Enforcement and Compliance
· Policies and procedures that define “compliance”
· Information dissemination, training & technical assistance for parents and professionals on policies and procedures
· Ongoing, periodic monitoring of compliance
· Continuous improvement/quality improvement
· Systems to resolve complaints:
· Due process/impartial hearing
· Complaint investigation
· Litigation: individual or class action
· Corrective action plans (CAP)
summarizes the legally required systems for ensuring compliance with the law.
The law and regulations or state code
set out the requirements or standards for compliance. Providing information and training on the policies and
procedures, and technical assistance to implement those policies and procedures,
is essential. Ongoing, periodic monitoring provides state and federal oversight of compliance
with those requirements. The new “continuous
improvement” or “quality improvement” procedures provide
opportunities for families and others to monitor compliance and outcomes on an
ongoing basis, even between monitoring visits.
due process, complaint investigation, and litigation are methods for
resolving problems or concerns. Corrective
action plans (CAPs) are the means by which schools and districts change
policies, procedures and practices to comply with the law.
does it take?
· Effective policies, procedures, programs & personnel, developed through representative, participatory process
· Data on program processes...and results! (Shared through a participatory process)
· Targeted training and technical assistance
· Timeline and shared responsibility for implementation
· Effective, responsive complaint process & resolution system
· Meaningful corrective actions - and sanctions
summarizes the steps that are necessary to ensure quality programs and services
- the purpose behind enforcement and compliance. Policies are those formal and informal rules that govern how
people involved in our children’s education behave. Procedures are the specific steps that, if implemented, should
lead to fulfillment of the policies. Programs
are the academic and support services that provide the “opportunities to
learn” that our children need to succeed.
are the people who will carry out the procedures and implement the programs.
All of these - policies, procedures, programs, and personnel - are more
effective if the entire community has a voice - up front - in decision-making.
processes and results are the information - statistics, anecdotal, etc. - that tell us
whether or not we are succeeding in reaching our goal.
Data helps us identify what targeted
training and technical assistance is necessary to improve services and
service delivery - as well as outcomes. We
don’t have the resources to do everything, so targeting our training and
technical assistance lets us focus on our highest priorities.
help make sure that we don’t put off taking the necessary steps.
Sharing responsibility for implementation means that the burden
of implementation doesn’t fall on a few people - and that our whole community
is engaged in carrying out our goals and plans. Effective, responsive complaint processes and resolution systems
make sure that people who raise concerns have a way of getting questions
answered and solving problems. Complaint
systems are invaluable, because they tell us what’s really happening to real
children. Are our policies
appropriate? Are our procedures
being implemented the way we want them to? Are they effective? Are
they carrying out our policies? Do
the programs move our agenda forward? Are
there kinks in our programs that need addressing? Are our personnel properly trained? Do they know how to do what we want them to do?
Are they in fact doing what we want them to do?
And meaningful corrective actions and
sanctions let everyone know
we are serious about making sure our policies are carried out, our programs are
successful, and our goals are realized. Corrective
actions don’t have to be punitive; they are aimed at correcting problems.
But if corrective actions are not implemented properly despite the
availability of training, technical assistance and support, then there need to
be serious consequences to make
sure that what we want to be done is actually done.
MEDIATION, DUE PROCESS,
· Voluntary mediation
· Due Process Hearing
· Complaint investigation
· No retaliation, coercion, harassment
sections summarize the individual-initiated methods for ensuring compliance:
mediation, due process, and complaint investigation. They provide an overview of these processes and the relevant
timelines. It should be stressed
that mediation and due process can be initiated for an individual child even if
a request for complaint investigation is filed to address more systemic issues,
like a district policy that affects a group of children.
