporting period July 1, 2003 through June 30, 2004):

• 95 percent of targeted districts/buildings will show improvement in student outcomes through analysis of TDNRs.
• Six contract awards will be approved to provide independent living services to secondary level students with disabilities that result in measurable benefits in terms of transition outcomes.

5. Future Activities
6. Projected Timelines and Resources
   (for next reporting period July 1, 2003 through June 30, 2004 and on going):

• No minimum numbers or targeted districts will be required.
• Training will be provided on how to complete TDNR forms during this year.
• Nonresponsive districts/buildings will be reevaluated and removed as targets if an upfront agreement is not signed.
• Transition coordination sites will become part of the CSPD planning process with targeted districts.
• Six projects will receive funding at the same level as 2002-03 pending availability of funds and success of the continuing application. This will be the third and final year for three projects and year two of three for three projects.
• Early Childhood Direction Centers will be involved in the CSPD planning process with targeted districts.
• An RFP will be written to operate SETRCs and Transition Coordination Sites and five-year contracts awarded for July 1, 2004 – June 30, 2009.

1. Background/Trend Data
   (for reporting period July 1, 2002 through June 30, 2003):

• Data on declassification rates of preschool and school-age students with disabilities: See Appendix 20b.
• Data on number of school districts identified for one or more Chapter 405 issues: See Appendix 6.
• Data on number of school districts identified for each Chapter 405 issue: See Appendix 7.
• Data on change in the number of school districts identified for placing disproportionate numbers of students, based on race/ethnicity, in more restrictive settings: See Appendix 8.
• Data on the size of the gap in identification of students, based on race/ethnicity, for special education compared to the percentage of each race/ethnicity in the total enrollment: See Appendix 18.

Chapter 405 of the Laws of 1999 contains provisions that require the State Education Department to identify school districts with high rates of identification of students as students with disabilities, low rates of declassification of students with disabilities, high rates of placing school-age students in separate settings and disproportionality, based on race/ethnicity, in identification of students for special education, identification of students by particular disabilities, and in the placement of students in more restrictive settings. The Department must then work with the identified school districts to verify such rates, determine underlying causes and, if necessary, may require the development of a corrective action plan to implement policies, practices and procedures to improve results in the identified problem areas. Since 1999, the Department notified districts twice. In 2000-01, 364 districts were identified as having one or more issues, and 353 districts were identified in 2002-03. The Department assigned districts to different levels of technical assistance, ranging from targeted, regional, or self-review (See Cluster IV, FAPE/LRE, Table FAPE1, Technical Assistance to Chapter 405 Districts).

2. Targets
   (for reporting period July 1, 2002 through June 30, 2003):

• Notify all school districts that have one or more Chapter 405 issues and assign a level of technical assistance to every school district, indicating the steps school districts must take to address the issues and the assistance available from the State.
• Complete a report to the Governor and legislature on the implementation of Chapter 405 by December 1, 2003.
• Present a research report to the Board of Regents on the issue of disproportionality.

3. Explanation of Progress/Slippage
   (for reporting period July 1, 2002 through June 30, 2003):

• See Appendices 8 and 18. Data indicate the gap between the percent of Black and Hispanic students in the total school enrollment and in the students with disabilities enrollment is decreasing. Also, fewer school districts were identified for placing minorities in more restrictive settings in the second notification, compared to the first notification.
• A fifth report on the implementation of Chapter 405 was prepared and submitted to the legislature and may be accessed at http://www.vesid.nysed.gov/specialed/chapter405/home.html.
• A research report on disproportionality was submitted to the Board of Regents as a joint EMSC and VESID report, indicating to the Board that the issue of disproportionality is not a special education issue only, but rather a broad educational issue that requires collaboration with general education. This report may be accessed at http://www.regents.nysed.gov/2002Meetings/December2002/1202brd5.pdf
  

4. Projected Targets
   (for next reporting period July 1, 2003 through June 30, 2004):

• 100 percent of school districts that have one or more Chapter 405 issues will be notified during the 2004-05 school year and will be assigned a level of technical assistance to help them address these issues.
• Require identified Chapter 405 districts to update CSPD plans by November 1.
• Select a vendor to implement a technical assistance center to address Chapter 405 requirements.

5. Future Activities
6. Projected Timelines and Resources
   (for next reporting period July 1, 2003 through June 30, 2004 and on going):

• The Department will notify 100 percent of school districts whose data indicate they have disproportionality issues based on race/ethnicity, in the identification and placement of students with disabilities. All notified school districts will be assigned a level of technical assistance to help them address these issues.
• The Department will review its methodology for determining disproportionality, based on race/ethnicity data. NYS currently completes 50 separate Chi-Square calculations to determine if data indicates significant disproportionality. The State will modify its methodology based on final recommendations from a data analysis grant from WESTAT, a private organization under contract with OSEP.
• The Department will submit the annual report to the governor and legislature on implementation of Chapter 405 in December 2004.

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