(Click here for Word or PDF Format for printing)

Introduction

Part I

Current Status
Impact of Technical Assistance
Ongoing Technical Assistance
Ongoing Capacity Building
Next Steps

Part II

Preschool
Next Steps

Appendices

Appendix 1 - Description of Technical Assistance Levels and CSPD Requirement For Chapter 405 Districts – 2002

Appendix 2 - Chapter 405 Technical Assistance Resources – 2002

Appendix 3 - State Maps

Appendix 4 - Methodology for Identification of Chapter 405 Problem Areas- 2002

Appendix 5 - Deputy Commissioner Gloeckler Letter of August 2003

Appendix 6 - CSPD Field Memorandum – September 2003

Appendix 7 - Requirements for Districts Identified Under Chapter 405 of the Laws of 1999 Field Memorandum – September 2003

Appendix 8 - Targeted District Narrative Report – 2003-2004

Appendix 9 Regents Item: Update on Initiatives to Close Performance Gap

Within Chapter 405 of the Laws of 1999 are specific provisions that require the 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 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

This report is prepared to comply with Chapter 405 and provides information on activities that occurred since the last Chapter 405 report was submitted in December 2002. This would include activities that occurred during the second half of the 2002-2003 school year and the first half of the 2003-2004 school year. The first portion of this report focuses on activities of the Education Department 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 ongoing collaboration between the Department’s 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. The issue of disproportionality in the identification and placement of students with disabilities, based on race or ethnicity, has continued to be a focus this year. The Department has continued to develop its understanding of the issue and develop an approach for New York State. In addition, work has continued to address the issue of placement of students with disabilities in separate sites. Significant progress has been made through the Boards of Cooperative Education Services (BOCES) space planning process.

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.

______________________________________________________________________________

Chapter 405 of the Laws of 1999 requires the Department to examine special education data from all school districts in relation to a number of key areas, including:

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; and
    

7. disproportion, based on race/ethnicity, in the placement of students with disabilities in more restrictive settings.

In December of 2002, the Department conducted a second Chapter 405 notification of school districts with one or more of the above issues based on review of their 2000-2001 school year data. Appendix 4 describes the criteria used to identify school districts in December 2002. Compared to the initial notification in April 2000, the following major changes were made to the criteria for notification:

• School districts with lower rates of placing students with disabilities in separate settings were notified in December 2002 compared to April 2000. The rate was lowered from 10 percent and above to 6 percent and above. This resulted in significantly more school districts being notified for this issue.

• The Department did not notify school districts in December 2002 if they had disproportionality issues involving White students.

• Only school districts that had a minimum December 1, 2000 enrollment of 75 school-age students with disabilities were identified for any issue.

The second notification provided school districts a summary of their data and the type of technical assistance they were assigned in both notifications, if they were involved in both notifications. The Department provided specific directions to the following three groups of school districts regarding their respective responsibilities related to the notification:

• School districts that were identified in April 2000, but, did not have any issues in the December 2002 notification. There were 97 such school districts.

• School districts that were identified in April 2000 for one or more issues and continued to be identified for one or more issues in the December 2002 notification, but not necessarily for the same issues. There were 267 such school districts.

• School districts that were not identified in April 2000, but had one or more issues in the December 2002 notification. There were 86 such school districts.

After completing data verification procedures and making the necessary adjustments, 364 school districts were identified in the first notification in April 2000 and 353 school districts were identified in December 2002. The Department required all school districts that were identified for the first time or that were identified for new issues to complete specific surveys which provide the Department with the school districts’ beliefs about why each issue exists in their district. The Department uses school district survey responses to engage school personnel in conversations regarding root causes of Chapter 405 issues as a part of the technical assistance procedures.

All 353 school districts identified in December 2002 were assigned to one of three levels of technical assistance based on the criteria below. (See Appendix 1 – Description of Technical Assistance Levels and CSPD Requirement for Chapter 405 Districts - 2002):

• Targeted Technical Assistance: The Department continues to provide extensive technical assistance to the thirteen targeted districts from the previous notification. These thirteen school districts continued to have Chapter 405 issues in December 2002.

• Regional Technical Assistance: Based on a numerical calculation that took into account the number of issues and the amount of discrepancy between the criteria for identification and school district’s actual data on each issue, 89 school districts were identified for this type of technical assistance.

• Self Review: The remaining 251 school districts not identified for Targeted technical assistance and not identified for Regional technical assistance were identified for this type of assistance.

In November 2002, the Department prepared a joint EMSC and VESID report to the Board of Regents on the issue of disproportionality in special education and invited a national expert, Daniel Reshley from the Peabody School of Education at Vanderbilt University to participate in a discussion with the Board of Regents on this topic. This report recognized that the issues of disproportionality are national education issues and must be addressed by the entire educational community and not by special education offices alone. This presentation further strengthened the Department’s resolve towards designing cooperative inter-office strategies to effect change.

The Comprehensive System of Personnel Development (CSPD) plan was selected as the vehicle for identified districts to address systemic problems associated with Chapter 405. (see Appendices 6 and 7) 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 updated annually and is required 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.

VESID provided technical assistance to address the Chapter 405 problem areas through the Special Education Training and Resource Center (SETRC) network, Regional School Support Centers (RSSC), Quality Assurance review process and regional training programs and technical assistance. The three levels of intervention for school districts identified for Chapter 405 issues included:

Targeted Technical Assistance: There were 13 districts identified for this level of intervention; the issues in these districts were considered to be systemic in nature and not resolvable through technical assistance and regionally-provided training alone. 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. 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. Modifications were due February 2002 for a second joint review. All targeted districts have an approved plan in place and continue to receive technical assistance for both the planning process and professional development through the RSSC and SETRC networks.

