Division of Performance and Accountability FISCAL MANAGEMENT Special Education Funds SY 201415 Fiscal Risk Level Webinar January 7 2016 To provide information on BIEDPA Special Education Fiscal Management ID: 804693
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Slide1
Bureau of Indian EducationDivision of Performance and Accountability
FISCAL MANAGEMENT
Special Education Funds
SY 2014-15 Fiscal Risk Level
Webinar – January 7, 2016
Slide2To provide information on BIE,DPA Special Education Fiscal ManagementTo provide the 2014-15 Desk Audit findings
To initiate technical assistance to the schools
To provide a time for schools to request clarification, ask questions and provide input to delivery of technical assistance and training
The purpose of the training is:
Slide3Training and information continues to be shared via webinars, emails, conference and phone calls
Due dates were adjusted to accommodate changes
Turn around of school staff
Native Star continues as the process to submit documents
FDDUnderstanding of CEIS
Challenges for SY
2014-15
Slide4I. OverviewThe Fiscal Monitoring Procedures for Special Education ensures a school’s compliance to certain fiscal and administrative requirements for special education funds, 15% ISEP Academic base funds and IDEA Part B Supplemental Funds. Part B funds are allocated to the schools for excess costs of special education and related services and to supplement the ISEP 15% Academic base fund.
The school submits an application that provides assurances that the school will meet the requirements of Public Law 108-446
Fiscal Monitoring for Special
Education
The procedure is established to ensure:Program and fiscal policies and procedures are developed and implemented to meet certain fiscal and administrative requirements;
Appropriate use of special education funds for the intended purpose, Free and Appropriate Public Education (FAPE) in the Least Restrictive Environment (LRE);
Problems are identified and remediated; and
Oversight is provided that would result in improved student outcomes.
Fiscal Monitoring for Special Education
Slide6Each school submits all fiscal documents in the
Native Star
link on the BIE website with the exception of the Unmet Needs Request. Each document, with a timeline, is used for the fiscal desk audit completed on each school in June.
II. Process
Slide71.The BIE reviews and rates the following fiscal documents:Local Education Agency LEA/School Part B Application
and if applicable, the
Coordinated Early Intervening Services (CEIS) Plan;
BIE Web Budget
, BIE Operated Schools only; or Consolidated School-Wide Budget, Tribally Controlled Schools (TCS) only;Fiscal Accountability Self-Assessment (FASA)A. Desk Audit
Slide82. Fiscal findings of noncompliance identified during the desk audit process for which no written findings are issued, the following will apply:A) The school will be issued a warning notification for instances of noncompliance related to IDEA fiscal requirements
B) Targeted technical assistance will be provided to ensure instances of noncompliance are corrected within 30 school days of identification.
A. Desk Audit Cont.
Slide9C) Findings of noncompliance corrected by the school will be verified through the review of the school’s required upload of fiscal evidence in Native Star or Native American Student Information System
D) Findings of noncompliance not corrected by the school within 30 calendar days will result in a written notification
A. Desk Audit
Slide103. The IDEA Fiscal Risk Level Scoring Sheet is used to communicate to the schools the risk level for each school
Low Risk: minimal concerns identified for meeting fiscal and administrative requirements
Medium Risk: concerns identified for meeting fiscal and administrative requirements
High Risk: numerous concerns identified for meeting fiscal and administrative requirements
Fiscal Risk Level
Slide114. Written notification of risk level is issued to the school5. Targeted technical assistance is provided to medium and high risk level schools
Fiscal Risk
Level Cont.
Slide12An on-site visit provides an intensive level of fiscal review, and is the result of continuing violations of federal and IDEA fiscal requirements
B. On-Site Fiscal Review
Slide131. Criteria – if a school meets two of the five are used to identify a school for an on-site fiscal review:
Late submission or incomplete LEA/Part B application
High risk level for current and preceding years;
Administration Financial Reviews (BIE Operated Schools);
Recommendation for an on-site fiscal review from the Integrated Accountability and Support (IA&S) monitoring report;Indian Student Equalization Program (ISEP) Special Education Certification submitted by the Education Line Office (ELO) that identifies findings of noncompliance; and/or
Administration Financial Reviews (BIE Operated Schools) or Annual Report (Tribally Controlled Schools) or A-133 (Tribally Controlled Schools)
B. On-Site Fiscal
Review Cont.
Slide142. Written notification of an on-site fiscal review is sent3. On-Site Fiscal Review Activities:
Entrance meeting
Demographic data and budget
FASA and Fiscal Rating
Verification of expendituresEvaluation of fiscal review processExit meetingB. On-Site Fiscal Review Cont.
