ANNUAL REPORT
CHAPTER 405 OF THE
LAWS OF 1999
DECEMBER 2001
The University of the State of New York
THE STATE EDUCATION DEPARTMENT
Office of Vocational and Educational Services for Individuals with Disabilities
Office of Special Education
ALBANY, NY 12234


Table of Contents
Introduction
Part I
Building Capacity
Developing Corrective Action Plans
Providing Technical Assistance
Next Steps
Appendices
Appendix 1
Resources to Address the Problem
Areas in Chapter 405 of the Laws of 1999
Appendix 2
March 2001 Memo: Requirements for
Districts Identified under Chapter 405 of the Laws of 1999
Appendix 3
Districts Cited for Chapter 405
During 2000-2001, by type of Technical Assistance
Appendix 4
New York State Comprehensive System
of Personnel Development (CSPD) Guidance Document
Appendix 5
Autism Program Quality Indicators
Appendix 6
July 2001 Letter Regarding Three Studies to Evaluate the
Programmatic Performance and Cost Effectiveness of
Existing Preschool Program
This report is prepared to comply with Chapter 405 of the Laws of 1999. Within Chapter 405 are specific provisions that require the 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 placement of students with disabilities in separate sites and significant disproportion, based on race and ethnicity, in identification and placement in particular settings of students with disabilities. 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.
The seven "problem areas" addressed in Chapter 405 are:
| 1. | high rate of identification of students as students with disabilities. |
| 2. | low declassification rate of preschool students with disabilities. |
| 3. | low declassification rate of school-age students with disabilities. |
| 4. | high rate of placing school-age students with disabilities (ages 6-21) in separate education settings. |
| 5. | disproportion, based on race/ethnicity, in the identification of students as students with disabilities, or in the identification of students having a particular disability. |
| 6. | disproportion, based on race/ethnicity, in the placement of preschool students with disabilities in separate education settings.1 |
| 7. |
disproportion, based on race/ethnicity, in the placement of students with disabilities in more restrictive settings.2 |
The first portion of this report focuses on the steps the Department has undertaken to address the requirements in Chapter 405 specifically relating to the provision of technical assistance. Chapter 405 states, "the department shall provide technical assistance to such school districts ….to assist them in developing effective strategies to improve such results including alternative placement models; models for effective preventive services; coordinated use of financial resources; improved evaluation practices and appropriate declassification practices."
The efforts described herein highlight the collaboration between the Offices of Elementary, Middle, Secondary and Continuing Education (EMSC) and Vocational and Educational Services for Individuals with Disabilities (VESID) to provide support and technical assistance to schools with problem areas identified through the Chapter 405 process. A major area of focus this year has been the issue of disproportionality in the identification and placement of students with disabilities, based on race or ethnicity. Although this issue is not new, the approaches used to address and monitor the issue has changed based on research and experience. In addition to the standard approaches, which include reducing racism, increasing cultural competence and adjusting policies and procedures, the Department recognized the need for further investigation and benchmarking nationally for effective methods for timely problem solving and planning, appropriate interventions, meaningful engagement of families, and improved instruction, services and resources to support student success. This research was a necessary step to ensure effective technical assistance to the identified schools.
This report also provides updated information on the activities of the Department relative to gathering information on the program performance and effectiveness of programs serving preschool students with disabilities.
The State Education Department has actively developed internal capacity within EMSC and VEDSID to provide technical assistance to school districts in addressing problem areas identified in Chapter 405 of the Laws of 1999. The first step in this direction was to conduct national benchmarking to:
Numerous research articles were reviewed including Strategies that Address the Disproportionate Number of Students from Racial/Ethnic Minority Groups Receiving Special Education Services: Case Studies of Selected States and School Districts; Monitoring and Addressing Racial and Linguistic Disproportionality; and Race, Language and Special Education in New York City. A full list of research articles shared with school districts is in Appendix 1.
Staff from the Department received training on issues identified by Chapter 405. The training provided a unique opportunity for staff to explore critical special education issues with experts in the field and identify potential consultants to address Chapter 405 problem areas. Specifically, VESID staff attended the following conferences:
SETRC staff have also received training on Chapter 405 issues and have been redirected to focus on targeted Chapter 405 school districts. Coordinated support for local planning processes is being completed through the Regional School Support Centers, SETRCs and VESID.