Regional Technical Assistance: There were 89 districts identified for Chapter 405 problem areas that can potentially be addressed through regionally-provided training and information dissemination. The districts were required to address resolution of the problem(s) in their CSPD plan and participate in regional training programs sponsored by the Department or through local sources. A sampling of the types of training provided at the regional level include: pre-referral and intervention strategies, co-teaching models, systematic ways of examining data, reassessing assessment, team building and parent training.

Self-Review: There were 251 districts identified for this level of intervention. Similar to Regional Technical Assistance, the district addressed the resolution of the problem(s) in the CSPD plan and implemented the plan with local and regional resources. The attainment of goals associated with the problem area(s) were to be documented as the CSPD plan is annually updated and revised with the support of the SETRC representative.

The Department’s experience with high need districts in other areas and a review of the literature affirm that the issues involved in disproportionality require three to five years for a robust response to interventions because of the need for systemic rather than peripheral change within the district and community. However, data indicate some progress each year, as follows:

• There was a decrease in the number of school districts that placed more than 15 percent of students with disabilities in separate educational settings (from 117 districts in 1999-00 to 76 districts in 2000-01 to 27 districts in 2001-02).

• There was a decrease in the number of school districts with disproportionate placement of minority students in more restrictive settings (from 103 districts in 1997-98 to 89 districts in 2000-01). Disproportionality calculations were not performed using 2001-02 data.

• There has been a reduction in the extent to which Black and Hispanic students are over-represented in special education for the last three years. The overrepresentation of Black students in special education has decreased from 4.7 to 4.5 to 4.4 percentage points above the percentage of Black students in the total enrollment in 1999-00, 2000-01 and 2001-02, respectively. Similarly, the overrepresentation of Hispanic students has decreased from 2.8 to 2.6 to 2.4 percentage points above the percentage of Hispanic students in the total enrollment in 1999-00, 2000-01 and 2001-02, respectively.

The percentage point gap by which Black and Hispanic students are
over represented in special education compared to
their total enrollment continues to narrow.

New York State statute and regulation require each District Superintendent of Schools of each Board of Cooperative Educational Services (BOCES) to submit a Special Education Space Requirements Plan. These submissions were first required effective February 1, 1989 and are due February 1^st of every fifth year thereafter. The next Special Education Space Requirements Plan is due February 1, 2004. The purpose of the plan is to determine the need for additional facilities space for all special education programs in the geographic area served by the BOCES. 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 settings and, to the maximum extent appropriate, with non-disabled students. The plan must provide a framework for the allocation of instructional space throughout the region which supports the requirement 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.

As a result of the significant progress achieved throughout New York State during the last five-year Special Education Space Requirements Plan, over 11,000 fewer students with disabilities are reported as placed in separate educational settings as compared to five years ago. In addition, many regions of the State now exceed the national average in placing students in integrated facilities. 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.

However, too many students with disabilities continue to have limited or no access to their nondisabled peers throughout the school day. The New York State Board of Regents has determined that the percentage of school-age students with disabilities educated in separate educational settings, while greatly improved, should still be significantly decreased in certain regions to be at least comparable to the current national average of 4.2 percent. In addition, the United States Department of Education (USDOE) has identified New York State as the second ranked state in the nation for placing a high percentage of students with disabilities in separate educational settings. The USDOE will continue to target New York for intensive corrective action on this issue. The next five-year benchmark for those regions that project to be above the national average at the end of the current 1999-2003 Special Education Space Requirements Plan will be 4.2 percent. Each region at or below the national average will establish its own benchmark and efforts in those regions will be expected to be maintained to continue to maximize the percentage of students with disabilities educated with their nondisabled peers over the next five year period.

In June 2003, the District Superintendents of the 38 BOCES and the Chancellor of the City of New York submitted their fourth annual Special Education Space Requirements Plan Progress Reports. This included the completion of a regional survey, which updated the number of school-age students with disabilities awaiting placement as of March 1, 2002 due to lack of availability of appropriate settings. The purpose of this Progress Report was to evaluate the success of each BOCES region (that includes Yonkers, Buffalo, Rochester and Syracuse) and NYC in meeting the benchmark percentage reductions of students with disabilities placed in separate site settings. Results of the report showed:

• Thirty-one of the 39 regions (79 percent), including NYC, have exceeded their benchmark percentages of integration. (see Appendix 3 – State Maps)

• All regions project to meet their benchmark for December 2003.

• The regional survey information indicated that there were 11 regions with 25 or more students with disabilities awaiting placement in an appropriate program, a decrease of three regions from the previous year, although still an area of concern. (see Appendix 3 – State Maps)

The Department redirected IDEA discretionary funds for the period July 1, 2002 to June 30, 2003 to address the students awaiting a change in placement. Such funds were targeted to ensure appropriate programs for students awaiting placement due to lack of availability of appropriate settings. VESID issued a request for proposals in January 2002 to address two priorities:

1. school-age students with disabilities with extensive management needs for whom appropriate services are not available; and

2. school-age students with autism for whom a continuum of quality, research-based educational programs is not available in all regions.

The grant proposals requested funds for program development and/or redesign consistent with the region’s 1999-2003 Special Education Space Requirements Plan. Twenty-three of the 38 BOCES (61 percent) submitted grant applications. Fourteen BOCES received grant awards, ranging from $100,000-$200,000, based on a competitive review process by an inter-agency team from offices within the State Education Department and the Office of Mental Health.

