1 Prairie Lakes Area Education Agency Monday, August 19, 2013 Iowa Lake Room 500 6th St NE Pocahontas, IA Regular Monthly Board Meeting • 5:00 p.m. AGENDA 1. Roll call 2. Review and Approve Agenda 3. Approve Previous Minutes of July 15, 2013 Regular Board Meeting 4. Approve Monthly Bills and Cash Flow Report 5. Staff Presentation – Dr. Scott McLeod and PLAEA Instructional Technology Consultants 6. Personnel Matters A. Retirements/Resignations B. New Hires C. Others 7. Appoint Level I Child Abuse Investigators for 2013-14 8. Appoint Harassment Coordinators 9. Approve GASB 45 Actuarial Valuation of Postemployment Benefit Plan 10. Approve Transportation Requests from Local School Districts 11. Approve 2013-14 Business Management Service Agreement with North Kossuth CSD 12. Approve 2013-14 Teacher/Librarian Agreement with Sioux Central CSD 13. Approve First Reading of Board Policies 201.5 (Membership), 201.6(Term of Office), & 204 ( Board Meeting Procedures) 14. Approve First Reading Board Policy 600 Series – Early ACCESS 15. Chief Administrator’s Report 16. Upcoming Dates 17. Set Date, Time for Next Regular Board Meeting 18. Other 19. Adjournment
Transcript
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Prairie Lakes Area Education Agency
Monday, August 19, 2013 Iowa Lake Room 500 6th St NE Pocahontas, IA
Regular Monthly Board Meeting • 5:00 p.m.
AGENDA 1. Roll call
2. Review and Approve Agenda
3. Approve Previous Minutes of July 15, 2013 Regular Board Meeting
4. Approve Monthly Bills and Cash Flow Report
5. Staff Presentation – Dr. Scott McLeod and PLAEA Instructional Technology Consultants
6. Personnel Matters A. Retirements/Resignations B. New Hires C. Others
7. Appoint Level I Child Abuse Investigators for 2013-14
8. Appoint Harassment Coordinators
9. Approve GASB 45 Actuarial Valuation of Postemployment Benefit Plan
10. Approve Transportation Requests from Local School Districts
11. Approve 2013-14 Business Management Service Agreement with North Kossuth CSD
12. Approve 2013-14 Teacher/Librarian Agreement with Sioux Central CSD
13. Approve First Reading of Board Policies 201.5 (Membership), 201.6(Term of Office), & 204 ( Board Meeting Procedures)
14. Approve First Reading Board Policy 600 Series – Early ACCESS
MISSION OF PRAIRIE LAKES AEA The mission of Prairie Lakes AEA is to ensure success for all learners through collaborative partnerships.
In an effort to promote better understanding and communication of Board actions, prior to each Prairie Lakes AEA Board meeting this BBOOAARRDD PPRREEVVIIEEWW with an agenda and summary of the agenda is sent to all Prairie Lakes staff via email. It includes basic information on the Agenda Items and Chief Administrator’s recommendations to the Board. All are encouraged to attend the Board meetings to share their ideas and to see – live – what the discussion and actions of the Board are. Board meetings are held in the Iowa Lake Room at the Prairie Lakes AEA Office in Pocahontas at 5 PM unless otherwise noted on the agenda. This preview does not have any information related to discipline, confidential personnel matters, or negotiations.
Agenda – Regular Board Meeting
5:00 PM
1. Roll Call 2. Review and Approve Agenda – Action Item
3. Approve Minutes of July 15, 2013 Regular Board Meeting – Action Item
4. Approve Monthly Bills – Action Item
A. Review Monthly Cash Flow Report – Information Item
5. Staff Presentation – Dr. Scott McLeod & Instructional Technology Consultants – Information Item - The new Technology Integration team members will introduce themselves and show some examples of work they've done with students and teachers, present some data on technology integration and implementation in our districts, and introduce their new web site.
6. Personnel Matters A. Retirement/Resignations
1. Licensed - Action Item a. Crystal Lash, Special Education Consultant, retirement effective June 30, 2013
Administrator’s Recommendation – It is recommended this retirement be accepted. 2. Classified – None at this time
B. New Hires –
1. Licensed – Action Item –
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a. Nancy Trampel, Special Ed Teacher, Fort Dodge Correctional Facilities, 188 days, BA/7, $46,209.20, start August 19, 2013 (contingent upon obtaining conditional licensure from IA BOEE).
b. Kristine Randell, Academic Strategist, East Region-Fort Dodge office, 193 days, MA/16, start August 14, 2013 (contingent upon obtaining licensure from IA BOEE).
Administrator’s Recommendation – It is recommended these new contracts be approved. 2. Classified/Non-bargaining – Information Only
a. Sarah Meighan, Communication Paraprofessional, North Region-Spencer office, Grade C, Step 8, $13.68/hr., 188 days, start August 5, 2013;
b. Kimberly Studer, Family Support Specialist, North Region-Spencer office, Grade D, Step 7, $14.03/hr., 234 days, start August 1, 2013.
c. Lavonne Phillips, Educational Paraprofessional, North Region-Estherville office, Forest Ridge, Grade B, Step 6, $12.88/hr., 184 days, start August 26, 2013.
C. Other – None at this time
7. Appoint Level I Child Abuse Investigators for 2013-14 – Action Item – The Prairie Lakes AEA Board must annually appoint Level I Child Abuse Investigators. In the event of an allegation of abuse involving a student by an AEA employee, an investigation will determine if the complaint is founded. Training is provided annually by the state. For 2013-2014, the Prairie Lakes Level I Child Abuse Investigators will be Wendy Parker, Gary Dannenbring, Kim Rost, Linda Williamson, and Theresa Golden. Administrator’s Recommendation – It is recommended that the appointment of the Level I Child Abuse Investigators for 2013-2014 be approved.
(one male and one female) are appointed annually and made known to all staff for due process in the event individuals experience a hostile work environment due to harassment issues. The Harassment Coordinators for 2013-2014 will be Gary Dannenbring and Diane Jackson. Administrator’s Recommendation – It is recommended that the appointment of the Harassment Coordinators for 2013-2014 be approved.
9. Approve of GASB 45 Actuarial Valuation of Postemployment Benefit Plan – Action Item– As per GASB-45 requirements, Prairie Lakes has completed an actuarial valuation of the postemployment benefit plan. The purpose of this report is to:
a. Determine the plan’s liabilities as of July 1, 2012, $363,000; b. Determine the Annual Required Contribution (ARC), $206,000 and annual OPEB expense,
$204,000, for the period July 1, 2012 to June 30, 2013 under GASB Statement No. 45 (GASB 45);
c. Provide an estimate of the June 30, 2014 net OPEB obligation, $363,000; and d. Document actuarial assumptions and plan provisions used in the July 1, 2012 actuarial valuation
Administrator’s Recommendation – It is recommended that the plan be approved.
10. Approve Transportation Requests from Local School Districts – Action Item - Annually local school districts must formally agree to allow school busses to cross district boundaries for the purpose of transporting students. The specific purposes of the transportation are noted in the agreement between districts and may include transportation of special education students and/or open enrolled students if specified. These requests must then be approved by the AEA Board of Directors in which the districts reside. Transportation requests have been submitted from Clay Central-Everly, Estherville Lincoln Central, Harris-Lake Park, Humboldt, Sentral, Sioux Central, Spirit Lake, and Twin Rivers CSDs. These requests meet the requirements of the Iowa Code!
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Administrator’s Recommendation – It is recommended that the transportation requests be approved as presented.
11. Approve 2013-14 Business Management Service Agreement with North Kossuth CSD – Action Item – North Kossuth has requested business management services from PLAEA. The terms of the agreement are August 1, 2013 – June 30, 2014 at a fee of $27,500 for these services. Administrator’s Recommendation – It is recommended the agreement be approved as presented.
12. Approve 2013-14 Teacher/Librarian Agreement with Sioux Central CSD – Action Item -
Sioux Central has asked Prairie Lakes AEA to provide a teacher/librarian. Dorothy DeGroot, Instructional Media/Technology Consultant, will be providing one day per week (36 days of service). PLAEA will be reimbursed $17,589.60 for these services. Administrator’s Recommendation – It is recommended the agreement be approved as presented.
13. Approve First Reading of Board Policies 201.5 (Membership), 201.6 (Term of Office), &
204 (Board Meeting Procedures) – Action Item – These policies are being amended to reflect the action the board took at our May, 2013 meeting, adopting the resolution to change the number of PLAEA directors from nine to seven, to be elected by director district conventions as residents of such director districts. Administrator’s Recommendation – It is recommended that the first reading of these polices be approved as presented.
14. Approve First Reading of Board Policy 600 Series - Early ACCESS – Action Item –
These board policies are being revised to align with the new federal IDEA Part C regulations. The Iowa Department of Education provided Regional Grantees with a template of the required Early ACCESS policies. The policy language is consistent with the Iowa policies documented in Iowa’s IDEA-Part C State Application. Administrator’s Recommendation – It is recommended that the first reading of these polices be approved.
15. Chief Administrator’s Report – Information Item - A. Recognition of Excellence:
All PLAEA team members – As we launch into another school year, we want to recognize all employees for their efforts and contributions to improving the learning outcomes for each child as well as the impact they will have on all families and educators that we support. Thank you, in advance, for the results that we will achieve in 2013-14!
New Hire Day on August 14 went very well with over 50 people in attendance; new staff as well as some administrators, department chairs and mentors. I’ve attached the powerpoint that I used in the a.m. setting the tone for the year.
B. Board Member Development: We will utilize the At the Board Table discussion and scenario, Advocacy For Our Children’s
Future (http://www.ia-sb.org/attheboardtable.aspx) at our meeting. Please take a look at this and be ready to discuss a strategic, systemic advocacy plan for PLAEA during the 2013-14 school-year. I have also included the Heartland AEA Board’s initial thinking about their advocacy priorities for IASB as they seem to fit better than some of the school examples on the powerpoint.
I have composed a DRAFT of a letter to the Governor’s office and want to make sure it hits our major ideas as well as is brief enough that they will read it. I’ve sent it to a couple of people to get some feedback as well so don’t be alarmed if the grammar or other mechanics is not great yet…read for content and messaging.
C4K literacy update;
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o RTI presentation on August 5 to 125 AEA staff from across the state (I believe we had 16 people in attendance) and then to 625 educators from districts and LEAs on August 6 went very well. PLAEA had 15 districts represented and the presenter, Dr. George Batsche from the University of South Florida, was outstanding. His powerpoint is attached as well.
o AEA staff will receive training on the screening and progress monitoring tools on August 26-28 and our LEA partners will receive training on September 9-11 or 11-13.
o A reminder of the school buildings participating in Phase 1; East Sac (2), Clay Central Everly, Spencer Sacred Heart, Emmetsburg, Spirit Lake. Fort Dodge has made a decision to not participate at this time. This is a good decision because they have adopted a new math series and will be more ready in Phase 2.
Upcoming Staff Presentation Schedules
o September 16, 2013 – Crisis Team – Linda Harms and team members o October 21, 2013 – C4K Literacy Leadership; Lesa Nauss and others o November 18, 2013 – Wendy Parker and Regional Administrators
16. Upcoming Dates – Information Item – IASB Annual Conference November 20-21, 2013, Des Moines (anyone interested?) AESA Annual Conference December 4-7, 2013, San Antonio (anyone interested?)
17. Set Date and time for Next Board Meeting – Information Item – The September board
meeting is scheduled for Monday, September 16, 2013, 5:00 pm, Pocahontas. 18. Other
19. Adjournment
Prairie Lakes Area Education Agency Regular Monthly Board Meeting
Monday, July 15, 2013 • 5:00 p.m. Pocahontas, IA
Vice President Bruce Bahnson called the regular meeting of the Prairie Lakes Area Education Agency Board of Directors to order at 5:04 p.m. The following board members were present: Bruce Bahnson, Clifford Garvey, Todd Lundgren, Steve Jimmerson, Dean Saunders. Gary Astor joined via telephone. Absent: Linda Twait. Board approval was given to the agenda as presented by Chief Administrator, Jeff Herzberg. Motion carried unanimously. On a motion by Steve Jimmerson, seconded by Cliff Garvey, board approval was given to the minutes of the June 17, 2013, Regular Board Meeting. Motion carried unanimously A motion made by Todd Lundgren, seconded by Dean Saunders, to pay the monthly bills as presented by Michelle Dowd. M Dowd requested permission to pay the invoice received today from EMC for our premium for our business insurance, which includes work comp. This increased from $118,464.00 to $143,598.00. This is a $25,134.00 increase in expense for the upcoming 2013-2014 year. The bulk of the increase, $18,819.00, is due to an increase usage of our work comp insurance. We have had several claims in 2012 and 2013 which has resulted in a higher premium being charged. An in depth discussion by the board followed. Jeff & Michelle will work on a plan of action to address the high incidence. Todd Lundgren moved to amend the original motion by adding to pay the EMC invoice presented by M Dowd. The original motion, as amended, was passed unanimously by the board. The cash flow report was reviewed by M. Dowd. On a motion by Todd Lundgren, seconded by Gary Astor, the board approved the retirement of Esther Mullen, Leadership and Learning Consultant. Motion carried unanimously. On a motion by Steve Jimmerson, seconded by Cliff Garvey, the board approved the hiring of:
1. Amy Barber, Special Education Academic Strategist, West Region-Storm Lake office, 193 days, MA/12, $55,601.95, start August 12, 2013;
2. Angela Vogel, Occupational Therapist, South Region-Blairsburg office, 116 days, MA30/10, $33,980.53, start August 12, 2013;
3. Samantha Cagle, Special Education Academic Strategist, South Region-Jefferson office, 193 days, BA/1 paid on 3, $44,028.56, start August 12, 2013;
4. Tabitha DeMey, Leadership & Learning Consultant, Agency-wide-Storm Lake office, 218 days, MA/15, $65,030, start August 5, 2013;
5. Jill Siefken, Leadership & Learning Consultant, Agency-wide-Pocahontas office, 218 days, BA+15/18, $63,211, start August 5, 2013. Contract offer contingent upon release from LEA contract;
6. Aaron Patrick, Special Ed Behavior Strategist, Agency-wide, Fort Dodge office, 193 days, BA/15, $53,635, start August 12, 2013.
Motion carried unanimously. J. Herzberg informed the board of a non-bargaining new hire: Amy Profit, Physical Therapy Assistant, North Region-Estherville office, 190 days, $42,500, start August 14, 2013.
On a motion by Gary Astor, seconded by Dean Saunders, board approval was given to the districts as listed requesting transportation across district lines. Motion carried unanimously. Chapter 285.9 of the Code of Iowa requires that the AEA board approve bus routes, which go outside local school districts’ boundaries into another school district. These transportation agreements must be renewed yearly. On a motion by Todd Lundgren, seconded by Cliff Garvey, the board approved the fiscal agent agreement with the Early Childhood North Central Iowa Board as presented. Motion carried unanimously. Herzberg shared information on Collaborating for Iowa’s Kids – C4K. Overview presentations have been shared with Phase I buildings - Spirit Lake, East Sac, Clay Central-Everly, Emmetsburg, & Spencer Sacred Heart. The presentation with three Fort Dodge elementary buildings will be scheduled in the near future. Ten percent of school buildings (90) in Iowa are included in phase I. PLAEA has 9 of them. There will be training for our staff the end of August and training for schools Sept 9-13 where LEA staff and PLAEA staff will be at the same table. Phase II will involve 20% of the buildings. This is a Reciprocal Accountability Commitment from LEAs, AEAs, and the DE. Data will be looked at quarterly. It is a system that all are committing to - modeling, interventions, feedback, coaching, and focusing. The PLAEA support structure of the Literacy Leadership Team and Literacy Coaches was shared. The team includes different department representation. The team is focusing on research-based best practices in literacy that make the most impact on student achievement instead of focusing on doing everything. Recognition of Excellence:
Leslie Moore, in her role as Secretary of the Board with Iowa ASCD, helped put on an amazing Competency Based Learning Conference in Des Moines at the end of June. http://iowaascd.org/index.php/events/cbe-conference-2013/. The conference was attended by 250 Iowans who are trying to learn more about CBE in their schools. This work is transformational and Leslie and her organization are helping to promote!
Kim Rost, Wendy Parker, Regional Administrators (Lesa Nauss, Theresa Golden, Kandy Martin, Linda Williamson & Pam Ahlrichs), Business Office (Michelle Dowd, Brenda Hebert, Pam Metzger, Josh Bader, Cindy Toal and Jann Murphy), Ginger Hoffman and Department Chairs have done a great job of hiring outstanding people to join PLAEA. We have a very large number of staff, close to 30, who will be starting this fall and we couldn’t have done it without a great effort by the entire team
Recognition of Board Member Dean Saunders. It is great to have Dean back. Dean was very appreciative of the many thoughts and cards received from AEA board members and staff.
Board members discussed online articles offering an amazing perspective to on education based on research by the Gallup group - http://thegallupblog.gallup.com/2013/07/gpa-sat-actrip.html and also Come the Revolution: - http://www.nytimes.com/2012/05/16/opinion/friedman-come-the-revolution.html?_r=2& - sharing a vision for the future.
For our August meeting “At the Board Table” discussion and scenario, Advocacy For Our Children’s Future (http://www.ia-sb.org/attheboardtable.aspx) will be used to frame our strategic, systemic
advocacy plan for PLAEA during the 2013-14 school year. The AEA has hired additional lobbying services. Tom Lane (former Superintendent from Carlisle), will be joining Matt & John this year to provide the educational perspective and we need to ramp up our own efforts as an individual AEA.
Linda Fandel, The Governor’s Special Assistant for Education, has agreed to be at our September 16 board meeting. She will join in home visits with some of our Early Childhood providers. Talking points of a letter be sent to the governor’s office prior to this meeting were identified.