For example, a parent may file a due process hearing to challenge the
denial of extended school year services for their particular child, but may also
file a request for complaint investigation because the district has a policy of
only providing extended school year services to students in self-contained
important to inform parents that the law specifically prohibits a school or
district from retaliating against a parent or their child for exercising their
rights under any federal or state law. That
in and of itself would be a violation of the law, would be subject to due
process or complaint investigation, and would require a corrective action plan.
What gets counted gets done.
Attention paid indicates
New federal education laws
broaden the emphasis on OUTCOMES and ACHIEVEMENT.
Necessary inputs lead to
Not everything that counts
can be counted; not everything that can be counted counts.
· Compliance is an outcome, not a set of procedures.
Focusing solely on
procedural compliance avoids the real issues for which compliance is required.
· We can't legislate love but we can facilitate help.
It takes a long time to undo
something and redo it another way: it takes community, togetherness, resolve,
even procedures! but new kinds of procedures that focus on the outcomes for the
child rather than merely on proper filling out of forms.
we’re moving to the part of enforcement and compliance that is initiated by
the enforcement agency - in education, the state and/or department of education.
first section reminds us that
what we think is important can be demonstrated by what we pay attention to. Our current education system reports in New Jersey focus on
limited data: % of classification, by disability; % by placement; county-based race data, for special education
students; graduation and drop out rates for general education students.
Until recently, monitoring of special education did not use data to help
guide the monitoring process and understand what was really happening in
districts, not just what district personnel said they were doing.
There is almost no monitoring of general education, except for test data.
There is virtually no data on the inputs necessary to reach the desired
outcomes in general or special education. This
first overhead also reminds us that not everything that is important can be
reduced to numbers - for example, parent satisfaction, or self-esteem of our
children. We need to try to
identify sources of information for non-quantifiable outcomes.
next section reminds us that compliance with the law is only important because
the law is tied to ensuring positive outcomes for our children.
Compliance for the sake of compliance is meaningless.
Procedural compliance alone doesn’t mean that the spirit of the law is
being respected and implemented. The
procedures have been developed because they are helpful to reaching the desired
result. Parents must be included in
meetings about their children’s education because their participation means
that the decisions reached at the meeting are more likely to be appropriate and
more likely to be implemented. While
we can’t make people love our children, we can facilitate the training and
support they need to do a good job educating our children.
Putting the proper supports in place, giving them a structure that
facilitates their job, makes it more likely that they will be successful with
our children, and when they are successful, they begin to feel good not only
about themselves but about our children, too.
new focus on outcomes for children, not just procedural inputs, is going to take
some time to implement appropriately. We’re
undoing what we’ve been doing for a long time, and we need to be patient - not
martyrs, but patient, while we all figure out how to make it work.
· The fewer the policies and procedures needed to reach the goal, the better.
· If the main result of a meeting is a form, the meeting produced the wrong result.
· Preparing budgets and anything related to them is a necessary evil but not the best use of anyone's time and energy.
· Reducing costs, increasing compensation, or just providing more training are usually not the solutions to organizational problems.
· Work on problems, not symptoms. “Morale” is not a problem; something is happening that causes low morale, which creates a problem.
Ideally, What is Monitoring?
· -Assurances of protection for all rights & effectiveness that what is projected to be done is going to work
· -Strategic use of resources
· -Continuous improvement
first section reminds us that the purpose of the law is not bureaucracy for
bureaucracy’s sake. If we can
work collaboratively together, coming to consensus about what is necessary for
our child and how we are going to provide it, we don’t need to fixate on
procedures. The policies and
procedures are simply tools to help us achieve the right result.
The purpose of an IEP meeting, for example, is not to develop the IEP
form but to develop a plan for how we are going to educate our children.
second section summarizes an effective monitoring and “continuous
improvement” system. Data-driven means we use
information to help us figure out what’s really going on.
means that our monitoring system is not separated from day to day
functioning of our education system. Predictable
means that everyone involved in the system knows what’s expected of them,
what’s going to be monitored, and what the ramifications are for positive or
negative findings. Fair means that there are
no favorites, that the rules are fairly applied, and that everyone has the
resources they need to do a good job.
also has to check to make sure that all family and children rights are
protected. Monitoring also has to
make sure that compliance is related to the results we want; if a district or
school is compliant, then the results should be achieved. Since we do not have unlimited resources, monitoring should
focus our resources on our highest priorities.
