DEC Forms Guide
Initial Referral
Meeting
Decision to test
Initial Referral
Meeting Decision
to place with
existing
information
Initial Referral
Meeting
Decision Not to
test and place
Initial Placement
Meeting
Invitation
Invitation
Invitation
Invitation
Dec 1
Dec 1
Dec 1
*Dec 2
Dec 3 Worksheet
(s)
Completely filled
in
Dec 3 Eligibility
Sheet
Dec 5
Dec 5
Reevaluation
No testing
Reevaluation
No Testing
Remain Eligible
Exiting EC
Invitation
Invitation
Invitation
Dec 3
Worksheet(s)
Completely filled
in
Dec 4 IEP
Dec 7
Dec 3 Eligibility
Sheet
Dec 5
Dec 3 Eligibility sheet
Dec 4 IEP
Annual
Review
Dec 4 IEP
Write a new IEP or
revisit current IEP
Reevaluation
w/testing
First Meeting
Reevaluation
Results
Meeting
Invitation
Invitation
Dec 7
Dec 7
Dec 3
Worksheet(s)
Filled in
completely
Dec 3 Eligibility
Sheet
*Dec 2
Dec 3 Worksheet(s)
Completely filled in
with a combination
of new data and
old data brought
forward
Dec 3 Eligibility
Sheet
Dec 5
Dec 4 IEP
Either write a new
IEP
or revisit current IEP
Dec 5
Dec 4 IEP
Dec 5
Dec 5
Dec 5
Dec 5
Dec 6
Dec 6
To amend an IEP without a meeting: contact the parent by phone to discuss the minimal changes that need to be made
In CECAS, create a NEW Dec 4 (copy forward current IEP) and select “Addendum” as the purpose
Make the changes and document them in the amend without meeting section of the DEC 4 (See Correct Way to Make
Corrections handout for additional information) There should be no signatures on the IEP for this
Complete a DEC 5, select “other” as purpose and type in “amend IEP without meeting”
Complete the “other section” and answer questions 1 – 4. The only signature on the DEC 5 will be the EC Case Manager’s.
Remember implementation date needs to be dated 7 to 10 days out and this should also be the begin date for the addendum IEP, the end date won’t change.
*Adding additional testing to a DEC 2: If during the initial placement process or reevaluation process the team determines they
need to do more testing than indicated on the original DEC 2, the team would need to reconvene (invitation to conference), do
a new DEC 2 to request the additional data, and close with a DEC 5 explaining why the additional information was needed.
Q&A
General
 Please make sure to open all IEPs for the up-coming month on the first day of the prior
month. For instance, on April 1 all IEPs for the month of May should be opened in
CECAS. This task is simple in that all it requires is the creation of a primary form with
any related forms that are needed for the student’s meeting. This allows related service
providers and other teachers to give input into the writing of the IEP.

Can a parent refuse to attend an IEP meeting because he/she does not want a certain team
member at the meeting? The LEA may include at the IEP meeting individuals who have knowledge or
special expertise regarding the child. Procedures regarding inviting the parent should always be followed.
It is acceptable to meet without the parent if there have been adequate attempts to involve the parent.

What should be done if parent wants a staff member at a meeting and that staff member
doesn’t need to be there, shouldn’t be there, has no reason to be there, etc.? The parent may
also (just as the LEA) invite to the IEP meeting individuals who have knowledge regarding the child.

In cases where a guardian ad litem is involved but the parent’s rights have not been revoked,
where does the guardian ad litem fit in? If the parental rights have not been revoked, the parent
serves in the decision-making role in the IEP meeting and signs in the appropriate blank. The guardian ad
litem attends the meeting and may sign on another line. The guardian ad litem may have a role to play
regarding any legal aspects of the student’s needs.

What proof is required from another state to begin serving a student or begin with regular ed
SSMT? An IEP is required so that we may provide comparable services to what the student received in
the previous school and we would begin the NC eligibility process with a DEC 1 meeting. We would not
necessarily get anything that shows that the student was part of any type of SSMT process.

What if the parent is an attorney and the meeting could turn negative… should the meeting
have been stopped because the parent is an attorney and the school attorney is not present?)
If the parent is an attorney, that happens to be his/her profession and you would treat them as you would
any other parent. You would not stop the meeting.


If parents refuse testing/services can they still request testing at a later date (after a year) or
are all services void by refusal on initial DEC 6? Yes, the parent can request testing at any time.
However, once the parent refuses testing, the meeting would end with a DEC 5 explaining why testing
would not be done therefore it would be impossible to determine eligibility. There would be no IEP written
or services provided. The same is true if the parent agrees to testing and after testing is completed the
student is found eligible but the parent refuses to give consent for services (DEC 6-signs “no”). No IEP
would be written and everything would be explained on the DEC 5. The student could be found eligible in
the future by beginning the initial eligibility process again.

Can non-certified teachers in exceptional children teach EC classes? Yes. This may happen
when there is a non-certified substitute that has to take over a class or when there is a lateral entry
teacher that has not completed the requirements of licensure.

Can non-certified teachers complete EC paperwork? No. If there is a non-certified teacher
teaching EC students, that person cannot be given EC files to manage. It would be necessary to
disperse those files to other certified teachers within the building.

If non-certified teachers do complete paperwork, can parents use this in court? Again, if
these teachers are non-certified, they should not be completing paperwork. If a non-certified teacher
has erroneously completed EC paperwork, then, yes, the parents could use that in court.

What is the legal responsibility of others at the IEP meeting who sign the paperwork? It
depends upon the role of the “others” at the meeting. Each member of the IEP team has certain
responsibilities to meet regarding the needs of the student and each person is legally bound to provide
the program that is defined in the IEP. If the question is: “If I sign an IEP, could I be called to
court?”--the answer to that question is “yes.” Anyone that attends the IEP meetings may have to
testify regarding the discussions at the meeting and how services have been rendered to the student.

Legally, is there a time limit as to how long we need to keep EC student work samples?
There is not a specific time limit on how long we should keep raw data and work samples. Teachers
should use good judgment. Every situation is different. Remember that the parent has 1 year from
the day they receive the DEC 5 to file due process if they do not agree with a decision. If a case would
go to court, a teacher would need to be able to support the decisions that were made and the progress
report information that was given over that period of time. In some cases, questions may arise that go
further into the past.

A New Version of the Form G is online at the EC website forms listing. All schools need to make sure to use
this new version. If you download the form to a desktop for entry, please make sure to download this newest
version and begin to use it immediately. Any students that have been reflected on the previous form may be
transferred over or the school may maintain the “old” form to submit to the EC office on January 13.
Functional Behavior Assessment Guidelines
Please see the attached DPI memo regarding procedural requirements for conducting Functional Behavior Assessments
(FBA). This advisement from DPI is based upon a letter from OSEP that is also included in this packet. An additional
document from DPI addresses Questions & Answers related to this topic.
Parent permission is required to conduct an FBA. Starting January 2, FBAs must be initiated via the DEC 1 or DEC 7
process. The following Scenarios should help guide your ECATs.
Scenario 1. An EC student demonstrates problem behaviors that are interfering with learning. At this time the student
does not have an FBA or BIP. Typical classroom or individual strategies/intervention can be employed to decrease these
problem behaviors. For example, school staff can proceed with the following without initiating an evaluation:
 Teachers modify the classroom discipline plan for the student (e.g. more warnings, bounce to another class,
adding more visual supports to the classroom discipline plan).
 Discuss the student at ECAT to brainstorm some additional interventions (e.g. contracts, behavior charts,
meetings with counselors/BMTs, reflection sheets or self-monitoring).
 Staff could observe the classroom to make suggestions regarding changes to the environment or task demands
in the classroom.
After reviewing/revising these interventions, it becomes evident that more information should be gathered to better
understand the reasons for problem behavior and to develop a more effective, efficient plan based on the function of
behavior. The following steps should be followed:
 Set up and IEP meeting to do a reevaluation (DEC7) and obtain parent permission(DEC2) for an FBA. Because
the IEP team is reevaluating the “whole child” other assessments could be requested, as well.
o On DEC2, check Other and write in Functional Behavior Assessment.
o Each component of the FBA does not have to be specifically identified on the DEC2. However, keep in
mind that typical components of an FBA include interviews, observations, and data collection across
settings.
o
Previous interventions and data collection should be reviewed and the IEP team should consider
developing the plan for how the FBA will be conducted – such as identifying target behaviors, selecting
data to be collected, identify who will conduct interviews/observations and when the team will reconvene
to complete the FBA.
 When the team reconvenes, the FBA will be completed and the both the DEC3 eligibility and DEC3 worksheet will
be completed. The IEP will be reviewed and any changes will be made, such as developing a BIP. Other relevant
changes could be made to the IEP as well (e.g. add/revise goals, supplementary aids and services, additional EC
time)
 A DEC5 will be completed to finalize the reevaluation.
Scenario 2. An initial evaluation or reevaluation is in process and an FBA is determined to be necessary.
 Explain to parent what an FBA is used for and send home DEC2 to get permission. Addend the DEC1 or DEC7 to
include that a Functional Behavior Assessment is needed with the date of the new DEC2 indicated in parenthesis.
Scenario 3. An EC student is long-term suspended and does not have an FBA. The outcome of the manifestation deems
an FBA is needed.
 Initiate the DEC7 process at the manifestation meeting as indicated in Scenario 1.
Scenario 4. An EC student has an FBA that is several years old. S/he no longer has a BIP or the BIP is not effective.
 Review the old FBA. If the FBA is still relevant explaining the context and motivation of the behavior problems,
then the DEC1 or DEC7 process is NOT required. The IEP team should review and update the FBA and make
any changes to the IEP as deemed appropriate.

If the FBA no longer appears relevant in explaining student behavior, the DEC1/DEC7 process should be
initiated.
Scenario 5. An EC student transfers from out of state and has behavior goals or other behavior documentation
suggesting a BIP may be warranted.
 If the student has an FBA, the FBA should be documented as part of the existing information on the DEC1.
 If the student does not have an FBA, the FBA should be listed as information that needs to be collected and
added to the DEC2.