Since 1999, the Department has met with NERRC to discuss research relevant to Chapter 405 issues and seek assistance in identifying potential consultants with expertise in Chapter 405 problem areas. A Request for Proposals (RFP) will be developed to identify a consultant to assist the Department in addressing the requirements of Chapter 405 of the Laws of 1999 and provide technical assistance to school districts.
The Office of Special Education Programs, United States Department of Education, Office of Civil Rights, National Association of State Directors of Special Education and NERRC have met with the Department and are providing technical assistance to New York State. NERRC is a federally funded technical assistance center that provides support to State Education Agencies (SEAs) to improve their systems of early intervention, special education and transition services through the development and implementation of policies, programs and practices to enhance educational results for children and youth with disabilities.
Developing Corrective Action Plans
The Department has analyzed the Chapter 405 survey data and developed a methodology to identify school districts needing technical assistance and corrective action plans. Based on additional data analysis and review of survey results, different levels of technical assistance will be provided to school districts, ranging from targeted, group regional training and self-review. Selected school districts may be required to develop and implement a corrective action plan specific to their identified Chapter 405 problem area(s).
In March 2001, the Department notified the 364 identified districts of the technical assistance plan. The level of technical assistance to be provided and the requirements associated with resolution of the Chapter 405 problem areas was explained (Appendix 2). A full listing of these identified school districts is in Appendix 3. The notification memorandum also included a list of 70 resources to assist identified districts in the development, implementation and evaluation of the Comprehensive System of Personnel Development (CSPD) plan to address each Chapter 405 problem area. Resources included books, articles, Education Research Information Center (ERIC) documents, videotapes, websites, VESID publications and national publications and associations specific to the Chapter 405 problem areas.
The CSPD plan was selected as the vehicle for identified districts to address systemic problems associated with Chapter 405 (Appendix 4). The development of the CSPD plan is based on a thorough analysis of district and building data to determine needs; identify specific goals and outcomes in regard to student achievement, district performance and disproportionality; and identify benchmarks representing appropriate progress toward achieving identified goals. The CSPD plan is due September 1 each year as part of the Consolidated Application for federal funds allocated pursuant to the Individuals with Disabilities Education Act (IDEA). The purpose of the CSPD plan is to effect systems change at the local level and improve performance in regard to VESID Key Performance Measures. On May 10, 2001, the Statewide SETRC Meeting focused on Chapter 405 and the CSPD planning process. The Regional School Support Centers (RSSCs), SETRC network and VESID Quality Assurance regional staff provided technical assistance to identified districts on the CSPD planning process.
The three levels of intervention for school districts needing technical assistance and corrective action plans are:
In October 2001, the VESID Chapter 405 workgroup, in conjunction with the RSSCs, SETRC network, and Quality Assurance regional staff, reviewed the CSPD plans of the 13 targeted districts. The review looked for evidence of (1) data analysis; (2) root cause discussions and identification; (3) goals and objectives based on data analysis and root cause discussions; (4) implementation results in addressing the Chapter 405 problem areas; and (5) systematic monitoring of progress throughout the year. VESID notified the District Superintendents and School Superintendents of the targeted districts of the results of the review and whether the CSPD plan was accepted or if modifications were necessary to address the Chapter 405 problem areas. The CSPD plan modifications are due February 1, 2002 and a second joint review will be scheduled in mid-February.
Providing Technical Assistance
VESID provided technical assistance to address the Chapter 405 problem areas through the Special Education Training and Resource Center Network, Regional School Support Centers, Quality Assurance review process and the training programs and technical assistance projects described below. Many of the staff development training programs and technical assistance projects have been implemented over the last several years with positive results, while others are newly developed and are in the beginning stages of implementation with only preliminary results available.
Special Education Training and Resource Center Network
SETRC is a professional development network composed of 42 projects statewide that has provided technical assistance since 1980 to personnel working with preschool and school-age children with disabilities. SETRCs role was significantly redirected in 1997-98 in response to special education reform initiatives and strategic planning activities intended to improve student results. SETRCs work directly with targeted and regional training districts to ensure that Chapter 405 problem areas are addressed. Within this model, the Department identifies districts based on need. SETRC training specialists assist personnel in these districts to develop plans for professional development encompassing data analysis, needs identification, plan development, long-term implementation and support and evaluation of results. The major intent of this approach focuses SETRCs technical assistance efforts on instruction and achievement within the classroom or other learning environments, as a primary means for addressing student performance with an emphasis on shared accountability between the school and SETRC for improved results.