And continuous improvement means that we are never satisfied; we use
results of monitoring or complaint systems to help guide us in a positive
direction. While 100% compliance
may be impossible, we need to keep moving in a positive direction.
Critical Elements in Monitoring
"You can learn a lot by looking." Yogi Berra
· Effective policies and procedures
· Data on program processes and results
· Targeted training and technical assistance
State & District
Perspectives/External feedback to district/checks and balances:
· Effective, responsive complaint process/ complaint management system: “If you have any problems with your child’s education, call 1-800-####”
· Meaningful corrective actions and sanctions
Berra said that “You can learn a lot by looking.” Sometimes we don’t look for things that are important;
other times, we don’t look in the right places.
But periodically looking for things to identify compliance or
non-compliance is essential.
is a tool for looking, for ensuring that the steps that are necessary for
achieving the desired result are actually taking place, and that the desired
result is occurring. We have to
look at what’s actually happening to make sure that we are moving forward
toward our goal. We need to look at
the school level, the district level, the county level, and the state level.
Each level has its own responsibilities.
The state is responsible for overall
enforcement of the law(s), and monitoring is a way of looking at what’s
happening in districts and schools to be sure that the laws are being enforced.
resolution system is another important tool.
Monitoring sees what’s happening at a particular time when the
monitoring visit is being conducted; complaint resolution systems provide a
forum for people who are involved in the day to day process to raise issues of
Corrective actions and sanctions must be available, widely known,
and used whenever monitoring or complaint investigation identifies failure to
comply with the processes or desired outcomes of the law.
Questions Families Should Ask: Effective
Policies and Procedures
Do they implement a thorough
and efficient education (Abbott)? A free, appropriate public education (IDEA)?
Quality education (Title I)?
Are they compliant with
state and federal law?
Do they produce satisfactory
results for families? How do you
In what ways are policies
and procedures evaluated in light of results?
Questions Families Should Ask: Data
What data are systematically
collected about education processes and results?
(Most states collect only what the federal government requires).
How are these data verified
Are these data reported to
the public on a regular basis?
Are the data understandable
and useful in evaluating (monitoring) programs?
What is the format for reporting data?
Questions Families Should Ask: Effective
Are complaints tracked and
reported to the public?
Is the complaint system
accessible to all populations?
Are the number and nature of
complaints used to determine needs for training and technical assistance,
changes in policies and programs?
Do parents help design the
system? Are parents involved in
Questions Families Should Ask: Training
· How are training & TA needs identified? How is data on processes & results used to inform personnel & parent development?
Do results (or lack of
desired results) trigger changes in personnel development, or is personnel
development driven by what people say they want training on?
We have to look at what does and doesn't work for students and make
changes in people's training based on what does and doesn't work for students.
Is training & technical
assistance evaluated based on student results?
Is the expertise available
at the state/district level?
What is the role of parents
in identifying training/TA needs, and developing, implementing & evaluation
Questions Families Should Ask: Meaningful
Corrective Action and Sanctions
Do the same
impact/consequence of repeated complaints/violations?
Are the potential
consequences widely known? The
How are parents involved in
identifying appropriate consequences? Determining whether they should be imposed?
Evaluating their success?
five sections walk families through a questioning process that gives them tools
to use when they are evaluating their school or district policies, procedures,
programs and systems, or looking at the overall state systems.
What should we know?
What are the available
academic & support services?
What types of
programs/settings serve students (including LEP, low-income, students with
What are class settings,
sizes and configurations?
Is the curriculum
challenging? Who has access to it?