Upcoming Staff Presentation Schedules include:
August 20, 2013 – Dr. Scott McLeod and PLAEA Instructional Technology Consultants September 16, 2013 – Crisis Team – Linda Harms and team members October 21, 2013 – C4K Literacy Leadership; Lesa Nauss and others November 18, 2013 – Wendy Parker and Regional Administrators
Gary Astor left the meeting at this point. The board agreed to the draft goals and action plans, based on previous conversations that J. Herzberg had shared. Upcoming Dates – Information Item –
SAI – Aug. 5 - RTI for AEA staff…to prepare for the pre-conference as well as the work this year in Iowa around Response to Intervention; Pre-conference August 6; Annual Conference August 7 – 8, Des Moines
IASB Annual Conference November 20-21, 2013, Des Moines AESA Annual Conference December 4-7, 2013, San Antonio
The August board meeting is scheduled for Monday August 19, 2013, 2013 – 5:00 pm., Pocahontas. There being no further business, the board adjourned at 7:08 p.m. Board Vice President Board Secretary
Check Check Date Payable To Description Amount70977 8/19/2013 Valley West Inn 1 Lodging/CCalhoun 64.96$ 70978 8/19/2013 Webster City CSD Title III/Webster City 404.88$ 70979 8/19/2013 Webster County Health Department PAK June Payment 1,474.31$ 70980 8/19/2013 Wells Fargo Web Hosting/Prof. Supplies-Mc 862.19$ 70981 8/19/2013 Winnebago County Public Health PAK June Payment 4,439.89$ 70982 8/19/2013 Wood's Super Market Web IEP Training Supplies 47.17$ 70983 8/19/2013 Xpedx Media Production Supplies 1,630.50$
124,537.67$
70998 8/19/2013 Bomgaars SL Supplies 51.63$ 70999 8/19/2013 Nicole Hinrichs June 2013 Travel 142.50$ 71000 8/19/2013 Angie Siefken Title II/St. Mary`s-SL 150.00$ 71001 8/19/2013 Jen Tovar Title II/St. Mary`s-SL 90.00$
Check Check Date Payable To Description Amount71002 8/19/2013 A&M Laundry Inc Pocahontas/Media Supplies 91.98$ 71003 8/19/2013 Academic Supplier Media Production Supplies 121.46$ 71004 8/19/2013 Advance Therapy, Inc. Contracted OT/July 2013 1,905.00$ 71005 8/19/2013 Algona Municipal Utilities Algona Utilities 228.66$ 71006 8/19/2013 Algona Publishing Company Director District Legal Ad 30.49$ 71007 8/19/2013 Rachel Allen McHugh Contracted OT/July 2013 3,155.06$ 71008 8/19/2013 Mike Anderson July 2013 Travel 288.72$ 71009 8/19/2013 Apple Computer Inc. iTune Volume Purchasing 1,500.00$ 71010 8/19/2013 Armstrong Journal Director District Legal Ad 33.95$ 71011 8/19/2013 Jane Awtry July 2013 Travel 41.80$ 71012 8/19/2013 Angiemar Baez Part C Community Service 200.90$ 71013 8/19/2013 Bee & Herald Publishing Director District Legal Ad 29.56$ 71014 8/19/2013 Lori Beltran July 2013 Travel 33.44$ 71015 8/19/2013 Regina Blomberg PD Class Teaching Mileage 136.80$ 71016 8/19/2013 Summer Boes July 2013 Travel 220.78$ 71017 8/19/2013 Bomgaars Supplies/Server Room 3.07$ 71018 8/19/2013 Kathy Brenny July 2013 Travel 422.32$ 71019 8/19/2013 BRW Poky Softner Rent/FD Bottled Water 67.40$ 71020 8/19/2013 BUENA VISTA REGIONAL MEDICAL CENTER Contracted OT/July 2013 2,246.24$ 71021 8/19/2013 Sarah Burke July 2013 Travel 30.78$ 71022 8/19/2013 Capable Kids, LLC Contracted OT/July 2013 1,153.75$ 71023 8/19/2013 Cassady Carter July 2013 Travel 155.80$ 71024 8/19/2013 CDW Government, Inc. Media Monitor/YSC Printer 293.02$ 71024 8/19/2013 CDW Government, Inc. Media Headphones 115.80$ 71025 8/19/2013 City of Estherville Estherville Utilities 330.91$ 71026 8/19/2013 City of Pocahontas Pocahontas Utilities 3,109.90$ 71027 8/19/2013 City of Storm Lake Storm Lake Water 282.50$ 71028 8/19/2013 Continental Fire Sprinkler Co SL Fire System Inspection 153.75$ 71029 8/19/2013 C&S Upholstery SL reupholstery Conf. Rm Chair 528.00$ 71030 8/19/2013 Culligan Water Conditioning FD Softner Exchange 46.51$ 71031 8/19/2013 Culligan - Storm Lake Pocahontas Softner 20.00$ 71032 8/19/2013 Culligan Water Conditioning (S) Spencer Bottled Water 11.90$ 71033 8/19/2013 The Daily Reporter Inc Director District Legal Ad 75.80$ 71034 8/19/2013 Amanda DeLancey July 2013 Travel 287.66$ 71035 8/19/2013 Tabitha DeMey July 2013 Travel 20.52$ 71036 8/19/2013 Dickinson County News Director District Legal Ad 28.60$ 71037 8/19/2013 Drake University PD Class Registrations 1,260.00$ 71038 8/19/2013 Dump It Sanitation & Recycling, Inc. Algona Garbage Pickup 52.50$ 71039 8/19/2013 Ecolab Pest Elimination Division Storm Lake Pest Control 142.50$ 71040 8/19/2013 Electrical Advantage, Inc. Electrical Work/Backup Generator 1,956.97$ 71041 8/19/2013 Emmetsburg Reporter-Democrat Director District Legal Ad 29.30$ 71042 8/19/2013 Engel Law Office Legal services 42.50$ 71043 8/19/2013 Estherville Daily News Director District Legal Ad 34.65$ 71044 8/19/2013 Fairfield Inn & Suites Lodging/DJackson 61.60$ 71045 8/19/2013 Richard D. Feilmeier July 2013 Travel 266.00$ 71046 8/19/2013 Fort Dodge Water Department Fort Dodge Water 54.24$ 71047 8/19/2013 Garbage Hauling Service SL Garbage Hauling 182.00$ 71048 8/19/2013 Cliff Garvey July Board Meeting - Mileage 56.62$ 71049 8/19/2013 The Gowrie News & Print Shop Director District Legal 30.55$ 71050 8/19/2013 Hewlett-Packard Company Computer Bag 49.00$ 71050 8/19/2013 Hewlett-Packard Company Rackmount Keyboard Monitor 1,359.20$ 71050 8/19/2013 Hewlett-Packard Company Virtual Environment Hdware 14,120.88$ 71051 8/19/2013 Hughes, Brennan & Wirtz, Inc. PAK Board Liability Insurance 1,452.00$
Percentage of budget spent 2%Percentage of budget unspent 98%
CASH SUMMARY
Checking Account Balance-Book balance at 07/31/13 4,384,590.77$
Checking Account Balance-Bank Statement balance at 07/31/13 4,662,392.57$ Less: Outstanding Checks (277,801.80)$ Bank statement reconciled to book balance: 4,384,590.77$
Summary of Plan Provisions .......................................................................................................................... 15
Summary of Actuarial Assumptions .............................................................................................................. 18
Valuation Date ........................................................................................................................................ 18
Census Data ............................................................................................................................................. 18
Retirement Age ....................................................................................................................................... 20
Plan Participation Percentage ................................................................................................................. 20
Plan Election Percentage ........................................................................................................................ 20
Valuation of Excise Tax............................................................................................................................ 20
Pre-65 Plan Costs .................................................................................................................................... 21
Census Summary ........................................................................................................................................... 22
Summary of Governmental Accounting Standards Board Statements No. 43 and No. 45 ........................... 23
Applicability of Accounting Standards .................................................................................................... 23
Scope This report presents the results of the actuarial valuation of the Prairie Lakes Area Education Agency (“Agency”) postemployment benefit plan other than pensions (“OPEB”) as of the valuation date of July 1, 2012 under the Governmental Accounting Standards Board Statement No. 45 (“GASB 45”). The purpose of the report is to:
Determine the plan’s liabilities as of July 1, 2012,
Determine the Annual Required Contributions (“ARC”) and annual OPEB expense for the period July 1, 2012 to June 30, 2013 under GASB 45,
Provide an estimate of the June 30, 2013 net OPEB obligation; and
Document actuarial assumptions and plan provisions used in the July 1, 2012 actuarial valuation.
Postemployment Benefits The Agency provides postemployment benefits for eligible pre 65 participants enrolled in the Agency sponsored plans. The benefits are provided in the form of:
An implicit rate subsidy where retirees receive health insurance coverage by paying a combined retiree/active rate, and
An explicit subsidy where health premiums are subsidized for grandfathered retirees. Pages 15 -17 describe the postemployment benefits and plan provisions.
Methods and Assumptions GASB 45 allows the use of one of several actuarial cost methods. These cost methods allocate the OPEB costs differently. The method used in this valuation is the Unit Credit. The valuation results are developed assuming a discount rate of 4.50%. Under GASB 45, the discount rate to be used for the valuation is determined based on the long term investment yield on the investments used to finance the payment of benefits. For this valuation it is assumed that postemployment benefits are paid from general assets which generally consist of short-term investments. If Agency is considering prefunding or transferring assets to a trust, or equivalent arrangement, in which plan assets are established and dedicated to providing benefits to retirees and beneficiaries in accordance with the terms of the plan, the determination of the discount rate would be based on the nature and mix of current and expected investments. Agency should consult with its auditors in selecting an appropriate discount rate. Alternative valuation results are provided on pages 13 and 14 assuming discount rates of 6.00% and 8.00% in the event Agency wishes to determine the impact of a change in the discount rate on its annual OPEB expense. Other critical assumptions used in the actuarial valuation are the health care cost trend rate and participation assumptions. The health care cost trend assumption is used to project the cost of health care to future years. The valuation uses a health care cost trend rate assumption of 10.00% in the year July 1, 2012 to June 30, 2013 grading down by 0.5% each year until an ultimate health care cost trend rate is reached in 2023 of 5.00%.
Prairie Lakes Area Education Agency 5
Executive Summary
The participation assumption is the assumed percentage of future retirees that participate and enroll in the health plan. It is assumed that 60% of all future retirees participate in the health plan. The Agency should monitor the postemployment plan participant enrollment in future years in case this assumption needs to be revised.
Liabilities Future benefits include all benefits estimated to be payable to plan members as a result of their service through the valuation date and their expected future service. The present value of future benefits as of the valuation date is the present value of the cost to finance benefits payable in the future, discounted to reflect the expected effects of the time value of money and the probabilities of payment. The present value of future benefits for Agency’s postemployment benefit plan as of July 1, 2012 is $2,655,000. The actuarial accrued liability is the present value of future benefits which is attributable to past service. The actuarial accrued liability of Agency’s postemployment benefit plan as of July 1, 2012 is $1,629,000. The unfunded actuarial accrued liability is the difference between the actuarial accrued liability and the actuarial value of plan assets. Plan assets are financial assets that are segregated and restricted in a trust (or equivalent arrangement). Assets in this trust are dedicated to providing benefits to plan participants and are legally protected from creditors of employers. Since there are no plan assets, the unfunded actuarial accrued liability for Agency’s postemployment benefit plan is the same as the actuarial accrued liability, $1,629,000. The normal cost is the portion of the present value of future benefits that is allocated to the current year for active plan members. The normal cost for the active members of Agency’s postemployment benefit plan for the period July 1, 2012 to June 30, 2013 is $84,000. The table below summarizes Agency’s postemployment benefit plan liabilities.
Postemployment Benefit Plan
Present Value of Future Benefits $2,655,000
Accrued Actuarial Liability $1,629,000
Normal Cost $84,000
Annual OPEB Cost and Annual Required Contribution The major component of the annual OPEB cost is the annual required contribution. The ARC is the sum of the normal cost and the amortization of the unfunded actuarial accrued liability. The unfunded actuarial accrued liability for the Agency’s implicit subsidy is amortized over the maximum allowable period of 30 year on an open basis. The grandfathered subsidy provided by the Agency is amortized over 5 years on a closed basis. The ARC for Agency’s postemployment benefit plan for the period July 1, 2012 to June 30, 2013 is $206,000 which is comprised of the normal cost (plus interest) of $88,000 and amortization of unfunded actuarial accrued liability (plus interest) of $118,000. The other components of the annual OPEB cost are one year’s interest on the net OPEB obligation (defined below) at the beginning of the year and adjustment to the ARC. The adjustment to the ARC is the discounted present value of the net OPEB obligation at the beginning of the year. The table below summarizes the annual OPEB cost for Agency’s postemployment benefit plan for the period July 1, 2012 to June 30, 2013.
Prairie Lakes Area Education Agency 6
Executive Summary
Annual OPEB Cost
ARC $206,000
Interest on Net OPEB Obligation ($13,000)
Adjustment to ARC $11,000
Total $204,000 It is important to note that GASB 45 does not require Agency to prefund an amount equal to the ARC. The ARC represents an accounting expense. Agency should report the OPEB expense for the year equal to the annual OPEB cost.
Net OPEB Obligation and Recognition in Financial Statements The net OPEB obligation (“NOO”) is the cumulative difference between the annual OPEB cost and the employer’s contributions to the plan since Agency’s adoption date of GASB 45. A positive (negative) year-end balance in the net OPEB obligation should be recognized as a year-end liability (asset) in Agency’s financial statements. An estimate of the year-end net OPEB obligation (asset) is $363,000. Agency’s contribution is estimated to be the pay-as-you-go or expected postemployment benefit payments less participant contributions from the valuation for the period July 1, 2012 to June 30, 2013. The development of the year-end net OPEB obligation is below.
Postemployment Benefit Plan
Net OPEB Obligation – Beginning of Year ($293,000)
Net OPEB Obligation – End of Year ($363,000) * Estimated using pay as you go
Under GASB 45, an employer has made contributions if the employer has done one or more of the following:
1. Made payments of benefits directly to or on behalf of a retiree or beneficiary 2. Made premium payments to an insurer 3. Irrevocably transferred assets to a trust, or equivalent arrangements, in which plan assets are
dedicated to providing benefits to retirees and beneficiaries in accordance with the terms of the plan and are legally protected from creditors of the employer or plan administrator.
Earmarking of employer assets or other means of financing that do not meet the conditions above do not constitute employer contributions. The actual year-end net OPEB obligation can be determined once the contribution information is available later in the year. If Agency needs assistance in determining the year-end net OPEB obligation, they would be advised to contact Healthcare Analytics.
Prairie Lakes Area Education Agency 7
Executive Summary
Patient Protection and Affordable Care Act and Agency July 1, 2012 GASB 45 Accrued Liability The results presented in this report incorporate some provisions of the Patient Protection and Affordable Care Act (“Act”) signed into law. Among the major provisions of the Act are the individual mandate, affordability subsidies for exchange based coverage, elimination of lifetime limits and an excise tax on high cost coverage. Starting in 2014, individuals who fail to maintain coverage face financial penalties. Due to these penalties, it is assumed that most future retirees will comply with the individual coverage mandate. The affordability subsidies are provided to individuals below 400% of the federal poverty level to purchase health coverage from state run exchanges. The decision to opt out of Agency postemployment health plan due to the affordability subsidies as well as other reasons (enrollment in spouse plan) is reflected in the participation assumption. The coverage and cost sharing rules in the Act eliminate lifetime limits for plan years starting six months after March 23, 2010 and no annual limits on or after January 1, 2014. For the purposes of this valuation, future Agency health costs may be adjusted for these costs sharing changes. The elimination of lifetime dollar limits also apply to grandfathered plans. The Act also imposes an excise tax on providers of high cost health coverage. Starting in 2018, a 40% excise tax is applied to the value of retiree health coverage exceeding $11,850 limit. The limit is indexed by CPI each year after
Reconciliation to Prior Valuation Healthcare Analytics prepared a previous valuation for Agency effective July 1, 2010. The actuarial accrued liability (AAL) reported in that valuation was $2.4 million. If we roll the results of that valuation forward to July 1, 2012 using the valuation assumptions, we get an expected AAL of $2.0 million. The actual AAL reported in this valuation is $1.6 million, which is $0.4 million lower than expected. The main reasons for this decrease were (1) lower than expected claims and contributions (2) a decreased employee population and (3) an updated marriage assumption for spouses. Offsetting factors that increased the liability include (1) the addition of an excise tax due to the PPACA and (2) an update to the retirement, termination and mortality tables using the most recent IPERS valuation. The remaining variance is within standard variation from the passage of time and accrual of benefits.
Prairie Lakes Area Education Agency 8
Actuarial Certification
Actuarial Certification At the request of the Prairie Lakes Area Education Agency, Healthcare Analytics, a division of Gallagher Benefit Services, Inc., has completed an actuarial valuation as of July 1, 2012 under Statement No. 45 of the Governmental Accounting Standards Board. The calculations derived for this report have been made on a basis consistent with our understanding of GASB 45. The valuation has been conducted in accordance with generally accepted actuarial principles and practices. The results of this report are to be used solely for the purpose of meeting employer financial accounting requirements. In preparing the results of this report, we have relied on employee data, plan information and claims data provided by the Prairie Lakes Area Education Agency. While the scope of the engagement did not call for us to perform an audit or independent verification of this information, we reviewed it for reasonableness. The accuracy of the results presented in the report is dependent upon the accuracy and completeness of the underlying information. The undersigned is a member of the American Academy of Actuaries and meets the Qualification Standards of the American Academy of Actuaries to render the actuarial opinion contained herein. Respectfully submitted, Healthcare Analytics
John Albrecht, ASA, MAAA Christopher Diorio, ASA, MAAA Consulting Actuary Actuary July 23, 2013 July 23, 2013 (609) 436-4871 (609) 436-4874
Prairie Lakes Area Education Agency 9
Valuation Results
Valuation Results
Present Value of Future Benefits The following tables provide a summary of plan participant information and the present value of future benefits by source and type as of July 1, 2012.
Actuarial Accrued Liability The following tables provide the actuarial accrued liability by source and type and unfunded actuarial accrued liability as of July 1, 2012.
POSTEMPLOYMENT BENEFIT
PLAN
ACTUARIAL ACCRUED LIABILITY
BY EMPLOYEE TYPE
Actives (Fully Eligible) $276,000
Actives (Not Fully Eligible) $506,000
TOTAL ACTIVES $782,000
Retirees $847,000
TOTAL $1,629,000
BY BENEFIT
Medical Claims $3,470,000
Administration $200,000
Stop Loss $117,000
Medical Contributions ($2,538,000)
Medical Subsidy $308,000
Excise Tax $72,000
TOTAL $1,629,000
BY SUBSIDY TYPE
Explicit Subsidy $308,000
Implicit Subsidy $1,249,000
Excise Tax $72,000
TOTAL $1,629,000
BY AGE
Actives (<65) $782,000
Actives (65+) $0
TOTAL ACTIVES $782,000
Retirees (<65) $848,000
Retirees (65+) $0
TOTAL RETIREES $848,000
TOTAL $1,629,000
UNFUNDED ACTUARIAL ACCRUED LIABILITY
Actuarial Accrued Liability $1,629,000
Plan Assets $0
Unfunded Actuarial Accrued Liability $1,629,000
Prairie Lakes Area Education Agency 11
Valuation Results
Annual Required Contribution and Net OPEB The following tables provide the ARC for the period July 1, 2012 to June 30, 2013 and an estimate of the net OPEB obligation as of June 30, 2013.
POSTEMPLOYMENT BENEFIT
PLAN
ANNUAL REQUIRED CONTRIBUTION
Normal Cost $84,000
Interest on Normal Cost $4,000
Amortization Payment $113,000
Interest on Amortization Payment $5,000
TOTAL $206,000
NET OPEB OBLIGATION
Net OPEB Obligation - Beginning of Year ($293,000)
ARC $206,000
Interest on prior year NOO ($13,000)
Adjustment to ARC $11,000
Annual OPEB Cost $204,000
Employer Contributions * $274,000
Increase in Net OPEB Obligation ($70,000)
Net OPEB Obligation – End of Year ($363,000)
Percentage of OPEB Cost Contributed 134.31%
*Estimated using expected pay-as-you-go cost.