Slide154. Analysis of data collected during the on-site fiscal review5. Written report (also referred to as the written notification) issued to the school within 90 days of an on-site visit to inform of the intensive review results and if applicable, findings of noncompliance and corrective action.
B. On-Site Fiscal Review Cont.
Slide16BIE identifies and corrects finding(s) of noncompliance as follows:
Schedule conference call with school(s) within 15-days of written report:
Review findings of noncomplianceProvide clarification/guidance
Review correction process
III. Fiscal Findings of Noncompliance and Correction
Slide17Conduct quarterly progress checkpoints
Ensure timely correction on noncompliance
School corrects within required timeline
BIE verifies correction of noncompliance
BIE issues close-out letter within 30-days of verificationSchool does not timely correct; placed in continuing status of noncomplianceBIE issues written notificationBIE applies enforcementBIE verified correction
BIE issues close-out letter within 30-days of verification
Fiscal Findings of Noncompliance and
Correction Cont.
Slide18The data from the desk audit and on-site fiscal review activities are analyzed and summarized to examine patterns and trends. The BIE offers training and targeted technical assistance to ensure fiscal resources are directed to areas needing improvement.
IV. Data Analysis
Slide19An evaluation is performed to assist the BIE in improving the fiscal monitoring procedures, activities include:
School completes post-fiscal review evaluation form
BIE assembles representatives from the BIE Administration, BIE Advisory Board for Exceptional Children, ELO staff and schools to evaluate the fiscal monitoring process.
V. Evaluation
Slide20School Part B Application: 3 PointsTimely submission (1)
Complete application (1)
Signature after School Board Approval (1)
BIE Web Budget/Consolidated S W Budget
K-8 Schools (19)K-12 Schools (23)FASA (45)CEIS (8)Desk Audit Process
Slide21Regions
# Low Risk Schools
#
Medium Risk
Schools
#
High Risk
Schools
Total
Number of Schools
2014-15
2013-14
2014-15
2013-14
2014-15
2013-14
East
1
1
21
25
33
29
55
Navajo
1
1
20
20
40
40
61
West
2
2
16
16
42
42
60Total445761115111176
Fiscal Risk Desk Audit School Results
Slide22Timely submission of the budget with appropriate signatures?Were there adequate allocations
and
justification provided to support the allocation?Fulltime Equivalency's (FTE) for personnel (Student/Teacher Ratio
Paraprofessionals
Special Education Teacher Supplies, materials, equipment and assistive technologyBudget Reviews
Slide23Professional Development for total school staff, for special education staff, and/or provided based on needs of individual SWD.
Transportation as a related service for SWD
Parent Training
Child Find Activities
Least Restrictive Environment (LRE) placements in settings away from the school (incarceration, intensive specialized instruction or therapy, illness of student)Budget Reviews Cont.
Slide24Most schools demonstrated appropriate use of Special Education funds in the following areas:TransportationPersonnel
Related Services
Special Education TeachersMajority of schools provided Budgets
Few entries of “Inappropriate
and Non Allowable Costs”Understanding the definition of Allowable CostUtilization of the Allowable Cost DocumentBudget Analysis
Slide25Questionable Costs
Budget Item
Parent Training
Assistive Technology
Child Find
Equipment
Materials
Supplies
Staff
Training
Secondary
Transition Specialist
Work Study Programs
Slide26Areas of improvement:The upload documents into Native Star
Internal controls
– describing the process for monitoring internal controls.
Separation
of dutiesAssessing of fiscal risk as it relates to theft & embezzlingTravel and training input of staff who attended, position and purpose
FASA Analysis
Slide27Carryover
Inventory and safeguard to ensure fraud is not
occurring
Special education coordinator/lead teacher not involved in the verification of purchase of supplies, and contracts
.Justification of unusual itemsSchools will be issued findings of noncompliance if there are violations of IDEA requirements.
FASA Analysis
Slide28Regions
Low Risk
Medium Risk
High Risk
TotalEast1340 17
Navajo
4
0
0
4
West
4
2
1
7
TOTAL
21
6
1
28
Coordinated Early Intervening Services (CEIS) Data
Slide29Schools will be issued findings of noncompliance if there are violations of IDEA requirements.
Schools received a score of 0 because:
a CEIS Plan was not submitted or was not submitted by the due date;
CEIS Cont.
Slide30The CEIS rating was based on the following (8 pts):The Part B allocation was below the 15% Part B threshold (1pt)
The “Responsible Person” for CEIS at the school was identified (1pt)
The “targeted audience” was identified (1pt)
The School’s CEIS program was described (0-2 pts)
The number of student participants was provided (1pt)The entrance and exit tools and criteria were provided (0-2pts)
CEIS Cont.