Regional School Support Center Program
In September 2000, the RSSC Program was established though a collaborative effort of VESID and the Office of Elementary, Middle, Secondary and Continuing Education (EMSC) to coordinate efforts and resources across a variety of initiatives to improve educational results in targeted districts. The RSSCs are one of several coordinated initiatives to "Close the Gap" in educational performance through delivery of sustained school support services. Other efforts address reading and math instruction and leadership. The RSSCs are funded through five sources (IDEA Part B, Title I, Goals 2000, Comprehensive School Reform Act, and Effective Schools) with the objective to organize and coordinate efforts represented by those programs on behalf of schools and districts in need of improvement. Each RSSC has an Executive Committee including all District Superintendents in the Joint Management Team and other select members to set goals and priorities. An Advisory Council that includes a VESID facilitator or a SETRC Focus Committee member, and EMSC and VESID liaisons supports the Executive Committee. In addition to supporting the SETRC efforts in the targeted districts, each of the ten RSSC programs developed regional training plans for districts in their region identified for regional technical assistance. The plans, received October 1, 2001, identify regional training needs to address Chapter 405 problem areas. The RSSC programs will coordinate training programs to address specific regional needs.
Quality Assurance Review Process
Since 1994-95, VESID has made fundamental conceptual and procedural changes in the manner in which school districts and preschool special education programs are monitored. The monitoring has been transformed into a data-driven and collaborative process of Quality Assurance. The issues identified through Chapter 405 are included in the review process. Conceptually, a system that previously addressed only procedural compliance continues the procedural focus, but now also emphasizes the district’s key performance indicator data and facilitates the input of parents in regard to the provision of special education services. The Quality Assurance review process involves collaborative program reviews with school district staff, parents, VESID and SETRC staff working together with the goal to make programs more effective and improve outcomes for students. As a result of the program review process, the review team identifies any areas of noncompliance and the required corrective action.
For the 2000-01 school year, 44 reviews were conducted in preschool and school-age programs statewide in addition to 48 follow up to reviews that were completed in the previous year. Beginning with the 2001-02 school year, Performance Reviews were added to the Quality Assurance Review System that also includes Collaborative, Verification and Focused Reviews. Not only will Performance Reviews ensure that federal and State requirements are implemented and that protections guaranteed to students with disabilities and their parents are enforced, but their abbreviated format and timelines allow for VESID’s increased presence in school districts. Performance Reviews are scheduled in 44 school districts during the 2001-02 school year.
Quality Assurance Information System (QAIS)
VESID's Office of Special Education Quality Assurance (SEQA) is beginning to implement a new electronic database designed to record and track information related to Quality Assurance Reviews and Complaint Investigations. The system allows staff to easily access Quality Assurance data related to each school district's and private program's most recent compliance findings. This includes the capability of automatically producing the Compliance Assurance Plans to be included in a district's final report or complaint findings letter. In addition, the system tracks the timeliness of a district's submission of all required documentation of corrective action.
The QAIS also includes the information provided by districts in response to the Chapter 405 surveys regarding classification, placement and disproportionality issues. SEQA will use these data to help prioritize districts for quality assurance reviews and additional technical assistance to ensure that Chapter 405 problem areas are addressed.
9th Annual Conference on Inclusive Schools and Communities for Children and Youth
In May 2001, VESID sponsored its ninth annual two-day conference attended by over 1,000 practitioners, parents, researchers, advocates, and federal, State and local education officials. The theme of the conference was "Building Inclusive Schools: Addressing Educational, Cultural and Linguistic Diversity." This conference addressed the issues of disproportionality and the placement of students with disabilities in separate educational settings.