Prairie Lakes Area Education Agency 12
Valuation Results
20-Year Summary of Projected Cashflows The following exhibit provides the expected cash flows for the postemployment benefits plan based on the current population, plan provisions and actuarial assumptions:
Year Benefit Payments Contributions
Medical Subsidy
Excise Tax
Net Benefit Payments
1st Year $432,000 ($293,000) $135,000 $0 $274,000
2nd Year $450,000 ($302,000) $105,000 $0 $253,000 3nd Year $471,000 ($315,000) $53,000 $0 $209,000 4th Year $418,000 ($284,000) $35,000 $0 $169,000 5th Year $412,000 ($277,000) $0 $0 $135,000 6th Year $401,000 ($271,000) $0 $0 $130,000 7th Year $421,000 ($282,000) $0 $1,000 $140,000 8th Year $359,000 ($246,000) $0 $4,000 $117,000 9th Year $341,000 ($230,000) $0 $6,000 $117,000
10th Year $355,000 ($239,000) $0 $9,000 $125,000 11th Year $322,000 ($218,000) $0 $10,000 $114,000 12th Year $337,000 ($227,000) $0 $12,000 $122,000 13th Year $352,000 ($235,000) $0 $14,000 $131,000 14th Year $295,000 ($202,000) $0 $13,000 $106,000 15th Year $346,000 ($233,000) $0 $17,000 $130,000 16th Year $383,000 ($256,000) $0 $20,000 $147,000 17th Year $370,000 ($249,000) $0 $21,000 $142,000 18th Year $318,000 ($220,000) $0 $19,000 $117,000 19th Year $321,000 ($222,000) $0 $21,000 $120,000 20th Year $331,000 ($227,000) $0 $23,000 $127,000
Prairie Lakes Area Education Agency 13
Assumption Sensitivities
Assumption Sensitivities
Trend Rate Sensitivity The following exhibit illustrates the impact of a 1% change in the health care trend rates:
Plus 1% Minus 1%
VALUATION RESULTS
UNFUNDED ACTUARIAL ACCRUED LIABILITY
TOTAL $1,757,000 $1,522,000
ANNUAL REQUIRED CONTRIBUTION
Normal Cost $96,000 $73,000
Interest on Normal Cost $4,000 $3,000
Amortization Payment $122,000 $106,000
Interest on Amortization Payment $5,000 $5,000
TOTAL $227,000 $187,000
IMPACT OF TREND CHANGE
UNFUNDED ACTUARIAL ACCRUED LIABILITY
TOTAL $128,000 ($107,000)
% CHANGE 7.86% -6.57%
ANNUAL REQUIRED CONTRIBUTION
Normal Cost $12,000 ($11,000)
Interest on Normal Cost $0 ($1,000)
Amortization Payment $9,000 ($7,000)
Interest on Amortization Payment $0 $0
TOTAL $21,000 ($19,000)
% CHANGE 10.19% -9.22%
Prairie Lakes Area Education Agency 14
Assumption Sensitivities
Discount Rate Sensitivity The following exhibit provides valuation results at 6.00% and 8.00%:
Discount Rate
6.00% Discount Rate
8.00%
VALUATION RESULTS
UNFUNDED ACTUARIAL ACCRUED LIABILITY
TOTAL $1,464,000 $1,297,000
ANNUAL REQUIRED CONTRIBUTION (ARC)
Normal Cost $68,000 $53,000
Interest on Normal Cost $4,000 $4,000
Amortization Payment $102,000 $90,000
Interest on Amortization $6,000 $7,000
TOTAL $180,000 $154,000
IMPACT OF DISCOUNT RATE CHANGE
UNFUNDED ACTUARIAL ACCRUED LIABILITY
TOTAL ($165,000) ($332,000)
% CHANGE -10.13% -20.38%
ANNUAL REQUIRED CONTRIBUTION
Normal Cost ($16,000) ($31,000)
Interest on Normal Cost $0 $0
Amortization Payment ($11,000) ($23,000)
Interest on Amortization Payment $1,000 $2,000
TOTAL ($26,000) ($52,000)
% CHANGE -12.62% -25.24%
Prairie Lakes Area Education Agency 15
Plan Provisions
Summary of Plan Provisions
Eligibility Under Chapter 509A.13 Group Insurance for Public Employees of the Code of Iowa: If a governing body, a county board of supervisors, or a city council has procured for its employees accident, health, or hospitalization insurance, or a medical service plan, or has contracted with a health maintenance organization authorized to do business in this state, the governing body, county board of supervisors, or city council shall allow its employees who retired before attaining sixty-five years of age to continue participation in the group plan or under the group contract at the employee's own expense until the employee attains sixty-five years of age. Early Retirement Incentive Eligibility Until February of 2009, the Agency offered a special benefit to those classified and licensed employees who had attained age 59 with 15 years of service upon retirement, or those who met the IPERS “Rule of 88” by the year of retirement. The Agency has indicated no continuation of this benefit in the near future. Plan Design
Medical/Prescription Drug Eligible retirees receive health care coverage through one of four fully insured plans: Alliance Select $750 Deductible, Alliance Select $1,000 Deductible, Blue Choice Plan, and an HSA plan. A summary of the key plan design features for each plan is provided in the tables below:
Alliance Select $750 Deductible
In-Network Out-of-Network
Deductible (2X Family) $750
Coinsurance 90% 80%
Out of Pocket Maximum (2X Family) $1,500
Office Visit Benefit $15 copayment Subject to Ded and Coinsurance
Rx Drug Copayment (2X Mail Order) $50 Deductible (Waived for Generic)
Generic $5
Preferred Brand Name $25
Non-Preferred Brand $40
Prairie Lakes Area Education Agency 16
Plan Provisions
Alliance Select $1,000 Deductible
In-Network Out-of-Network
Deductible (2X Family) $1,000
Coinsurance 80% 70%
Out of Pocket Maximum (2X Family) $2,000
Office Visit Benefit $20 copayment Subject to Ded and Coinsurance
Rx Drug Copayment (2X Mail Order) $50 Deductible (Waived for Generic)
Generic $5
Preferred Brand Name $25
Non-Preferred Brand $40
Blue Choice Plan
In-Network Out-of-Network
Deductible (2X Family) $2,000 $4,000
Coinsurance 90% 70%
Out of Pocket Maximum (2X Family) $4,000 $8,000
Office Visit Benefit $25/$40 copayment (PCP/SCP)
Subject to Ded and Coinsurance
Rx Drug Copayment (2X Mail Order) $50 Deductible (Waived for Generic)
Generic $10
Preferred Brand Name $30
Non-Preferred Brand $50
HSA Plan
In-Network Out-of-Network
Deductible (2X Family) $2,500 $3,500
Coinsurance 100% 100%
Out of Pocket Maximum (2X Family) $2,500 $3,500
Office Visit Benefit Subject to Ded and Coinsurance
Rx Drug Copayment (Mail Order N/A) Subject to Ded and Coinsurance
Dental Eligible retired employees are provided a dental benefit on a fully contributory basis. Since it is fully contributory, there is no liability associated with this benefit. Vision Eligible retired employees are provided a vision insurance benefit on a fully contributory basis so there is no liability associated with this benefit.
Prairie Lakes Area Education Agency 17
Plan Provisions
Participant Contributions Contributions are required for both retiree and dependent coverage. Retirees are required to contribute the fully insured premiums. (Note: These premiums are the same as the current active premium equivalents.) The current retiree premiums are provided in the table below. Medical Benefit
Full Monthly Premiums for 7/1/2013 – 6/30/2014
Rate Tier PPO $750 PPO $1,000 Blue Choice HSA
Retiree Only $653.19 $620.70 $502.88 $540.01
Retiree + Family $1,632.97 $1,551.71 $1,257.19 $1,350.05
Early Retirement Incentive In February of 2009, the Agency voted to discontinue its early retirement incentive program. Under the previous program, beginning at age 59 for eligible employees, the Agency would make payments of up to the single health insurance premium for six years, or until the retiree reached Medicare eligibility. This benefit has not been valued for future retirees, and there are currently 28 retirees still receiving the incentive payments.
Prairie Lakes Area Education Agency 18
Actuarial Assumptions
Summary of Actuarial Assumptions
Valuation Date July 1, 2012
Discount Rate A 4.50% annual discount rate is assumed.
Census Data The census was provided by the Agency as of July, 2013.
Actuarial Cost Method Projected Unit Credit with benefits attributed from the date of hire to expected retirement age.
Amortization Method The Unfunded Actuarial Accrued Liability for the Agency’s implicit subsidy is amortized over the maximum acceptable period of 30 years on an open basis. The grandfathered subsidy is amortized over 5 years on a closed basis. These are calculated assuming a level percentage of projected payroll.
Health Care Cost Trend Rate The following annual trend rates are applied on a select and ultimate basis:
Select trend is reduced 0.5% each year until reaching the ultimate trend.
Per Capita Health Claim Cost Per capita health claim costs are developed by applying an age adjustment to the current fully insured premiums. The age 60 per capita health claim cost is presented in the table below.
Age Based Morbidity The assumed per capita health claim costs are adjusted to reflect expected increases related to age. The increase in per capita health claim costs related to age are assumed to be the following:
Non-Claim Expenses Non-claim costs are assumed to be 15% of the premium rates. Two-thirds of fixed expenses are attributed to administrative costs, and the remaining one-third are attributed to pooling costs. The annual per-member non-claim expenses are defined below:
Fixed Costs Admin Stop Loss
Future Retirees $623 $312
Mortality RP-2000 Table projected to 2015 using Scale AA, applied on a gender-specific basis
Termination Annual termination probabilities have been developed from the IPERS Actuarial Valuation as of June 30, 2012. Sample rates are provided below.
Service Male Female
1 15% 15%
5 6.9% 6.9%
10 2.9% 2.9%
15 1.8% 1.8%
20 1.3% 1.3%
25 1.3% 1.2%
30 1.2% 1.2%
Prairie Lakes Area Education Agency 20
Actuarial Assumptions
Retirement Age Annual retirement probabilities have been taken from the IPERS Actuarial Valuation as of June 30, 2012. Sample retirement ages and associated probabilities are as follows:
Early Retirement (Schools)
Age Retirement Rates
55-58 8%
59 9%
60 10%
61 15%
62-64 20%
Normal Retirement (Schools)
Age 1st Year Eligible After 1st Year
55-60 30% 23%
61 30% 30%
62 40% 35%
63-64 30% 30%
Plan Participation Percentage It is assumed that 60% of future retirees eligible participate in the health plan.
Plan Election Percentage The percentage of retirees electing each of the plans available is shown in the table below. These estimates are based on the current retiree elections.
Plan % election
PPO 750 35%
PPO 1000 35%
Blue Choice 30%
HSA 0%
Spousal Coverage It is assumed that 10% of employees with family coverage continue to elect spousal coverage at retirement.
Salary Increase Assumption 3.5% per Annum
Valuation of Excise Tax An active/retiree blended pre-65 claim cost is projected at health care cost trend and compared to the excise tax cost threshold beginning in 2018 and continuing thereafter. Agency will be liable for 40% of the difference between plan costs and the cost threshold, when the plan costs are greater than the cost threshold. Excise tax is not applied to post-65 retiree coverage.
Prairie Lakes Area Education Agency 21
Actuarial Assumptions
Pre-65 Plan Costs The annual plan costs assumed in the valuation of excise tax are based on Agency’s current premium information and plan enrollment and are as follows: Pre 65 employee $6,514 Pre 65 spouse $9,770
Excise Tax Threshold The 2018 annual threshold costs for excise tax are as follows: Active Single $10,200 Active Family $27,500 Pre-65 Retiree Single $11,850 Pre-65 Retiree Family $30,950 The active and pre-65 retiree thresholds have been weighted by current census headcounts. The threshold is assumed to increase at health CPI trend each year.
CPI Trend Health CPI is assumed to increase at a rate of 3% each year.
Prairie Lakes Area Education Agency 22
Census Summary
Census Summary A summary of the current active employee and retired population for Agency is provided in the tables below
Age Group Actives Retirees
<40 47 0
40-44 35 0
45-49 37 0
50-54 36 0
55-59 46 6
60-64 23 31
65-69 3 0
70-74 0 0
75-79 0 0
80-84 0 0
85+ 0 0
Grand Total 227 37
A summary of the current active employees (who are eligible for postemployment benefits) based on years of service is provided in the table below:
Age Group 0-4 5-9 10-14 15-19 20-24 25-29 30+ Total
<40 27 14 6 0 0 0 0 47
40-44 11 12 3 7 2 0 0 35
45-49 11 12 7 2 5 0 0 37
50-54 9 12 3 1 4 6 1 36
55-59 9 12 5 5 4 7 4 46
60-64 3 7 6 1 1 3 2 23
65-69 0 1 0 0 0 1 1 3
70-74 0 0 0 0 0 0 0 0
75-79 0 0 0 0 0 0 0 0
80-84 0 0 0 0 0 0 0 0
85+ 0 0 0 0 0 0 0 0
Grand Total 70 70 30 16 16 17 8 227
Prairie Lakes Area Education Agency 23
Summary of Governmental Accounting Standards Board Statements No. 43 and No. 45
Summary of Governmental Accounting Standards Board Statements No. 43 and No. 45
Applicability of Accounting Standards The Governmental Accounting Standards Board released Statement No. 43 – Financial Reporting for Postemployment Benefit Plans Other Than Pension Plans (“GASB 43”) in April 2004 and Statement No. 45 – Accounting and Financial Reporting by Employers for Postemployment Benefit Plans Other Than Pension Plans (“GASB 45”) in June 2004. These two statements establish uniform accounting and financial reporting standards for state and local governmental entities related to postemployment benefits other than pensions. The required effective date for adoption of the standards by an employer varies depending on their total annual revenue. For the purposes of defining the effective date of the standards, GASB 43 and 45 use the terms phase 1 government, phase 2 government, and phase 3 government. The following table shows the definition of the three phases for plans and employers and their respective effective dates. The employer is required to report under the standards no later than the first fiscal year beginning after the date shown.
Phase Total Annual Revenues Plans Employers
1 $100,000,000 or more 12/15/05 12/15/06
2 $10,000,000 - $100,000,000 12/15/06 12/15/07
3 Less than $10,000,000 12/15/07 12/15/08
Actuarial Cost Methods One of the following actuarial cost methods can be used: Unit Credit, Entry Age Normal, Attained Age, Aggregate, Frozen Entry Age, or Frozen Attained Age. These methods can be used on a service (level dollar) or earnings (level percentage) basis.
Calculation Definitions • Actuarial Accrued Liability (“AAL”) – The AAL is the portion of the actuarial present value of
the total projected benefits allocated to years of employment prior to the measurement date.
• Unfunded Actuarial Accrued Liability (“UAAL”) – The UAAL is the difference between the AAL and the actuarial value of plan assets.
Reporting Requirements • Annual Required Contribution (“ARC”) – The ARC is equal to the normal cost and the
amortization of the Unfunded Actuarial Accrued Liability plus interest. The normal cost is equal to the actuarial present value (“APV”) allocated to one year of service.
• Net OPEB Obligation (“NOO”) – The NOO is the cumulative difference between the ARC and employer’s contributions to the plan. For unfunded plans, the employer’s contribution would be equal to the annual benefit payments less employee contributions. At transition, the NOO may be set at zero.
• Required Supplementary Information (“RSI”) – The RSI will require historical trend information from the last three valuations, including disclosure information about the UAAL
Prairie Lakes Area Education Agency 24
Summary of Governmental Accounting Standards Board Statements No. 43 and No. 45
and the progress in funding the plan. At transition, the RSI may include only the first year of information.
Disclosures The following information is required to be disclosed:
Plan description, including: o Type of employer – single employer, multiple-employer, etc. o Class of employees covered and the number of plan members o Brief description of benefit provisions
Summary of significant accounting policies, including a brief description of how fair value of investments is determined.
Contributions and reserves, including: o Agency under which the obligations of plan members, employer(s), and other
contributing entities who contribute to the plan are established or may be amended. o Funding policy. o Required contribution rates of actives and retirees in accordance with the funding
policy. o Brief description of the terms of any long-term contracts for contributions to the plan
and disclosure of the amounts outstanding at the reporting date. o The balance in the plan’s legally required reserves at the reporting date.
Funded status and progress o Information about the funded status as of the most recent valuation date, including:
Actuarial Valuation Date Actuarial Value of Assets Actuarial Accrued Liability Total Unfunded Actuarial Accrued Liability Funded ratio – actuarial value of assets as a percentage of the actuarial accrued
liability Annual Covered Payroll Ratio of unfunded Actuarial Liability to Annual Covered Payroll
Disclosure of information about actuarial methods and assumptions used in valuations on which reported information about the ARC and the funded status and funding progress of OPEB plans are based.
LEA Request for Transportation Approval
Requesting District District Operating In9.17.13 A. To provide
efficient, most direct routes for transporting local district students.
B. For providing transportation of special education
students to instructional
programs.
C. To pick up open enrollment
student(s) whose family qualifies
for transportation assistance under
Chapter 285.1 (11).
D. To pick up open enrollment
student(s) with agreement by the resident district.
Other
Estherville Lincoln CenGraettinger-TerrilHarris-Lake Park Spirit Lake x xHarris-Lake Park Okoboji x xClay Central-Everly Sioux Central xClay Central-Everly Spencer xSentral Algona x x x xSentral Armstrong-Ringsted x x x xSentral Emmetsburg x x x x 2 mi. limitSentral North Kossuth x x x xSioux Central Alta-Aurelia xSioux Central Ruthven-Ayrshire xSioux Central Clay Central-Everly x x x xSioux Central Laurens-Marathon x xSioux Central Spencer x x x xSioux Central Albert City-Truesdale x xSpirit Lake Okoboji x xSpirit Lake Harris-Lake Park x xSpirit Lake Graettinger-Terril x xSpirit Lake Estherville Lincoln Central x xHumboldt Clarion-Goldfield x xHumboldt Fort Dodge x x xHumboldt Gilmore City-Bradgate x xHumboldt Manson Northwest Webstex x xHumboldt Twin Rivers x xTwin Rivers LuVerne x xTwin Rivers Algona x xTwin Rivers West Bend Mallard x xTwin Rivers Gilmore City-Bradgate x xEagle Grove Clarion-Goldfield x xEagle Grove Fort Dodge x xEagle Grove Humboldt x xEagle Grove Webster City x x
Reasons
BUSINESS MANAGEMENT SERVICES SHARED PERSONNEL AGREEMENT BETWEEN PRAIRIE LAKES AEA AND
NORTH KOSSUTH CSD
This Agreement made and entered into the 1st day of August, 2013, by and between the Prairie Lakes AEA and North Kossuth CSD: WHEREAS, Prairie Lakes AEA and North Kossuth CSD seek a cooperative arrangement to share the services of business management; and WHEREAS, Prairie Lakes AEA and North Kossuth CSD are governmental entities organized and existing under laws of the State of Iowa; and WHEREAS, two or more governmental entities may jointly employ and share the services of school personnel pursuant to Iowa Code section 280.15; and WHEREAS, Prairie Lakes AEA and North Kossuth CSD believe that an agreement pursuant to Iowa Code section 280.15 should be entered into with regard to the sharing of business management services which agreement will be to their mutual advantage. NOW, THEREFORE, Prairie Lakes AEA Board of Directors and North Kossuth CSD Board of Directors agree as follows:
1. Michelle Dowd will provide business management services during the 2013/2014 school year for North Kossuth CSD. Prairie Lakes AEA shall issue her an employment contract, and shall be deemed the employer for purposes of rights and obligations under Iowa law, and for purposes of compliance with federal and state laws relating to employment and employment benefits, subject to contributions by North Kossuth CSD pursuant to this Agreement. The employment arrangement shall be governed by the policies, rules, regulations, and job descriptions of Prairie Lakes AEA.
2. The services of Michelle Dowd will be shared by Prairie Lakes AEA with North Kossuth
CSD. The details of her assignment between Prairie Lakes AEA and North Kossuth CSD will be determined jointly by Prairie Lakes AEA and North Kossuth CSD and her duties and responsibilities in each governmental entity will be determined and assigned by the Chief Administrator. The responsibility for the evaluation of her performance shall remain with Prairie Lakes AEA, pursuant to its established procedures. Prairie Lakes AEA personnel policies and practices shall apply to and govern the conduct and performance of the business management director.
3. North Kossuth CSD shall pay Prairie Lakes AEA $27,500 for business management services
for the 2013-2014 school year. One half of this amount and any other contractual expenses, and applicable travel expenses required due to the conditions of this agreement shall be itemized and billed to North Kossuth CSD December 30, 2013 and June 1, 2014.
4. Prairie Lakes AEA and North Kossuth CSD each agree to indemnify and hold harmless the
other from and against all liability, damages, loss, costs, and reasonable attorney fees which arise out of any claims, suits, actions or other proceedings asserted against the party
indemnified based upon any acts or omissions of the indemnifying party.
5. If at any time the employment of Michelle Dowd is terminated with Prairie Lakes AEA, North Kossuth CSD shall not be obligated to pay any more cost, than listed in Paragraph 3, for those actual days of service performed by Michelle Dowd. Prairie Lakes AEA would be obligated to find and provide a qualified replacement to continue to provide business management services to North Kossuth CSD.