When should the IEP team develop a Behavior Intervention Plan (BIP) instead of
developing behavior goals within the IEP? – A BIP is required when a student is being
suspended and a disciplinary change in placement has occurred. It is a best practice to have a
BIP in place when considering more restrictive settings such as Behavior-focused Selfcontained. It is helpful to think of the behavioral IEP goal(s) as being focused on the student.
The BIP guides the adults in the strategies and interventions that should be used to address
the student’s behavior.
Invitation to Conference
Invitations to Conference are used anytime the parent/guardian and/or student ages 14 and older needs to be involved
to discuss identification, evaluation, placement decisions or annual reviews. There are three types of invitations:
1. Parent Invitation to Conference:
For parents of students who are between the ages of 3 and 18 years old
For parents who have retained parental rights for students who are 18 years old or older
(Documentation of this must be in the student’s cumulative folder and EC folder)
2. Student Invitation Ages 14 – 17:
For students turning 14, or are 14-17 years old during the life of the IEP
3.
Student Invitation Ages 18 and older:
For students turning 18 or are 18 or older during the life of the IEP, and their parents
have not retained parental rights. (The student is sent the invitation to conference and
the case manager should notify the parents of the meeting. Notification can be a phone
call, email, or a copy of the student’s invitation to conference.)
Completing Invitations to Conference:







Must give sufficient written notice
7-10 days is a good “rule-of-thumb”
At least 2 documented attempts through different modes of communication (one must
be the written invitation to conference letter)
If after multiple (2 or more) documented attempts to involve the parents over a sufficient amount of time (7 to
10 days), if there is no response from the parent, it is acceptable to hold the meeting without the parent present
Do not “hold” the invitation to conference until the day of the meeting to have the parent sign
sign it. If you do and the parent does not show up, you cannot have the meeting and must begin
the process all over again.
If the parent notifies the school that the designated time will not work, arrangements should be made to
reschedule the meeting. If it is unreasonable to reschedule the meeting (the meeting has been scheduled for
some time and the parent contacts the school with such short notice that the IEP or re-evaluation will lapse if
the date is extended) then the school may arrange to hold the meeting and involve the parent via phone or
another alternative method.
Make sure that all purposes of the meeting are checked/documented under the “purposes of the meeting”
section of the invitation. If a topic arises that was not indicated as a purpose, you must amend the invitation to
reflect the additional topic.
All required team members must be checked and in attendance. If one of more of the required team members
is not checked, CECAS will generate a “Request to Excuse Required IEP Team Members” which needs to be
completed and sent home with the invitation to conference.
A signed copy of the invitation to conference indicating the parent’s/student’s response and the date should be
kept in the EC folder.
Request To Excuse Required IEP Team Members:




Is generated by CECAS when one or more of the required team members is not checked on the invitation to
conference
Is to be sent home along with the invitation to conference, NOT given to the parent/student on the day of the
meeting
There are two choices- be careful to select the appropriate one
1. Member not attending will provide written input to all team members prior to the meeting
2. Member will not attend because their curriculum area is not being discussed
The parent or student who is 18 years old or older has two choices:
1. Agree to excuse the IEP team member(s)
2. Do not agree to excuse the IEP team member(s)- if this case all required team members need to be
at the meeting
If the Request to Excuse Required IEP Team Members is not signed and returned, then all required IEP Team Members
must be present at the meeting.
The Parent or Student at Age of Majority should sign and date (the date should NOT be the date of the meeting) and
return the form along with the signed invitation to conference.
Q&A
Invitations to Conference

If the special education teacher is the person who interprets evaluation results do we check
both boxes? Yes. On the invitation to conference all four boxes under the “required members” must be
checked or the excusal process will need to be followed to excuse one or more of those members from the
IEP meeting.

The Invitation to Conference form specifically says “general education teacher of the
student.”
1. Self contained students might not (probably don’t) have a general ed. teacher. Invite a
teacher that can represent the general ed. curriculum that is being considered—at an appropriate
grade level to the one the student is assigned.
2. What if regular teacher can’t attend but other teachers on that grade level do not teach
that student. What do we do? You can consider excusing the reg. ed. teacher or scheduling the
meeting on another day when the teacher of the child can attend.

How do you adjust the Invitation to Conference when staff is changed/absent? What if the
parent persistently requests original group listed? The new forms require the listing of positions
rather than specific names of people that will attend. If the IEP team is comprised of the appropriate
members, then the requirements under the law have been met. It is reasonable to expect that IEP team
members will change over the course of time.

If parent agrees to come (returns invitation) but doesn’t show and the team is meeting for
centralized placement, etc. can the team follow through on changing placement without
parent signature? It is acceptable to meet without the parent if the invitation was signed and returned
indicating that the parent would attend at the scheduled time. If the parent doesn’t attend and the team
determines that the child needs the more restrictive setting of a separate, centralized placement, then a
DEC 5 will be completed. The DEC 5 serves as the parent notification regarding the change in
educational placement. The case manager or LEA representative will need to ensure that the parent
receives this notification and the implementation date needs to be dated out 7 to 10 days from when the
parent receives the DEC 5. In order to smooth the transition to another setting, the school should also
make a personal or phone contact to discuss with the parent the decisions made and how/when the
change will take place.

If a parent signs an invitation in a meeting for the next meeting and states that they will be
present, do you still have to give them another 10 day notice? You can send a reminder, but
technically another notice is not required.

Are we allowed to excuse more than one person from meeting? Yes, as long as the required
procedures are followed. CCS policy is that the Special Education Teacher of the child (Case Manager) can
never be excused.

If student is 18 years old and has given over custody rights to DSS do we still need a
surrogate parent? At this age, it would depend upon the student’s ability to make decisions for
themselves.

I need clarification about the individual who can interpret the evaluation results. Who would
this be? Does this mean a psychologist is required at every meeting? No. Typically, the special
education teacher can interpret evaluation results. It is not expected that every meeting would require
interpretation of results, but it is necessary to check this box should the need arise or in the event
questions come up. If during the course of an IEP meeting, the questions that are asked regarding test
scores cannot be answered by the members in attendance, the IEP team should reconvene at a time when
someone who can provide more information can attend.

If a parent cancels on the day of a scheduled meeting, and we call the parent and they are on
the phone, can we allow them to listen in/participate over speaker phone? Yes. The law clearly
allows for parent participation via phone. Including a parent through this method is preferable to not
having them participate at all.

If a student is 18, but parents have guardianship, how do you handle invitations to
conference? If the parent has established guardianship, you would continue to provide the student with
their own “Student invitation.”

Where would OT, PT, AT be listed on the invitation? All members of the team that are not
“required members” would be listed under “other participants.

If a student is in DSS custody, but parental rights have not been terminated, do we need
parent consent to invite DSS? No, if the child is in DSS custody, a group home, the Church of God
Children’s Home or any other similar situation where another organization is involved, it is not necessary to
get the parent’s permission to invite these agencies to the IEP meeting. If the parents’ rights have not
been terminated, you must be sure to invite the parent(s) to the meeting. It is not permissible for a
representative of one of these agencies to act as the “parent” when signing IEP paperwork.”

On the Invitation to Conference, how is the 7-10 notice documented in cases where the
parent is indicating that they can meet sooner? If the parent says that he/she prefers a particular
date and time, enter that information in the “comment” section of the invitation, (Parent requests to meet
_____date___ at __time____.) There is no rule or law that says the date at the top of the invitation and
the date of the meeting must be 10 days apart. It is not recommended that the case manager “fudge” the
dates to make it appear that this has been the case. The main objective is to give the parent adequate
notice to participate. The 7-10 days is a best practice to allow parents a chance to plan for a meeting.
The meeting can be held sooner than that if it is agreeable to all parties.
DEC 1
When to do a DEC 1:


At an initial referral for Special Education Meeting
Out of state transfer students to begin the initial referral/placement for them (contact your data manager for
questions concerning any transfer students).

General Information:
Complete this section with the student’s name, DOB, address, parent’s name etc and also dates and results of vision and
hearing screenings. You cannot close the DEC 1 without including the vision and hearing screening results.

Student’s strengths:
Answer each question in this section with current and relevant information. Do not leave anything blank.

Reason(s) for Referral/Areas of Concern:
Select all that apply. All areas of concern should be discussed and documented at the DEC 1 meeting (academic, functional,
social, behavioral)
Each area identified as a concern must be looked at when determining eligibility.
You can provide a comment after each selection to further clarify.
Person making Referral: (fill in the name of the person making the referral; it may be the parent or a staff person)
Date School Received Written Referral:
There is a 90 day time line from referral to placement. The 90 day timelines starts on which ever date is
placed here based on how the referral was generated. If the referral was generated by:
A. A written parent request, the date of the written request is the referral date
B. A referral from the TIPS team accepted by the EC team, the date that the referral from the TIPS team was
accepted by the EC team would be the referral date
C. An out-of-state transfer student, the referral date would be the date of the DEC 1 meeting to start the process
for determining eligibility in NC

Review of Existing Data by IEP Team Members
Describe each area as directed. Do not leave anything blank. Use current and relevant information to complete this section.
IEP Team Determination:
********Use the Ref Dec 3 to guide you as to exactly what information/data are required
At the DEC 1 meeting there are 3 possible outcomes:
a.
b.
c.
The team determines that there is enough data to qualify the student without any additional testing or data
collection
The team determines there is enough data to find the student ineligible for special education without testing or
further data collection
The team determines that there is not enough data to make a decision about eligibility and will complete an
evaluation
If the team decides it needs to conduct an evaluation then:
What information is needed to determine if the student is or is not eligible for special education and related
services?
Specify what areas of information are needed:
List any and all information that needs to be collected (Use Ref Dec 3) in this section. If you already have some of the required
information and it is current and relevant, then don’t list it as information that you are going to gather or you will have to gather it again.
(Ex: If you have a current and relevant medical evaluation and you request a medical evaluation, then you will not be able to use what
you have, but will need to get a new medical evaluation dated after the date the DEC 1 and DEC 2 are signed.) Whatever is listed
here should be reflected on the DEC 2. If considering more than one eligibility area, be sure to collect all information in all areas being
considered.
Obtain parent permission for evaluation and provide parent with Handbook on Parents Rights Eligibility
determination, IEP (if eligible) and placement determination must be completed within 90 days of the date that the
school received the written referral.
IEP Team. The following were present and participated in the referral meeting.
At the meeting type in the names, positions of everyone in attendance along with the date of the meeting. Along with the typed names,
each person must sign this form. A meeting copy of this signed form should be kept in the EC file along with the “closed/verified” copy
of the DEC 1.
(Note with an * any team member who used alternative means to participate.)
NOTICE OF PROCEDURAL COMPLIANCE TO BE COMPLETED BY SCHOOL:
Based on receipt of written referral, the ninety-calendar-day timeline for placement determination:___________ (fill in the date
when the 90 days will be up)
Copy to parent: ___________ (fill in the date that the parent was provided with a copy of this form)
Q&A
DEC 1

Do you have to do a DEC 1 for all students going through SSMT? Do teachers fill out DEC 1
pages 1 and 2 prior to SSMT? The DEC 1 would only be completed if/when students are referred to
EC.

DEC 1 (3 of 4) item III A-F- what about schools who are not yet RTI schools and do not do
formal progress monitoring? All schools should be doing some form of progress monitoring regardless
of RTI status.

Does the 90 day time line start with DEC 1 date—or, if the parent has made a written request,
does it start with date of their request? If yes, what about summer dates? It starts with the
date of the written request. The school system is obligated to complete the process within the 90 days
even if this runs into the summer break.

Is there a time constraint on hearing screenings? For example, a child got their hearing
screened on 9-15-08. The DEC 1 is started on 2/1/09. Can we use the 9/15/08 hearing
screen? If not, how much time is allowed? The hearing screening should be current within one year.
For Preschool and Kindergarten, it must be current within 90 days.

If a parent requests testing to be done in an area where there have been no interventions do
we test in that area? The “reasons for referral/areas of concern” on the DEC 1 should drive the IEP
team’s determination on what areas receive interventions and what areas will be tested. It would not be
necessary to test in an area where there are no documented concerns.