The grant activities for Year 1, July 1, 2002-June 30, 2003, were used to develop services to target approximately 700 students with disabilities extraordinarily challenged by autism and severe emotional disturbance. These students were previously placed on home instruction or placed in inappropriate placements. The grants provided extensive staff development activities, primarily in the area of positive behavioral interventions. Of special note is that seven of the grants developed programs in collaboration with local mental-health agencies and three developed partnerships with Universities to provide on-site consultation and support in the area of behavior management. VESID supported grantees with monthly audioconferences to enable the program leaders to network with each other and with an expert in the field of positive behavioral interventions. All fourteen BOCES received continuation awards for Year 2, ranging from $50,000-$100,000. Continuation awards will be available for one more year, pending availability of funds and the success of the applicant in meeting the goals and objectives in the second year of the project.

The NYC Special Education Quality Assurance Regional Office issued a grant application request for the development of new programs and/or redesign of existing programs that serve NYC school-age students with disabilities. VESID has authorized Individuals with Disabilities Education Act (IDEA) discretionary funds for this project. The primary goal of this request for applications is to provide services to those students with disabilities identified by the NYC Department of Education as awaiting school placements due to the lack of available services. Funds were awarded to two NYC community school districts, one Chapter 853 school and two special act school districts.

In addition, discretionary funds were awarded to NYC Department of Education, District 75, for the 2002-03 school year to continue to implement the capacity building and improvement initiatives for students with disabilities. The funds provided comprehensive staff development to support schools serving students with autism attending District 75 programs. As indicated in the proposal, four staff developers will be hired and function as a borough based resource to provide on-site professional development regarding instructional interventions for students with autism to school administrators, teachers, related service providers and parents.

VESID will continue to provide technical assistance to address the Chapter 405 problem areas through the SETRC network, RSSCs, the Quality Assurance review process and the training programs and technical assistance projects described below.

SETRC is a professional development network funded by VESID through IDEA discretionary funds and composed of 42 projects statewide that provide technical assistance to personnel working with preschool and school age children with disabilities. The SETRC model is one of systems change, in which SETRC Professional Development Specialists’ (PDSs) efforts are directed primarily to high need, low resource districts/buildings in need of improvement. Within that group of districts, each SETRC project further targets a limited number of districts or buildings for intensive support, including coaching and on-going analysis of the root causes of district issues, identifying solutions, and implementation and evaluation of effect. State targeted 405 districts/buildings automatically become SETRC targeted districts/buildings, and the disproportionality issues for which they were targeted are subjected to root cause analysis and problem solving, with the final product being the CSPD Plan including goals, objectives, and activities that address those issues. SETRC Professional Development Specialists work closely with RSSC Special Education Specialists and SEQA Regional Associates in supporting districts/buildings through this process.

During 2002-2003, SETRC projects with 405 Targeted Districts and large concentrations of Regionally Targeted districts were given mini-grants to support additional professional development related to disproportionality. Of the 42 SETRC centers, 26 programs with Chapter 405 targeted and regional districts or schools in their service areas were given allocations which ranged from $3,000 to $74,500. The total amount allocated for these amendments was $342,000. The funds were used for district staff development consistent with the Regional Chapter 405 plans. As a result of the distribution of these funds, training was provided to identified districts on topics including cultural sensitivity, differentiated learning strategies, pre-referral strategies, behavior intervention strategies, engaging parents and community members, and instructional support teams.

An illustrative example of how SETRC provides support is the Buffalo CSD. In Buffalo, SETRC assisted the district to address a high rate of identification of students with disabilities and disproportionate representation of African American students within the population identified as emotionally disturbed or mentally retarded. A root cause analysis determined a need for training of Committee on Special Education (CSE) staff in distinguishing causal factors related to cultural and social disadvantage and those related to intrinsic disability. As a result, 125 CSE staff members including supervisors, psychologists, social workers, and related services professionals received 12 hours of training on topics such as understanding poverty and applying learning structures through classroom strategies. The SETRC team reported positive responses to the training, with 95% of the respondents indicating that the training would change the ways they made decisions regarding eligibility for special education. Buffalo SETRC also worked with Instructional Support Service Teams to develop more formalized pre-referral strategies. They reported that, as an unexpected gain, district wide data collection and analysis has become much more sophisticated and serves as a focal point for discussions as opposed to conjecture about where problems originate.

Within the SETRC network are two sub-networks comprising Regional Training PDSs and Bilingual SETRC. Regional PDSs, working in each RSSC region, support districts by providing compliance-related professional development and knowledge of laws and regulations relating to identification, placement, and service provision. This information is critical to help districts address disproportionality. Bilingual SETRC PDSs, working in each of the Big Five City districts, and at large on Long Island and in the Upstate region, provide both compliance related and instructionally related professional development for districts. Bilingual SETRC PDSs are instrumental in assisting districts to understand the difference between the identification of students as English language learners and as students with a disability. They also have helped districts identify evaluators with appropriate certificate extensions for evaluating children who are non-native English speakers. In addition, they provide districts with professional development on cutting edge instructional and behavioral strategies for English language learners with disabilities, and on culturally competent interaction with students and families. Bilingual SETRC PDSs have also provided a natural link for collaboration among special education resources and general education resources such as the Bilingual Education Technical Assistance Center (BETAC).