6. This Agreement will automatically continue from one fiscal year to the next unless either
entity notifies the other in writing by March 1. If notice is provided by March 1, the agreement will end on June 30 of that year.
7. This agreement contains the entire understanding between Prairie Lakes AEA and North
Kossuth CSD and cannot be changed or terminated orally but only by an agreement in writing signed by Prairie Lakes AEA and North Kossuth CSD.
8. Should any paragraph or provision of this agreement be declared illegal by a court or agency
of competent jurisdiction, then that paragraph or provision shall be deleted from this agreement to the extent it violates the law. Such deletion shall not affect any other paragraph or provisions of this agreement. Should the parties deem it advisable, they may mutually agree to enter into negotiations to replace the invalid provision.
IN WITNESS WHEREOF, this instrument is executed by the respective officers of Prairie Lakes AEA and North Kossuth CSD on the dates as hereinafter stated. _____________________________________ ________________ President, Board of Directors Date Prairie Lakes Area Education Agency _____________________________________ ________________ President, Board of Directors Date North Kossuth Community School District
TEACHER/LIBRARIAN SERVICES BETWEEN PRAIRIE LAKES AEA AND SIOUX CENTRAL CSD
This Agreement made and entered into the 19th day of August, 2013, by and between the Prairie Lakes AEA and SIOUX CENTRAL CSD: WHEREAS, Prairie Lakes AEA and SIOUX CENTRAL CSD seek a cooperative arrangement to share the services of DOROTHY DEGROOT; and WHEREAS, Prairie Lakes AEA and SIOUX CENTRAL CSD are governmental entities organized and existing under laws of the State of Iowa. NOW, THEREFORE, Prairie Lakes AEA Board of Directors and SIOUX CENTRAL CSD Board of Directors agree as follows:
1. DOROTHY DEGROOT will provide services as a TEACHER/LIBRARIAN during the 2013/2014 school year for SIOUX CENTRAL CSD. Prairie Lakes AEA shall issue her an employment contract, and shall be deemed the employer for purposes of rights and obligations under Iowa law, and for purposes of compliance with federal and state laws relating to employment and employment benefits, subject to contributions by SIOUX CENTRAL CSD pursuant to this Agreement. The employment arrangement shall be governed by the policies, rules, regulations, and job descriptions of Prairie Lakes AEA.
2. SIOUX CENTRAL CSD shall pay Prairie Lakes AEA $17,589.60 for services of a
TEACHER/LIBRARIAN for thirty-six (36) days during the 2013-2014 school year. One half of this amount and applicable travel expenses required due to the conditions of this agreement shall be itemized and billed to SIOUX CENTRAL CSD December 30, 2013 and June 1, 2014.
3. Prairie Lakes AEA and SIOUX CENTRAL CSD each agree to indemnify and hold
harmless the other from and against all liability, damages, loss, costs, and reasonable attorney fees which arise out of any claims, suits, actions or other proceedings asserted against the party indemnified based upon any acts or omissions of the indemnifying party.
4. If at any time the employment of DOROTHY DEGROOT is terminated with Prairie Lakes
AEA, SIOUX CENTRAL CSD shall not be obligated to pay any more cost, than listed in Paragraph 2, for those actual days of service performed by DOROTHY DEGROOT.
5. This Agreement will automatically continue from one fiscal year to the next unless either entity notifies the other in writing by March 1. If notice is provided by March 1, the agreement will end on June 30 of that year.
6. This agreement contains the entire understanding between Prairie Lakes AEA and SIOUX
CENTRAL CSD and cannot be changed or terminated orally but only by an agreement in writing signed by Prairie Lakes AEA and SIOUX CENTRAL CSD.
7. Should any paragraph or provision of this agreement be declared illegal by a court or agency
of competent jurisdiction, then that paragraph or provision shall be deleted from this
agreement to the extent it violates the law. Such deletion shall not affect any other paragraph or provisions of this agreement. Should the parties deem it advisable, they may mutually agree to enter into negotiations to replace the invalid provision.
IN WITNESS WHEREOF, this instrument is executed by the respective officers of Prairie Lakes AEA and SIOUX CENTRAL CSD on the dates as hereinafter stated. _____________________________________ ________________ President, Board of Directors Date Prairie Lakes Area Education Agency _____________________________________ ________________ President, Board of Directors Date SIOUX CENTRAL CSD
Board of Directors
Series 200
Policy Title Membership Code No. 201.5 The Prairie Lakes Area Education Agency Board of Directors shall consist of seven nine members. Date of Adoption: Legal Reference: (Code of Iowa) October 8, 2002 Chap. 273.8 Amended: December 20, 2010 Related Administrative Rules & Regulations
Board of Directors
Series 200
Policy Title Term of Office Code No. 201.6 Each member of the Prairie Lakes AEA Board of Directors is elected for a term of years or to complete the unexpired term of a regularly elected member. Each member of the Prairie Lakes AEA Board of Directors is elected for a term of four years or to complete the unexpired term of a regularly elected member. Beginning in 2013 2009, Director Districts 1, 2, 5,8, and 6 will be elected for four year terms and for each succeeding alternate odd number years. Director Districts #3, 4, 5, and 7 and 9 will be elected in 2015 2011 and for each succeeding alternate odd number years. Members' terms shall expire the first regular meeting in October of alternate odd years. Date of Adoption: Legal Reference: (Code of Iowa) October 8, 2002 Chap. 273.8(1), 273.8(2) Amended: December 20, 2010 Related Administrative Rules & Regulations
Board of Directors Series 200
Policy Title Board Meeting Procedures Code No. 204 Time and Meeting Date
Regular board meeting dates are established by the Prairie Lakes Area Education Agency Board of Directors at its organizational meeting in October as mandated by Iowa law. Special meetings are held as determined by the board.
Minutes of Meetings Records of all actions taken by the agency board of directors shall be set forth in full in the official minutes of the board. The minutes shall be kept on file as a permanent official record of the agency. The secretary shall act as custodian of the minutes and shall make them available to any citizen desiring to examine them during the regular business hours of the agency. Minutes of executive sessions shall be detailed written notes and also recorded on tape. The written minutes and tape shall be sealed and shall not be open to public inspection except by court order. Minutes of any given board meeting shall not become part of the official record until they have been approved by the board at the next regular meeting following the meeting for which the minutes were taken. The minutes of each board meeting shall include as a minimum the following items: a record of the date, time, place, members present, action taken and the vote of each member with the schedule of bills allowed attached.
Agenda The secretary of the board of directors shall submit to the board for its consideration, at least two days before a regular meeting, an agenda which shall set forth the order of business for that meeting, a list of claims provided by the treasurer for distribution, and the minutes of the previous meeting. The agenda shall be incorporated into the public notice given for each regular meeting of the board.
Requests to be on the agenda Requests to appear before the board are to be filed, in writing, with the chief administrator or board secretary, five working days before the board meeting at which a speaker desires to appear. Included in the written request for audience should be the name, address and telephone number of the speaker and the subject to be discussed as well as a brief summary of the problem and the proposed solution requested by the presenter. Anyone who desires to comment briefly (unscheduled) on an agenda topic may be recognized at the discretion of the president. Anyone who has not prearranged to be on the agenda may also be permitted to make a brief statement at the end of the agenda if he/she notified the chief administrator, board secretary or president prior to the meeting or during a recess. Usually a principal speaker is to be allowed five minutes for a presentation and if the president so rules, follow-up speakers may be heard, but limited to a total of 15 minutes per topic. At least one staff member will be at the meeting prepared to respond on the speaker's subject matter. The intent of the Prairie Lakes board is not to deny anyone the opportunity to appear before the board but rather to provide an orderly procedure that will allow sufficient time for notification and preparation of material relevant to the patron's presentation to the board.
Quorum for meetings
A majority of the seven nine directors of the Prairie Lakes Area Education Agency Board of Directors shall be in attendance in order to constitute a quorum for the transaction of business. A majority vote of those present shall be necessary and sufficient for a decision on any motion, unless the vote of a greater number shall be required by law or other board policy with respect to a particular type of issue under consideration. The president of the board shall be allowed to vote on all issues before the board.
Date of Adoption: Legal Reference: (Code of Iowa) October 8, 2002 21.4;279.8 Amended: December 20, 2010 Related Administrative Rules & Regulations
______________________ Early ACCESS (IDEA, Part C) Policies 1
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Early ACCESS Policies
Overview
Introduction This document contains the policies of ___Prairie Lakes AEA___________
that are to be implemented in Region _8__ in accordance with the federal Individuals with Disabilities Education Act, Part C and the Iowa Administrative Rules for Early ACCESS.
Contents This document contains the following policies:
Policy See Page
Early Intervention Services Available to All Eligible Children 2 Regional Eligibility Criteria and Procedures 4 Identification of Eligible Children
Public Awareness 6 Comprehensive Child Find System 7 Evaluation and Assessment 9 Nondiscriminatory Procedures 10
Individualized Family Service Plans (IFSPs) 11 Personnel Standards 16 Comprehensive System of Personnel Development 18 Contracting or Otherwise Arranging for Services 19 Transition to Preschool Programs 20 Equitable Distribution of Resources 22 Procedural Safeguards Including Mediation and Due Process Procedures for Parents and Children
23
Confidentiality 27 Procedures for Resolving Complaints 32 Policies and Procedures Related to Financial Matters 33 Interagency Agreements; Resolution of Individual Disputes 37
______________________ Early ACCESS (IDEA, Part C) Policies 2
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Early Intervention Services Available to All Eligible Children It is the policy of ___Prairie Lakes AEA_ that a comprehensive, coordinated, multidisciplinary, interagency regional Early ACCESS system provides appropriate early intervention services to all eligible infants and toddlers and their families within AEA boundaries, including Indian infants and toddlers and their families. This regional system will be referred to as Region _8___ within Iowa’s statewide Early ACCESS system. Components of the regional Early ACCESS system include:
I. General Supervision: a. Data collection and use for decision-making b. Continuous Improvement and Monitoring c. Policies and procedures in accordance with Iowa Administrative Rules for Early
ACCESS d. Comprehensive System of Personnel Development e. Regional application and report f. Due Process/Mediation g. Coordination of resources (including financial arrangements) h. Interagency agreements/contracts
II. Early Identification (Public awareness, child find, evaluation and eligibility determination)
III. Family-centered early intervention services in natural environments, service coordination, and individual family service plans
IV. Transition Early intervention services are developmental services that (a) are provided under public supervision, (b) are selected in collaboration with parents, (c) are provided at no cost, except when permitted by the state’s system of payments, (d) are designed to meet the developmental needs of infants and toddlers and the needs of the family to appropriately assist in the infant’s or toddler’s development, as identified by an IFSP team, in one or more of five listed areas, (e) meet the standards of Iowa for early intervention services, (f) include services listed below, (g) are provided by qualified personnel, (h) to the maximum extent appropriate are provided in natural environments, and (i) are provided in conformity with an IFSP.
The five listed areas in item “d” are physical development, cognitive development, communication development, social or emotional development, or adaptive development. The early intervention services referred to in item “f” and made available to eligible children include:
Assistive technology devices Assistive technology services Audiology services Family training, counseling and home
visits Health services Medical services only for diagnostic or
Physical therapy Psychological services Service coordination services Sign language and cued language
services Social work services Special instruction
______________________ Early ACCESS (IDEA, Part C) Policies 3
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Speech-language pathology services Transportation and related costs Vision services
Legal References Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281 --120.804(1)(a-c) Early ACCESS system–regional and community levels
______________________ Early ACCESS (IDEA, Part C) Policies 4
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Regional Eligibility Criteria and Procedures
Eligibility procedures of Region 8 are in accordance with the Iowa Administrative Rules for Early ACCESS.
Children eligible for early intervention service within Iowa’s Early ACCESS system include any infant and toddler from birth to the age of three years who has been determined by a multidisciplinary team to meet one of the following criteria:
Is experiencing a developmental delay, which is a 25 percent delay as measured by appropriate diagnostic instruments and procedures, in one or more of the following areas: a. Cognitive development; b. Physical development, including vision and hearing; c. Communication development; d. Social or emotional development; e. Adaptive development; or
Has a diagnosed physical or mental condition that: a. Has a high probability of resulting in developmental delay; and b. Includes conditions such as chromosomal abnormalities; genetic or congenital
disorders; sensory impairments; inborn errors of metabolism; disorders reflecting disturbance of the development of the nervous system; congenital infections; severe attachment disorders; and disorders secondary to exposure to toxic substances, including fetal alcohol syndrome.
Use of informed clinical opinion is emphasized when determining eligibility and means the integration of the results of evaluations, direct observations in various settings, and varied activities with the experience, knowledge, and skills of qualified personnel. Qualified personnel must use informed clinical opinion when conducting an evaluation and assessment of the child. For evaluation purposes, the multidisciplinary requirement may be satisfied by one individual qualified in more than one discipline or profession. It is the policy of Prairie Lakes AEA to not include children considered to be at risk of having substantial developmental delays in its definition of eligible children for Part C under this application.
______________________ Early ACCESS (IDEA, Part C) Policies 5
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References
Federal Requirements: 20 U.S.C. 1435(a)(5)(A) Comprehensive Child Find System 20 U.S.C. 1435(a)(1) Definition of developmental delay 20 U.S.C. 1435(a)(3) Evaluation 34 CFR 303.21 Infants and toddlers with disabilities 34 CFR 303.113 State eligibility criteria and procedures 34 CFR 303.300 et seq. 34 CFR 303.111 State definition of developmental delay 34 CFR 303.203(c) Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.21 Definition, “Infant or Toddler with a Disability 281—120.24(2) Definition “Multidisciplinary IFSP Team” 281—120.38(8) Definition, “Eligible Children” 281—120.38(13) Definition, “Informed Clinical Opinion”
______________________ Early ACCESS (IDEA, Part C) Policies 6
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Identification of Eligible Children It is the policy of _Prairie Lakes AEA_ to ensure that all infants and toddlers in Region _8_ who are eligible for services are identified, located, and evaluated, and that an effective method to determine which children are receiving needed early intervention services that are developed and implemented in accordance with the Iowa Administrative Rules for Early ACCESS. Early identification includes: public awareness activities, comprehensive child find procedures, and evaluation, assessment and non-discriminatory practices.
Public Awareness The public is made aware of the Early ACCESS system and the need to identify, locate and evaluate all eligible children from birth to the age of three years so that early intervention supports and services can be provided to meet each child’s needs and those of the child’s family. Public awareness materials include state developed public information materials, child development information, and information about interagency screening and referral activities. Information about the toll-free information referral line is also disseminated. The public awareness activities include ways to inform the public about:
1. The Early ACCESS system, 2. The child find system, including the purpose and scope of the system; how to make
referrals; how to gain access to a comprehensive, multidisciplinary evaluation and early intervention services; and
3. The Central Directory of available early intervention services.
Legal References Public Awareness Program
Federal Requirements: 20 U.S.C. 1435(a)(6) Public awareness program Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.804(1)(a-b) Early ACCESS grantees 281—120.804(2) Community partners 281—120.116 Public awareness program 281—120.301 Public awareness program—information for parents
______________________ Early ACCESS (IDEA, Part C) Policies 7
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Comprehensive Child Find System A comprehensive coordinated child identification system exists in Region _8_ that makes it possible to ascertain the number of infants and toddlers with disabilities who are receiving Part C services and those who are not. The child find system is consistent with Part B of the Individuals with Disabilities Act. _Prairie Lakes AEA_in collaboration with local representatives of Signatory Agencies, community partners, and families ensures that the child find system is coordinated with all major efforts to locate and identify children conducted by agencies responsible for administering the various education, health and social service programs relevant, tribes and tribal organizations that receive funding under Part C, including the following: Child Find authorized under Part B of the Act; Maternal and Child Health program under Title V of the Social Security Act; Early & Periodic, Screening, Diagnosis & Treatment Program under Title XIX of the Social
Security Act; Developmental Disabilities Assistance and Bill of Rights Act; Head Start including Early Head State; Supplemental Security Income Program under Title XVI of the Social Security Act; Child protection and child welfare programs including agencies responsible for administering
the Child Abuse Prevention and Treatment Act (CAPTA); Child care programs; Programs that provide services under the Family Violence Prevention and Services Act; Early Hearing Detection and Intervention (EHDI) systems; and Hawk-I, Children’s Health Insurance Program authorized under Title XXI of the Social
Security Act. _Prairie Lakes AEA_ in collaboration with local representatives of Signatory Agencies, community partners, and families ensures: 1. There will not be unnecessary duplication of effort by the various agencies involved in
Iowa’s child find system, and 2. The use of the resources available through each public agency in the region to implement the
child find system in an effective manner.
Comprehensive public awareness information regarding identification of policies and procedures including screening, referral, multidisciplinary evaluation, family assessment, and eligibility determination in, and the provision of services have been developed by the Lead Agency, the Iowa Department of Education. The information is disseminated to primary referral sources within Region ___ through in-service and written materials. Referrals are made no more than seven working days after a child has been identified. A toll-free 800 number provides a single point of entry for referrals. Public awareness information, disseminated by primary referral sources including hospitals and physicians, is tracked by the Prairie Lakes AEA and the Iowa Department of Education. These primary referral sources include:
______________________ Early ACCESS (IDEA, Part C) Policies 8
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Hospitals, including prenatal and postnatal care facilities; Physicians; Parents; Child care programs; Area education agencies, local education agencies, and schools; Public and private health providers; Other social service agencies; Other health care providers; Public agencies and staff in the child welfare system, including child protective service and
foster dare; Homeless family shelter; and Domestic violence shelters and agencies. It is the policy of the _Prairie Lakes AEA_ that referrals, either verbal or in writing, are made no more than seven working days after a child has been identified by a primary referral source. Once a referral for further screening or evaluation is received, the public agency assigns a service coordinator as soon as possible. Within 45 days of receiving a referral, public agencies must complete evaluation and assessment activities and hold an Individualized Family Service Plan (IFSP) meeting for eligible children. Regional procedures provide for an effective method of making referrals by primary referral sources and for determining the extent to which primary referral sources, especially hospitals and physicians, disseminate the information prepared by the Lead Agency on the availability of early intervention services to parents of eligible infants and toddlers. Regional procedures require for referral of a child under the age of three who is subject of a substantiated case of child abuse or neglect or who is identified as directly affected by illegal substance abuse or withdrawal symptoms resulting from prenatal drug exposure.
Legal References Comprehensive Child Find System
Federal Requirements: 20 U.S.C. 1435(a)(5) Comprehensive child find system 20 U.S.C. 1437(a)(6) Referral for early intervention services Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.302 Comprehensive child find system 281—120.303 Referral procedures
______________________ Early ACCESS (IDEA, Part C) Policies 9
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Evaluation and Assessment It is the policy of the _Prairie Lakes AEA_ that a timely, comprehensive, multidisciplinary evaluation of each child, birth to age three, referred for evaluation, and a family-directed assessment of the needs of each child and each child’s family is provided, in accordance with the Iowa Administrative Rules for Early ACCESS, to appropriately assist in the development of the child. The following definitions apply to evaluation and assessment activities:
1. Evaluation means the procedures used by appropriate qualified personnel to determine a child’s initial and continuing eligibility for Early ACCESS, consistent with the definition of infants and toddlers with disabilities, including determining the status of the child in each of the developmental areas.
2. Assessment means the ongoing procedures used by appropriate qualified personnel throughout the period of a child’s eligibility to identify the child’s unique strengths and needs and the services to meet those needs, and the resources, priorities and concerns of the family as the supports and services necessary to enhance the family’s capacity to meet the developmental needs of the eligible child.