Are instructional materials
tied to the curriculum? Engaging?
Appropriate culturally & developmentally?
What are the personnel
resources serving students?
Certified, not certified
Qualifications, years of
Working in/out of their area
diverse instructional strategies
· Sufficient numbers to meet needs?
What are the facilities
Is there enough space?
Is there adequate
How are facilities
What are the result/outcomes
of services? Who exits education and how? How
do special populations perform (special education, LEP, Title I, students of
% classified; % segregated
% taking performance
assessments, % passing at each competence level
% retained/not promoted
% graduating with regular
% graduating with GED
% certification of
% dropping out/pushed out
% aging out
% status unknown
What do we know about who
gets disciplined? Special populations?
Are teachers prepared to
manage classrooms and students?
% out of school suspensions
% long-term suspended, not
% expelled to nowhere
Impact of long-term school
suspensions and expulsions on student achievement & drop-out
Data at the class level, the
school level, and the district level
sections walk through important information that our monitoring and complaint
investigation systems should focus on to ensure that we are providing quality
Where are the annual
measures of learning?
Where are the measures of
Where are measures of
post-secondary training and jobs?
Where are the measures of
family participation in education?
What else is missing?
What Do These Data Mean for Families?
results can discourage us, or they can create opportunities for radical
needs to be discovered about connections between personnel, settings, services
must be shifted from primary focus on procedures to primary focus on RESULTS
(while still ensuring the inputs necessary to provide the opportunity to
sections refocus our attention on important measures that aren’t always
included in our current monitoring systems.
They also remind us that continuous improvement monitoring systems build
on what we’re doing well and continually try to improve what isn’t being
done well. We need to be able to
identify linkages between our personnel, the settings and environments in which
services are provided, the services, and the results that we are getting vs. the
results that we are looking for. Again,
procedures are only important insofar as they lead to the results we want.
How Does a State/District Monitor?
· Monitoring is focused on the results of educational services - student performance.
· What components must be in place?
· What procedures are conducted annually?
· What results should occur from monitoring? (Monitoring needs to be evaluated for its results).
Premises for Monitoring
· Address all legal requirements, including procedural compliance and educational results for students.
· Include public involvement in education compliance issues.
· Build upon existing student data to increase the efficiency of the system
· Direct resources to areas of greatest need.
· Result in timely verification or enforcement of compliance.
Components of Effective Administrative Supervision (Monitoring)
· Comprehensive policies and procedures
· Data on process and results
· Training & Technical assistance; personnel development
· Effective complaint management
· Corrective actions and meaningful enforcement
Focused Monitoring Data Template
· Variables are selected based on expected results of education; some variables are selected as key/critical to select districts to target
· LEA performance is measured
· Data are compiled and analyzed (LEAs are ranked) -Top 15%, average, bottom 15% of schools
· Data are disseminated
· Look at your district/school: "How did I do overall, and in comparison to other districts"
sections focus on: (a) the underlying
premises of an effective monitoring system
components of an effective monitoring system
(c ) using focused
monitoring to direct our limited resources to areas of highest priority
and districts with the greatest difficulty in ensuring compliance and desired
outcomes (d) components of a
focused monitoring system. Remember:
we have to have appropriate policies and procedures in place, data about how the
policies and procedures are being implemented and the outcomes for students,
training and technical assistance for schools and districts to implement the
policies and procedures, effective complaint management systems that are
user-friendly, well-known to everyone, with meaningful consequences, and
corrective action plans that have a reasonable likelihood of resulting in
compliance and the outcomes we are looking for.
we use focused monitoring, we divide districts into three categories.
improvement” district is doing well enough compared to the rest of the
state on selected variables (Key performance indicators) to have no on-site
monitoring; the “monitoring
validation” district would not be selected for on-site monitoring
given their performance on the key variables, but they will be monitored to
verify data and procedures, and keep all the other districts honest; the “focused
monitoring” district undergoes onsite monitoring because data
indicates it has significant problems with compliance compared to the state
· Key performance indicators are based on what results we expect from an effective education program
· What results do you/we expect?