Regional School Support Center Network

In September 2000, the RSSC Network was established though a collaborative effort of the Offices of VESID and 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. From 2000 - 2003, RSSCs were 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. The RSSCs were designed specifically to provide intensive onsite technical assistance, in partnership with SETRC, to Targeted Chapter 405 districts. RSSCs also are responsible for collaborating with SETRC on strategies to address Regional Technical Assistance districts.

RSSCs are directly engaged to build capacity in low performing schools. One Center is operated in NYC by the Teacher Center. Beginning in 2003-04, six RSSCs will operate in addition to the Center located in NYC. One hundred percent of RSSC resources will be directed to building capacity and improving education performance in schools/districts identified based on the System of Accountability for Student Success (SASS); and to improving the performance of students with disabilities in school districts prioritized based on VESID Key Performance Indicators. Approximately $6.5 million has been allocated by EMSC and VESID to support Centers located outside NYC during each of the 2003-2008 school years. An allocation for the NYC RSSC has not yet been finalized.

Each Center's comprehensive set of services is directed to the identification and/or diagnosis of root causes of conditions inhibiting student performance, and the development of appropriate interventions through comprehensive planning, coordination of network resources, technical assistance and professional development. This information is documented for each RSSC client school/district in status reports submitted to the Department on a tri-annual basis.

IDEA State Improvement Grant (SIG)

Beginning in the 2000-2001 school year, VESID has provided two year professional development grants to high need/low resource districts identified as experiencing difficulty in attaining success on several of the VESID Key Performance Indicators, including disproportionality in identification and placement. Two districts from each Joint Management Team area, an additional five districts on Long Island, seven Community School Districts in NYC, and the Big Four city districts (Yonkers, Buffalo, Rochester and Syracuse) were funded. Districts awarded these grants must convene a group of stakeholders to conduct a root cause analysis of the problem areas, prioritize issues, (coached by SETRC and/or RSSC specialists), develop goals and objectives, and plan professional development interventions. Districts must partner with a parent organization and an Institution of Higher Education (IHE) in planning and implementation. Disproportionality issues have been addressed either directly or indirectly in many of the plans developed by districts.

In 2001, New York State was awarded an IDEA SIG. VESID used the grant to add three regional State Improvement Grant Teams (Upstate, Downstate/Long Island, and NYC). The Upstate and Downstate/Long Island SIG Teams each consist of four specialists in areas associated with key root causes contributing to poor performance for students with disabilities. (NYC has chosen to provide the same service with existing personnel through the United Federation of Teachers Teacher Center). One member of each Team has expertise in bilingual education and cultural competency. These individuals, in collaboration with the SETRC and RSSC personnel from the districts’ regions, have worked with SIG districts and other targeted, unfunded districts, to address issues that have resulted in disproportionality.

One example of the impact of their involvement is Peekskill, where disproportionate identification and placement of ELL students has been an ongoing issue. Through work with Downstate/Long Island SIG Team Bilingual Specialists, the district extended their root cause analysis in disproportionality, resulting in district commitment to a Dual Language classroom approach to education for ELL students. The SIG Team continues to work with the district to support educators as they plan and implement appropriate instruction for ELL and ethnically/culturally different students. Districts work with their SETRC and RSSC field personnel to determine which team members will provide support; several districts have or are planning to use the services of the Team member with expertise in disproportionality. In addition, the Teams are producing professional development modules which will address issues of disproportionality.

In 2002 NYS was awarded a SIG Supplemental Grant. One of the goals of this supplement addresses disproportionality, with special emphasis on ethnic rather than language minority issues. New York State will enhance the impact of this support by identifying and engaging a specialist with particular interest and expertise in multicultural issues. This individual, with demonstrated ability to provide professional development and job embedded support to districts on these issues, will:

1. develop a presentation on research-based instructional/management strategies that have been shown to result in improvement in disproportionality;

2. identify areas of concern in which little robust research exists and, working with districts/buildings, SETRCs, RSSCs, and IHEs, provides support for action research to test the outcomes of promising but unevaluated strategies;

3. contact the individuals named by field technical assistance network personnel as having interest/expertise in multicultural issues, discuss with them their interest in becoming part of a resource network, and identify a core group who can provide capacity and act as a "brain trust" in multicultural disproportionality issues; and

4. work with the awardees of the 405 technical assistance contract for capacity building, including acting as a liaison between them and other members of the field TA networks when necessary.

Upon identification of a technical assistance provider (see Page 18, Disproportionality), mini-grants will be made available to SIG Districts/Buildings that are interested in working with the TA provider. These mini-grants of $5000 a year for two years will support the district in identification, implementation and evaluation of effective practices. Mini-grant awardees also will provide an opportunity for other districts to observe the intervention in practice.

Partnership Agreements

The Department has entered into special agreements with six school districts in order to close the achievement gap for all students in those districts. Partnership Agreements are being developed with the city school districts of Buffalo, Rochester, Syracuse, and Yonkers. A Performance Plan has also been developed with the Wyandanch Union Free School District and the Roosevelt Union Free School District. These special agreements provide a framework for the type of collaboration and support SED and its funded networks intend to provide to the districts. The agreements represent or are a reflection of prioritized needs and goals included in each district’s strategic plan. Included in those plans are Chapter 405 issues for which the districts have been cited. Operational plans will be developed by the collective providers of services (SETRC, RSSC, BETAC, etc.) to identify, implement, and evaluate specific activities designed to achieve the outcomes specified in the agreements.