The 2012 Early ACCESS rules allow for a determination that a child is eligible based on a review of medical records alone. The evaluation and assessment must be conducted by personnel trained to utilize appropriate methods and procedures and be based on informed clinical opinion. The evaluation and assessment includes the following:
A review of the pertinent records related to the child’s current health status and medical history;
An evaluation of the child’s level of functioning in developmental areas, including cognitive development, physical development, including vision and hearing, communication development, social or emotional development, and adaptive development; and
An assessment of the unique needs of the child in the above-listed developmental areas, including the identification of services appropriate to meet those needs.
Family-directed assessment must be conducted by personnel trained to utilize appropriate methods and procedures in order to identify the resources, priorities, and concerns of the family, and the identification of the supports and services necessary to enhance the family’s capacity to meet the needs of the child. Assessments of the family must:
Be voluntary on the part of each family member participating in the assessment; Be based on information obtained through an assessment tool and also through an interview
with those family members who elect to participate in the assessment; and Include the family’s description of its resources, priorities, and concerns related to
enhancing the child’s development. It is the policy of _Prairie Lakes AEA_ that the initial evaluation and initial assessment of each child, including the family assessment, must be completed with 45 days after the referral is received. If exceptional circumstances make it impossible to complete the evaluation and assessment activities within the 45 days, these circumstances are documented and, to the extent possible, an interim IFSP is developed and implemented.
______________________ Early ACCESS (IDEA, Part C) Policies 10
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Nondiscriminatory Procedures It is the policy of the _Prairie Lakes AEA_ that all agencies responsible for evaluation and assessment activities shall use nondiscriminatory procedures. Public agencies responsible for the evaluation and assessment of children and families shall ensure at the minimum that:
1. Tests and other evaluation materials and procedures are administered in the native language of a parent or child or other mode of communication, unless it is clearly not feasible to do so;
2. Any assessment and evaluation procedures and materials that are used are selected and administered so as not to be racially or culturally discriminatory;
3. No single procedure is used as the sole criterion for determining a child’s eligibility for Early ACCESS; and
4. Evaluation and assessments are conducted by qualified personnel.
Legal References Evaluation, Assessment, and Nondiscriminatory Procedures
IDEA 2004 Federal Requirements: 20 U.S.C. 1435(a)(3) Evaluation Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.24 Multidisciplinary 281—120.25 Native language 281—120.321 Evaluation of the child and assessment of the child and family
______________________ Early ACCESS (IDEA, Part C) Policies 11
Early ACCESS Policies adopted by the Board of ___________________________ on date.
INDIVIDUALIZED FAMILY SERVICE PLANS (IFSPs) Individualized Family Service Plans – General It is the policy of the _Prairie Lakes AEA_ to require the development and implementation of Individualized Family Service Plans (IFSPs) for each eligible child and their family requiring early intervention services. An IFSP means a written plan for providing early intervention services to an eligible child and the child’s family. The plan is developed in accordance with Iowa Administrative Rules for Early ACCESS, is based on the evaluation and assessment of those rules and meets rule requirements regarding the contents of the IFSP. It is also the policy of the _Prairie Lakes AEA_ that early intervention services are provided in natural environments, to the maximum extent appropriate for the needs of the eligible child. “Natural environment” means settings that are natural or typical for a same-aged infant or toddler without a disability. Natural environments include home or community settings in which children without disabilities participate. The provision of early intervention services for each eligible child may occur in settings other than the natural environment that are most appropriate, as determined by the parent and the IFSP team, only when early intervention services cannot be achieved satisfactorily in a natural environment. The provisions on natural environments do not apply to services listed in an IFSP that are intended to meet the needs of a parent or other family member and not the needs of the child, such as participation in a parent support program. _Prairie Lakes AEA_ ensures procedures exist in accordance with Iowa Administrative Rules for Early ACCESS for the (1) development, review and evaluation for the IFSP, (2) who participates in the meetings and periodic reviews, (3) evaluation and assessment, and (4) contents of the IFSP. If there is a dispute between agencies as to who has the responsibility for developing or implementing an IFSP, the Lead Agency shall resolve this dispute or assign responsibility. Procedures for IFSP Development, Review, and Evaluation For a child referred to the Early ACCESS system and determined eligible, a meeting to develop the initial IFSP must be conducted within the 45-day time period. A review of the IFSP for a child and a child’s family must be conducted every six months, or more frequently if conditions warrant, or if the family requests such a review. The purpose of this periodic review of the IFSP is to determine the degree to which progress toward achieving the outcomes is being made and whether modification or revision of the outcomes or services is necessary. Periodic reviews are carried out by a meeting or by another means that is acceptable to parent and other participants. A meeting must be conducted on at least an annual basis to evaluate and revise, as appropriate, the IFSP for the child and child’s family. The results of any current evaluations and other information available from the assessments of the child and family are used to determine the early intervention services that are needed and will be provided.
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Early ACCESS Policies adopted by the Board of ___________________________ on date.
IFSP meetings are conducted in settings and at times that are convenient to families and in the native language of the family or other modes of communication used by the family, unless it is clearly not feasible to do so. Meeting arrangements are made with, and written notice provided to, the family and other participants early enough before the meeting date to ensure that the participants will be able to attend. The contents of the IFSP are fully explained to a parents and informed written consent must be obtained prior to the provision of early intervention services described in the IFSP. If a parent does not provide consent with respect to a particular early intervention service or withdraws consent after first providing it, that service may not be provided. The early intervention services to which parental consent is obtained must be provided within 30 days from the date consent is received. If exceptional circumstances make it impossible to complete the initial service within 30 days, these circumstances are documented and the service is provided as soon as possible. Participants in IFSP Meetings and Periodic Reviews It is the policy of the _Prairie Lakes AEA_ that all IFSPs must be developed by a multidisciplinary team, which must include the parents. For this purpose, multidisciplinary means including involvement of the parent and two or more individuals from separate disciplines or professions, at least one of whom must be the service coordinator. Consistent with that definition, the following participants must be included at initial and annual IFSP team meetings:
1. The parent or parents of the child; 2. Other family members as requested by a parent, if feasible to do so; 3. An advocate or person outside of the family, if the parent requests that the person
participate; 4. The service coordinator who has been working with the family since the initial referral of
the child for evaluation, or who has been designated by Early ACCESS to be responsible for the implementation of the IFSP;
5. A person or persons directly involved in conducting the evaluations and assessment; and 6. As appropriate, persons who may be providing services to the child and family including
primary health care provider. If a person or persons directly involved in conducting the evaluations and assessment is unable to attend the initial or annual IFSP meeting, arrangements must be made for the person’s involvement through other means, including one of the following:
1. Participating in a conference call; 2. Having a knowledgeable authorized representative attend the meeting; or 3. Making pertinent records available at the meeting.
It is the policy of the _Prairie Lakes AEA_ that the following participants must be included in periodic reviews:
1. The parent or parents of the child; 2. Other family members as requested by a parent, if feasible to do so;
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Early ACCESS Policies adopted by the Board of ___________________________ on date.
3. An advocate or person outside of the family, if the parent requests that the person participate;
4. The service coordinator who has been working with the family since the initial referral of the child for evaluation, or who has been designated by Early ACCESS to be responsible for the implementation of the IFSP;
If conditions warrant, provisions must be made for the participation of the following:
5. A person or persons directly involved in conducting the evaluations and assessment; and 6. As appropriate, persons who may be providing services to the child and family including
primary health care provider.
Content of an IFSP It is the policy of the _Prairie Lakes AEA_ that contents of the IFSP include:
1. Information of the child’s status. The IFSP shall include a statement of the infant or toddler with a disability’s present levels of physical development including vision, hearing and health status; cognitive development; communication development; social or emotional development; and adaptive development based on the information from the child’s evaluation and assessments.
2. Family information. With the concurrence of the family, the IFSP must include a statement of the family’s resources, priorities, and concerns related to enhancing the development of the child as identified through the assessment of the family.
3. Outcomes. The IFSP must contain a statement of the measureable outcomes expected to be achieved for the child (including preliteracy and language skills, as developmentally appropriate for the child) and the family and the criteria, procedures, and timelines used to determine progress toward achieving the outcomes and whether modifications or revisions of outcomes or services are necessary.
4. Early intervention services. The IFSP must include a statement of the specific early intervention services, based on peer-reviewed research (to the extent practicable), that are necessary to meet the unique needs of the child and the family to achieve the outcomes including:
The length, duration, frequency, intensity and method of delivering the early intervention services. “Frequency” and “intensity” means the number of days or sessions that a service will be provided and whether the service is provided on an individual or group basis. “Method” means how a service is provided. “Length” means the length of time the service is provided during each session of that service (such as an hour or other specified time period). “Duration” means projecting when a given service will no longer be provided (such as when the child is expected to achieve the outcomes if the child’s IFSP).
A statement that each early intervention service is provided in the natural environment for the child and a justification statement if the services are provided in a setting other than a natural environment. Justification must be made by the IFSP team which includes the parent and other team members and must be based on child’s outcomes.
The actual place or location where a service will be provided. The payment arrangements, if any.
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Early ACCESS Policies adopted by the Board of ___________________________ on date.
5. Other services. To the extent appropriate, the IFSP also must: Identify medical and other services that the child or family needs or is receiving
through other sources, but that are neither required nor funded under Iowa Administrative Rules for Early ACCESS; and
If those services are not currently being provided, include a description of the steps the service coordinator or family may take to assist the child and family in securing those other services.
6. Dates and duration of services. The IFSP must include the projected date for the initiation of each early intervention service and must be as soon as possible after the parent consents to the service. The IFSP must include the anticipated duration of each service.
7. Service Coordinator. The IFSP must include the name of the service coordinator from the profession most relevant to the child’s or family’s needs (or the name of the person who is otherwise qualified to carry out service coordinator responsibilities), who will be responsible for implementing the early intervention services indentified in a child’s IFSP, including transition services, and coordination with other agencies and persons. The term “profession” includes service coordination.
8. Transition from Early ACCESS services. The IFSP must include the steps and services to be taken to support the transition of the child to preschool services under IDEA Part B to the extent that those services are appropriate or to other appropriate services. Steps and services taken must include:
Discussions with, and training of, parents, as appropriate, regarding future placements and other matters related to the child’s transition;
Procedures to prepare the child for changes in service delivery, including steps to help the child adjust to, and function in, a new setting;
With parental consent, confirmation that child find information about the child has been transmitted to the AEA or other relevant agency and transmission of additional information needed by the AEA to ensure continuity of services from Early ACCESS to the Part B program, including a copy of the most recent evaluation and assessments of the child and the family and the most recent IFSP; and
Identification of transition services and other activities that the IFSP team determines are necessary to support the transition of the child.
Provision of Services before Evaluation and Assessment are Completed Early intervention services for an eligible child and the child’s family may commence before the completion of the evaluation and assessments in order to facilitate the provision of services in the event that a child may have obvious immediate needs and if the following conditions are met:
1. Parental consent is obtained; 2. An interim IFSP is developed that includes:
The name of the service coordinator who will be responsible for implementing of the interim IFSP and coordinating with other agencies and persons;
The early intervention services that have been determined to be needed immediately by the child and the child’s family; and
3. Evaluations and assessments are completed within the 45-day timeline.
______________________ Early ACCESS (IDEA, Part C) Policies 15
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References Individualized Family Service Plans (IFSPs)
Federal Requirements: 34 CFR 303.24 Multidisciplinary 34 CFR 303.26 Natural environment 34 CFR 303.126 Early intervention services in natural environments 34 CFR 303.342 Procedures for IFSP development, review, and evaluation 34 CFR 303.343 IFSP team meeting and periodic review 34 CFR 303.344 Content of an IFSP 34 CFR 303.345 Interim IFSPs—provision of services before evaluations and assessments
are completed Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281-120.24 Multidisciplinary 281-120.26 Natural environment 281-120.126 Early intervention services in natural environments 281-120.342 Procedures for IFSP development, review, and evaluation 281-120.343 IFSP team meeting and periodic review 281-120.344 Content of the IFSP 281-120.345 Interim IFSPs—provision of services before evaluations and assessments
are completed
______________________ Early ACCESS (IDEA, Part C) Policies 16
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Personnel Standards It is the policy of _Prairie Lakes AEA_ that personnel standards are established and maintained to ensure that personnel, including paraprofessionals and assistants, necessary to carry out the requirements of Iowa Administrative Rules for Early ACCESS are appropriately and adequately prepared and trained in accordance with the Comprehensive System of Personnel Develop. It is the policy of the _Prairie Lakes AEA_ to establish and maintain qualification standards that are consistent with any state-approved or state-recognized certification, licensing, registration, or other comparable requirements that apply to the profession, discipline, or area in which personnel are providing early intervention services. It is the policy of the _Prairie Lakes AEA_ to utilize the personnel standards of Signatory Agencies for the provision of early intervention services. This is consistent with the collaborative interagency nature of the Early ACCESS system. Licensure boards govern licensure in Iowa. There are state statutes and rules that govern the issuance of licenses to qualified individuals. Information determining the status of licensed personnel is on file in two locations: Iowa Board of Educational Examiners Iowa Department of Public Health’s Bureau of Professional Licensure. The Board of Educational Examiners allows for instructional personnel to obtain a conditional license for up to three years after which the applicant must be eligible for the endorsement and be recommended by the college/university to add to the provisional, education or professional teacher license. All of these persons have a least a four-year college degree and a license to teach, although they may not hold the appropriate endorsement in the area to which they are presently assigned. It is the policy of the Prairie Lakes AEAthat paraprofessionals and assistants who provide early intervention services to eligible children are appropriately trained and supervised, in accordance with the highest standards within the state. As stated above, the personnel standards of Signatory Agencies for paraprofessionals and assistants are utilized for the provision of early intervention services. Paraprofessionals and assistants are included in the personnel standard policies and procedures. Information about the status of personnel standards in Iowa is on file with the Lead Agency and available to the public.
______________________ Early ACCESS (IDEA, Part C) Policies 17
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References
Personnel Standards Federal Requirements: 34 CFR 303.118 Comprehensive System of Personnel Development (CSPD) 34 CFR 303.119 Personnel standards Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.118 Comprehensive System of Personnel Development (CSPD) 281—120.119 Personnel standards
______________________ Early ACCESS (IDEA, Part C) Policies 18
Early ACCESS Policies adopted by the Board of ___________________________ on date.
COMPREHENSIVE SYSTEM OF PERSONNEL DEVELOPMENT _Prairie Lakes AEA_ has developed and is implementing a comprehensive system of personnel development (CSPD) in collaboration with the Lead Agency that includes training of paraprofessionals and the training of primary referral sources with respect to the basic components of Early ACCESS that is consistent with the requirements of Iowa Administrative Rules for Early ACCESS to ensure sufficient number of qualified and skilled providers of Early ACCESS supports and services. The _Prairie Lakes AEA_ ensures that training is consistent with the Iowa’s comprehensive system of personnel development and must include:
1. Trained personnel to implement innovative strategies and activities for the recruitment and retention of early intervention service providers;
2. Promoting the preparation of early intervention service providers who are fully and appropriately qualified to provide early intervention services; and
3. Training personnel to coordinate transition services for infants and toddlers with disabilities who are transitioning from early intervention in Early ACCESS to a Part B preschool program, Head Start, Early Head Start, an elementary school program under Part B, or any other appropriate program.
A comprehensive system of personnel development may include:
1. Training personnel to work in rural and inner-city areas; 2. Training personnel in the emotional and social development of young children; 3. Training personnel to support families in participating fully in the development and
implementation of the child’s IFSP; and 4. Training personnel who provide services under this chapter using standards that are
consistent with early learning personnel development standards funded under the state advisory council on early childhood education and care established under the Head Start Act, if applicable.
Legal References Comprehensive System of Personnel Development
Federal Requirements: 34 CFR 303.118 Comprehensive System of Personnel Development (CSPD) Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.118 Comprehensive System of Personnel Development (CSPD)
______________________ Early ACCESS (IDEA, Part C) Policies 19
Early ACCESS Policies adopted by the Board of ___________________________ on date.
CONTRACTING OR OTHERWISE ARRANGING FOR SERVICES It is the policy of the _Prairie Lakes AEA_that all agency contracts or other arrangements with public or private service providers to provide early intervention services meet federal requirements and are in accordance with Iowa Administrative Rules for Early ACCESS and include:
1. A requirement that all early intervention services from public or private providers meet state standards and be consistent with Part C and Iowa Administrative Rules for Early ACCESS; and
2. Be consistent with the Education Department General Administrative Regulations in 34 CFR Part 80 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments).
All agency contracts must also be in accordance with Iowa laws.
Legal References Policy for Contracting or Otherwise Arranging for Services
IDEA 2004 Federal Requirements: 20 U.S.C. 1435(a)(11) Contracting 34 CFR 303.121 Policy for contracting or otherwise arranging for services
Iowa Requirements: Iowa Code: 28E.12 Contract with other agencies Iowa Administrative Rules for Early ACCESS, effective May 23, 2012: 281–120.121 Policy for contracting or otherwise arranging for services 281–120.13 Early intervention services
______________________ Early ACCESS (IDEA, Part C) Policies 20
Early ACCESS Policies adopted by the Board of ___________________________ on date.
TRANSITION TO PRESCHOOL PROGRAMS It is the policy of the _Prairie Lakes AEA_ that toddlers receiving early intervention services shall have a smooth transition when exiting from Early ACCESS to preschool or other services, in accordance with Iowa Administrative Rules for Early ACCESS. Transitions occur at various points in time for children in the Early ACCESS system. Transitions may include moving into, within, and from Early ACCESS services. IFSP teams are required to discuss transition issues facing the child and family and make plans that assist the child and family in making smooth transitions regarding appropriate future services. In order to facilitate the child’s smooth transition to preschool or other appropriate services, to ensure continuity of services for the child, and consistent with FERPA regulations, parental consent need not be obtained when transferring Early ACCESS records to another education institution, such as another administrative unit within the same AEA, another AEA, or a local school district or accredited nonpublic school. If transfer of records is required to another type of agency, parental consent will be sought unless another FERPA exception to consent applies. In the case of a child who may not be eligible for preschool services under the Iowa Administrative Rules for Special Education, with the approval of a parent of the child, the service coordinator, the parents and appropriate service providers who may have been or potentially may be serving the child and family shall make reasonable efforts to convene a conference among the Regional Grantee and providers of other appropriate services for the purpose of discussing the appropriate services that the child may need. In the case of a child who may be eligible for preschool services under Iowa Administrative Rules for Special Education, with the approval of a parent of the child, a conference is convened among the Regional Grantee, the service coordinator, the family, the local education agency, and providers of other appropriate services not fewer than 90 days—and, at the discretion of all parties, not more than nine months—before the toddler’s third birthday to discuss services the toddler may receive under IDEA Part B special education. Procedures to ensure a smooth transition to preschool or other appropriate services for children receiving early intervention services is required of _Prairie Lakes AEA_as Region _8_ Grantee. These procedures describe how: Families of children will be included in the transition planning for their children; Local education agencies will be notified that an eligible child resides in their district, and
that the child will shortly reach the age of eligibility for preschool services under Part B of IDEA, including how parents shall be involved in such notification;
A review will occur of the child’s program options for the period from the child’s third birthday through the remainder of the school year, and how the preschool or other services will be provided following the child’s third birthday; and
A transition plan will be established for each eligible child.
______________________ Early ACCESS (IDEA, Part C) Policies 21
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References Transition to Preschool Programs
Federal Requirements: 20 U.S.C. 637(a)(9) Transition to preschool programs Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.209 Transition to preschool and other programs 281—120.344(8) Transition from Part C services
______________________ Early ACCESS (IDEA, Part C) Policies 22
Early ACCESS Policies adopted by the Board of ___________________________ on date.