Special Education Space Requirements Plan
The Department received additional IDEA discretionary funds (i.e., "sliver funds") for each Board of Cooperative Educational Services (BOCES) for the period July 1, 2001 to June 30, 2002 to further implement the capacity building and improvement initiatives reflected in the five-year Special Education Space Requirements Plan. The Department notified District Superintendents and the New York City Board of Education that this fourth cycle of funds would be reduced by 15 percent for the 2001-02 school year to encourage local funding of successful grant activities to implement the initiatives of the plan. VESID remains committed to the goals of the Five-year Special Education Space Requirements Plan, but will redirect the IDEA discretionary dollars for the 2002-03 school year to address the number of students awaiting placement due to lack of availability of appropriate settings. The Special Education Space Requirements Plan must result in sufficient and appropriate instructional space to ensure that students with disabilities are educated in age-appropriate and, to the maximum extent appropriate, with non-disabled students. The plan must provide a framework for the allocation of instructional space to ensure that the removal of students from the regular education environment occurs only when the nature or severity of the disability is such that even with the use of supplementary aids and services, education cannot be achieved satisfactorily.
In March 2001, BOCES were asked to submit their second annual Special Education Space Requirements Plan Progress Report including completion of the District Program Needs Identification Survey: Summary by BOCES Region, which describes the number of school-age students with disabilities awaiting placement as of March 1, 2001, due to the lack of availability of appropriate settings. An analysis of the 2001 Progress Report submitted by each of the 38 BOCES regions and New York City indicated that over 1,338 students with disabilities (1,085 excluding New York City) were on waiting lists or receiving home instruction due to:
Specifically, eight of the 38 BOCES (21 percent) had over 50 students with disabilities awaiting placement that were described as having extensive management needs. Of the 1,338 students with disabilities awaiting placement, the highest incidences of disability categories are: 69 percent are classified with emotional disturbance; 9 percent with learning disabilities; 8 percent with other health impaired; and 7 percent with multiple disabilities.
The Progress Report included a summary of recommendations to address the number of students awaiting placement due to lack of availability of appropriate settings and a description of all new initiatives to be undertaken to address the need for unserved students in the region.
Grant Application Request
VESID is issuing a Grant Application Request to address two priorities:
The District Superintendent of a BOCES, serving as the regional applicant, will be invited to submit one proposal that reflects the region’s collaborative and coordinated effort to address one or both of these priorities. All applications must include a narrative that demonstrates the participation of parents and representatives of public schools, approved private schools, BOCES and other agencies in the development of the region’s proposal. Proposals may request funds to support the development and/or redesign of programs operated by public school districts, BOCES and/or approved private schools. Proposed program development and/or redesign must be consistent with the region’s Special Education Space Requirements Plan for the five-year period of 1999-2003. It is anticipated that awards for year one will begin January 1 through August 31, 2002. Continuation awards will be available for up to two additional years for ongoing support of the implementation of new and/or expanded programs. Continuation awards are based on availability of funds and success of the applicant in meeting the goals and objectives in the first year of the project.
2001 BOCES Symposium
The second BOCES Symposium was held April 30-May 1, 2001 at the Sheraton Syracuse University Hotel to address all problem areas identified through Chapter 405. Twenty-one BOCES teams participated as compared to 13 teams last year. Eleven BOCES presented topics related to effective practices that promote achievement and integration. Examples of topics presented are: Supplemental Program for At-Risk Children – A Program to Reduce Classification of Students; School-based Mental Health – A Community Partnership for Success; Strategies for Giving Students Access to General Education Curriculum in a BOCES Setting; Using Instructional Strategies to Facilitate Learning and Preparation for High School Regents Diploma; and Supporting Students with Autism in Inclusive Settings.
Results of the evaluation survey indicated overwhelming support of the symposium. Participants indicated they planned to incorporate many of the ideas presented. All 38 District Superintendents received a summary of the symposium that included highlights of the seven presentations and contact information for follow up and an overview of evaluation surveys. This information was also posted on VESID’s webpage.
B.E.S.T. Curriculum Training Program
The B.E.S.T. Curriculum Training Program was developed through the collaborative efforts of the Department and the NYS Office of the Advocate for Persons with Disabilities. The training was designed to support school district personnel, including parents, involved in a teaming process such as a Child Study Team, Committee on Preschool or School-age Special Education, or other building level student-focused teams. The use of these teams is expected to reduce the number of unnecessary referrals to special education. An initial round of ten small group regional trainings was held during September-December 2000 and three additional trainings in New York City, Long Island and White Plains in March 2001. A total of 300 school participants from 70 school districts participated in the training that provided participants with an opportunity to learn about, develop and practice strategies for effective team practices. Beginning January 2001, the training program was available for all districts through the SETRC network.