Quality Assurance Review Process

Since 1994-95, VESID’s Special Education Quality Assurance (SEQA) Unit 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 now focuses on program effectiveness and student results, emphasizes the district’s key performance indicator data, and facilitates the input of parents in regard to the provision of special education services. Procedurally, a system that depended upon Department site reviews now involves the district and the Department collaborating in the Quality Assurance Review process. The Quality Assurance Review process involves collaborative efforts with school district staff, parents, VESID and SETRC staff working together utilizing review protocols that focus on specific areas of need. Consequently, this approach is referred to as Focused Reviews. Nationally, both the Federal Office of Special Education Programs and many other state education agencies have begun to move toward a focused monitoring process. As a result of the Focused Review process, the team identifies any areas of noncompliance and the required corrective action.

During 2002-03 two protocols were utilized. The Least Restrictive Environment protocol was designed to address high separate placement rates by a school district, while the Achievement protocol addresses low achievement by students with disabilities. The process also includes a Parent Forum designed to solicit feedback on parents’ perceptions of special education within their districts. The culminating activity of a focused review is the identification of corrective actions and improvement strategies that address the identified compliance and programmatic issues impacting student outcomes in the focus area. In addition, the district must set benchmarks to reflect efforts made by the district, over a specified period of time, to resolve the identified issues that will result in improved outcomes for students with disabilities.

During the 2002-03 year, a third protocol was developed on Student Exiting/Transition to complement the Least Restrictive Environment and Achievement protocols. All three protocols include elements to evaluate the district, where applicable, for the significant disproportion of identification and placement of students in special education based on race and/or ethnicity.

For the 2002-03 school year, a total of 131 reviews were conducted in preschool and school-age programs statewide in addition to 156 follow up reviews to reviews conducted in the previous year. This included two of the 13 Chapter 405 districts as identified for Targeted Technical Assistance. Special Education Quality Assurance Reviews ensure that federal and State requirements are implemented and that protections guaranteed to students with disabilities and their parents are enforced.

New York City

The New York City Department of Education (NYCDOE) is taking significant steps in examining school districts’ Chapter 405 disproportionality data and analyzing root causes of identified issues. Meetings were conducted with each NYC Community school district superintendent and strategies were developed to address problem areas. The NYCDOE has contracted with the New York University (NYU) Metro Center for Urban Education to develop and present a staff development program that deals with disproportionality in referral and placement for students in targeted districts. The Metro Center team is engaged in assisting Community School Districts 6 and 24 in addressing the overrepresentation of English Language Learners who are receiving special education services. The goal is to have Metro Center train a school team so that the team will provide turnkey training to other staff members at the end of the year.

In addition, discretionary funds are allocated through the federal SIG and through the NYC SETRC to support a collaboration between different divisions of the NYCDOE for the purpose of addressing disproportionate representation of minority groups referred and recommended for special education services. The District Comprehensive Educational Plan (DCEP) document was amended requiring superintendents to review data and propose interventions to address disproportionality. The linkages established with VESID, EMSC, SETRC, RSSC and NYU Equity Assistance Center are assisting districts in identifying and implementing effective strategies.

VESID's Office of Special Education Quality Assurance (SEQA) has implemented a database designed to record and track information related to Quality Assurance Reviews and Complaint Investigations. The system allows staff to access Quality Assurance data related to each school district's and private program's most recent compliance findings. QAIS also has 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 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.

The State Education Department has continued to actively develop internal capacity within EMSC and VESID to provide technical assistance to school districts in addressing problem areas identified in Chapter 405 of the Laws of 1999. The Department had worked closely with multiple federal partners to ensure access to the most current and innovative approaches to address the issues of classification, separate site placement and disproportionality.

Assistance from national associations and the federal government

Department staff meet regularly with a variety of partners including the Office of Special Education Programs, United States Department of Education, Office of Civil Rights, National Association of State Directors of Special Education and Northeast Regional Resource Center (NERRC) to receive technical assistance. NERRC is a federally funded technical assistance center that provides support to State Education Agencies 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.

Department staff participated in a meeting hosted by NERRC on disproportionality issues in October 2002. They presented on the topic of Department efforts to address disproportionality as required by Chapter 405 of the Laws of 1999. This forum provided an opportunity to share and discuss common issues with neighboring states as well as with nationally recognized experts in this field.

Department staff participated in a national disproportionality calculations task force, convened by the USDOE in January 2003 to provide recommendations regarding the consistent calculation of disproportionality determinations across the states. The Department is awaiting USDOE’s response to the task force’s recommendations.

Department staff also participated in a national task force, convened by the USDOE in March 2003 to provide recommendations regarding definitions that are used to collect data from states regarding placement of students with disabilities in various educational settings. The Department is also awaiting USDOE’s response to the task force’s recommendations.

OSEP has modified its biennial performance report requirements to an annual reporting requirement. This report requests states to provide goals and objectives established for students with disabilities, a description of data trends, and strategies the state will use to improve results in identified areas based on the State’s needs assessment. This report also requires states to provide Statewide data on disproportionality, based on race/ethnicity in identification and placement of students with disabilities.

Urban Forums

The Department, in partnership with the Big Four Urban School Districts, developed four Urban Forums. The Urban Forums are part of a larger Urban Initiative designed to provide dynamic, practical tools to enhance student performance in meeting the State’s learning standards among the Big Four upstate urban districts: Buffalo, Rochester, Syracuse and Yonkers. In 2002-03, Urban Forums were held on Technology Planning and Management; Fiscal Planning and Multi-Year Budgeting; Promoting Academic Success - Curriculum Alignment and Strategies to Improve English Language Arts and Mathematics Results; and Supporting Positive Youth Development. The Urban Forums were designed to foster the development of a Big Four learning community in a dynamic and nurturing learning environment through dialogue, and examination of data and emerging best practices. Topics were presented through study circles and roundtables and enabled participants to leave the Urban Forum with tangible ideas to foster success within the school community.