With an out of state transfer, the student needs all components for eligibility in a certain area.
The team may not have speech/lang. concerns but testing in that area must be completed for
eligibility purposes. How does this get addressed on the DEC 1? This situation can also apply to
initial referrals. The DEC 1 should be completed to reflect the areas in which the student needs to be
evaluated. The wording on the form could indicate that the team does not have specific concerns in that
area but it is necessary to obtain testing for eligibility purposes.

Scenario: The IEP team meets to complete a DEC 1 to consider an evaluation for a
student that has been referred. The team already has a psychological evaluation that
was provided by the parent. The pre-referral process has been underway and
observations as well as hearing and vision screenings have been completed. How
does the team document what components have already been collected and what
needs to be gathered? During the DEC 1 meeting, the IEP team should indicate in the “Existing
Information” section any items that have been collected already. There is a specific item that asks for
what information has been provided by the parent. In this scenario, the psychological evaluation
would need to be noted in that section. The team will then indicate the items that need to be gathered
under the “Conduct Evaluation” section at the end of the DEC 1 form and on the DEC 2. You will not
list anything under “Conduct Evaluation” that is already available. When the team reconvenes to
review eligibility determination on the DEC 3, the worksheet will be used to reflect all necessary
eligibility components. This would also apply when a DEC 7 is being completed in the re-evaluation
process.

When completing a DEC 1 and DEC 2, how should the forms be completed if you’ve
already done some of the information gathering (e.g., the social history, vision and
hearing, etc.)? Any items already gathered would need to be clearly reflected on the DEC 1 under
the section on the Review of Existing Information section. The DEC 2 should indicate the new items
that will be gathered.
DEC 2
The Dec 2 is the form that provides the school with parental consent to conduct evaluations.
The school must have a signed DEC 2 by the parent stating that they agree to the proposed evaluations before
conducting any evaluations.
When to do a DEC 2:


At the initial referral meeting (DEC 1 meeting) if the team determines additional data are needed
At a reevaluation meeting (DEC 7) if the team determines additional information/testing is needed
Procedures for completing the DEC 2:
Through the DEC 1 (initial referral) or DEC 7 (reevaluation) process, the IEP team should make good decisions
about the types of evaluations and additional information that is needed.
Anything specifically indicated on the DEC 1 or DEC 7 should then be selected on the DEC 2 by placing an “X”
beside them.
If during the evaluation process the team determines that additional data is needed that was NOT included on
the original DEC 2, then the team will need to reconvene and do an additional DEC 2 to indicate what
additional data is needed (attached to the current DEC 1 or DEC 7) and DEC 5 explaining why the additional
data is needed.
Parent must indicate “yes” or “no” to the proposed evaluations then sign and date
If the parent accidentally signs in the wrong blank, then print a new form
for the parent to sign. (Be sure to check this before the parent leaves the meeting and
you close/verify the form.)
If the parent does not agree to the testing the school may, but would not be required
to, pursue procedural safeguards including mediation and due process in order to evaluate the student. Contact
the EC Director in this situation.
Q&A
DEC 2
If an IEP team determines that a change is needed to a DEC 2 because the team now needs a
piece of information that was not previously requested or the team needs to remove a
testing component that is not needed, how should this be reflected?
The IEP team would need to convene either through a face-to-face meeting or a phone conference.
In CECAS, a new DEC 2 can be attached to the existing DEC 7. The new DEC 2 will reflect the
change in the testing components for which we are asking the parent to give consent. A DEC 5 will
be completed to accurately and thoroughly explain any changes. For example, if you have
determined that you no longer need a psychological evaluation because one has been provided by
the parent, you will complete a new DEC 2 that does not ask for that component and on the DEC 5
you will state: “The IEP team no longer needs to conduct a psychological evaluation because the
parent provide a report from an outside provider.” In the event that there is nothing else needed, a
DEC 2 would be omitted and the DEC 5 would indicate that all necessary components have been
gatherer or provided.
IEP teams need to be careful to consider all information initially in order to minimize the need for
these changes.
DEC 3
EVALUATION INFORMATION/Worksheet
Each eligibility area has its own DEC 3 worksheet, but each worksheet is set up in a similar way.
When considering more than one area of eligibility you must complete a DEC 3 Worksheet for each
area being considered. Whenever you do a DEC 3 worksheet it must be filled out completely, you
cannot leave any boxes empty.
Use the REF DEC 3 to guide you in what information has to be gathered for each eligibility area.
When to do a DEC 3 Evaluation Information/Worksheet:



When doing an initial eligibility determination (complete the DEC 3 Worksheet with current and relevant
information)
When doing a reevaluation and additional information/testing was gathered (complete the DEC 3
Worksheet with a combination of new information that was gathered and existing information from
previous DEC 3)
When exiting a student from EC services without testing (complete the DEC 3 Worksheet by bringing
information from previous DEC 3 Worksheet forward)
EVALUATION INFORMATION
Each eligibility area has specific criteria, (required evaluations/screenings).
Use the REF DEC 3 to guide you in what information has to be gathered for each eligibility area.
Purpose: Select either “initial evaluation” or “reevaluation”
Screening Information: Use REF DEC 3 and enter each screening/evaluation required one at a time. After
entering the information for a specific screening or evaluation you will need to click on the “add” button before
entering the information for the next screening/evaluation.
 Date of the screening/evaluation

Using the drop down box, select the type of screening/evaluation ( Ex: Educational Evaluation, or Motor
Screening, or Psychological Evaluation, Social-Developmental History)




Enter the instrument that was used (Ex: WJC-III, WISC-4, parent questionnaire)
Results of Required Screening: briefly summarize the results (If you include scores you must explain what
the scores mean)
Hearing Screening: (The school system’s audiologist or Deaf/HH Specialist can assist with this section)
Select pass or fail
Type in the decibel level, and the frequency level
In the comment section you can clarify
Vision Screening:
Select pass or fail
Complete “scores” for far and near vision for both eyes
What was the method of screening? (School nurse can help with this)




Observations:
Done by a certified, third party person
Must include a written report of the observations including:
Who observe, where, when/date, subject, large/small group
areas of strength as well as areas of need
Summarize the written report in the appropriate space
Summary of Conference with parents
Use documentation of contacts with parents done by phone, in person, or
through written correspondence
Summarize that information in the appropriate space on the worksheet
Attach a hard copy of the documentation (parent contact log)
Formal Assessment Data
When reporting scores from standardized tests, use standard scores and explain
What the score means. Ex: Johnny’s standard score in basic reading is 100,
which is in the
average range when compared to other students his age
Interventions:
Two research interventions are required for the following areas of eligibility:
ID, ED, OH, LD, and TB
Use the REF DEC 3 to determine what types of interventions are needed;
functional, behavioral, or academic
Be sure the interventions that are used align with the area(s) of concern
Along with the summary on the worksheet, provide written documentation of
the interventions such as: copy of the behavior log, teacher data sheets, also
include information about how long the interventions were used and the results
WORKSHEET(S)
Select a Worksheet
From the drop down box, select a worksheet or worksheets
Initial Eligibility Determination: You will need to complete a separate worksheet for each area
of eligibility being considered.
Reevaluation with testing or reevaluation without testing and exiting: You will need to
select the worksheet for the student’s current eligibility area
Reevaluation adding secondary area of eligibility: You will need to complete worksheets for
both areas of eligibility
Reevaluation changing area of eligibility: You will need to complete worksheets for both areas
of eligibility
Each worksheet will be a little bit different. You will need to follow the directions and complete the
information as asked for on the screen.
All work sheets will ask these 3 questions:
1. As a result of the required screenings, evaluations,….what do we know about the
student?

Strengths: summarize what the student’s strengths are from the information gathered through the screenings and

evaluations
Needs: summarize what the student’s needs are from the information gathered through the screenings and
evaluations
2. What is the adverse effect on educational performance?
In order for a student to be found eligible for special education, the disability must have an adverse effect on
educational performance. You need to clearly describe what the adverse effect is as documented through the
screenings and evaluations.
Ex: Results of the educational evaluation show that student lacks phonemic awareness skills
which have adversely effected his ability to decode unfamiliar words causing the student to be
performing significantly below grade level in reading and in all academic areas across the
curriculum.
If there is no evidence of an adverse effect on educational performance you should write a brief statement stating
that through the evaluations and screenings no adverse effect on educational performance was found.
3. What evidence exists that the student requires specially designed instruction?
In order for a student to be found eligible for special education the adverse effect must be
significant enough that the student requires specially designed instruction to meet the needs identified through the
screenings and evaluations.
Ex: Results of the educational evaluation along with data provided in the observations
across settings document student’s need for specially designed instruction in phonemic
awareness and decoding skills in order for student to access the standard course of study.
If there is no evidence that the student requires specially designed instruction you would write a statement stating
that through the evaluations and screenings there was no evidence of the student needing specially designed
instruction.
When considering more than one area of eligibility, the answers to these 3 questions should
look different based on the specific data gathered for each eligibility area. Answer the
questions as they apply to the specific area of eligibility.
After completing the DEC 3 Worksheet(s) CECAS will take you to the DEC 3 Eligibility Page
DEC 3 Eligibility Determination
When to use:
 At the initial eligibility/placement meeting
 At a reevaluation meeting
Purpose: The purpose will be whatever you selected as the purpose when you completed the “Evaluation Information”
section of the DEC 3
First set of statements:
Based on information from a variety of sources that have been documented and carefully considered, the IEP team has determined: (All
three must be yes in order for the student to be eligible for special education and related services if required to benefit from special
education.)
***You will notice that two of these statements are identical to two of the questions on the DEC 3 Worksheet; therefore,
they should be answered “yes” or “no” based on what was written on the DEC 3 Worksheet


The disability has an adverse effect on education performance
The disability required specially designed instruction.
Second set of statements:
The IEP Team has also concluded: (All three must be yes in order for the student to be eligible for special education and related
services if required to benefit from special education.)
Statement of Eligibility:
Select either “is eligible….” or “is not eligible…”
If you select “is eligible” then use the drop down box to select the primary eligibility category and if the student is
found eligible in a secondary eligibility category, use the second drop down box to select the secondary eligibility
category.
Signatures:
At the meeting add in the name, position, and date for each person in attendance at the meeting. Print off a copy of the
signature page and have each person sign it. The signed copy will be placed in the student’s EC folder along with the
closed/verified copy.
Comment Section:
Use this section to clarify or make document reasons for the team’s decision(s).
Q&A
DEC 3
Observations:

Who needs to do the observations? Can observations be done by teacher’s assistants?
Observations should be done by a certified staff person familiar with the area of concern. Be sure that
observations are conducted by 3rd party individuals. Observations during any evaluation session do not
meet criteria.

Is there a specific data form that needs to be included for observations or can we just
summarize on the DEC 3 Summary of Evaluations. No particular form is required, however; there
should be a written observation report in narrative form that documents who observed, where, when/date,
subject, large/small group, areas of strength as well as areas of need and should be signed by the
observer along with the summary on the DEC 3 worksheet.