Preschool Activities
In October 2001, a joint memorandum from EMSC and VESID supporting the integration of preschool students with disabilities in Universal Prekindergarten programs was disseminated. The memorandum provides information about program models that have successfully integrated students with disabilities and encourages the expansion of these efforts. The intent of this memorandum was to encourage and expand the placement of preschool students with disabilities in Universal Prekindergarten programs with their non-disabled peers.
The Department continues to analyze CSPD plans of targeted districts to identify and coordinate implementation of technical assistance activities. Modifications to certain CSPD plans of targeted districts are due February 2002. The Department's Chapter 405 workgroup will conduct a joint review in collaboration with RSSCs, SETRCs, and Quality Assurance regional staff to determine if the plan has addressed the Chapter 405 problem areas. The RSSCs continue to analyze the Regional Training Plans to identify and develop training programs specific to the needs of each region. In addition to this targeted technical assistance plan, the Department’s recommendations and next steps regarding Chapter 405 are to:
Preschool Special Education Services
Part II of this report provides updated information on the Department’s efforts to evaluate the impact of the moratorium on any new or expanded preschool special education programs that include only preschool children with disabilities.
Programmatic Performance and Cost-effectiveness of Existing Programs
The Department is addressing the need to further evaluate program performance and cost effectiveness through two studies:
These two studies will also provide recommendations regarding ways in which improved quality and cost-effectiveness could be achieved through the selective expansion of effective programs and the curtailment of less effective programs.
Availability and Effectiveness of Approved Programs Providing Services to Preschool Children with Autism
VESID is working with a State Task Force on Autism, parents and professional organizations to improve the quality of education services to students with autism in New York State. The goals of the initiatives are that (1) educators will improve their understanding of autism and the autism spectrum and appropriately apply educational interventions to improve education services to these students; (2) paraprofessionals and teachers will have appropriate knowledge and skills to educate students with autism; (3) effective and quality education programs for students with autism will be available statewide; and (4) children with autism will be identified and receive services at as early an age as possible. Among the activities to be initiated this school year are development of a policy guideline document; work with institutions of higher education to stimulate the availability of training for educators; a study of the availability and effectiveness of preschool programs for students with autism; and the identification and replication of effective programs and practices for students with autism.
In August 2001, VESID issued Autism Program Quality Indicators (APQI), intended as a self-review and quality improvement guide for schools and programs serving students with autism spectrum disorders (Appendix 5). The APQI will also be used as the basis for identifying effective programs and practices throughout the State and serve as a benchmarking tool for quality programs for parents. The New York Autism Network (NYAN), at the request of the New York State Education Department, developed the APQI. The APQI promotes the goal that all students in New York State receive special education that meets high educational standards by providing benchmarks of quality programs that result in successful outcomes for students with autism. The APQI are a compilation of research-based components that have been linked to high quality and effective educational programs for students with autism. The items on the APQI were derived from a variety of sources including a review of the scientific literature, professional experience and input and review by national experts in the field of autism. The APQI were also reviewed by representatives from the regional advisory groups to the New York Autism Network, including parents of students with autism, advocacy groups and school personnel.
NYAN is conducting a two-part survey for the Department (Appendix 6). The first part of the survey will focus on the availability of programs for preschool children with autism and will identify programs serving five or more students with autism. The second part of the survey will gather information on the provision of services to preschool children with autism using the quality indicators described above. Results from the study will be available in 2002.
FOOTNOTES:
1 Separate education setting is a special school or educational center that includes only students with disabilities (or a home, hospital or other non-school facility) wherein a student receives special education for more than 50 percent of each day or week. If the student is "home-schooled" by parent choice, the student is not considered to be in a separate education setting.
2 More restrictive settings are those settings in which students with disabilities are provided special education services and are removed from regular classrooms for the greatest part of the school day or week. Students with disabilities who are educated in separate education settings or are removed from regular classes for 60 percent or more of the day are considered to be in more restrictive settings.
Appendix 1 - Resources to Address the Problem Areas in Chapter 405 of the Laws of 1999
Appendix 3 - Districts Cited for Chapter 405 During 2000-2001, By Type of Technical Assistance
Appendix 4 - New York State Comprehensive System of Personal Development (CSPD) Guidance Document
Appendix 5 - Autism Program Quality Indicators