EQUITABLE DISTRIBUTION OF RESOURCES
Services to All Geographic Areas Services to all eligible children and families in Region _8_ are assured through the existence of a statewide, comprehensive, coordinated, multidisciplinary, interagency system of early intervention services. The _Prairie Lakes AEA_ has been designated as the Early ACCESS Region _8_ Grantee. These grantees exist, at a minimum, in geographic areas that ensure statewide coverage. The _Prairie Lakes AEA_ ensures the appropriate provision of early intervention services region-wide including providing services to Indian infants and toddlers and their families residing on a reservation geographically located in the state and infants and toddlers with disabilities who are homeless children and their families.
Legal References Equitable Distribution of Resources
Federal Requirements: 20 U.S.C. 637(a)(7) Services in all geographic area. Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.112 Availability of early intervention services 281—120.804(1) Early ACCESS grantees
______________________ Early ACCESS (IDEA, Part C) Policies 23
Early ACCESS Policies adopted by the Board of ___________________________ on date.
PROCEDURAL SAFEGUARDS Including Mediation and Due Process Procedures for Parents and Children
It is the policy of the _Prairie Lakes AEA_ that procedural safeguards required under IDEA and the Iowa Administrative Rules for Early ACCESS are met. Early ACCESS, Iowa’s IDEA Part C, follows Iowa’s IDEA Part B procedural safeguards regarding due process. Eligible children and their parents are afforded the procedural safeguards identified in this text. Public agencies have procedural safeguards material included within their IFSP procedure for each family. Definitions of Consent, Native Language, and Personally Identifiable Information _Prairie Lakes AEA_ assures that each public agency establishes, maintains, and implements procedural safeguards. Each agency uses the following terms in defining procedural safeguards: 1. Consent means that: (i) the parent has been fully informed of all information relevant to the
activity for which consent is sought, in the parent’s native language or other mode of communication; (ii) the parent understands and agrees in writing to the carrying out of the activity for which consent is sought, and the consent describes that activity and lists the records (if any) that will be released and to whom; and (iii) the parent understands that the granting of consent is voluntary on part of the parent and may be revoked at any time.
2. Native language when used with reference to a person with limited English proficiency or LEP means the language or mode of communication normally used by the parent of the child. In all direct contact with the child, communication will be in the language normally used by the child and not that of a parent if there is a difference between the two. If a parent is deaf or blind, or has no written language, the mode of communication will be what is normally used by the person (such as sign language or Braille).
3. Personally identifiable information means that information includes, but is not limited to: (i) the name of the child, (ii) the child’s parent, or other family member; (iii) the address of the child or child’s family; (iv) a personal identifier, such as the child’s or parent’s social security number or child/student identification number; (v) other indirect identifiers, such as the child’s date of birth, place of birth, and mother’s maiden name; or (vi) a list of personal characteristics or other information that, alone or in combination, would make it possible to identify a child with reasonable certainty.
Opportunity to Examine Records The parents of an eligible child must be afforded the opportunity to inspect and review records relating to screening, evaluation and assessments, eligibility determinations, development and implementation of the IFSPs, provision of early intervention services, individual complaints involving the child, or any part of the child’s early intervention record.
______________________ Early ACCESS (IDEA, Part C) Policies 24
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Prior Written Notice and Procedural Safeguard Notice _Prairie Lakes AEA_ as Region _8_ Grantee must have procedures for providing parents with prior written notice. Prior written notice by the public agency must be given to the parents within a reasonable time before the public agency proposes, or refuses, to initiate or change the identification, evaluation or placement of the child or the provision of early intervention services to the child or the child’s family. Public agency means the Regional Grantee and any other political subdivision of the state that is responsible for providing early intervention services to eligible children and families. Prior written notice by a public agency must include: A description of the action proposed or refused by the agency; The reason for taking the action; An explanation of all procedural safeguards that are available under IDEA, Part C for the
child and family; and A description of the state complaint procedures, including how to file a complaint and the
timelines involved. The notice by a public agency must be written in language understandable to the general public and provided in the native language of the parent or other mode of communication used by the parent. If the native language or other mode of communication of the parent is not a written language, the public agency must take steps to ensure that the notice is translated orally or by other means to the parent in his or her native language or other mode of communication; the parent understands the content of the notice; and there is written evidence that the notice requirements have been met. If the parent is deaf or blind, or has no written language, the mode of communication must be what is normally used by the parent such as sign language, Braille, or oral communication. Parent Consent Parental consent must be obtained before:
Administering screening procedures; Conducting all evaluations and assessments of the child or family; Early intervention services are provided to a child or family; Public benefits or insurance or private insurance is used; and Disclosure of personally identifiable information.
If consent is not given, the public agency will make reasonable efforts to ensure that a parent is fully aware of the nature of the evaluation, assessment, or the services that are available and understands that the child will not be able to receive the evaluation, assessment, or services unless consent is given.
______________________ Early ACCESS (IDEA, Part C) Policies 25
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Parent Right to Decline Service The parents of an eligible child may determine whether they, their child, or other family members will accept or decline any early intervention service and may decline such a service after first accepting it, without jeopardizing other early intervention services. Surrogate Parents The rights of a child are protected if no parent can be identified; if the public agency, after reasonable efforts, cannot discover the whereabouts of a parent; or if the child is a ward of the State under the laws of Iowa. The duty of the public agency includes the assignment of an individual to act as a surrogate for the parents. _Prairie Lakes AEA assures that there are procedures for determining whether a child needs a surrogate parent and for assigning a surrogate parent to the child. It is the responsibility of the public agency to select a surrogate parent in a way permitted under State law. The public agency must ensure that a person selected as a surrogate:
Is not an employee of the department or any other public agency or early intervention service provider that provides early intervention services, education, care, or other services to the child or any family member of the child;
Has no personal or professional interest that conflicts with the interest of the child the person represents; and
Has knowledge and skills that ensure adequate representation of the child. A person who is otherwise qualified to be a surrogate parent is not an employee of the agency solely because he or she is paid by the agency to serve as a surrogate parent. The surrogate parent has the same rights as a parent for all early intervention purposes. The surrogate parent may represent the child in all matters relating to: 1. The evaluation and assessment of the child; 2. Development and implementation of the child’s IFSP, including annual evaluations and
periodic reviews; 3. The ongoing provision of early intervention services to the child; and 4. Any other rights established under IDEA, Part C. Mediation and Due Process Procedures for Parents and Children _Prairie Lakes AEA_ ensures that procedures established by the Lead Agency are implemented in Region _8_ to allow parties to resolve disputes through mediation or through the filing of a due process complaint are followed. Unless the public agency and the parents of a child otherwise agree, the child involved in the mediation or due process complaint must continue to receive the appropriate early intervention services currently being provided, as provided for in Iowa Administrative Rules for Early
______________________ Early ACCESS (IDEA, Part C) Policies 26
Early ACCESS Policies adopted by the Board of ___________________________ on date.
ACCESS. If the complaint involved an application for initial early intervention services, the child must receive those services that are not in dispute.
Legal References Procedural Safeguards
Federal Requirements: 34 CFR 303.7 Consent 34 CFR 303.25 Native language 34 CFR 303.29 Personally identifiable information 34 CFR 303.401 Confidentiality and opportunity to examine records 34 CFR 303.420 Parent consent and ability to decline services 34 CFR 303.421 Prior written notice and procedural safeguards notice 34 CFR 303.422 Surrogate parents 34 CFR 303.430 State dispute resolution options 34 CFR 303.431 Mediation 34 CFR 303.432 Adoption of state complaint procedures 34 CFR 303.433 Minimum state complaint procedures 34 CFR 303.434 Filing a complaint 34 CFR 303.435 Appointment of an administrative law judge 34 CFR 303.436 Parental rights in due process hearing proceedings 34 CFR 303.437 Convenience of hearings and timelines 34 CFR 303.438 Civil action Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.7 Consent 281—120.25 Native language 281—120.29 Personally identifiable information 281—120.401 Confidentiality and opportunity to examine records 281—120.420 Parent consent and ability to decline services 281—120.421 Prior written notice and procedural safeguards notice 281—120.422 Surrogate parents 281—120.430 State dispute resolution options 281—120.431 Mediation 281—120.432 Adoption of state complaint procedures 281—120.433 Minimum state complaint procedures 281—120.434 Filing a complaint 281—120.435 Appointment of an administrative law judge 281—120.436 Parental rights in due process hearing proceedings 281—120.437 Convenience of hearings and timelines 281—120.438 Civil action Iowa Administrative Rules of Special Education 281—41
______________________ Early ACCESS (IDEA, Part C) Policies 27
Early ACCESS Policies adopted by the Board of ___________________________ on date.
CONFIDENTIALITY Confidentiality of Information It is the policy of the _Prairie Lakes AEA_ to ensure the protection of the confidentiality of any personally identifiable data, information, and records collected, maintained, or used by ___Prairie Lakes AEA_ and early intervention providers for eligible children and families in accordance with the Federal Educational Rights and Privacy Act (FERPA). Notice to Parents Agencies participating in Early ACCESS are required to inform parents of their right to written notice of and written consent to the exchange of this information among agencies consistent with federal and state law. The notice includes: 1. A description of the children on whom personally identifiable information is maintained, the
types of information sought, the methods the state intends to use in gathering the information (including the sources from whom information is gathered), and the uses to be made of the information;
2. A summary of the policies and procedures that participating agencies must follow regarding storage, disclosure to third parties, retention, and destruction of personally identifiable information;
3. A description of all of the rights of parents and children regarding this information, including the rights under FERPA; and
4. A description of the extent to which the notice is given in the native languages of the various population groups of the state.
Access Rights Participating agencies must permit parents to inspect and review any early intervention records relating to their children that are collected, maintained, or used by the agency under IDEA, Part C. Participating agency means any agency or institution that collects, maintains, or uses personally identifiable information, or from which information is obtained. The agency shall comply with a request without unnecessary delay and before any meeting regarding an IFSP, or any hearing relating to the identification, evaluation, or provision of early intervention services, and in no case, more than 10 days after the request has been made. The right to inspect and review early intervention records includes: 1. The right to a response from the participating agency to reasonable requests for explanations
and interpretations of the early intervention records; 2. The right to request that the agency provide copies of the early intervention records
containing the information if failure to provide those copies would effectively prevent the parent from exercising the right to inspect and review the records; and
3. The right to have a representative of the parent inspect and review the early intervention records.
______________________ Early ACCESS (IDEA, Part C) Policies 28
Early ACCESS Policies adopted by the Board of ___________________________ on date.
A participating agency may presume that the parent has authority to inspect and review records relating to the parent’s child unless the agency has been provided documentation that the parent does not have the authority under applicable state law governing such matters as custody, foster care, guardianship, separation, and divorce. Record of Access Each participating agency shall keep a record of parties obtaining access to early intervention records collected, maintained, or used under Part C of IDEA (except access by parents and authorized employees of the participating agency). The record must include the name of the party, the date access was given, and the purpose for which the party is authorized to use the early intervention record. Records on More Than One Child If any early intervention record includes information on more than one child, the parents of those children have the right to inspect and review only the information relating to their child or to be informed of that specific information. List of Types and Location of Information Each participating agency must provide parents, on request, a list of the types and locations of early intervention records collected, maintained, or used by the agency. Fees Each participating agency may charge a fee for copies of records that are made for parents if the fee does not effectively prevent the parents form exercising their right to inspect and review those records. A participating agency may not charge a fee to search for or to retrieve information. A participating agency must provide at no cost to parents a copy of each evaluation, assessment of the child, family assessment, and IFSP as soon as possible after each IFSP meeting. Amendment of Records at Parent’s Request A parent who believes that information in the early intervention records collected, maintained, or used is inaccurate, misleading or violates the privacy or other rights of the child or parent may request the participating agency that maintains the information amend the information. The agency must decide whether to amend the information in accordance with the request within a reasonable period of time of receipt of the request. If the agency refuses to amend the information in accordance with the request, the agency must inform the parent of the refusal and advise the parent of the right to a hearing.
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Early ACCESS Policies adopted by the Board of ___________________________ on date.
Opportunity for a Hearing The participating agency shall, on request, provide parents with the opportunity for a hearing to challenge information in their child’s early intervention records to ensure that it is not inaccurate, misleading, or otherwise in violation of the privacy or other rights of the child or parents. Result of Hearing If, as a result of the hearing, the participating agency decides that the information is inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the participating agency must amend the information accordingly and so inform the parent in writing. If, as a result of the hearing, the participating agency decides that the information is not inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the agency must inform the parent of the right to place in the early intervention records it maintains on the child a statement commenting on the information or setting forth any reasons for disagreeing with the decision of the agency. Any explanation placed in the early intervention records of the child under this rule must be maintained by the agency as part of the records of the child as long as the record or contested portion is maintained by the agency. If the early intervention records of the child or the contested portion are disclosed by the agency to any party, the explanation must also be disclosed to the party. The hearing proceedings must be conducted according to 34 CFR 99 FERPA regulations. Consent Prior to Disclosure or Use Except for disclosures authorized under Part 99 of FERPA regulations and disclosure to participating agencies (including the Lead Agency and early intervention service providers) that are part of the state’s Part C system, prior parental consent must be obtained before personally identifiable information is: 1. Disclosed to anyone other than authorized representatives, officials, or employees of
participating agencies collecting, maintaining, or using the information under Iowa Administrative Rules for Early ACCESS; or
2. Used for any purpose other than meeting a requirement of federal regulations. If a parent refuses to give consent, the participating agency shall attempt to seek resolution through a meeting to explain to parents how their failure to consent affects the ability of their child to receive services. A public agency may not file a due process complaint in response to a parent’s refusal to grant consent. Safeguards Each participating agency must protect the confidentiality of personally identifiable information at collection, maintenance, use, storage, disclosure, and destruction stages. To assure protection: 1. One official at each participating agency must assume responsibility for ensuring the
confidentiality of any personally identifiable information;
______________________ Early ACCESS (IDEA, Part C) Policies 30
Early ACCESS Policies adopted by the Board of ___________________________ on date.
2. All persons collecting or using personally identifiable information must receive training or instruction regarding the state’s policies and procedures;
3. Each participating agency must maintain, for public inspection, a current listing of the names and positions of those employees within the agency who may have access to personally identifiable information.
Destruction of Information The public agency must inform parents when personally identifiable information collected, maintained, or used is no longer needed to provide early intervention services to the child. “No longer needed to provide services” means that a record is no longer relevant to the provision of Early ACCESS services and is no longer needed for accountability and audit purposes. At a minimum, a record needed for accountability and audit purposes must be retained for five years after completion of the activity for which funds were used. After that time period, and at the request of the parents, the information must be destroyed; however, a permanent record of a child’s name, date of birth, parent contact information (including address and phone number), names of service coordinator(s) and early intervention service provider(s), and exit data (including year and age upon exit and any programs entered into upon exiting) may be maintained without time limitation. Early ACCESS records must be retained for a minimum of three years after an eligible child is determined to be no longer eligible under Part C or Part B.
______________________ Early ACCESS (IDEA, Part C) Policies 31
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References Confidentiality
Federal Requirements: 34 CFR Part 99 FERPA 34 CFR 303.402 Opportunity to examine records 34 CFR 300.404 Notice to parents 34 CFR 300.405 Access rights 34 CFR 300.406 Record of access 34 CFR 300.407 Records on more than one child 34 CFR 300.408 List of types and locations of information 34 CFR 300.409 Fees for records 34 CFR 300.410 Amendment of records at parent’s request 34 CFR 300.411 Opportunity for a hearing 34 CFR 300.412 Result of a hearing 34 CFR 300.413 Hearing procedures 34 CFR 300.414 Consent prior to disclosure or use 34 CFR 300.415 Safeguards 34 CFR 300.416 Destruction of information 34 CFR 300.417 Enforcement Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.402 Confidentiality 281—120.404 Notice to parents 281—120.405 Access rights 281—120.406 Record of access 281—120.407 Records on more than one child 281—120.408 List of types and locations of information 281—120.409 Fees for records 281—120.410 Amendment of records at a parent’s request 281—120.411 Opportunity for a hearing 281—120.412 Result of hearing 281—120.413 Hearing procedures 281—120.414 Consent prior to disclosure or use 281—120.415 Safeguards 281—120.416 Destruction of information 281—120.417 Enforcement
______________________ Early ACCESS (IDEA, Part C) Policies 32
Early ACCESS Policies adopted by the Board of ___________________________ on date.
PROCEDURES FOR RESOLVING COMPLAINTS It is the policy of the _Prairie Lakes AEA_ that the _Prairie Lakes AEA_ as Region _8__ Grantee shall comply with Iowa Administrative Rules of Early ACCESS on resolving state complaints.
Legal References
Procedures for Resolving Complaints Federal Requirements: CFR 303.432 Adoption of state complaint procedures CFR 303.433 Minimum state complaint procedures CFR 303.434 Filing a complaint Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.432 Adoption of state complaint procedures 281—120.433 Minimum state complaint procedures 281—120.434 Filing a complaint
______________________ Early ACCESS (IDEA, Part C) Policies 33
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Policies and Procedures Related to Financial Matters Policies Related to Payment for Services It is the _Prairie Lakes AEA_ policy that early intervention services as defined in the Iowa Administrative Rules for Early ACCESS, recommended by the IFSP team, and written on the child’s/family’s Individualized Family Service Plan, are provided for eligible children at no charge to the child and parent. Parents will not be subjected to fees or a system of payments for these early intervention services. These early intervention services are consistent with 34 CFR 303.13 and include but are not limited to the following:
Assistive technology device Assistive technology service Audiology services Family training, counseling and home
visits Health services Medical services only for diagnostic or
Physical therapy Psychological services Service coordination services Signed language and cued language
services Social work services Special instruction Speech-language pathology services Transportation and related costs Vision services
The Iowa Departments of Education, Human Services, and Public Health and the University of Iowa’s Child Health Specialty Clinics have an agreement to provide available early intervention services at no cost to families. It is the policy of __Prairie Lakes AEA_ that services are provided in a timely manner and not delayed or denied to children entitled to receive those services because of disputes between agencies regarding financial or other responsibilities. Policies Related to Use of Public Benefits or Insurance or Private Insurance to Pay for Early ACCESS Services It is the __Prairie Lakes AEA_ policy that, with regard to using public benefits or insurance of a child or parent to pay for Part C services, the agency:
1. May not require a parent to sign up for or enroll in public benefits or insurance programs as a condition of receiving Part C services and must obtain consent prior to using the public benefits or insurance of a child or parent if that child or parent is not already enrolled in such a program;
2. Must obtain consent to use a child’s or parent’s public benefits or insurance to pay for Part C services if that use would:
Decrease available lifetime coverage or any other insured benefit for that child or parent under that program;
Result in the child’s parents paying for services that would otherwise be covered by the public benefits or insurance program;
______________________ Early ACCESS (IDEA, Part C) Policies 34
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Result in any increase in premiums or discontinuation of public benefits or insurance for that child or that child’s parents; or
Risk loss of eligibility for the child or that child’s parents for home- and community-based waivers based on aggregate health-related expenditures.
3. If the parent does not provide consent, the agency must still make available those Part C services on the IFSP to which the parent has provided consent.