How many observations need to be done for a reevaluation? It depends on the purpose of the
reevaluation. If the team is not considering a change in categories, the team decides what data are
needed in the DEC 7 meeting. Observations may be completed, but they are not required if the category
of eligibility will remain the same. If the team is considering a change in categories, observations are a
required component for the new eligibility area. Observations must be completed in at least two settings.
One observation that spans across two settings is acceptable.
Interventions:

Give examples of research based interventions. Is there a reference guide for specific areas
of need? Check with your school’s counselor, lead teacher, administrator, and/or SSMT. Various schools
have developed various manuals, cabinets, materials, websites, and other resources to consult. See
handout on research based interventions included in the training manual.

Do we need two interventions for each eligibility area (math calculation, math reasoning,
reading comprehension, basic reading, and writing)? First, narrow down the areas of concern to
the specific problem. Then, make sure to connect the function of the concern to the intervention (for
example, does seating the child in the front of the room really improve their math calculation skills?) At
the very least, if there are concerns in all areas, there should be two interventions for reading, two for
math, and two for writing. Testing should occur only in the identified areas of concern in which
interventions have been implemented.

For reevaluations, what is listed for research based interventions (the DI programs that are
being done)? Yes, if the child is already receiving interventions from EC in the area of concern, those
could be listed. However, if the child has been receiving EC intervention only in reading, for example, and
math is now a concern, two research based interventions for math would need to be implemented and
documented in the regular education setting.

I think we sort of have a handle on academic interventions, but what about the functional
interventions? What would this include for ID, OH and LD? The policies require functional,
academic or behavioral interventions to be conducted depending upon the area of eligibility. (Refer to the
DEC 3 Worksheets for each category.) The intervention should be tailored to the area of concern. Make
sure to look at it from this perspective: What is the area of concern? And then, how can we intervene?
If it is a functional skill deficit, then it will fall in line that the intervention will be functional. A couple
examples of functional interventions could be: for a student with organizational problems, a system or
method to help with assignments and papers; for a student with social skills concerns, an systematic
approach that encourages the student to greet others in the school setting, etc

Is it acceptable to use interventions that were done in 2011 to find a child eligible in 2013?
Interventions should be current within one calendar year.

Is it acceptable to test a student in areas where no interventions have been conducted?
Interventions are required for: ED, ID, OH, LD, and TB (consult REF DEC 3 for the types of interventions
needed). Areas of concern should drive the testing needs. It is not acceptable to test a child when
considering on of the eligibility areas above if they have not had interventions. Therefore, a student
should not place in one of those areas when interventions were not done. There should be written
documentation of the interventions such as: behavior logs that include dates that show how long the
interventions have been tried and the results of the interventions along with the summary contained on
the DEC 3 worksheet.
Hearing/Vision Screenings:

Is it allowable to just use “pass” or “fail” for hearing and vision screenings, or should numbers
be included? No, there is a place on the form to list numbers, so numbers must be listed.

Do we have to write in the specific numbers on the DEC 3 worksheets when a hearing
screening is conducted? DEC 3 worksheets require that specific numbers be listed for the hearing
screening. If the student passes the screen, the numbers that you should fill in the blank will be: (500 Hz
- 25 db) (1 K, 2 K, 4 K - 20 db). If the student fails the screening, the nurse, audiologist or speech
therapist will write/circle the specific numbers that you will then list in the blanks. (Contact the school
system’s audiologist or Deaf/HH program specialist if you have questions about the results of the hearing
screening and how to complete that section on the DEC 3 Worksheet or DEC 1.)
Parent Contacts:

For reevaluations, can IEP dates count as parent contacts? Yes, if parents have been involved in
previous IEP meetings, those could be listed as parent contacts, along with any other correspondence you
have had with the parent. You must provide a log of parent contacts along with the summary on the DEC
3 Worksheet. If you did not request new parent contact information on the DEC 7 then bring the previous
information forward on the new DEC 3 worksheet.
Primary/Secondary Eligibility:

Could a child be identified with speech/language impairment as the primary disability and
specific learning disability as a secondary disability (if you think you will “catch” them up?)
These decisions will be made on a case-by-case basis; please consult with your Speech Pathologist, your
School Psychologist, and your Lead EC Teacher before the eligibility meeting.
Medical Diagnosis:

Guiding practices states that the medical diagnosis requirement for OHI eligibility must be
completed by a physician or other health care practitioner. A licensed clinical social worker or
psychologist cannot provide the diagnosis. May a psychiatrist make a diagnosis? Yes, a
psychiatrist is an MD and could make the diagnosis. Also, a nurse practitioner, physician’s assistant,
pediatrician, or other physician can make a diagnosis.
Specific Forms Questions:

When the team is considering several different areas of eligibility, does the team have to
complete all DEC 3 worksheets in the areas considered even if it is fairly obvious after the
testing is complete which identification the child will have (for example LD vs. ID)? Yes. If the
team is considering several areas of eligibility, it will be necessary to include the DEC 3 Worksheets from all
areas, even if the child does not meet eligibility requirements. Keep in mind that the process should flow
from the DEC 1 all the way through determination of eligibility and beyond, so when areas of concern are
identified, the evaluations requested will be based upon that. The suspected eligibility areas will be
identified and testing will occur. When evaluations are complete and eligibility is determined, it will be
necessary to use all applicable worksheets to document the testing that occurred. So, in the example
given in this question, if the student meets eligibility in LD but not in ID, you still need to complete the ID
worksheet to show that you did the required testing for that. Then you document on the DEC 3 Eligibility
form and the DEC 5 that the child met the criteria for one category but not the other. This shows the
progression throughout the process and the follow with consideration of all information.

Motor Screening is not a required component for LD but most psychologists do it anyway as
part of the evaluation. Should we routinely check it on the DEC 2 and list it on the DEC 1? No.
The team will only need to check motor screening on the DEC 2 when it is a required eligibility component
for that category or if the team has decided that a motor screening is needed to help them address
student concerns.

If there is a new requirement on the REFDEC3 in a category, do we have to gather the
information at the next evaluation or only if it is needed? At the time of the reevaluation, if the
child is not changing categories, the team does not need to collect data that were not required prior to the
new regulations. The team decides what additional information is needed at that time to best serve the
child. However, when completing any DEC 3 Worksheet, you cannot leave any “box” empty, so if there is
a space for information that was not required at the time of initial placement, you may write a statement
such as: “Not required at the time of initial placement” in that space.

Is it acceptable to leave blanks or say not evaluated on the worksheets? If not, what is listed
in these areas? It is not acceptable to leave blanks on the Summary of Required Screenings and
Evaluations. Each area must be completed with either new assessment information or by bringing
previous information forward. If it is an area that was not required at the time of initial placement you
may write, “Not required at the time of initial placement” in that space.

When a reevaluation is completed that is not comprehensive, how is the 2nd page of the
Eligibility Worksheet completed (for example, the IEP team decides to complete achievement
testing for an LD reevaluation with no updated IQ)? The additional data that were collected should
be listed in the Summary of Required Screenings and Evaluations chart on page 1. Then the team needs
to complete the rest of the Eligibility Worksheet using a combination of the data collected, current
information from classroom performance and assessments, and previous evaluation information. Previous
evaluation results may be referenced for continuing eligibility. It is not acceptable to write NA in any
sections of the Eligibility Worksheet.
o
For the example of updated achievement testing without an updated IQ score, the eligibility decision
may be based on the previously documented 15 point discrepancy and any current supporting
classroom data. The updated achievement results then may be used for instructional programming
decisions. It is not appropriate to compare scores from current achievement testing and previous IQ
testing to consider discrepancies (or lack thereof) for eligibility. In the DEC 7 meeting, the team
needs to be clear about what data will be gathered and the reasons or purposes for gathering the
data.
General Questions:

Is it allowable for the new forms to be partially handwritten and partially typed (for example
if some items were typed before the meeting but during the meeting the items were
handwritten)? Yes, at the meeting it is acceptable to “write” in information on the meeting copy. The
parent needs to be provided with a meeting copy containing the typed information along with the handwritten information. Then the hand-written information should be entered onto the DEC 3 Worksheet prior
to closing and verifying it. The information on the parent’s meeting copy MUST match the information on
the closed/verified copy in CECAS. A “meeting” copy as well as a “closed/verified” copy should be placed
in the student’s EC folder.

With low Kindergarten students, the WJ-III is not a good assessment. Is there another test
that may be given to these students? Please consult your school psychologist.

Do adaptive behavior questionnaires need to go through the ECAT Chair or may the case
manager send them to the EC Office? That can be a school based decision

Questions related to previous guidance about the DEC 3 worksheets and eligibility forms continue to arise. In
order to seek resolution, we have directed the questions to Bobbie Grammer, Policy, Monitoring, and Audit
consultant at NCDPI.
The following is the previous guidance that has been provided:
DEC 3 Worksheets/DEC 3 Eligibility pages—Document reasons for initial eligibility, continuing eligibility or exit.
We have 4 scenarios that dictate different uses of these forms:
Initial Elgibility
DEC 3 Worksheet(s)
for all considered
eligibility categories
DEC 3 Eligibility Form
Continued eligibility
with No additional
data gathered
DEC 3 Eligibility form
only
Continued eligibility
with additional data
gathered
DEC 3 Worksheet(s)
for all considered
categories—
completed in full
DEC 3 Eligibility Form
Exit with or without
gathering additional
data
DEC 3 Worksheet for
the identified
category--completed
in full
DEC 3 Eligibility form
In the case of an exit, please make sure to document appropriately on the “3+3” page. If no new testing
information has been obtained, then data continue to show that the student still meets criteria for a disability
category. However, if the student has met IEP goals and objectives and no longer needs specially designed
instruction, you will mark “no” to one or both of the questions related to educational performance/specially
designed instruction, establishing the rationale for why the IEP team is exiting the student.
The continuing questions have pertained to the underlined section above. Bobbie Grammer consulted with
several people at DPI, including Ira Wolfe, Section Chief for Policy, Monitoring, and Audit. They confirmed
that we have been providing the proper guidance, stating that there must be data collected purposefully to
replace the original data; otherwise the student continues to meet criteria for the category. Additionally,
they stated that any information that the team wishes to consider in the eligibility determination must be
obtained through a proper DEC 7/2 process. This data must be concrete data (formal or informal). It cannot
be something that the team simply “brings to the table.” In the case of RtI, the data should be more than
progress monitoring data.
An answer of “No” to any 1 of the 3 questions would mean that a student is no longer eligible for services.