As indicated on page 11, New York’s Supplemental State Improvement Grant includes a component that is intended to improve overall State capacity to address ethnic disproprotionality. The grant supports the identification of instate expertise to facilitate and develop a standing workgroup on ethnic disproportionality. This workgroup will become the core of a technical assistance effort in the State to provide in-depth skills for utilization at the local district level. It is anticipated that the workgroup will expand as the State gains important experience dealing with ethnic disproportionality through district planning and professional development activities. To provide practical, hands-on experience for the workgroup, a pilot group of targeted districts will receive mini-grants of $5000 each to support planning and implementation of local projects to address ethnic disproportionality.

Institutions of Higher Education with teacher education programs who are members of the VESID funded Higher Education Task Force for Quality Inclusive Schooling at Syracuse University will be invited to join in with this strategy. The Department expects that faculty with an interest in this area will apply for financial support from the Higher Education Support Center to conduct research and become involved in this initiative.

It is expected that staff will be assigned, schools will be targeted and funds will be allocated in support of this initiative by spring 2004.

Disproportionality

In order to increase capacity for addressing disproportionality, the Department issued a Request for Proposal in December 2002 to solicit applications for a funding award to operate a Technical Assistance Center on Disproportionality. The Department has identified a vendor and is developing the contract. Once the award is final, the center will work with targeted school districts to reduce disproportionality. SETRC and RSSC staff will partner with the center to continue to develop their skills in the area of disproportionality. The center will evaluate the effectiveness of its training and technical assistance efforts in reducing disproportionality and will report its progress to the Department quarterly.

The center will focus on factors that are within the control of the school districts, such as:

• Alignment of curriculum with the New State Learning Standards K-12 and across grade levels;
• Provision of academic and other support services;
• Improving effectiveness of school-based support teams in individual student problem solving and planning;
• Improving skill levels of education staff in the area of cultural competence;
• Improving partnerships with families to support their engagement; and
• Eliminating discriminatory policies and procedures in the districts and schools.

Next Steps

The Department will continue to support the Chapter 405 workgroup in collaboration with RSSCs, SETRCs, and Quality Assurance regional staff to provide capacity building opportunities, regional/local technical assistance and review of districts' plans to ensure that the identified school districts have addressed the Chapter 405 problem areas as required. In addition, the Department’s recommendations and next steps regarding Chapter 405 are to:

• Provide training to targeted school districts on how to modify the CSPD plan so it results in analysis of data, identification of root causes, development of measurable goals and objectives and development of an implementation and evaluation plan to ensure that the Chapter 405 problem areas are addressed.

• Implement three focused review protocols in Special Education Quality Assurance. Each protocol will include elements designed to evaluate districts for the significant disproportion of identification and placement of students in special education based on race and/or ethnicity.

• Provide guidance to school districts on the effects of cultural and language differences on student assessment, appropriate interpretation of results and the identification of appropriate instructional interventions.

• Continue to provide technical assistance and regional training programs for school districts to ensure accurate data collection and reporting. The Department will continue to use the Chi-square methodology to determine disproportionality based on race/ethnicity to review school district patterns of identification and placement of students with disabilities. Other methodologies suggested by the National Science Academy will be reviewed and implemented, if appropriate, to provide a more comprehensive analysis of school district race/ethnicity data.

• Continue to advocate for legislation to amend Chapter 405 of the Laws of 1999 to require data verification, surveys, and a report to the Governor and Legislators every three years. These activities on an annual basis create a substantial burden at both the State and local levels. The current data collection and reporting requirements do not allow sufficient time to provide technical assistance and assess its impact.

• Finalize the vendor contract to implement the technical assistance center to assist the Department in addressing the requirements of Chapter 405 of the Laws of 1999 by providing technical assistance to targeted school districts and SETRC and RSSC staff on disproportionality issues.

• Anticipate conducting a third notification to school districts with potential issues as identified in Chapter 405, using 2002-2003 school year data, during the latter part of the 2003-04 school year or early in the 2004-2005 school year. The criteria to be used in the third notification will be reviewed and revised as may be necessary to ensure identification of school districts that are significantly disparate from the Statewide average or from established goals on each issue. The Department is awaiting recommendations from a data analysis grant which may result in revising the State’s methodology for assigning different levels of technical assistance to school districts for issues involving disproportionality, based on race/ethnicity. Preliminary results from the data analysis grant indicate that after computing the chi-square calculation to initially identify school districts with potential issues regarding disproportionality, we may use the "Relative Risk" computation to differentiate school districts for different levels of technical assistance.

• Set aside IDEA discretionary funds for 2004-05 to support those regions where significant changes must occur to achieve the benchmarks of the next five-year Special Education Space Requirements Plan. Pending availability of these IDEA funds and final determination of distribution method, it is the Department’s intention to award these funds to selected regions of the State with the highest percentage of students with disabilities placed in separate educational settings.

• Continue to work closely with EMSC to carry out the special Partnership Agreements with Buffalo CSD, Rochester CSD, Syracuse CSD, Yonkers CSD, Roosevelt UFSD, and Wyandanch UFSD. Chapter 405 issues will continue to be a focus of Department resources as well as the other prioritized needs and goals contained in the agreements.

