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individualization

By Linda Jackson,2014-02-06 11:13
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individualization

Arizona Department of Economic Security

    Compliance Agreement

    Attachment A

    AREA 1: General Supervision

OUTCOME: DES will utilize effective monitoring and general supervision procedures to ensure the identification and correction of

    noncompliance with Part C.

Measurable Goals:

    Goal 1: DES will monitor all State or contracted programs that provide Part C services in Arizona, for compliance with all Part C

    requirements.

    Goal 2: DES will ensure that deficiencies identified through monitoring are corrected in a timely manner.

    With prior written approval from OSEP, adjustment to the Tasks and Activities to Reach Results column listed in this table may be made when necessary to support achievement of compliance outcomes within the required timelines. The Tasks and Activities to Reach Results will be evaluated every six months to determine their effectiveness and any need for change. Any requests for change or amendments will be submitted to OSEP in writing.

    - 1

Objective GS 1: Revise the Interagency Agreement(s) with the AzEIP participating State agencies to address general supervision

    requirements.

    Tasks and Activities to Reach Verification Target Completion Date Date Completed Lead and Primary

    Results Partners 1GS.1A. Identify the issues that need Summary of progress in quarterly AzEIP Executive 3 months

    to be included in the Interagency report to OSEP. Director, State Agreement(s) with each AzEIP Interagency Team, Legal participating state agency (DES, Counsel for each agency ASDB, ADHS, ADE, and

    AHCCCS).

    GS.1B. Convene the State Draft of the Interagency AzEIP Executive 5 months

    Interagency Team and their legal Agreement(s) to OSEP Director, State counsel to draft Interagency Interagency Team, Legal Agreement(s). Counsel for each agency GS.1C. Publish the Interagency Interagency Agreement(s) published AzEIP Executive 9 months

    Agreement(s) for Public Comment. for public comment Director

    GS.1D. State Interagency Team Summary of changes made in AzEIP Executive 12 months

    members will have legal counsel quarterly report to OSEP. Director, State review the revised Interagency Interagency Team, Legal Agreement(s) that reflects changes Counsel for each agency resulting from public comment.

    GS.1E. Obtain signatures of parties Summary of progress in quarterly AzEIP Executive 15 months

    on Interagency Agreement(s). report to OSEP. Director, State

    Interagency Team

    GS.1F. File the Interagency Summary of progress in quarterly DES 16 months

    Agreement(s) with Secretary of State. report to OSEP.

    GS.1G. Disseminate and implement Final Interagency Agreement(s) DES/AzEIP 16 months and ongoing

    Interagency Agreement(s). submitted to OSEP and summary of

    implementation progress in quarterly

     1 The target completion date for any reports or documentation is the final day of the month following the date on which the Compliance Agreement is signed by both parties. Thus, if the Compliance Agreement is signed on August 1, 2004, a “3 months” completion date requires reporting on November 30, 2004. Quarterly reports are due on the last day of every third month following the date the Compliance Agreement is signed by both parties. The FFY 2003 through FFY 2005 Part C Annual Performance Reports (APRs) submitted during the period of the Compliance Agreement may serve as the quarterly reports under the Compliance Agreement as long as the content requirements for both the APR and the Compliance Agreement are addressed in the APR submission.

    - 2

reports to OSEP

- 3

Objective GS 2: Align policies and procedures across agencies to include general supervision and ensure compliance with Part C

    (on monitoring, data collection, contract review, and technical assistance).

    Tasks and Activities to Reach Verification Target Completion Date Date Completed Lead and Primary

    Results Partners GS.2A. Draft the policies and Summary of progress in quarterly AzEIP Professional 3 months

    procedures review checklist (on report to OSEP. Development Coordinator monitoring, data collection, contract

    review, and technical assistance).

    GS.2B. Review DDD, ASDB and Summary of progress in quarterly Continuous Quality 10 months

    ADHS policies and procedures for report to OSEP. Improvement compliance with IDEA, Part C and Coordinators, and DDD, provide information regarding ASDB, ADHS Partners inconsistency with IDEA, Part C and

    AzEIP policies (regarding Part C

    requirements including monitoring,

    data collection, contract review, and

    technical assistance).