When we are required to bring information forward onto the current DEC 3 worksheet, what should be
done when the previous eligibility cycle was conduct prior to the requirement for interventions an
assessment component? In cases where a previous eligibility determination was done prior to te
requirement for interventions, the team/case manager can note on the current DEC 3 that
“interventions were not collected as part of the eligibility process in/on ____ enter date___”
IEP-DEC 4
Annual Review/Addendum
Once a student is found eligible for special education services, an Individualized Education Plan (IEP) must be developed,
reviewed, and revised annually by the IEP team.
When drafting the IEP, any area that needs to be discussed and filled in at the actual meeting, such as signature lines, parent concerns, and parent
vision you will need to place an “x” in the box to hold the space open.
When to do a DEC 4:




When a student is initially found eligible for special education
At the annual review
When an addendum is needed
After a reevaluation, when a student continues to remain eligible for special education either:
 Review the current IEP and keep as is
 Review the current IEP and make minor changes if needed (addendum)
 Develop a new IEP
Purpose: check all that apply
Duration From: the date the IEP will begin (it could be the date of the meeting or as much as 30 days after the meeting) It MUST be
the same as the implementation date on the DEC 5
Duration To: this is the ending date of the IEP; it must be one year less one day of the date when the IEP meeting was held (ex: if
the meeting was held on 1/2/2012 the ending date will be 1/1/2013)
Primary & Secondary Eligibility: Select the area that the student met all the required eligibility criteria for special education
services. If the student met the required eligibility criteria for more than one area, the team must determine which area is the primary
area and which one will be the secondary area (Refer to DEC 3 Eligibility Determination Sheet)
Student Profile:






Student's overall strengths: Summarize any of the student’s strengths; academic, functional, social, etc. They should align
with strengths indicated on the DEC 1 and/or DEC 3 worksheets.
Summarize assessment information (e.g. from early intervention providers, child outcome measures,
curriculum based measures, state and district assessment results, etc.) and review of progress on
current
IEP/IFSP goals: This section should include information from assessments such as EOC/EOG testing, district assessments,
or progress monitoring that has occurred since the last annual review. A review of the IEP progress and information from
the progress reports would also be good examples of what to include here. Do NOT include results from reevaluation testing if
they are not current within the year.
Parent’s Concerns, if any, for enhancing the student’s education: when drafting the IEP hold this place with an “x” until
the actual meeting, and then fill in the parent’s concerns. If the parent does not have any concerns write in “The parent has no
concerns at this time”, if the parent does not attend the meeting add a comment like, “In prior conversations with the parents
they expressed concerns about…. “ or “At previous IEP meetings the parent expressed that he/she had concerns about….”
Do not write, “Parent did not attend the meeting.” DO NOT LEAVE THIS BLANK OR WRITE “NA”
Parent’s/student’s vision for student’s future: See instructions for Parent’s Concerns
Consideration of Transitions: If a transition (e.g. new school, family circumstances, etc.) is anticipated during the life of this
IEP/IFSP what information is known about the student that will assist in facilitating a smooth process? Be sure that you answer
the question that is being asked.
The student is age 14 or older or will be during the duration of the IEP. You need to select “yes” or “no”. If “yes” then you
need to complete the secondary transition pages.
Special Factors
Answer each question by either clicking on “yes” or “no.” In the box below each question you can write comments to clarify the answer
or to give more detailed information. If you click on “yes” you must address in the IEP.







Behavior(s) that impede his/her learning or that of others? If “yes”, then you must have a behavior goal on the IEP, or an
FBA & BIP or both
Limited English Proficiency? Click yes if any language other than English is the primary language in the home. Be sure to
include the ELL/ESL teacher in the IEP meeting to cover ELL testing modifications.
If student is blind or partially sighted, will instruction in Braille be needed? For most students this will be answered N/A.
If you are working with a student identified as visually impaired, you need to include the VI specialist in all meetings.
Does the student have any special communication needs? If the student receives speech/language services, uses a
voice output device, uses sign language as primary mode of communication, etc. you will need to answer “yes” and then
explain in the box below.
Deaf or Hard of Hearing? If you answer “yes” you must check each little box below and summarize the information in the box
below or complete a communication plan. Be sure to involve the teacher of the deaf or the deaf/hard of hearing program
specialist at the meeting.
Does student require specially designed PE? Check “yes” if the IEP team determines the student cannot access regular
PE. The adapted PE specialist should attend the meeting and write a PLAFP and Annual Goal for the student’s IEP
Has the student been informed of his/her rights, if age 17 or older? Select N/A if the student is NOT 17 or older. If the
student is 17 or older select “yes” and then go over the transfer or rights information and give a copy to the parents and
student.
Present Level of Academic Achievement and Functional Performance (PLAFP)
Using current/relevant formal/informal evaluation data, a present level of performance must be completed for each area in need of
specially designed instruction which will then lead to the development of annual goals. The PLAFP sets the stage for the remainder of
the IEP such as accommodations and modifications that the student may need, the amount of time in special education, the setting,
and the least restrictive environment justification statement.
The PLAFP should be comprehensive for each area of need. The major components of the PLAFP are the specific strengths (skills
that the student can do and/ or learn without specially designed instruction) and needs (skill deficits, things that the student
cannot do and/or learn without receiving specially designed instruction) in academic and functional areas that establish a
baseline in describing where the student is currently performing. The team may also include any additional information known about
the student and his/her learning style.
Standardized scores and grade levels alone do not reflect strengths and needs. Any and all scores and grade levels included in the
PLAFP must be explained in terms that are easily understood by non-educators. Stay away from educational jargon as you write the
PLAFP.
Functional performance MUST be addressed for all students within the PLAFP.
The PLAFP is to be written in narrative form. Be sure to answer the following questions when writing the PLAFP:






Have I used current/relevant information in developing the PLAFP?
What is the area being address? (Ex: Reading, Math, Writing, Behavior, Social Skills)
What are the student’s strengths in the area being addressed? (Things they know already and do well)
What is the skill deficit(s) that the student is unable to do in the area being addressed? These are the need(s) that will be
turned into the annual goal(s).
How does the skill deficit(s) impact the student’s progress & participation in the general education curriculum?
Ex: If the child cannot decode unfamiliar words, then how does this impact his/her ability to function in other subject areas? In
functioning independently around school or the job site? Think about the student’s total school day and how is it impacted by
not being able to do the specific things, taking test, completing assignments, following directions, etc….
What types of modifications or accommodations might be needed as a result of not being able to do the specific things? Does
it take the student longer to complete assignments; does he/she need some sort of assistive device?
Goal Description/Measurable Annual Goals
The skill deficit(s)/needs identified in the PLAFP as needing specially designed instruction become the annual goal(s). Within the
PLAFP there may be more than one skill deficit identified so more than one annual goal is needed, if so you would need to copy and
paste the PLAFP onto an additional goal page and then develop the next annual goal. There can only be one annual goal per page.
Annual goals should not be common core/standard course of study goals or curriculum based goals that all students in that grade level
will be learning for the first time.
Annual goals should require specially designed instruction delivered by an EC teacher in order to be achieved.
Goal Description:






are statements that describe what a child with a disability can reasonably be expected to accomplish within the duration
of the IEP (one year)
reveal what to do to measure whether the goal has been accomplished
can be measured as written, without additional information
yield the same conclusion if measured by several people
allow us to know how much progress has been made since the last measured performance
contain a given (if necessary), skill/curriculum/behavior area or domain, observable learner performance, and a desired
level of achievement/outcome
Examples of Goal Descriptions/Measurable Annual Goals:
Given a set of up to 20 multi-step math problems, student will independently solve them with 80% accuracy.
Given a writing prompt or topic, student will independently write up to 10 complete sentences on the topic
using correct capitalization, punctuation, and proper subject-verb agreement in 8 out of 10 trials.
When angry or frustrated, student will decrease verbal outbursts (cussing or calling other students and
teachers names) from 12 a day to no more than 5 a day.
Does the student require assistive technology devices and/or service? Select yes or no (Be sure to include the AT Specialist in
the meeting if you select yes)
If yes, describe needs:
(Address after determination of related services.) Is this goal integrated with related service(s)?
Select yes or no. (Related Services could be: OT, PT, or Speech/Language so be sure to include related service personnel at all
meetings when related services are being discussed or considered. Adapted PE and Assistive Technology are NOT related services.)
If yes, list the related service area(s) of integration:
Competency Goal
Complete this section only if the student will be taking the NC Extend 2 test instead of the EOG or EOC with or without modifications.
Select Subject Area:
For Reading grades 3 – 7 or English II in high school: select “Language Arts”
For Math grades 3-7 or Algebra I: select “Math”
For Science grades 5 & 8 or Biology in high school: select “Science”
***WARNING: Once you click on one of these you cannot undo it.
List Competency Goal from NC Standard Course of Study:
Select a goal from the drop down list that aligns with the annual goal.
The standard must be from the student’s assigned grade level. (If the student is in 5th grade, but is not functioning on
a 5th grade level, you still have to select a 5th grade competency goal.)
Benchmarks or Short Term Objectives (if applicable)
Only students following the Extended Common Core are required to have benchmarks or short term objectives.
Each annual goal must have a minimum of two benchmarks and/or short term objectives. Benchmarks and/or short term objectives are
steps the child will take to obtain the annual goal.
A benchmark tells: who, what, and when (date)
Ex: Bill will correctly add 3 digit numbers with regrouping by October 31, 2009
A short term objective tells: who, what, and level of attainment (%)
Ex: When given a set of 10 addition problems with regrouping, Bill will add them with 90% accuracy
Describe How Progress Toward the Annual Goal Will Be Measured
Individuals are required to maintain (in a separate location) tangible data to support progress toward the annual goal. You must be able
to produce this data at any given time should a parent request to see it. There must be a minimum of one way per annual goal and
care should be taken that whatever data is used truly measures progress towards the skill deficit stated in the PLAFP and Annual Goal.
Examples of acceptable ways to measure progress: a written record of teacher observations, teacher made tests, logs, charts,
student work samples, journals, checklists, and portfolios
Examples of unacceptable ways to measure progress: teacher observation, progress reports, EOG/EOC results, report cards
Reminder: If more than one service provider is working on an annual goal, each service providers needs to maintain data to support
progress toward the annual goal and report progress.
Least Restrictive Environment (Placement)
I. General Education Program Participation (Reflect the student’s entire school day)
In the space provided, list the general education classes, nonacademic services, and activities (ex: lunch, recess, assemblies, media
center, field trips, etc.) in which the student will participate and the supplemental aids, supports, modifications, and/or
accommodations required (if applicable) to access the general curriculum and make progress toward meeting annual goals.
Discussion and documentation must include any test accommodations required for state and/or district-wide assessment. If
supplemental aids/services, modifications/accommodations and/or assistive technology will be provided in special education classes
include in the table below.
General Education Class,
Nonacademic Services & Activities,
Special Education (If Applicable)
Select a class or activity that the student will be participating in. (You will have to do this for each and every class and/or activity such
as recess, assemblies, lunch, math, English, etc. You will want to reflect the student’s entire school day. If the class or activity is not a
choice, then you will select “other”, and in the box to the right you will type in the name of the class or activity)
Supplemental aids/services modifications/accommodations, assistive technology (If Applicable)
In this box you will type in the aids, modifications, accommodations, and/or assistive technology that the student needs for the class or
activity that you selected above. Remember, these modifications and accommodations should have been supported in the PLAFP and
should be things that “level the playing field” in order for the student to have equal access. They should not be selected because it will
make things “easier” for the student or because the student may “benefit” from them. They are things that if they are not provided, the
student will not have been provided equal access. (You will have to do this for each class/activity selected above)
Ex: extended time, read aloud, dictation to scribe, preferential seating, sign language interpreter, small group
Implementation specifications (Example: Who? What? When? Where?)
In this box you will need to explain and clarify the supplemental aids, modifications, accommodations, and assistive technology stated
in the box above. (You will need to do this for each class and activity)
Who: Ex: general education teacher, special education teacher, OT, PT, SLP
What : Ex: read aloud all words, small group no more than 12,
When: Ex: for all tests and quizzes, on field trips and at assemblies
Where: In the EC Classroom, In the General Ed Classroom, In the General Education Co-taught Classroom
Specify the technical assistance, if any that will be provided to the general education teacher and/or other
school personnel for implementation of the IEP.
If any technical assistance is going to be needed, who is going to provide it? Do not put a person’s name, only their position. If no
technical assistance is needed, select “none”.
Ex: The school system’s audiologist will train teachers on how to use the fm system. The audiologist will also maintain the fm system.
North Carolina Assessment Program
Select the appropriate state assessment(s) that will allow the student to demonstrate his/her knowledge. Select testing
accommodations that correlate to classroom accommodations used routinely throughout the academic year. Accommodations that
are listed on the IEP must be used on a routine basis in classroom instruction. For specifics regarding accommodation use and
availability for specific tests, refer to the Testing Students with Disabilities publication, available at
http://www.ncpublicschools.org/accountability/policies/tswd/.
IEP teams are instructed to select for each assessment, only those accommodations that do not invalidate the score.
Student is not required to participate because of his/her grade level
Select this if the student is in PK – 2nd grade or if the student is in high school but is not taking any classes that have an EOC
Student will participate in the testing program under Standard Conditions, with Accommodations, or will be assessed using
Alternative Assessment. Indicate the student's testing participation below:
Select a “Grade Range” PK – 8 or Grade 9 and above
Select the appropriate test from the list (In Elem and Middle School, select only the tests that will be taken during the duration of the
current IEP.
Participation:
Select the accommodation or modification from the drop down list
Specifics regarding Accommodation use:
In the box you need to provide details about how the accommodation is to be administered or used. This must match what you
wrote in the General Education Program Participation section page under
modifications/accommodations and the implementation specifications.
District-Wide Assessment Program
In the space provided, list the district-wide assessments, if any, and any accommodations or alternate assessments to be used by
the student.
First box: Type in the name of the District-Wide Assessment Ex: Quarterly Benchmarks,
Second box: Type in the accommodations or modifications for the assessment (must match those selected in
previous section Least Restrictive Environment)
Third box: Clarify or provide details on how the accommodation/modification is to be administered/used (must match those
specified in the previous section Least Restrictive Environment)
Remember: Accommodations and Modifications for state and district testing must be used regularly throughout
the school year. You cannot have a modification or accommodation for state and/or district testing only.
Ex: If small group is a testing modification, then the student would have had to have been tested in a small group
on a regular basis throughout the school year.
Alternate Assessment Justification
If the student is participating in any alternate assessment(s), explain why the regular testing program, with or without
accommodations, is not appropriate and why the selected assessment is:
Extend I and Extend II are considered alternate assessments, so if the student is taking either one of these you need to explain
as instructed above.
If the student is not participating in any alternate assessments then select N/A
Specially Designed Instruction, Related Services, and Nonacademic Services and Activities
A.
Anticipated Frequency and Location of Specially Designed Instruction:
*Type of Program:
Type in the class or subject for which the student will receive specially designed instruction
Ex: Reading, Social Skills, Organizational Skills, Math, Writing, Job skills, AT, or Adapted PE
Sessions Per:
First box: is the number
Second box: select either “week” “month” reporting period” etc
Session Length:
First box:
is a number: 30, 60, 15, 20
Second box: is a time period such as: minutes, hours
Location:
Tells where the special education will be delivered General Education Classroom, Special Education Classroom,
Therapy Room, etc
*If the type of program is only going to be for one semester, indicate it by selecting semester 1 or semester 2 (For
high schools this may have to be addressed each semester)
B. Anticipated Frequency and Location of Related Services
The IEP Team determined related services are not required to assist the student to benefit from special education. (If
no related services are required select this choice)
The IEP Team determined the following related services are required to assist the student to benefit from special
education. (If related services are required select this choice then in the box below indicate what the related service is. If
more than one you will need to do one at a time. Related services may be OT, PT, or Speech/Language. Remember AT and
Adapted PE are NOT considered related services. Be sure to include the related service provider at all meetings.)
Type of Service Other:
Complete the Sessions Per, Session Length, Location, Semester 1 or Semester 2 the same as you did for Part A. Specially
Designed Instruction (If the student is on a Support Description plan, the related service provider will know and select this
option. Be sure to include the related service provider at all meetings.)
Transportation:
If the student requires special transportation, select transportation and then describe it in the box below:
Ex: Student requires both morning and afternoon transportation
Student requires bus with wheel chair lift for morning and afternoon transportation and for all school field
trips
Student requires car seat or safety harness
Nonacademic Services & Activities (Refer to Section I: General Education Participation)
List the nonacademic services and activities in which the student will not participate with nondisabled peers. This time must
be factored into the determination of continuum of alternative educational placement below.
Nonacademic services and activities: Things such as art, music, recess in elementary schools, and lunch at all grade levels.
(If the student eats lunch in the cafeteria at a table with only other special education students, then it must be listed here.) If
the student does not participate in these activities with their nondisabled peers, then these should be tied to a PLAFP and
Annual Goal.
Complete the sessions per and sessions length as done in previous sections.
Continuum of Alternative Educational Placements
Indicate all educational placements considered by the IEP Team:
First:
Select either: School Age (K -21)
OR Preschool
While holding the “control key” down, select all of the settings that the IEP team considered. (We always have to consider
Regular)
Second:
Select either: School Age (k-21)
OR Preschool
Use the drop down box to select the one setting that the IEP team determined to be the appropriate setting for the student.
(Educational placement is determined by calculating the amount of time the student is with nondisabled peers.)
Least Restrictive Environment Justification Statement
If the student will be removed from nondisabled peers for any part of the day (general education classroom, nonacademic
services and activities) explain why the services cannot be delivered with nondisabled peers with the use of supplemental
aids and services. This needs to be a detailed explanation specific to the student and not the eligibility area of the student.
Ex: You should NOT write: “Student is SED and needs a self-contained class to control his behaviors”
If the student is never removed from nondisabled peers, select N/A
Progress towards annual goals will be reported with the issuance of report cards unless otherwise
specified below:
Check the box if sending home an IEP Progress Report along with regular report card.
If sending home an IEP progress report at a time that does not align with the regular report card, explain when and how
often in the box below.
Extended School Year Status:
Check one of the three choices.
Record of IEP Team Participation
(Note with an * any team member who used alternative means to participate.)
When drafting the IEP hold each signature line with an “x”, then at the IEP meeting fill in the names and positions of
everyone who attended. Along with typing in the names, each person must sign their name. The signed signature page
will remain in the student’s EC file along with the “close/verified” copy of the IEP.
A. IEP Team. The following were present and participated in the development and writing of the IEP. Use
these signature lines at an annual review meeting.
B.
Reevaluation. The IEP was reviewed at reevaluation and was found to be
appropriate. An annual review of this IEP will be conducted on or before ___________ Use these
signature lines when completing a reevaluation and the current IEP is still appropriate. In the box, write
the date when the new IEP is due.
Amending the IEP
The IEP was amended due to disciplinary change in placement
Yes
No
A. IEP Addendum Team
The following were present and participated in the development and writing of the addendum to
the IEP. Use these signature lines when completing an addendum meeting where changes
were made to the current IEP.
Amending the IEP without holding a meeting after the annual IEP Team meeting for the school year
Complete this section if you have been given permission by the parent to amend the IEP without holding
an official IEP meeting. This should only be done when making minimal changes that do not affect the
child’s eligibility area or setting. Be sure to fill in every box.
The Parent and LEA agreed that the IEP could be amended by
on
without holding a
meeting.
Copies of the amendment were provided to individuals responsible for implementing changes to the IEP by
on
A revised copy of the IEP with amendments incorporated was provided to parent(s)
*Changes to the Addendum IEP are documented in the Historical Data section.
Copy given/sent to parent by:____________________________on_______________________
(fill in name of person)
Select “given” or “sent”
(fill in date)
by
Additional Comments:
Use this section to make any additional comments about the IEP or the meeting. If the parent did not attend or attended by
phone, be sure to include that information here.
SEE NEXT PAGE FOR SECONDARY TRANSITION
Secondary Transition
Students with disabilities, age 14 and older, are required to have a transition component to their IEP. Sections A, B, and
C of the component are required for students who are 14 and 15 years old. ALL sections A – D, are required for students
16 years old and older.
Directions for Completing the Transition Component
Has the student been informed of his/her own rights, if age 17 and older? (IDEA require students be informed that
rights will transfer to them at age 18.)
 Select “yes” if the student is 17 at the time of the IEP meeting. Provide the parents with a copy of
PARENT NOTICE OF TRANSFER OF RIGHTS and provide the student with a copy of STUDENT NOTICE OF
TRANSFER OF RIGHTS. (Be sure to go over these with the parents and the student so that they
understand. Keep a copy to place in the student’s EC file.)
 Select N/A if the student is not yet 17 at the time of the IEP meeting.
Section A- Student Needs, Strengths, Preferences and Interests
The following people gave information about the student’s needs, strengths, preferences, interests, and course of
study selection:
Check any and all of the people that gave information.
The student should always be selected because it is required that they be part of the transition
process to the extent possible and most likely the parents and school staff will be selected.
Indicate which age appropriate transition assessments were conducted for the development of measurable postsecondary goals and transition activities and the date they were conducted:
The team should use a variety of formal and/or informal means of gathering information such as:
Informal
Observational reports
Work Samples
Interviews and Questionnaires
Curriculum-based assessments
Job-try-outs
Formal
Learning Style Inventories
Interest Inventories
Aptitude Tests
Intellectual or Cognitive Functioning Assessments
Academic Achievement
If “Dream Sheets” are used, they must be used in conjunction with other informal and/or formal assessments. They
cannot be the only source of information gathered. Additionally, Dream Sheets should not be used after 8th grade. Any
documentation gathered MUST be placed in the student’s EC File.
Section B – Course of Study (Beginning at age 14 and updated annually)
Use the drop down box to select the appropriate course of study for the student.
For Middle School Students select either:
 Middle School SCOS if the student is following the Common Core
 Middle School Extensions of SCOS if the student is following the Extended Content Standards
For High School Students select either:
 Occupational Course of Study leading to HS diploma if the student is in the Occupational Course of Study
 Future Ready Core leading to HS diploma if the student is following the Common Core
 Extensions of SCOS leading to Grad Certificate
Section C – Post Secondary Goals
According to the directions on the CECAS forms and Policies Governing Services for Children with Disabilities,
postsecondary goals are required “beginning not later than the first IEP to be in effect when the child turns 16, or
younger if determined appropriate by the IEP team, and updated annually..” However, CCS requires postsecondary goals
for all students 14 years old and older.
Postsecondary goals must be:
 written for what the student will do after high school and should not reflect his/her current activities
 written for employment, postsecondary education or training and, if appropriate, independent living
 measureable (directly observable), not just a “process” of pursuing or moving towards a goal
 should not leave gaps
 should be based on the student’s preferences, interest, needs, and strengths (PINS)
The postsecondary goals should be stated in such a way that we could measure the extent to which the student has
been able to achieve what he/she set out to do.
Examples of postsecondary goals:
Education and Training:
 After high school, __________________ will enroll in a community college 2 year program.
 Upon graduation from high school, _______________, will participate in on-the-job training at his job.
 Upon completion of high school, ______________ will attend a center-based adult education program to
improve his self-care skills.
Employment:
 After high school, ___________________ will work part-time in the retail industry while attending a 2 year
community college.
 Upon graduation from high school, _______________ will obtain a supported employment position through
Goodwill Industries
Independent Living (if appropriate):
 After high school, __________________, will live at home with her parents and will move into an apartment
with a roommate when financial means are secured.
 Upon completion of high school, ___________ will utilize his/her augmentative communication device to
communicate wants and needs to others in his/her community.
For each postsecondary goal, there must be at least one annual goal or goals included in the IEP that will help the
student make progress toward the stated postsecondary goal.
The postsecondary goals should determine the transition activities (Section D) AND the content of the IEP goals.
Section D – Transition Services (By age 16 and updated annually)
This section is required for students who are 16 and colder and can reflect activities that span multiple years.
Transition activities should be written to support the student’s postsecondary goals and should answer the question,
“What things are necessary for the student to achieve his/her goals?” The transition services/activities are the specific
steps/strategies that focus on improving the academic/functional achievement of the child to facilitate his/her
movement from school to post-school.
It is important to remember that responsibilities for the activities can be assigned to individual outside of the school
(parents, student, outside agencies.) If an outside agency is assigned responsibility for a transition activity, a
representative of the agency must be invited to the IEP meeting. If a representative of the agency is unable to attend
they must provide in writing that they are aware of activity and agree to work with the student . Parent or students,
who are 18 years old and older, must consent to the involvement of the outside agency. Documentation of this consent
is located on the “Invitation to Conference” form.
Transition Activities/Services…..
 Outline the steps towards achieving postsecondary goals
 Are dynamic and observable
 Should be developed to support each postsecondary goal
 Occur while the student is still enrolled in school
 Can occur on school campus, at home, or in the community
 Should be assigned to a wide range of individuals
 Can be one-time events or on-going activities
 Can be services delivered to the student or activities in which the student is involved or a combination of both
 Form the link between the postsecondary goals and the IEP
 Provides the supports to ensure the goals are accomplished
Examples of Transition Activities/Services for:
Instruction:
 Instruction in math skills
 Instruction in reading
 Tutoring for college entrance exams
 Job safety instruction
 Social skills training
Related Services;
 Speech-language services to improve expressive communication.
 Occupational therapy services to improve fine motor skills.
 Sign language interpreter services to access class instruction.
Community Experiences:
 Visiting the community college
 Job shadowing experiences in the student’s career interest area
 Going to a bank
 Practice using public transportation
Employment:
 Apply for possible college financial aid
 Complete career interest research/exploration/inventories
 Enroll in CTE classes related to career interest
 Participate in Career Day activities
 Participate in on-campus job experience
Adult Living Skills:
 Complete voter registration
 Complete Driver’s education and obtain permit or license
 Volunteer at the Habitat for Humanity store
 Open and maintain a checking account for bill payment
Daily Living Skills (if appropriate):
 Select appropriate clothing for the day
 Food preparation and kitchen hygiene instruction
 Personal hygiene instruction
 Safety skills in the community instruction
Functional Vocational Evaluation (if appropriate):
 Complete a career interest inventory
 Complete a self-determination inventory
 Refer to VR for non-verbal modified career interest assessment
 Complete a classroom-based vocational assessment
SEE BELOW FOR DEC 4 Q & A
Q&A
DEC 4/IEP