• Conduct joint reviews of the ten Regional District Comprehensive Educational Plans (RDCEP) by the NYC staff from the Offices of Elementary, Middle, Secondary and Continuing Education and Vocational and Educational Services for Individuals with Disabilities. In addition, three NYC Instructional Divisions will be selected to work collaboratively with the New York University Equity Assistance Center to develop a team for turnkey training for school personnel on Chapter 405 issues.

This section provides updated information on the Department’s effort to evaluate the impact of the former moratorium on any new or expanded preschool special education programs that include only preschool children with disabilities. A summary is provided regarding a number of activities undertaken by the Department to address the availability of preschool special education programs in the least restrictive environment.

Effective June 30, 2003, the legislative requirement that established the moratorium on the development of preschool special class programs "sunsetted," and is no longer in effect. The Department continues to apply the regional need criteria for program development as outlined in the January 2000 field memorandum Procedures for Application and Approval of Any New or Expanded Programs in Settings Which Include Only Preschool Children with Disabilities. A center-based special class is defined as a separate setting that includes only preschool students with disabilities. The table below indicates the number of program approvals and program expansions in the special class category submitted between October 1, 2002 – September 30, 2003.

Preschool Program Expansion
October 1, 2002 – September 30, 2003

From October 1, 2002 – September 30, 2003, 10 Special Education Itinerant Teacher (SEIT) programs had been approved, of which four are in NYC. SEIT programs, also identified as Special Education Itinerant Services (SEIS), have a certified special education teacher serving up to 20 preschool students with disabilities in various settings determined by boards of education. These settings provide opportunities for preschool students with disabilities to receive special education programs and services in the least restrictive environment with their preschool peers without disabilities and may include an approved prekindergarten or Head Start program; the student’s home; a hospital; a State facility; or other child care location.

During 2002-2003, the Department was notified of ten program closings including of two multidisciplinary evaluation programs, two special classes, two special classes in an integrated setting and four SEIT programs.

There has been a 25.5 percent increase, from 32.3 to 57.8 percent, in preschool students with disabilities served in integrated settings from 1995-96 to 2001-02. This increase is displayed in the chart below.

During the 2002-2003 year, the Department streamlined the preschool application process to improve consistency in the review process across the regions of the state. A revised initial application and forms for program modification were developed, with a standardized checklist for each document to guide the review process. Plans are in place to make the application and modification request forms available online in the future.

The Department has gathered data to further evaluate program performance and cost-effectiveness. The Program Quality Indicator Study, referred to as Study I, was completed in the Fall 2002 by MAGI Educational Services, Inc. The study was designed to collect information on the quality of preschool special education programs and identify the educational practices that affect general education placement rates when preschool students enter kindergarten or school-age programs.

This portion of the study found that the quality of preschool special education programs is significantly associated with the percentage of students with disabilities declassified while in preschool. In 2000-01, an average of 7.3 percent of preschool children with disabilities were declassified. In high quality programs, however, more than ten percent of preschool children with disabilities were declassified in the same year. The authors of the study concluded that: (1) program quality makes a difference in student outcomes and may result in significant cost savings; (2) strong program management and staffing are vital indicators of effectiveness; and (3) most preschool programs are making clear headway in striving for quality.

A Research Bulletin describing the study and its findings was disseminated in fall 2002. Additionally, two publications, Preschool Special Education Program Quality Indicators and Self-Assessment Guide and Preschool Special Education Learning Outcomes, Indicators and Support Services Necessary for Kindergarten Participation were published and made available to all preschool service providers, parents and others involved in improving learning outcomes for preschool students with disabilities (see Appendix 5 – Deputy Commissioner Gloeckler letter of August 2003). In addition, a training program for preschool providers will be conducted in 2003 focusing on the program quality indicators.

MGT of America is under contract with the Department to conduct a preschool longitudinal study, referred to as Study II. The study, in year four of seven, is to determine the long-term effect of preschool special education programs and services on the educational achievement, emotional well-being, social adjustment and placement of school-age students through grade 4 who received special education programs and services during their preschool years. The contractor’s activities are guided by an advisory committee comprised of representatives from preschool and school age stakeholder groups across the State. Data collection focuses on student demographic information, service and placement data, teacher observations and parent satisfaction. Information on the study is available at http://nypk.mgtamer.com.

The year two progress report for 2001-2002 was made available to the Department and is under review. This report provides demographic and baseline data. The study’s advisory committee is scheduled to meet November 2003.

The Department provided a training program "From the Beginning" through a contract with QUESTAR III BOCES for preschool special education providers. The objective of the training program was to better prepare special educators to provide instructional activities to support the greater participation of students with disabilities in a regular education curriculum with their non-disabled age appropriate peers. Part 1 of the training addresses the application of the New York State learning standards to the instructional activities for preschool students with disabilities. Part 2 focused on the preschool program quality indicators. To date, approximately 800 participants received training through this program. Further information regarding "From the Beginning" is available online at http://www.questar.org/preschoolse/.

VESID continues to implement the Strategic Work Plan on the Education of Students with Autism. While much is now known about autism and the benefits of early identification and appropriate education, widespread practice of effective educational interventions has been slow to follow. In New York State, some significant efforts have been made in recent years to address the unique needs of children with autism through the following Department sponsored initiatives:

• The New York State Autism Network, under the direction of the Department, developed Autism Program Quality Indicators (APQI) based on a review of the literature, input and review by regional advisory groups and national experts. The APQI are being used extensively throughout New York State, nationally and internationally.

• VESID awarded grants to 17 New York State colleges and universities to develop and deliver courses on autism, including the State University at Albany to develop a certificate program focused on the Education of Children with Autism and Related Disorders. (see http://www.albany.edu/psy/autism/autism.html.