    GS.2C. If needed, agencies will draft If DES/AzEIP determines that an Continuous Quality 18 months

    revised policies and procedures to agency policy or procedure is out of Improvement resolve discrepancies (regarding Part compliance with IDEA, Part C, Coordinators, and DDD, C requirements including monitoring, DES/AzEIP will submit revised ASDB, ADHS Partners data collection, contract review, and policy to OSEP for approval.

    technical assistance) and ensure

    agency staff and contractors

    understand revisions.

    GS.2D. Finalize policies and Summary of progress in quarterly Continuous Quality 24 months

    procedures from GS.2C. above. report to OSEP and submit finalized Improvement

    policies and procedures to OSEP if Coordinators and DDD,

    required as part of Part C Application. ASDB, ADHS Partners GS.2E. Implement finalized policies Summary of progress on Continuous Quality 24 36 months

    and procedures. implementation of new policies and Improvement

    procedures to OSEP in quarterly Coordinators and DDD,

    report. ASDB, ADHS Partners

    - 4

Objective GS 3: Implement the monitoring system, which includes analysis of data and ensures corrective action.

    Tasks and Activities to Reach Verification Target Completion Date Date Completed Lead and Primary

    Results Partners GS.3A. Review and, if needed, revise Summary of progress in quarterly Continuous Quality 5 months for service

    the Continuous Monitoring and report to OSEP, which will include Improvement coordination and IFSP

    Quality Improvement tools and data on service coordination and Coordinators, Technical identification of services procedures to ensure compliance with identification of early intervention Assistance Specialist data. Ongoing reporting

    service coordination requirements and services needed on the IFSP. in the Part C annual APR

    the individualization of early (FFYs 2003, 2004 and

    intervention services. The 2005) and annually

    Continuous Monitoring and Quality thereafter on 9/30/05,

    Improvement system will track: 9/30/06 and 9/30/07.

    (1) The IFSPs on which services

    are not linked to functional

    outcomes that are based on

    the families’ priorities,

    resources and concerns and

    the child’s current levels of

    development; and

    (2) The number of IFSPs on

    which a single service

    coordinator is not identified.

    GS.3B. Statewide orientation and Summary of progress in quarterly Continuous Quality 6 months

    training on the AzEIP Monitoring report to OSEP, including the number Improvement System, with emphasis on the of participants. Coordinators, Local Program Self-Assessment (See Program Coordinators, Attachment C) provided to Program and Program Supervisors Supervisors contracted or employed

    by DES/AzEIP, DES/DDD, ASDB,

    and ADHS.

    GS.3C. Revise the family surveys and Revised Family Surveys submitted to Continuous Quality 6 months

    family interview questions to OSEP. Improvement incorporate newly identified Coordinators, Technical compliance elements and Annual Assistance Specialist, Performance Report indicators. Local Program

    Coordinators, and the

    - 5

    Evaluation and

    Monitoring Committee of

    the ICC

    GS.3D. Implement the Program Self Summary of progress in quarterly Continuous Quality 6 months 2Assessment with Service report to OSEP. Improvement Coordination providers statewide (see Coordinators, Local annual cycle in Attachment C). Program Coordinators,

    and Service Coordination

    Supervisors

    GS.3E. Implement the “Desk Audit” Summary of analysis of State and Continuous Quality 12 months and annually

    process: Analyze available data from county data. Improvement thereafter

    all sources, including comparison Coordinators, Technical over time, and utilize analysis to Assistance Specialist identify issues of compliance and

    noncompliance.

GS.3F. Implement the site review Sample of “reports of findings”, Continuous Quality 10 months and in each

    cycle (see 5-year cycle in Attachment summary of all findings made and Improvement APR thereafter

    C) Summary of progress in quarterly Coordinators, State

    report to OSEP. Interagency Monitoring

    Team

    GS. 3G. Utilize information from the Summary of analysis of State and Continuous Quality 12 months and annually

    Program Self-Assessment, the Desk-county data. Improvement thereafter

    Audit and the Site Review (if Coordinators, conducted that year) to identify areas Monitoring/Technical of non-compliance and require the Assistance Specialists establishment of a corrective action

    plan.