It is the ___Prairie Lakes AEA__ policy that proceeds from public insurance or benefits or from private insurance are not treated as program income for the purposes of 34 CFR 80.25. If an agency receives reimbursements from federal funds (e.g., Medicaid reimbursements attributable directly to federal funds), for services under Part C of IDEA, those funds are considered neither state or local funds in order to assure the non-supplanting of funds as required in 34 CFR 303.225. Fees It is the __Prairie Lakes AEA_ policy that the following functions are carried out at public expense by the state and for which no fees may be charged to parents: Early ACCESS child find activities; Evaluation and assessment and IFSP planning purposes; Service coordination services; Administrative and coordinative activities related to:
1. The development, review and evaluation of IFSPs; and 2. The implementation of procedural safeguards;
Implementation of components of the statewide system as outlined in subpart D of IDEA, Part C – Program and Services (definition of developmental delay, central directory, timetables, public awareness, child find, evaluation and assessment) and subpart F-State Administration; and
Due process. State law requires the provision of a free appropriate public education to children requiring special education from birth. Children requiring special education are served under the Early ACCESS system which provides early intervention services at no charge to parents. Identification and Coordination of Resources As Region _8___ Grantee, the _Prairie Lakes AEA_ is responsible for the identification and coordination of all available resources for early intervention services within Region __8__. This includes resources from federal, state, local and private sources and updating information on funding sources if a legislative or policy change occurs. Federal funding sources include: Title V of the Social Security Act (relating to Maternal and Child Health);
______________________ Early ACCESS (IDEA, Part C) Policies 35
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Title XIX of the Social Security Act (relating to general Medicaid Program, EPSDT and the Infant/Toddler program);
The Head Start Act; Parts B and C of Individuals with Disabilities Act; The Developmental Disabilities Assistance and Bill of Rights Act (PL 94-103); and Other federal programs, including but not limited to the state Children’s Health Insurance
Program, Temporary Assistance to Needy Families (TANF), and Early Head Start. Other state and local funding sources that contribute to the Part C system in Iowa:
School Ready Funds; Private insurance with written parent consent unless Title XIX or Title V eligible; Private agency support; and Local foundations. Delivery of Services in a Timely Manner Procedures to ensure that services are provided to children eligible for Early ACCESS in a timely manner, pending the resolution of financial or other disputes among public agencies or service providers is the responsibility of the Iowa Department of Education as Lead Agency and a requirement of __Prairie Lakes AEA_ as Region _8__ Grantee. Signatory Agencies have an agreement to use a continuum of alternative dispute resolution procedures to resolve Part C child/system issues and concerns. This continuum of procedures meets Part C regulations and is modeled after IDEA/Part B regulations. Payor of Last Resort It is the _Prairie Lakes AEA_ policy that Part C funds may not be used to satisfy a financial commitment for services that would otherwise have been paid for from another public or private source, including any medical program administered by the Department of Defense, but for the enactment of Part C. Early ACCESS funds, state and federal, may be used only for early intervention services that an eligible child needs but is not currently entitled to receive or have payment made from any other federal, state, local, or private source. It is the _Prairie Lakes AEA_ policy that Part C funds can be used to pay a provider for services, pending reimbursement from the agency or entity that has ultimate responsibility in order to prevent a delay in the timely provision of services to an eligible child or the child’s family. Payments may be made for required early intervention services, eligible health services, functions of the child find system, evaluation and assessment. This payment option does not apply to medical services or “well baby” health care.
______________________ Early ACCESS (IDEA, Part C) Policies 36
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Reimbursement Procedure All bills for early intervention services will flow through each Signatory Agency or Regional Grantee providing the services. Should Part C funds be necessary to support a service in order to prevent a delay in service provision, the participating agencies (Signatory Agencies and Regional Grantees providing service) may use Part C funds to pay the provider of services, pending timely reimbursement from the agency or entity that has ultimate responsibility for the payment. Agencies will use their internal accounting and auditing procedures to comply with this regulation.
Legal References Policies and Procedures Related to Financial Matters
Federal Requirements: 34 CFR 303.13 Early intervention services 34 CFR 303.510 Payor of last resort 34 CFR 303.511 Methods to ensure the provision of, and financial responsibility for, Part C
services 34 CFR 303.520 Policies related to use of public benefits or insurance or private insurance
to pay for Part C services 34 CFR 303.521 System of payments and fees Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281—120.13 Early intervention services 281—120.510 Payor of last resort 281—120.511 Methods to ensure the provision of, and financial responsibility for, Early
ACCESS services 281—120.520 Policies related to use of public benefits or insurance or private insurance
to pay for Early ACCESS services 281—120.521 System of payments and fees
______________________ Early ACCESS (IDEA, Part C) Policies 37
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Interagency Agreements; Resolution of Individual Disputes An Early ACCESS Memorandum of Agreement (MOA) has been developed between Iowa’s Lead Agency, the Iowa Department of Education, and the Signatory Agencies which include: Iowa Department of Public Health, Iowa Department of Human Services, and University of Iowa’s Child Health Specialty Clinics. A copy of the signed MOA is available from the Iowa Department of Education. The agreement meets the requirements under IDEA, Part C. Interagency Agreements It is the policy of the _Prairie Lakes AEA_that formal interagency agreements with other agencies to assist in the implementation of the Part C system meet the minimum specifications under IDEA, Part C, including:
1. The financial responsibility of each agency paying for early intervention services that is consistent with state law and Part C requirements;
2. The procedures for achieving a timely resolution of intra- and interagency disputes about payments for a given service(s) or other aspects of the state’s early intervention program. The procedures include a mechanism for making a final determination that is binding upon agencies involved;
3. The process that permits each state agency participating in Iowa’s early intervention program to resolve any internal disputes so long as the agency does so in a timely manner. Should an agency be unable to resolve its own internal dispute in a timely manner through their own agency’s dispute resolution procedures, the Lead Agency will follow procedures in achieving resolution of interagency disputes; and
4. Any additional components necessary to ensure effective cooperation and coordination among all agencies involved in Iowa’s early intervention program.
All interagency agreements must be in accordance with state code. Resolution of Disputes All disputes shall be resolved pursuant to the terms of Iowa Administrative Rules on Early ACCESS and the MOA referred to above. Delivery of Services in a Timely Manner Early intervention services are provided to children eligible for Early ACCESS in a timely manner, pending the resolution of disputes among public agencies or service providers. Procedures for the timely provision of services, ensuring that no service to which a child is entitled is delayed or denied because of disputes between agencies regarding financial or other responsibilities, are required of _Prairie Lakes AEA_ as Region __8__ Grantee.
______________________ Early ACCESS (IDEA, Part C) Policies 38
Early ACCESS Policies adopted by the Board of ___________________________ on date.
Legal References Interagency Agreements; Resolutions of Individual Disputes
Federal Requirements: 34 CFR 303.120 Lead agency role in supervision, monitoring, funding, interagency
coordination, and other responsibilities 34 CFR 303.511(c) Procedures for resolving disputes 34 CFR 303.511(d) Delivery of services in a timely manner Iowa Requirements: Iowa Administrative Rules for Early ACCESS, effective May 23, 2012 281–120.120 Lead agency role in supervision, monitoring, funding, interagency
coordination, and other responsibilities 281–120.511(3) Procedures for resolving disputes 281–120.511(4) Delivery of services in a timely manner 281–120.801 Early ACCESS system—state level 281–120.803 System level disputes 281–120.804 Early ACCESS system—regional and community levels
“We choose to go to the moon. We choose to go to the moon in this decade and do the other things, not because they are easy, but because they are hard, because that goal will serve to organize and measure the best of our energies and skills, because that challenge is one that we are willing to accept, one we are unwilling to postpone, and one which we intend to win, and the others, too.”
‐JFK; Rice U Sept 12, 1962
Are you ready?
Who are YOU (we)?
&
Why are you (we) here?
Who are you (we)?
• Introductions– Name
– Position
– Primary Office– What you did in your last job
•Greatest hopes & dreams•Biggest fears or unknowns
Why are you (we) here?
• Coach Korver; NWC Football ’83
• Start with Why; How Great Leaders Inspire Everyone to Take Action by Simon Sinek
• Why do you do what you do?
What & How• Special Education (80%)
– Closing the gap– Expanding our scope
• General Education (10%)– Focus on early literacy (C4K)– Core thru Conceptual teaching & learning
• Media Technology (10%)– Resource utilization– Integration
Sense of Urgency
Where are YOU at right now?
comfortable terrified/excited
8
Iowa 4th Grade NAEP Reading* Note: Intervals between testing years are not equal
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Iowa’s Rank among the States4th Grade NAEP Reading
State DashboardIndicator 1: Entering Kindergarten Ready to ReadPercent of Kindergarteners Assessed as At‐Benchmark on DIBELS/DIBELS Next Initial/First Sounds FluencyGreen Yellow Orange Red
80 ‐ 100% 70‐79% 60‐69% Less than 60%
Indicator 2: Proficient Readers by 3rd GradePercent of Students in 3rd Grade Proficient in ReadingGreen Yellow Orange Red
100% ‐ 85% 84% ‐ 75% 74% ‐ 60% 59% ‐ 0%
Indicator 3: Identification of Students with Intensive Learning NeedsSpecial Education Identification RateGreen Yellow Orange Red
10% or less 11% ‐ 15% 16% ‐ 19% 20% or more
64%
13%
76%
State Dashboard, cont.Indicator 4: Achieving at High Levels in Core Academic AreasPercent of Students in Grades 3‐8 and 11 ProficientGreen Yellow Orange Red
100% ‐ 85% 84% ‐ 75% 74% ‐ 60% 59% ‐ 0%
Indicator 5: Making a Year's Growth in a Year's Time in Core Academic AreasPercent of Students in Grades 4‐8 Making a Year of GrowthGreen Yellow Orange Red
100% ‐ 80% 79% ‐ 50% 49% ‐ 30% 29% ‐ 0%
Indicator 6: Prepared for Post‐Secondary EducationPercent of Students in 11th Grade that are College ReadyGreen Yellow Orange Red
100% ‐ 80% 79% ‐ 50% 49% ‐ 30% 29% ‐ 0%
Reading: 71%
Math: 77%
Science: 78%
Reading: 39%
Math: 47%
Science: 34%
Science: 28%
Reading: 35%
Math: 41%
Number of hours of technology PDreported by PLAEA teachers
(n = 1,138)
Percentage of PLAEA teachers who ask a majority of their students to use digital tools to…
(n = 1,138)
Sense of Urgency
And now?
comfortable terrified/excited
Tony Wagner – Creating Innovators
“The world does not care what you
know. It cares what you can do with what you know.”
EXPECTATIONS
To Improve the Learning Outcomes for EACH child…
• Know WHY you (we) are here• Serve others (fill your own bucket)• Contribute (lead)• Inspire passion (in yourself & others)• Innovate (be creative)• Problem solve (think)• Focus on Results (Results Only Work Environment; ROWE)
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Teacher Leadership and Compensation – We believe that the AEA system is the infrastructure that the state needs to deliver programming. We partner with our districts to ensure the best teachers are in classrooms with kids helping to improve the instructional competence and ultimately the student outcomes.
Core Curriculum – This year, almost 500 educators have formed consortiums within Prairie Lakes AEA. The educators in these school districts are collaborating around the Iowa Core to ensure that all kids have access to the skills and knowledge that they will need to thrive in the 21st Century.
Economic Development – In each of our schools, our future taxpayers are preparing to lead Iowa into its future. We want them to stay here, raise a family and we need to ensure that every child has an opportunity for a great job in the state of Iowa. With 80 percent of AEA resources supporting the growth and education of learners with special education needs, it is imperative that we provide these children with the knowledge and skills to make an impact once they graduate from high school.
Challenging Behaviors – We are responding to our district’s shouts for help with students with behavior issues that make it difficult for the child, their classmates, and the educators serving them. We know that kids can’t learn if they can’t behave and we need additional staff to be able to provide the continuum of support that is needed. Teachers who face challenging behaviors can seek out their AEAs for an assessment that will give them the tools to effectively deal with challenging behaviors.
Please let us know if there is any additional information that can help you understand the amazing work that happens from Jewell to Titonka to Harris‐Lake Park to Odebolt‐Arthur (and the other 40 districts in the 8,000 square miles of Iowa territory that Prairie Lakes serves). We would welcome any opportunity to show the impact that funding and our amazingly dedicated, skilled staff have on kids. Thank you for your time and attention to the support of the AEA!
Respectfully,
Mr. Jeff Herzberg Mr. Dean Saunders Mr. Bruce Bahnson Chief Administrator Board President Board Vice‐President
Mr. Gary Astor Mr. Todd Lundgren Mrs. Linda Twait Board Member Board Member Board Member
Mr. Cliff Garvey Mr. Steve Jimmerson Board Member Board Member
Facilitating and Coaching the Implementation of an Integrated Multi-Tiered System of Supports
38th Annual School Administrators of Iowa Conference2013
Des Moines, IA
Dr. George M. BatscheInstitute for School ReformUniversity of South Florida
The Cultural Context Within Which We Are Trying to Facilitate Systems Change
– Transition to Common Core State Standards
– Transition to Common High Stakes Assessments
– Performance Evaluations Tied to Student Growth
– Economic Crises-greater efficiency of operations needed
– Alternatives to Public K-12 Education
– AYP Projections and Expectations
– Recruitment and Retention of Qualified Professionals
– Common Language/Common Understanding with Educators, Parents and the Community
Developing a Model in Response To These Issues
• More efficient system– Work smart
– Integrated systems
• More effective system– Use science to inform practice
– Focus all on student outcomes
• Focus on skill sets of professionals– PD tied to change in adult behavior that
improves student outcomes
Developing A Model
Efficient Delivery of Highly Effective Practices
• Statewide District Needs Assessment Results:– Integrate Practices to Reduce Duplication,
Increase Effective Use of Personnel and Provide Greater Support for Instruction Less is More.
– Focus Resource Development and District Resources On:
– Evidence-based Coaching Strategies– Leadership Skills to Support MTSS– Family and Community Engagement– Aligning K-12 MTSS-Focus on Secondary– Evaluation Models to Demonstrate Outcomes– Common Language/Common Understanding Around an
Integrated Data-Based Problem-Solving Process– Integrating Technology and Universal Design for Learning
MTSS• A Multi-Tiered System of Supports (MTSS) is a term used to
describe an evidence-based model of schooling that uses data-based problem-solving to integrate academic and behavioral instruction and intervention.
• The integrated instruction and intervention is delivered to students in varying intensities (multiple tiers) based on student need.
• “Need-driven” decision-making seeks to ensure that district resources reach the appropriate students (schools) at the appropriate levels to accelerate the performance of all students to achieve and/or exceed proficiency .
Multi-tier System of Student Supports (MTSSS):Response to Instruction/Intervention (RtI)
An Overview of Data-based Problem-solving within a Multi-tier System of Student Supports in Florida’s Public Schools
7
Intensive, Individualized Supports•Intensive interventions based on individual student needs•Students receiving prolonged interventions at this level may be several grade levels behind or above the one in which they are enrolled•Progress monitoring occurs most often to ensure maximum acceleration of student progress•If more than approximately 5% of students are receiving support at this level, engage in Tier 1 and Tier 2 level, systemic problem‐solving
Targeted, Supplemental Supports•Interventions are based on data revealing that students need more than core, universal instruction•Interventions and progress monitoring are targeted to specific skills to remediate or enrich, as appropriate•Progress monitoring occurs more frequently than at the core, universal level to ensure that the intervention is working•If more than approximately 15% of students are receiving support at this level, engage in Tier 1 level, systemic problem‐solving
Core, Universal Supports•Research‐based, high‐quality, general education instruction and support•Screening and benchmark assessments for all students•Assessments occur for all students •Data collection continues to inform instruction•If less than approximately 80% of students are successful given core, universal instruction, engage in Tier 1 level problem‐solving
Evaluate•Response to Instruction & Intervention (RtI2)
Problem Analysis•Validating Problem•Identify Variables that contribute to problem•Develop Plan
Define the Problem•Defining Problem/Directly Measuring Behavior
Implement Plan•Implement As Intended•Progress Monitor•Modify as Necessary
Problem Solving Process
Multi-Tiered System of Student SupportsMission and Vision
The vision of a Multi-Tiered System of Supports is to:•Enhance the capacity of school districts to successfully implement and sustain a multi-tiered system of student supports with fidelity in every school •Accelerate and maximize student academic and social-emotional outcomes through the application of data-based problem solving utilized by effective leadership at all levels of the educational system •Inform the development, implementation, and ongoing evaluation of an integrated, aligned, and sustainable system of service delivery that prepares all students forpost-secondary education and/or successful employment within our global society.
What Are the Evidence-Based Characteristics of Effective Schools
• Characteristics
– Strong Leadership
– Positive Belief and Teacher Dedication
– Data Utilization and Analysis
– Effective Scheduling
– Professional Development
– Scientifically-Based Intervention Programs
– Parent Involvement(Crawford and Torgeson)
» (
Coaching
• Coaches or Coaching?
• Coaching is an element of PD and a “close cousin” to consultation with content
• Role definition must be clear, both for the coach and the stakeholders
• The accountability for coaching must be clear and concrete
Coaches
• Job Title
• Job Description
• Administrator must clearly define the role, position in the school organization and expectations for receiving coaching
• Coach must have a formal evaluation with clearly defined accountability standards
Coaching
• Role of coaching must be clearly defined
• Expectations for outcomes of coaching must be clearly defined– Measurable outcomes in adults
– Measurable outcomes for students
• Coaching role may have to be added to job descriptions, union contract language, FTE assignment levels
%8HIJ =KL$! 8? : ;$
Professional Development
Leadership Support
Problem-Solving Facilitation Skills
Content Knowledge
Core Skill Areas for ALL Staff
• Data-Based Decision Making Process• Coaching/Consultation• Problem-Solving Process• Data Collection and Management• Instruction/Intervention Development, Support
and Evaluation• Intervention Fidelity• Staff Training• Effective Interpersonal Skills
• Coaching (or PD)- Adult Behaviors– Specific content or organizational focus
– Defined behaviors in those being coached
– Observation protocol to evidence new behaviors
– Gradual release of coaching support• Less frequent observations with stable strength
of skill
Coaching Accountability Model
• Coaching (or PD)- Student Outcomes– What changes in student behavior/skill is
expected in the presence of new adult behaviors
• Increase rate of growth in subject area
• Increase in appropriate behavior in Tier 1
• Increase in student engagement
• Increase in parent participation
Coaching:Challenges
• Where does it fit into the organizational structure?
• What level of accountability exists for its use and outcomes?
• What happens if coaching is not valued, accepted or does not achieve its outcome with adult behavior?
• Who evaluates the presence/absence of the new adult behaviors
What Do We Know About Successful Implementation of an
Integrated MTSS System?
It’s About
LEADERSHIP
22
Every system is perfectly aligned for the results it gets.
Sustainable Scaling-Up
**Consensus Building throughout the Phases
Framework for Change
Stages of Implementing MTSS
• Consensus– Belief is shared– Vision is agreed upon– Implementation requirements understood
• Infrastructure Development– Regulations– Training/Technical Assistance– Model (e.g., Standard Protocol)– Tier I and II intervention systems
• e.g., K-3 Academic Support Plan– Data Systems and Management– Technology support– Decision-making criteria established– Schedules
• Implementation
Why have past initiatives failed?
• Failure to achieve CONSENSUS• School culture is ignored• Purpose unclear• Lack of ongoing communication• Unrealistic expectations of initial success• Failure to measure and analyze progress• Participants not involved in planning• Participants lack skills and lack support for
the implementation of new skills
Tomorrow’s PresentationCritical Elements
Implementation: Critical Elements Checklist
1. Common Language, Common Understanding
2. District and School Infrastructure
3. Problem-Solving Process
4. Realistic Data Sources/Matrix
5. Delivering the Goods
a. Effective Instruction
b. Integrating the Tiers
c. Schedules
d. Intervention Support
e. Student Engagement/Lesson Study
6. Evaluating the Outcomes
Critical Element #1
Common Language/Common Understanding
in order to meet benchmarks.
=
These students get these tiersof support
+
Three Tiered Model of Student Supports
The goal of the tiers is student success, not labeling.
The most intense (increased time, narrowed focus, reduced group size) instruction and intervention based upon individual student need provided in addition to and aligned with Tier 1 & 2 academic
More targeted instruction/intervention and supplemental support in addition to and aligned with the core academic and behavior curriculum.
Tier 1: Core, Universal Instruction & Supports.
General academic and behavior instruction and support provided to all students in all settings.