• From July 1, 2003 to June 20, 2004, the Department awarded grant funds to five school-age programs to replicate demonstrated, research-based, effective instructional practices for students with autism that promote learning based on the New York State learning standards. These include positive behavioral supports and strategies, inclusion programs, instructional approaches to teach social skills, instructional approaches and teaching methods, family involvement and support, parent counseling and training programs, transition and generalization strategies, and/or programs and services to promote transition to adult services.

• The Department has awarded grants to the NYC Board of Education and to other regions of the state where there were identified needs to expand the continuum and quality of services available to students with autism. As a result of these grants, a continuum of quality, research-based educational programs for school-aged students with autism have been developed in regions where such programs were not previously available.

• The Department continues to disseminate the brochure Identifying Children with Autism Spectrum Disorder - Information for Physicians and Primary Health Care Providers to promote the need for early identification of children with autism spectrum disorders and the provision of appropriate education programs and services to support their learning and development. This brochure is available online at http://www.vesid.nysed.gov/specialed/home.html.

• The Department is preparing a report on the availability and effectiveness of approved programs providing special education to preschool children with autism. The information in the report was obtained through a study conducted by the New York Autism Network (NYAN) under the direction of the State University at Albany. When viewed from a statewide perspective, there appears to be sufficient availability of preschool programs for children with autism. However, select areas of the State are reporting limited capacity to serve additional students with autism and the growing trend in the numbers of identified children with autism is expected to significantly impact the availability of programs in the future. A combination of many factors (e.g., program model, instructional approach and expertise) affect program availability for preschool children with autism. The findings regarding program effectiveness, based on the demonstration that programs address important components of educational practices, suggest that special education programs in New York State that serve large numbers of preschool students with autism are meeting the educational needs of these students in key programmatic areas. However, select areas of need were identified to improve effectiveness in the areas of family involvement and support, community collaboration and opportunities for inclusion. One particular model of service or instructional approach was not found to be notably more effective than another on the dimensions measured by the Autism Program Quality Indicators (APQIs).

The Department will continue its work in the following preschool areas related to the Chapter 405 Report:

• Continue to implement existing procedures for program approval and expansion based upon documentation of need and implementation of the quality assurance process to ensure program effectiveness;

• Continue to make professional development materials available to preschool program providers regarding the program quality indicators and inclusion of the preschool learning standards in the instructional programs for preschool students with disabilities; and

• Disseminate the Report on the Availability and Effectiveness of Preschool Programs for Children with Autism in New York State: A Report to the Governor and Legislature. The Department will continue to assess regional need and the continuum of services for preschool students in the least restrictive environment.

Three types of technical assistance are available from the State Education Department to contribute toward the resolution of identified issues and the associated Comprehensive System of Personnel Development (CSPD) planning process requirements.

Technical Assistance Levels

School districts with one or more Chapter 405 problems in either the initial identification in April 2000 or in the second notification in December 2002 are assigned one of the following types of technical assistance:

1. Targeted Technical Assistance—intended for districts with identified Chapter 405 problem areas that will require supports to assist them in identifying significant policy and procedural changes to resolve the problem(s). The district is required to address each problem area through existing planning processes (i.e. CSPD plan) and to submit the plan for review. A separate Corrective Action Plan may be required following review of the CSPD plan. The Department will provide targeted technical assistance for both the planning process and professional development through the Regional School Support Center (RSSC) and Special Education Training and Resource Center (SETRC) networks.

2. Regional Technical Assistance—intended for districts with identified Chapter 405 problem areas that can potentially be addressed through regionally-provided training and information dissemination. The district is required to address resolution of the problem(s) in the CSPD plan and participate in regional training programs sponsored by the Department or through local sources. A copy of the plan is to be submitted to the Department. Additional information on regional training initiatives will be provided in the future.

3. Self-Review—intended for districts with Chapter 405 problem areas that can and should be resolved at the local level. Similar to above, the district is required to address the resolution of the problem(s) in the CSPD plan and to implement the plan with local and regional resources. The attainment of goals associated with the problem area(s) should be documented as the CSPD plan is annually updated and revised with the SETRC representative.

VESID is aware of the many planning requirements for districts and continues to partner with the Department’s Office of Elementary, Middle, Secondary, and Continuing Education (EMSC) to consolidate and coordinate those processes. The appropriate vehicle to address systemic problems associated with Chapter 405 continues to be the Comprehensive System of Personnel Development plan that is updated annually. As noted in Part 100 and Part 200 regulations, the CSPD plan can be incorporated into the Professional Development Plan (PDP), Comprehensive District Education plan (CDEP), or both. The statewide SETRC network is responsible for providing technical assistance to local districts on the CSPD planning process and can provide districts with the appropriate forms and procedures.

The purpose of the CSPD plan is to effect systems change at the local level and improve performance in regards to VESID Key Performance Measures. 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 the goals.

The CSPD plan is due annually to the SETRC serving the region in which the district is located. SETRC addresses are enclosed.

For districts identified as requiring Targeted or Regional Technical Assistance, a copy of the CSPD must also be submitted to the Regional Special Education Quality Assurance Office, c/o the Regional Associate assigned to the district, and to the Regional School Support Center. Special Education Quality Assurance Regional Office and RSCC addresses are enclosed.

Please refer to Attachment E, Chapter 405 Technical Assistance Resources-2002. These resources may assist identified districts in the development, implementation, and evaluation of the CSPD plan to address each Chapter 405 problem area.