· How will specific "Focused monitoring" visits be conducted? Who do we talk to , what do we observe? Who participates in monitoring visit?
Annual Focused Monitoring Process
· Determine status of LEA/school (3 types) using data & template:
· -Continuous improvement LEA - no on-site monitoring
· -Monitoring validation LEA (10%) - randomly selected to verify data and procedures
· -Focused Monitoring LEA - selected on the basis of focus indicators, triggers
· -Trigger (everyone below a certain # gets monitored. Examples:
· Below 2 standard deviations below mean gets monitored
· Take the average, half the average, below that gets monitored
· Where you set the trigger is dictated by the resources of your state/district and how important you think the trigger is
· Could set uniform trigger level for all the variables
· Implement integrated monitoring procedures
· Strategically allocate resources
· Provide Technical assistance/training (CSPD)
· Enforce and sanction
two sections indicate that the “key performance indicators” are based on the
results we want to see from our educational programs. Stakeholders, including parents, must be part of the team
that decides those key performance indicators.
They must also be tied to state standards and other relevant criteria.
Once the key performance indicators are selected, we have to decide what
results will be acceptable in each area, and how we are going to find the data
or information that will let us know where the school or district stands in
relation to that key performance
we have selected the indicators and our definition of acceptable compliance on
each indicator, we have to decide how we are going to engage in monitoring.
With a focused monitoring system, each school or district falls into one of three categories, each of which is
treated differently. Any school or
district that falls below a certain “trigger” standard will get monitored.
The overhead lists some examples of how triggers can be defined.
monitoring is a strategic use of limited monitoring resources.
Monitoring has to be preceded by and followed by technical assistance and
training, and enforcement and sanctions when necessary.
Continuous Improvement LEA
· Self-study supplements district improvement plan
· If self-study approved and implemented, no further monitoring activities
· If self-study rejected or not implemented, referral to focused monitoring
Monitoring Validation LEA
· Comprehensive review
· Data validated/audit (no problems) -- no further compliance activities
· Data discrepant or problems identified -- corrective action plan; referral to focused monitoring
· Verify/investigate focus areas
· Corrective action plan
· Noncompliance resolved -- no further monitoring activities
· Continuing noncompliance - mandatory sanctions
|Onsite monitoring determined by data or random selection||Onsite monitoring determined by calendar rotation|
|LEA monitored only if selected||Every LEA monitored on site within cycle|
|Have to report data ongoing basis|
|Complaints - complaint management system may trigger onsite monitoring|
These sections describe what happens in a focused monitoring system to each of the three types of districts, and compares the traditional cyclical monitoring system to a focused monitoring system. What are the benefits and drawbacks to each? The cyclical monitoring system ensures that every district is monitored during the cycle period (once every six years, for example), which limits the amount of attention that can be paid to districts with the greatest problems. With focused monitoring, the state focuses on those districts that have the farthest to go to reach the state average, important given limited monitoring resources. But it means that many districts don’t get monitored at all, unless they are randomly selected. Focused monitoring also “rewards” districts that do better than the state average on selected key variables, even if the state average is low compared to national averages or far from compliance (i.e., LRE in New Jersey!) New Jersey is moving to a system that combines the traditional cyclical model with some of the characteristics of the focused monitoring model, including the concept of “continuous improvement.”
is the Role of Stakeholders?
· Suggest variables (key performance indicators - KPIs)
· Suggest which ones are critical to monitoring decisions
· Suggest the level of a KPI that triggers monitoring
· Suggest goal levels for each KPI towards which the state should strive
· Parents must have a high level of participation in stakeholder group
· Find & review existing plans --> are they complete? consistent with law? how were they developed? approved by parents?