Slide31Examples of topicsProcedural Safeguards
(
Individuals with Disabilities Education Act) Overview of Special Education procedures & processes
Parenting a child with a
disabilityOverview of the Individualized Education Program (IEP)Developing your child’s IEPSupplementary aids & services; accommodations & modifications; Assistive TechnologyNurturing Self-determination
TECHNICAL ASSISTANCE
Parent Training
Slide32Assistance is available for parents100 Parent Centers across the nation at least one is located in each state
Sometimes they are referred to as Parent Training and Information Centers (PTIs) and/or Community Parent Resource Centers (CPRCs)
They help parents to participate effectively in the education of their children at school and at home, thereby improving outcomes for children with disabilities
Parent Training Cont.
Slide33Native American Parent Technical Assistance Center (NAPTAC): Education for Parents of Indian Children with Special Needs (EPICS)
Parent Training Cont.
Slide34Assistive technology devices or services, or both, are made available to a child with a disability if required as part of the child’s special education, related services, or supplementary aids and services.
The child’s IEP team determines if an assistive technology service and/or devise is necessary for the child to benefit from his or her education program
There are a broad range of assistive devices:Low-tech examples: pencil grips, highlighters, paper stabilizers, magnifiers, books on tapeHigh-tech examples: computers, computer based
a
ssistive technology, voice synthesizers, Braille readers Assistive Technology (AT)
Slide35Accommodations/Modifications ExampleSkill Area: Written ExpressionAccommodations:
Method
Material
Technology
Accept outlines or notes to reduce written workCreate sentences aloudDo not grade for spellingExtra time for completion
Process reminders on
chalkboard or desk
Provide writing sample
Shorten assignments Study carrel for solo work
Pocket dictionary
Pocket thesaurus
Process reminders on
chalk board or desk
Electronic dictionary
Electronic thesaurus
Spell check
Use computer or word
process for writing
Use tape recorder to do
assignments verbally
Word Prediction
software
Slide36There are many:Alliance for Technology Access Resource Centers
National Center for Learning Disabilities
Parent Training and Information Centers
Alliance for Technology Access
Resource Centers http://www.ataccess.orgCenter for Innovation in Learning http://www.edutopia.org/article/assistive-technology-resources
Education World
www.educationworld.com
AT Cont.
Slide37is a component of the Individuals with Disabilities Education Act that requires States and Local Education Agencies to identify, locate, and evaluate all children with disabilities residing in the State, regardless of the severity of their disabilities, and who are in need of special education and related services.
is a continuous process of public awareness activities, screening and evaluation designed to locate, identify, and evaluate children with disabilities who are in need of Early Childhood Intervention Programs or Special Education and Related Services
Child Find
Slide38Examples of Child Find activities:The school publishes a child find notice in the local newspaper or the school’s newsletter
school participates in conjunction with community agencies such as
HeadStart, preschool services, and other area preschools; Child find notices are sent to all area clinics, doctors, preschools and daycare centers in conjunction with preschool screening
activities
All children entering kindergarten are screened to identify children with suspected disabilitiesChild Find Cont.
Slide39The files of all children transferring to the school are screened to identify children who may have been receiving special services in their prior school
Parents of older children who enter the school for the first time are given a document, which explains the school’s special services and who to contact if they suspect their child may have a disability
For children attending the school ages 5 to 21, the primary child find process is parent and teacher referrals. In-service activities to assist teachers in making appropriate referrals are provided annually
Child Find Cont.
Slide40The school student services team reviews the files of all students with a health plan to screen for suspected disabilities
Student Assistance Team (other names may be used) ensure appropriate interventions have been utilized to help the student overcome their learning problems before beginning a referral for special education services
Child Find Cont.
Slide41Child find is integrated with ESEA:
Under ESEA, each LEA (school) must have an improvement plan developed to guide school and staff in the improvement of student performance for
all student groups in order to attain state standards. The school improvement plan must include strategies for improvement of student performance such as: instructional methods designed based on the needs of student groups not achieving; processes for addressing the
needs of children in special programs; integration of technology
in instructional and administrative program; positive
b
ehavior
supports; staff development for educators; and accelerated
instruction
Child Find Cont.
Slide42Conduct school data analysis to determine improvement needs in the following areas:Equipment, supplies, materials
Staff Training
Include training on School Records and Confidentiality; Family Educational Rights and Privacy Act (FERPA)
Secondary Transition
Plan, Plan, Plan
Slide43Gloria Yepa (505) 563-5264g
loria.yepa@bie.edu
Laura N. Tsosie (505) 563-5275laura.tsosie@bie.edu
Connie Albert (505) 563-5180
connie.albert@bie.edu Contact Information