Revised 12/7/09
Model of Schooling
• All district instruction and intervention services have a “place” in this model.
• If it does not fit in the model, should it be funded?
• All supplemental and intensive services must be integrated with core.
www.florida-rti.org(educator resources, MTSS
Guidance
How Do We “Do” MTSS
• Organized by a Plan
• Driven by Professional Development
• Supported by Coaching and Technical Assistance
• Informed by Data
It's a Frame, Not a Box
Parts of the “Frame”• 3 Tiers of service delivery into which all
academic and behavioral instruction/intervention “fit.”– Content is not been defined by the model
• Use and regular review of data to ensure students are responding to the tiered instructional delivery.
Parts of the “Frame”
• Instruction/interventions are modified and intensified based on student performance data
• Instruction is integrated and systematically planned across the tiers
Foundations of MTSS:Fundamental Principles of Teaching
and Learning
Some Fundamental Principles
• Academic Engaged Time (AET)– AET predicts student performance better than any
other variable, including:• IQ
• Language
• SES
• Disability
• Culture/Race
– Amount of time students are engaged in quality instruction
– Includes evidence-based instructional strategies
– Matched to student context, culture and relevance
– With student engagement in the process
Some Fundamental Principles• Standards Based Instruction
– What students should know and be able to do
– Clearly defined for each grade level and subject area
– Serve as the content for high-stakes assessment
– Utilizes benchmark assessment to determine if students and the curriculum is “on-track”
– Assists in the identification of “essential elements” of instruction
Some Fundamental Principles• Essential Elements Instruction
– The critical skills required to progress to the next grade level
– Typically, critical skills are those required to be successful at the beginning of the next year
– Not all skills taught during the year are the “critical skills” necessary for student progression
– When we are “running out of time” with some students, prioritizing “critical skills” can accelerate student performance
Some Fundamental Principles
• Rate of Growth• Where is the student now?• Where is the student supposed to be?• How much time do we have to get there?• Is that time realistic?
– Rate of growth is the best measure of student response to instruction and intervention
– Rate of growth is used within an early warning system to determine if students will attain benchmarks before time runs out and while we have time left to modify instruction
– Rate of Growth is the best measure of effectiveness of instruction AND the most fair measure.
Table Top Discussion
• What about MTSS would your school/district be able to embrace to achieve consensus?
• What about MTSS would your school/district view as barriers to MTSS?
Critical Element #1Table Top Activity
• Identify your top 2 priorities around developing a common language/common understanding with your staff--Consensus
Critical Element #2
District and School
Infrastructure
Implementation Model
District-based leadership team (DBLT)
School-based leadership team (SBLT)
School-based coachingProcess Technical Assistance
Interpretation and Use of Data
Evaluation Data
District Infrastructure
• District Leadership– Common Language/Common Understanding– Is there a “unified” system of instruction at the district
level?• District Plan Requirements
– Consensus, Infrastructure, Implementation– District Policies– Professional Development and Technical Assistance– Implementation Monitoring– Implementation Fidelity– Evaluation Plan
District Responsibilities
• Ensure that a common language/common understanding exists around the rationale for and the purpose and expected outcomes of MTSS
• Communicate clearly that MTSS is the “way of work” at the district and school levels
• Organize work groups at the district level around integrated functions (academics, behavior and technology at planning table together) and multi-tier representation (gen ed, supplemental instruction, intensive instruction
• Clearly identify who has the responsibility for whatand how these individuals will be held accountable
District Responsibilities
• Ensure that district policies are supportive of and not barriers to the implementation of MTSS
• Provide sufficient support (professional development, technical assistance, data systems) to ensure that the implementation plan and timelines can be achieved
• Identify clearly the district- and school-level leaders who will have implementation expectations as part of their annual performance reviews
School-Based Infrastructure
School-based leadership team (SBLT)
School-based coachingProcess Technical Assistance
Interpretation and Use of Data
Master Calendar
Data Days
Evaluation Model
School-Based Leadership Team
• Responsible for monitoring the “health and wellness” of the school– Regular Data Checks
• Facilitate building level problem solving• Align PD with student-centered data• Ensure teachers have supports• Ensure integration of academic and behavior
instruction at all tiers• Ensure integration of the tiers• Monitor consensus, staff satisfaction, morale,
communicate frequently
Principal’s Role in Leading Implementation of MTSS
• Models Problem-Solving Process
• Expectation for Data-Based Decision Making
• Scheduling “Data Days”
• Schedule driven by student needs
• Instructional/Intervention Support
• Intervention “Sufficiency”
• Communicating Student Outcomes
• Celebrating and Communicating Success
Core Skill Areas for ALL Staff
• Data-Based Decision Making Process• Coaching/Consultation• Problem-Solving Process• Data Collection and Management• Instruction/Intervention Development, Support
and Evaluation• Intervention Fidelity• Staff Training• Effective Interpersonal Skills
Capacity to Implement MTSS
.00
1.00
2.00
3.00
6. Data iscollected
7. Data usedto makedecisions
8. Datapresented to
staff
9. Data usedto evaluatecore acadprograms
10. Data usedto evaluatecore behprograms
11. CBM dataused to IDstudentsneeding
interventions
12. ODR dataused to IDstudents
needing behinterventions
13. Data usedto evaluate
Tier 2interventions
14. Data usedto determineTier 3 RtI
Status
Item
District LevelSelf‐Assessment of Problem Solving Implementation (SAPSI)
Infrastructure Development: Data Utilization
Year 1_BOYYear 1_EOYYear 2_EOYYear 3_EOYYear 4_EOY
3= Maintaining2= Achieved1= In Progress0= Not Started
Critical Element #2Table Top Activity
• Top 2 priorities for district/school-based infrastructure
Critical Element #3:Problem-Solving Process
Evaluate•Response to Instruction & Intervention (RtI2)•DID IT WORK?
Problem Analysis•Why are they unable to do•It?
Define the Goal•What do we want students to know and be able
to do? Standards Driven
Implement PlanWhat are we going to do about it? Integrtiy. Sufficiency
Problem Solving Process
Steps in the Problem-Solving Process1. GoalIdentification
– Identify replacement behavior
– Data- current level of performance
– Data- benchmark level(s)
– Data- peer performance
– Data- GAP analysis
2. Analysis
– Develop hypotheses (brainstorming)
– Develop predictions/assessment
3. Intervention Development
– Develop interventions in those areas for which data are available and hypotheses verified
– Proximal/Distal
– Implementation support
4. Response to Intervention (RtI)
– Frequently collected data
– Type of Response- good, questionable, poor
Critical Factors
• It is a way of thinking
• One method that everyone is taught and embraces
• Solution focused
• Informed by data
• Integrity and Sufficiency are necessary
• Support a MUST to ensure integrity and sufficiency
Intervention Fidelity Strategies
• Tier 1– Walkthroughs assessing
presence/absence of effective instructional strategies
• Tier 2/3– Intervention Support Practices
Intervention Support• Intervention plans should be developed based
on student need and skills of staff
• All intervention plans should have intervention support
• Principals should ensure that intervention plans have intervention support
• Teachers should not be expected to implement plans for which there is no support
Intervention Support Meeting Activities
• Review student performance data
• Identify barriers to successful implementation of the instruction/intervention– Problem-solve barriers
• Review critical components of the instruction/intervention
Problem-Solving Team Meeting Checklist (Initial)
Problem-Solving Team Meeting Checklist (Follow-Up)
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Florida PS/RtI Project Pilot SchoolsTier I & II Critical Components Checklist Data: Reading
2004-05
2005-06
2006-07
2007-08
2008-09
2009-10
0 = Absent1 = Partially Present2 = Present
Problem Identification Problem Analysis Intervention Development & Implementation: Tier I
Intervention Development & Implementation: Tier II
Prog Eval/RtI
Critical Element #3Table Top Activity
• Identify your top 2 priorities around implementation of the Problem-Solving Process
Critical Element #4:Data Sources/Matrix
Types of Data
• Universal Screening
• On-Going Progress Monitoring
• Diagnostic
• High Stakes
Possible Ways to use Current School Assessments
•MAP (Prior year)•DIBELS•SRI•CBM•Degrees of Rdg Power•EPAS•Vision/Hearing•Behavior
•DIBELS•AIMSWEB•Degrees of Rdg Power•Teacher test/quizzes•Common AssessmentsBehaviorObservationsChecklistsRatings
•WKCE•MAP•Final exams• Common Finals•Post Tests
District Example
XXX High School
% of Students with Excessive Absences
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
2008-2009 2009-2010 Goal
20 or More
40 or More
School is not currently on‐track to meet absenteeism goal and is in the process of revising the intervention plan
IntegratedAcademic and Behavior Data
It is the RELATIONSHIP between data elements that is important—
not just the data themselves.
Good Attendance = Less than 5% of school days missed throughout the school year (8 or fewer days)Fair Attendance = 5%-10% of school days missed throughout the school year (8.5-16.5 days)Poor Attendance = 10% or more of school days missed throughout the school year - i.e. chronically absent (17+ days)
Good Attendance = Less than 5% of school days missed throughout the school year (8 or fewer days)Fair Attendance = 5%-10% of school days missed throughout the school year (8.5-16.5 days)Poor Attendance = 10% or more of school days missed throughout the school year - i.e. chronically absent (17+ days)
Chronic PBRs = top 25% of all students with PBRs. Elementary = 3+; Middle School = 6+; High School = 4+
Table 4 – High School and Post-Secondary Outcomes by 9th Grade Behavioral Indicators
• Identify your top 2 priorities around the use of data
Critical Element #5
Delivering the Goods
Multi-Tiered System
79
Tier III For Approx 5% of Students
Core
+Supplemental
+Intensive Individual Instruction
…to achieve benchmarks
1.Where is the student performing now?2.Where do we want him to be?3.How long do we have to get him there?4.What supports has he received?5.What resources will move him at that rate?
Tier III Effective if there is progress (i.e., gap closing) towards benchmark and/or progress monitoring goals.
Effective Instruction is the Product of Effective Planning
Poor Planning, Poor Instruction
Lesson Study:Integrating Academic Instruction
and Student Behavior
• What are the evidence-based instructional strategies that will attain the academic skill set?
• What academic engagement behaviors will be necessary to translate the academic skill into academic performance?
• What social/emotional behaviors are resources and obstacles to the skill and performance goals?
• HOW WILL WE MATCH THE INSTRUCTIONAL STRATEGIES WITH ENGAGEMENT FACTORS?
Critical Questions• How do we ensure that Tier 2 and Tier 3
instruction aligns with the Learning Goals/Standards that are the focus of instruction in Tier 1?
• How do we ensure that the instructional strategies and student engagement skills expected in Tier 1 are incorporated into Tier 2 and Tier 3 instructional planning?
Critical Questions
• How do we ensure that the focus of instruction in Tiers 2 and 3 incorporates CCSS student engagement/performance expectations—critical thinking, reasoning, problem-solving?
• How do we ensure that the supplemental/intensive instructional strategies and specially designed instruction are incorporated into Tier 1 setting?
Final Question
• How do we ensure that all of the providers of instruction (across all Tiers) have their act together so that it is not the student’s responsibility to integrate instruction across tiers?
Final Answer!
LESSON STUDY
LESSON PLANNING
Characteristics of Effective Planning-Tier 1
• All providers of instruction and support are in attendance at the lesson study-general education, remedial education, special education and appropriate related services– Question: at YOUR grade level lesson
planning meetings, do ALL providers of instruction attend or just the general education teachers?
Characteristics of Effective Planning-Tier 1
• The Learning Goal/Standard/Progression levels is/are identified explicitly
• Instructional strategies (evidence-based) for the goal/level and student skill levels are identified
• The explicit student performance behaviors necessary to engage the instruction are identified—GAPS for individual students identified
Characteristics of Effective Planning-Tier 2/3
• Tier 2/3 providers meet separately to lesson plan their instruction within the context of the Tier 1 lesson study meeting
• Instructional strategies, engagement behaviors, instructional materials that support student success in Tier 1 are identified
Characteristics of Effective Planning-Tier 2/3
• Alignment with the scope and sequence/pacing chart for Tier 1 is always a priority when identifying the focus of instruction on a weekly basis
• This alignment permits a strategic focus for issues such as vocabulary, background knowledge, pre-teaching/review/re-teaching, etc. that results in “just in time” readiness for students to integrate what they have learned into Tier 1
Characteristics of Effective Planning-Tier 2/3
• Assessments in Tier 2/3 incorporate characteristics of assessments in Tier 1
• The goal here is to not only ensure that students strengthen needed skills and accelerate their growth BUT ALSO to ensure that the students can explicitly identify how the instruction in Tiers 2/3 relates to their work in Tier 1
Characteristics of Effective Planning-Tier 2/3
• Tier 2/3 providers observe their students in the Tier 1 environment to ensure alignment of instruction across Tiers
• Tier 2/3 providers increasingly take an active role in the Tier 1 Lesson Study to share specially designed instructional strategies and student engagement supports during the Tier 1 Lesson Study meetings
Good News/Bad News• Good News
– Integrated instruction CAN occur– Transfer of learning from Tiers 2/3 to Tier 1 CAN
happen at greater levels– Students CAN become active partners in this
integration process IF they see the integration
• Bad News – This takes time to do well– Adults have to play well together– Check egos at the door! Everyone is a critical
player here
Summary
• Instruction/Intervention Decision Making
– TIME: how much time needed to achieve goal?
– WHAT: what will be covered during the time?
– WHO: who has the skills to teach the WHAT?
– WHERE: the best setting that will
accommodate the time, what and who
TIER I: Core, UniversalAcademic and Behavior
94
GOAL: 100% of students achieveat high levels
Tier I: Implementing well researched programs and practices demonstrated to produce good outcomes for the majority of students.Tier I: Effective if at least 80% are meeting benchmarks with access to Core/Universal Instruction.Tier I: Begins with clear goals:1.What exactly do we expect all students to learn ?2.How will we know if and when they’ve learned it?3.How you we respond when some students don’t learn?4.How will we respond when some students have already learned?
Questions 1 and 2 help us ensure a guaranteed and viable core curriculum
TIER II: Supplemental, Targeted
95
Tier II For approx. 20% of students
Core +
Supplemental…to achieve benchmarksTier II Effective if at least 70‐80% of students improve performance (i.e., gap is closing towards benchmark and/or progress monitoring standards).1.Where are the students performing now?2.Where do we want them to be?3.How long do we have to get them there?4.How much do they have to grow per year/monthly to get there?5.What resources will move them at that rate?
Tier 2: Curriculum Characteristics
• Standard protocol approach• Focus on essential skills• Most likely, more EXPOSURE and more
FOCUS of core instruction• On average 50% more time than Tier 1
allocation for that subject area• Linked directly to core instruction materials and
benchmarks• Criterion for effectiveness is 70% of students
receiving Tier 2 will reach benchmarks
TIER III: Intensive, Individualized
97
Tier III For Approx 5% of Students
Core
+Supplemental
+Intensive Individual Instruction
…to achieve benchmarks
1.Where is the student performing now?2.Where do we want him to be?3.How long do we have to get him there?4.What supports has he received?5.What resources will move him at that rate?
Tier III Effective if there is progress (i.e., gap closing) towards benchmark and/or progress monitoring goals.
Ways that instruction must be made more powerful for students “at‐risk”
for reading difficulties.
More instructional time
More powerful instruction involves:
Smaller instructional groups
Clearer and more detailed explanationsMore systematic instructional sequencesMore extensive opportunities for guided practiceMore opportunities for error correction and feedback
More precisely targeted at right level
resources
skill
Integrating the Tiers
Basic Principles
• Generalization
• Transfer of training
• Common stimuli (materials, “signs”)
• Common assessments
• Common standards
• Training “loosely” or “specifically”?
Critical Element #5
• Identify your top 2 priorities around:– Effective Instruction
– Integrating the Tiers
– Schedules
– Intervention Support
– Student Engagement/Lesson Study
What Outcomes Do You Want To Evaluate?
% Elementary Schools (RtI/Non-RtI) with Significant Increase in Proficient/Advanced
Students in MATH2010-11
66.00%
68.00%
70.00%
72.00%
74.00%
76.00%
78.00%
80.00%
82.00%
84.00%
Cohort 1 Cohort 2 No Cohor
Series1
% High Schools Schools (RtI/Non-RtI) with Significant Increase in Proficient/Advanced Students in
Reading/Language Arts2010-11
0.00%
10.00%
20.00%
30.00%
40.00%
50.00%
60.00%
70.00%
80.00%
90.00%
100.00%
Cohort 1 Cohort 2 No Cohort
Series1
Levels of Implementation and Impact on RtI2 Schools in LAUSDHi Implementing
SchoolsLow Implementing Schools
Developing hypothesis for undesired performance
40% 20%
Data collected to confirm hypothesis
50% 32%
Intervention Plan Developed
30% 21%
Teacher receives staff support to implement plan
40% 14%
Data Collected to Ensure Plan Was Implemented As Intended
60% 14%
API 08-09API 09-10Growth
747763+16
710721+11
Wichita Disaggregated Data
45
50
55
60
65
70
75
80
85
2006 2007 2008 2009 2010 2011
Per
cen
t M
akin
g P
rofi
cien
cy
White
African-American
Hispanic
ELL
Free/Reduced Lunch
Critical Element #6
• Identify your top 2 priorities areas around which to report outcomes next year.
A Deeper Look Into Problem-Solving: Leading Systems
Change
Problem-Solving crosswalk:
4-step 8-step1. Problem Identification
2. Problem Analysis
3. Intervention Development
4. Response to Intervention (RtI)
1. Set a goal and ID how you will measure that goal
2. Identify Resources & Obstacles to attaining that goal.
3. Prioritize the obstacles.
4. Identify strategies to eliminate or reduce the obstacle
5. Develop action plan to implementstrategies.
6. Develop follow-up plan.
7. Evaluate impact of the action plan.
8. Evaluate progress on original goal.
Overview: Small Group Planning & Problem Solving Steps
1. Identify the problem or goal in concrete, descriptive, behavioralterms
2. Record all resources/ideas for resolving the problem or achieving the goal, and all obstacles that must be overcome or reduced.
3. Select one obstacle from the list
4. Brainstorm strategies to reduce or eliminate only the obstacle selected
5. Design a concrete plan of action, specifying who, will do what, and by when
6. Follow-up plan
7. Evaluation plan – removed barrier selected in step 3?
8. Evaluation plan – attainment of goal in Step 1?
Goal Identification
1. Identify the goal in concrete, descriptive, behavioral, measurable terms
Problem Analysis
2. Identify all potential resources/ideas achieving the goal, and all obstacles that must be overcome or reduced
• Brainstorm – free flow of ideas• Structured Brainstorming
• Include intangibles (e.g., extent of concerns)
Problem Analysis
3. Select one obstacle from the list• Select an important obstacle, but avoid
identifying the most important one
• In early stages of skill development, choose something likely to be workable
• Other obstacles will be selected later
Intervention Development
4. Brainstorm strategies to reduce or eliminate only the obstacle selected• These are only ideas!
• Not limited to ideas on Resource list – they are only a stimulus
Intervention Development& Follow Up
5. Design a concrete plan of action, specifying who, will do what, and by when
• Contract for action• Name or title• Detailed description• Specific date
6. Establish detailed procedures for following up with person(s) responsible for action plans• Prompts for action• Periodic updates• Additional support• Modification or New action plan
Evaluation Plan
7. Develop a plan describing how you will know if:– Your action plans developed in Step 5 are
reducing/eliminating the barrier you identified in Step 3
– Specifically address who will be responsible for collecting and analyzing what by when
8. Develop a plan describing how you will know if:– You are attaining the goal identified in Step 1
– Specifically address who will be responsible for collecting and analyzing what by when
Table Top
How does this problem-solving process differ from the one you are currently using?
What do you believe are the strengths and weaknesses of this model?