· Analyze implementation & impact/ performance of plan --> collect & review data
· Participate in developing next district plan/application for funds, and school plan: curriculum, instruction, parent involvement
· Help design & participate in training
· Help develop accountability plan
· Stay informed & involved; inform & involve others--> Title I, School Review, PTA, Budget Advisory, BOE
How Should We Be Involved?
· Analyze school programs, facilities, funds, performance
· Select “Whole School Reform” model fitting our school (Abbott districts), special education service delivery models, etc.
· Oversee its implementation
· Help develop curriculum & instruction
· Design professional/parent/community development
· Develop supplementary programs plan
· Develop facilities plan
· Develop school-based budget; document additional funding needs
· Recommend appointment, transfer or removal of teaching staff, aides; recommend principal candidates
· Develop school technology plan
· Develop accountability plan
· Build parent/community ownership, support, participation
sections describe the role of stakeholders, including parents, in monitoring
systems; gives parents ideas about how they can participate in monitoring and
continuous improvement processes; and refocuses our attention to expected
results. Within the next three
years, all districts in New Jersey will have “continuous improvement,” or
“quality improvement” steering committees with parent representation. These steering committees will be responsible for analyzing
how the district is currently doing, what needs improvement, and development and
overseeing implementation of plans for improvement. Parents need to be involved at every step of the way!
· Comprehensive needs assessment
· High standards and expectations
· “Accelerated curriculum”
· Effective teaching strategies
· High quality teachers and staff
· Timely, effective 1-1 help when needed
· Parents are welcomed and involved
· Ongoing assessment of students and program implementation & impacts
I & Parents
Parent Involvement Policy:
· Written by parents & school together
· Approved by Title I parents
· Describes how parents will be involved in:
· Writing Title I school plan
· Deciding on parent training
· How school will spend Title I $$
· Determining progress
· How to improve the plan
· Role of school, parents, students
· Specific responsibilities of each
Title I & Parents
District Parent Involvement Policy:
· Written by districts & parents together
· Approved by Title I parents
· Details how parents will be involved in:
· Making district Title I decisions
· Setting standards for progress
· Developing & monitoring implementation of plan, including application for federal Title I funds
· Identifying students for services
· Selecting parent training
· Improving the plan, services, outcomes
· Schools are institutions.
· Curricula are books and materials.
· One size fits all.
· Students are on an assembly line.
· Dropouts are defective students. (But students can drop out and still get a job that pays a decent wage and benefits).
· State institutions are there for the “real rejects.”
Transitional Age/ Technological/Referral Age
· Schools are subcultures (parents aren't welcome).
· Curricula are multiple tracks.
· Special pull-out programs.
· Students are tracked.
· Dropouts are negative statistics.
· State institutions begin to close.
· Schools are for everyone of all ages.
· Curricula are learning experiences.
· Special support services are provided where students are; students aren’t pulled out to where the services are.
· All students are included.
· Success for all students is the goal.
· State provides leadership, technical assistance and support.
sections summarize the history of education in the United States, as it moved
from an exclusionary institution to what we hope are institutions that will
inculcate values and knowledge in our children that will make our society more
inclusive and supportive. Our laws
have changed to reflect these changes in our concept of the institution of
1. What do we want ALL
· know (content standards)
· be able to do (performance standards)
2. What do we have to do to
· Curriculum & instruction
· School/class structure
· Professional & parent development
· Individual help
3. How do we know if we get
· Assessment; Monitoring
4. What happens if we
don’t get there?
· Improvement, Accountability
5. Who is “we?”
· Governance; Parent involvement
This section reminds us that the purpose of monitoring, enforcement and corrective action is to ensure that our children receive a quality education. Federal education laws have all been written with these questions in mind. Whether it’s IDEA, Title I of the Elementary and Secondary Education Act, Goals 2000, or other federal education laws, the focus is on ensuring the necessary inputs to have quality outcomes for ALL our children