    GS.3H. Review and approve Copies of first two CAPs approved by Continuous Quality 15 months and every

    corrective action plans (CAPs) for AzEIP to OSEP and summaries of Improvement quarterly report

    counties and ensure correction. CAP findings, corrective actions Coordinators, Technical thereafter.

    taken and correction data to OSEP Assistance Specialist

     2 Arizona’s statewide monitoring system is comprised of the following components: (1) Program Self Assessment that utilizes multiple data sources and

    evaluates program performance and practices related to Part C requirements; (2) Desk Audit conducted by AzEIP which includes a review of IFSPs and Arizona’s child tracking system data; (3) family surveys and family interviews; (4) Site Reviews which include file audits of personnel, child and financial

    information; and (5) community level and agency level reviews. See Attachment C for the five-year monitoring cycle schedule.

    - 6

    thereafter.

    GS.3I. Utilize available data to Summary of analysis of State and Continuous Quality 22 months and every 6

    confirm that corrective action county data. Improvement months thereafter

    measures have resulted in compliance Coordinators, Technical with identified issues. Assistance Specialist,

    State Interagency

    Monitoring Team

Objective GS 4: Formalize a technical assistance system that ensures that programs have access to technical assistance that

    supports their implementation of corrective action and attainment of compliance.

    Tasks and Activities to Reach Results Verification Target Completion Date Completed Lead and Primary Partners

    Date

    GS.4A. Establish technical assistance Summary of priorities in Continuous Quality 4 months

    priorities. quarterly report to OSEP Improvement Coordinators,

    AzEIP Professional

    Development Coordinator,

    State Interagency Team GS.4B. DES/AzEIP establishes procedures Summary of progress in AzEIP Professional 4 months

    for accessing technical assistance. quarterly report to OSEP Development Coordinator GS.4C. With input from the State Summary of progress in AzEIP Professional 6 months

    Interagency Team, identify individuals quarterly report to OSEP Development Coordinator, with expertise in priority areas to form the State Interagency Team, technical assistance cadre.

    GS.4D. DES/AzEIP disseminates Summary of progress in AzEIP Professional 6 months

    procedures for accessing technical quarterly report to OSEP Development Coordinator assistance.

    GS.4E. DES/AzEIP monitors use of Summary of assessment in AzEIP Professional 12 months and

    technical assistance resources to ensure quarterly report to OSEP Development Coordinator annually thereafter

    accessibility, timeliness, relevance and

    effectiveness of the technical assistance

    system.

Objective GS.5: Revise the ACTS system to expand data collection and reporting functions; incorporating timely data access and

    management reporting at the local and State AzEIP offices for monitoring purposes.

    - 7

    Tasks and Activities to Reach Results Verification Target Date Date Completed Lead and Primary Partners GS.5A. Identify the required components Summary of progress in Management Information 3 months

    of each data report, how often data will be quarterly report to OSEP Specialist, DES System and

    collected, and how data will be entered and Programming, Continuous Quality

    validated. Improvement Coordinators and

    Technical Assistance Specialist GS.5B. Identify data elements for Part C Summary of progress in Management Information 5 months

    compliance elements including the: quarterly report to OSEP Specialist, DES System and

     (1) Number of infants and toddlers for Programming, Continuous Quality whom evaluations and assessments were Improvement Coordinators and

    not completed within 45 days of the initial Technical Assistance Specialist referral;

     (2) Number of infants and toddlers for

    whom the initial IFSP meeting was not

    held within 45 days from the date of

    referral;

    (3) Extent of the delay (i.e., the number of

    days past the 45 day timeline) for infants

    and toddlers identified under (1) and (2)

    above;