For the 5th graders, do you address movement to the middle school on DEC 4 considering
transition? This will depend upon the needs of the student. Not every student will need assistance with
transitions to middle school. Often when addressing this question people write in what the transition is,
(ex: “Johnny will be transitioning to middle school”) instead of what is known about the student to
facilitate a smooth transition, (ex. Johnny does not accept change well. He will need an opportunity to
visit the middle school and meet his teacher prior to transitioning to middle school in the fall. This will give
him sufficient time to process the change and prepare for it emotionally.) Be sure you focus on what the
student needs to transition successfully.

What determines what academic goals an ED child gets? If there are no academic needs
found during testing is it just assumed you will instruct with grade level materials? It is
unlikely that a child found eligible under the ED category would not have academic goals on the IEP. In
order to be eligible for special education services, the disability should be having a negative impact on the
academic performance of the child. This would lead to a need for academic goals. All information should
be considered when determining whether a student needs goals in a specific area. Test scores would not
be the only consideration. The IEP team would need to consider classroom performance, etc.

If a child is ELL in a self-contained classroom and not receiving ESL services, how do you
address this on the DEC 4 (Special Factors)? If you mark yes, do you need to write a goal?
You would mark it as “yes.” The student would not necessarily have a goal but some ESL services would
need to be identified and provided. This may mean that the ESL teacher comes into the self-contained
classroom to provide services to the student or consultation to the classroom staff. The type of ESL
service can be written beside the “yes” on the special considerations page. Be sure to involve the ESL
teacher in the IEP meeting.

For students taking the NCEXTEND 2, how do we determine the appropriate Competency
Goal? Competency Goals are located in drop down box. When you select a specific NCEXTEND 2 test
(reading or math) you go to the drop down box and select a competency goal from the assigned grade
level of the student and aligns with the annual goal. (If the student is in 4th grade, you must use 4th grade
competency goals.)

Assistive Technology Devices: would a walker or wheelchair that belongs to the child need to
be listed under the goal if the goal is for walking or driving a wheel chair? You should check
“yes,” and clarify that the chair/walker is provided by the parents and belongs to the child. If there are
circumstances where the wheelchair (or other device) is not available (i.e. it is broken, etc.), it is
customary for our staff to work with parents to determine how the child will access this goal in the interim.

DEC 4 Special Factors: do we attach or note anything about FBA? If you mark the question to
indicate that the child has behaviors that impede learning, then the child should have behavior goals &/or
a Behavior Intervention Plan (BIP) based on a Functional Behavior Assessment (FBA). It is necessary to
include one or both of these in the IEP. It could be noted here or in the comment section of the IEP.

If students are on NCEXTEND 1, do they need competency goals ? No, students who are on the
NCEXTEND 1 have an alternate curriculum (NCDPI Extended Content Standards) which gives them access
to the Standard Course of Study. Competency Goals must be addressed for NCEXTEND 2 students only.
This is the method for ensuring that NCEXTEND 2 students have access to SCOS.

How much information is needed on “summarize assessment” section of the DEC 4? This
section should include information from assessments such as EOG/EOC testing, district assessments, or
progress monitoring that has occurred since the last annual review. A review of the IEP progress and
information from progress reports would also be good examples of what to put here. It would not have to
be as thorough as what would be included on the DEC 7.

When a student is getting different amounts of service for different semesters, can two levels
of service (i.e. reg. and resource) be reflected on the same IEP? No, the IEP can only reflect what
the “current” level of service. If the level of service changes from one semester to another, the IEP team
will need to reconvene to change the level of service and make adjustments to any other areas of the IEP
that the change in level of service impacts (testing, LRE statement). This will require doing an IEP
addendum and a DEC 5 explaining why the level of service changed.

In the General Education Participation section of the IEP, do the specific courses need to be
listed or just the general subject (ex. Algebra 1 or math)? You can just say math, language arts,
etc… The only place that it has to be specific is on the testing page.

How should assemblies be addressed in the General Education Participation section if it is not
known which assemblies will be offered and whether children with disabilities will
participate? It would not be necessary to know the specific assemblies. Make projections based on
what you would generally do or how you would generally handle this situation for the student.

How specific do modifications need to be for self-contained programs? Specific enough that
someone unfamiliar with the student would know what to do if they had to do it. Example: If the teacher
who wrote the IEP is out for extended time and a long term sub comes in will that person understand what
the modifications are and how they should be implemented?

When writing a Behavior Intervention Plan (BIP), is it required that a Functional Behavior
Assessment (FBA) always accompany this? The law requires that there is a BIP based on an FBA in
any case where an EC child has had a disciplinary change in placement. If there is an FBA in place that
applies to the behaviors that the student is exhibiting, it would not be necessary to write a new FBA every
time a new BIP is required. However, for an EC student, if there is a BIP and there has never been an FBA
or if the FBA is very outdated and does not apply to the current circumstances, you would need to begin
the re-evaluation process (DEC 7) in order to collect data to use to generate a new FBA.

If accommodations are used for state testing (EOGs), must they be used for district-wide
benchmark assessments? Each assessment, state or district, should be looked at individually to
determine what if any accommodations are needed in order for the student to have equal access to the
test. Any accommodations used for testing (state or district) must be used regularly throughout the school
year. However, accommodations for district assessments may not be the exact same as accommodations
for state assessments. If the team wants to consider the student’s need for a particular accommodation, it
may be important to see how the student does without it. The district wide assessment may be the
appropriate time to see how the student does without the accommodation. That information can then be
considered by the team in making a decision about the continued need for that accommodation.

How should A. Anticipated Frequency and Location of Specially Designed Instruction be
addressed when a student will be transitioning from middle school to high school when the
semester schedule is not known? You write the IEP to reflect the present services then reconvene the
team when it comes time to transition and do an addendum to address all changes.

Where would co-taught classes be listed? Co-taught classes would be considered a special
education service delivered in a regular classroom location on part A. Anticipated Frequency and Location
of Specially Designed Instruction. (Ex. English 5 x week 15 min General Education Classroom or Math 2 x
week 45min General Education Classroom) Additionally in the General Education Participation section of
the IEP it should be stated in the “Implementation Specifications/Who? What? When? Where?” for that
subject.

Where would Curriculum Assistance be listed? Curriculum Assistance would be considered a special
education service listed on p. 7 of 10 in A. Anticipated Frequency and Location of Specially Designed
Instruction. Please remember that Curriculum Assistance is a local term and would not be understood in
another LEA if the student transferred so we should not write “Curriculum Assistance”, but should select a
subject or other from the drop down box that aligns with the type of specially designed instruction they
would be getting in curriculum assistance. (Ex: If Johnny is going to CA for reading support 5 x week for
90 min, then it should be indicated as Reading, 5x week, 90 min, Special Education Classroom). You will
also want to be sure that it is listed in the General Education Participation section of the IEP.

If the student is taking the EXTEND 2, should an alternate assessment justification statement
be completed? Yes, the EXTEND 2 is an alternate assessment and an alternate assessment justification
must be completed if the student is taking that assessment.

