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Case study: PA Compliance Monitoring system simplifies complex process of managing LEA compliance

Leader Services has been providing statewide management of a special education monitoring system for the Pennsylvania Department of Education (PDE) since 1995, when it began data processing, management, and reporting services for Pennsylvania’s Cyclical Monitoring for Continuous Improvement (CMCI) program.

The initial processing services began with Leader’s capture of monitoring data submitted on paper by PDE monitors. This paper data was entered into a custom data-capture application, stored, and processed via custom modules to create monitoring documents as required by the state agency to determine compliance, create follow-up documents, and generate reports. This workflow was in place through 2001, and while it met the needs of PDE, the growing acceptance of the web and the Application Service Provider model led to PDE’s agreement in 2001 for an evolution to a web-based system.

Leader’s programming staff undertook this project in the mid-2001 timeframe, leading to the rollout of the first module in the fall of that year. The Facilitated Self Assessment (FSA) application let Pennsylvania LEAs, preselected by PDE based on their monitoring schedule, log on to the secure, web-based application using standard web browsers (Leader is acutely aware of its school district clients’ varying hardware and software preferences, and does not limit LEAs to one browser on one operating platform). At least 30 days prior to an onsite monitoring visit, LEAs complete up to 17 separate sections addressing all aspects of their special education program, including:

1. Assistive technology
2. Behavior support
3. Child find activities
4. Confidentiality
5. Dispute resolution
6. Graduation rates
7. Dropout rates
8. Suspensions and Expulsions
9. Facilities
10. Independent education evaluation
11. Least restrictive environment
12. Parent training
13. State assessments
14. Public school enrollment
15. Surrogate parents
16. Training
17. Intensive interagency approach

Additionally, depending on the size of the LEA, a number of student records are selected to undergo a file review process, also entered online. The cumulative results of the file reviews are then analyzed and questions responded to by the LEA.

At the close of this process, the LEA finalizes its FSA, locking the data and generating printable versions of the documents (FSA and student file reviews) in Adobe Portable Document Format (PDF). A notification is automatically e-mailed to PDE that the LEA has completed this step of the process, and the completed PDF is made available on a separate, secure management website provided for PDE to review completed FSAs and perform other management tasks.

PDE staff log on to their secure site to review completed FSAs and file reviews prior to the onsite monitoring, identifying any possible problem areas and noting items they want to address with the LEA. The PDE management site also allows for:

• Reporting LEA due dates, and LEAs past due, for FSA completion
• Reopening of finalized FSA for LEAs that finalized their FSA in error
• Assigning LEAs to Single Points-of-Contact (SPOCs), and SPOCs to senior PDE staff (“Chiefs”)
• Creating Corrective Action documents (discussed in further detail later)

PDE staff then perform onsite monitorings, recording their findings on tracking sheets later submitted to Leader for data capture (though this process can be modified to allow monitors to immediately input results online; PDE staff preferred to offload the data entry process). After the monitoring results are captured through a custom data entry application, initial reports are generated for PDE staff, and the results are loaded into the PDE web application. PDE staff can then begin the Corrective Action Verification (CAV) process by which they record, for each item found out of compliance, a corrective action and timeline for compliance.

Once all out-of-compliance items are addressed, a CAV is generated in PDF format, and LEAs are notified via e-mail. The LEAs return to their secure website, retrieve and review the CAV, and address items as needed. SPOCs perform periodic follow-up visits to evaluate progress; successive CAVs are updated as needed (for extended timelines, extenuating circumstances, etc,) until all issues are in compliance. Finally, the monitoring is closed and resolution documents are generated and channeled to appropriate parties.

Recently, PDE identified a need regarding the inclusion of parent surveys in its State Performance Plan. Subsequently, PDE requested that Leader assist in surveying the parents of special education children. The National Center for Special Education Accountability Monitoring's parent survey document is being utilized for this process; Leader Services will provide printing and mailing services as well as processing of survey returns from parents.

Since 2001, over 500 LEAs have been monitored through this process in Pennsylvania. Leader staff have continued to work closely with PDE, supplying custom ad-hoc reports as requested, many times in a short timeframe. Leader’s responsiveness has proven crucial to providing an outstanding level of service to PDE.

The process has been periodically enhanced to meet PDE’s growing needs, incorporating specific modules for other education entities (charter schools, approved private schools, correctional facilities) as well as focused monitoring components and an early intervention system to handle the monitoring requirements of PA's Preschool Program.

The process has been deemed highly successful for the Pennsylvania Department of Education and PA LEAs, resulting in successive renewals of our contract in 2001, and most recently, in December 2005.

For more information about Leader's compliance monitoring solution, visit our companion site for Advanced Compliance Monitoring.