    (4) Reasons for delay in meeting the 45-

    day timeline requirement for (1) and (2)

    above, including lack of evaluation

    personnel in either a specific discipline or

    county, family unavailability, service

    coordinator or evaluator unavailability or

    other reasons;

    (5) Number of infants and toddlers with

    disabilities and their families who are not

    receiving all the Part C services listed on

    the infant or toddler’s IFSP;

    (6) Type(s) of early intervention service(s)

    (including services to families as well as to

    infants and toddlers with disabilities) that

    have waiting lists and, for each early

    intervention service, the number of infants

    and toddlers with disabilities on the

    - 8

waiting list for that particular intervention

    service at the beginning of the reporting

    period; and

    (7) For each early intervention service for

    which there is a waiting list, the number of

    days that each eligible infant or toddler or

    the family is on the waiting list.

    GS.5C. Code and test ACTS data system to Summary of progress in Management Information 5 months

    ensure that data elements listed in GS.5B quarterly report to OSEP Specialist, DES System and are included and are capable of being Programming, Continuous Quality inputted. Improvement Coordinators and

    Technical Assistance Specialist GS.5D. Establish an implementation plan Summary of progress in Management Information 6 months

    for the collection of the data. quarterly report to OSEP Specialist, DES System and

    Programming, Continuous Quality

    Improvement Coordinators and

    Technical Assistance Specialist GS.5E. Implement the revised data system Summary of progress in Management Information 7 months and

    to ensure collection of revised data quarterly report to OSEP and Specialist, Continuous Quality each quarterly

    elements from GS.5B. Improvement Coordinators and report thereafter

    Technical Assistance Specialist GS.5F. Evaluate Results Summary and analysis of initial Management Information 13 months

    data collected on GS.5B Part C Specialist, DES System and ; Check reports for accuracy

    compliance data elements. Programming, Continuous Quality ; Check if data is properly entered

    Improvement Coordinators and and validated

    Technical Assistance Specialist ; Develop plan to correct, if needed

    ; Technical Assistance, if needed

    ; Fix production problems and

    retest and retrain, if needed.

    - 9

Objective GS.6 Incorporate data elements and reports into the State Agencies’ Data Systems.

    Tasks and Activities to Reach Results Verification Target Completion Date Completed Lead and Primary Partners

    Date

    GS.6.1.A. Work with DDD to revise the Summary of progress in Management Information 10 months

    DDD data system to ensure inclusion of quarterly report to OSEP. Specialist and Technical required data elements from GS.5B. above; Assistance Specialist and reports and transfer of data to and from DDD

    AzEIP.

GS.6.1.B. Implement and monitor the Summary of progress in Management Information 12 months

    revised DDD system. quarterly report to OSEP. Specialist and Technical

    Assistance Specialist and

    DDD

    GS.6.1.C. Provide technical assistance, as Summary of technical assistance Management Information 12 months and

    needed, to resolve production problems, re-in quarterly report to OSEP. Specialist and Technical ongoing, as needed

    test and retrain. Assistance Specialist and

    DDD

    GS.6.2.A. Work with ADHS to revise data Summary of progress in Management Information 3 months

    system to ensure inclusion of required data quarterly report to OSEP. Specialist and Technical elements from GS.5B. above; reports and Assistance Specialist and transfer of data to and from AzEIP. ADHS

GS.6.2.B. Implement and monitor the Summary of progress in Management Information 5 months

    revised ADHS system. quarterly report to OSEP. Specialist and Technical

    Assistance Specialist and

    ADHS

    GS.6.2.C. Provide technical assistance, as Summary of technical assistance Management Information 7 months and

    needed, to resolve production problems, re-in quarterly report to OSEP. Specialist and Technical ongoing, as needed

    test and retrain. Assistance Specialist and

    ADHS

    GS.6.3.A. Work with ASDB data system to Summary of progress in Management Information 3 months

    ensure inclusion of required data elements quarterly report to OSEP. Specialist and Technical from GS.5B. above; reports and transfer of Assistance Specialist and data to and from AzEIP. ASDB

    - 10

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