When a student in high school is going to be in a CA class 5x week 90 min all year should we
check 1st and 2nd semester or will it be okay to leave as is? The service frequency and length of
sessions should be clear. The team may check the blanks to indicate 1st and 2nd semester if that helps to
clearly understand the level of service, but it would not be necessary to do this. The IEP is a yearlong
document and if it is not specified otherwise, the expectation is that the service level continues through the
duration of the IEP.

If FM equipment is added to an IEP, should Audiology be listed as a related service with a
support description? No. Any service provider can be trained to check the FM system. On the goal
page, page 4 of 10 directly under the annual goal box, the question about assistive technology devices
should be checked yes and then write a brief description ex: student uses an fm system. Then on the
bottom of page 5 of 10 where you specify the technical assistance, you should write something about the
audiologist will deliver, maintain, and train staff on the use of the fm system. Although audiology is not a
related service in this case, please be aware that Audiology can be considered a related service. If the child
requires an on-going service that can only be provided by the audiologist, then it would be listed on the
IEP as a related service.

If related services are direct services with their own goal pages and supplemental service is
back-up for goals, why is Adaptive PE not currently reported as a related service since
Adaptive PE has goals and serves children directly? Adaptive PE is not a related service. It is a
direct special education service. A related service is defined as a supportive service that is required to
assist a child with a disability to benefit from special education. The provision of APE would not support a
child in achieving other goals on the IEP. Related services, however, do support a child’s ability to make
progress on those other goals. Adaptive PE may be a required service so that a child can have equal
access to physical education.

At the preschool level, if a parent is reimbursed for transportation, how is the transportation
question completed? The decision to place a child on special transportation at any level(preschool,
elementary, etc.) needs to be an IEP team decision based upon the needs of the child. In that case, you
document it on the IEP as a need for special transportation. It is up to the special transportation office to
determine how these transportation services are arranged. If the special transportation office determines
that this will be provided through parent reimbursement, it does not affect the way it is listed on the IEP.

How is it documented that a parent agreed to amend the IEP without holding a meeting? Is a
parent signature required? To amend an IEP without a meeting, follow these steps: contact the
parent and discuss what needs to be amended, if the parent agrees to amend without a meeting you
would pull an addendum IEP and make the agreed upon decisions. There would be NO signatures on the
IEP, but you would complete the section “Amend Without a Meeting”. Then you would complete a DEC 5
and explain what was amended and that the parent agreed to the changes without having a meeting. You
would make the implementation date 7 to 10 days out, so that the parent has a copy of the amended IEP
and the DEC 5 before any of the changes were implemented. (Be sure the “from” date on the IEP is the
same as the implementation date on the DEC 5). The only signature on the DEC 5 would be the case
managers. If the parent does NOT agree to amend the IEP without a meeting, you would need to
convene the IEP team and do an addendum IEP.

When a parent asks for a specific modification, who will approve it if the team doesn’t totally
agree or may not be able to provide it? All modifications are a team decision, not a parent request,
so if the team does not think that the student needs the accommodation it is not given. Ultimately, if
there is a contentious disagreement, the LEA representative at the meeting will have to make the final
decision. Parents have the option of seeking mediation or due process.

If integrated, do goals for all students in the area of science and social studies need to be
written? Would EC teachers be responsible for grades and directly teaching science and social
studies? This depends upon the specific needs of the student and the type of services they are getting.
We do not typically write science and social studies stand-alone goals. The student may need a reading
goal that will help support their comprehension of science and social studies text. But if the student is in a
self-contained classroom or if the student is missing science and social studies because of EC “pull-out,”
then it is necessary to address the needs of the student in these academic areas.

Do EC accommodations trump ELL accommodations if a student is identified for both EC and
ELL? For example, if a student does not have “read aloud” on the IEP but does have it on the
ELL Written Plan? The accommodations and modifications allowed for the English Proficiency testing are
somewhat different from those allowed for EOG testing. You need to include the ESL teacher in the IEP
meeting to determine the appropriate accommodations/modifications. Reminder, as with any
accommodations and modifications, they must be used regularly throughout the year.
Questions regarding EOCs and IEP cycles:

Can there be tests listed on the IEP that may not occur (due to IEP dates, scheduling)?
Specific to transition issues---Can the case manager go ahead and list a course that the
student is likely to be taking in 9th grade but have this discussion during the transition
collaboration? If the EOC does not occur during the life of the IEP, do not list it in the document.
There is not a “rule” that will fit all situations. IEP teams will need to think about the needs of the
student over the duration of the IEP and include tests as appropriate. For instance, if the 8th grade
teacher thinks that it is highly likely that a student will be taking a particular course with an EOC during
first semester of 9th grade and within the “life” of the current IEP, it is acceptable to go ahead and list
it. In the event something changes for the student, the receiving school would need to make changes
as needed to properly reflect the course schedule and needed EOC courses when the student’s
schedule is confirmed.
 Scenario: A school has arranged for a regular education teacher to send a student to the
EC teacher “as needed” for behavior, with the student remaining with the EC teacher for
an undetermined and undocumented amount of time. This was occurring for an average
of 4 times a day for the last three weeks, a lesser number of times earlier. This was done
with the EC teacher’s approval and had been written into a safety plan. Minimal
instruction would occur during these “chill out” times.
It is not a best practice for a student to be receiving “services” from the EC teacher that are not
properly reflected in the IEP. Any time away from the regular education classroom needs to be
documented as time away from typical peers. If the student is able to briefly visit the EC teacher as a
“check in” intervention and then return to the regular education setting, this may be an acceptable
intervention. If the student is missing significant amounts of instruction and the behavior seems to be
escalating, the IEP team needs to convene to make sure that the proper amount of time in EC is
reflected or that other interventions are being considered to keep the student in the regular education
class. Data should be collected regarding the frequency and duration of any visits the student is making
to the EC setting. The team can use this data in consideration of any changes to the BIP, IEP goals or
amount of time the student needs to be in the EC setting.

What behaviors should prompt the IEP team to mark that “behavior impedes
learning” on the IEP? The entries that are being seen on IEPs cover a broad spectrum
of behaviors including: work completion, organization, attention, focus, distractibility,
and significant behaviors that might be more characteristic of ED students. Teachers
are seeking clarification about when to mark this question on the IEP. This question
pertains to more significant behaviors. Areas such as organization or attention are functional skill areas
that may tend to be a skill deficit for specific disability areas such as OHI. While these functional skill
areas may require goals to address deficits for the student, these are not the types of behaviors that
need to be addressed by this particular question on the IEP document.

On the DEC 4, under the section regarding how IEP goal progress will be measured, is
it incorrect if more than one measure is used? It is only necessary to include one method for
assessing progress toward the goal. However, teachers/related service providers may include more
than one method if desired. Measures of progress should be “good” methods for assessing the specific
goal as it is written and if more than one method is indicated, it is necessary to collect data using all of
the methods as documented on the IEP.

If we select “computer reads test aloud” to students for EOGs/EOCs or EXTEND 2, how
do they practice that “regularly” during the year? If the student has live voice read
aloud on a regular basis during the year, then wouldn’t they need to have live voice
read aloud on EOG/EOC? Since current testing formats can vary between computer assessments
and paper/pencil, it is important to write IEPs to address all scenarios. Students need to be given the
opportunity to practice during the school year any accommodation as it will be administered for the
test. EC Teachers could consult with Technology Facilitators at the school to assist with options that
will assist with computer read aloud testing.

How do they document the MSL testing and the modifications and accommodations
for the MSL testing on CECAS forms? This question is pertinent to Discovery Ed as
well. Currently, the guidance has been that both of these will be viewed as district-wide assessments.
It has also been stated that the classroom accommodations as listed on that section of the IEP will be
acceptable for reflecting the accommodations used for MSL testing. It is not necessary to change any
IEPs at this time. In cases where the annual review of the IEP is being conducted, it is advisable to
add a simple statement on the district accommodations section stating: “MSL testing will follow the
classroom accommodations as listed in that section of the IEP.” ( Please remember that it is not
acceptable to make handwritten revisions to the close/verified IEP document.)

Is it acceptable to document Frequency of EC instructional services across a month,
semester or year? Many related service personnel document frequency in this
manner. EC teachers have usually documented services based on the weekly frequency because this
best fits the typical schedule. The IEP forms allow for frequency over different time frames and it is an
acceptable practice. We must ensure that we have the proper intent when documenting service in this
way. The driving force behind this documentation should be to best identify the level of service that is
appropriate to meet the needs of the student…and then, how can that best be reflected and
documented on the IEP. The rationale should not be to document the service in a manner that will
“cover” in case the student misses sessions.
 How should Adaptive PE service time be listed on the IEP? Does it go under related
services or is it specially designed instruction?
Adaptive PE is not a related service. It is a direct special education service. A related service is a
support which allows a student to make progress on IEP goals. Adaptive PE requires specific goals. It
should be documented that the student requires Adaptive PE under the “Special Factors” section of the
IEP and then IEP goals for Adaptive PE must be included. The time for adaptive PE can be part of the
total time listed for Specially Designed Instruction or it may be listed separately as Adaptive PE time.
For students that are in specially designed instruction for 6.5 hours per day, it would be best to list it
within the total time. If it is pulled out as a separate listing, then it would have to be subtracted from
the total service time on the given day(s) that Adaptive PE is provided.
 What should EC teachers do about accessing IEP progress reports for students that
have moved to Cabarrus County Schools from another district in the state?
EC teachers have several options. First of all, if the student is transferring from a district that uses
CECAS, the IEP should be “copied forward” into CECAS creating an active, closed/verified IEP for the
student in Cabarrus County, giving the teacher access to progress reports under the reports tab. If the
student is coming from a non-CECAS district, the teacher can either create a new IEP in CECAS, the
teacher may choose to use the on-line progress report from the EC website until the time that the
student’s IEP is entered into CECAS at the annual review. Do NOT use paper progress reports for IEPs
that have been written in Cabarrus County Schools, use the CECAS progress reports.

Summary of Performance/”Graduation” DEC 5
These cannot be done at any time during the spring semester; they must be completed within the last
30 days of school because the implementation date on the DEC 5 cannot be dated out any further than
30 days from the time of the meeting.
 Please make sure to open all IEPs for the up-coming month on the first day of the prior
month. For instance, on April 1 all IEPs for the month of May should be opened in
CECAS. This task is simple in that all it requires is the creation of a primary form with
any related forms that are needed for the student’s meeting. This allows related
service providers and other teachers to give input into the writing of the IEP.
 Progress toward annual goals will be reported with the issuance of report cards unless
otherwise specified in the IEP. Please remember that IEP progress reports align with
IEP run dates. Report cards go home quarterly based on the school calendar. This
means that the 1st reporting period for the IEP progress report will be the report card
date that follows immediately after the annual review of the IEP. So, for the January
report card for a student whose IEP annual review occurred in November, the report
card will reflect reporting period 2 while progress report will reflect reporting period 1.
When the IEP expires, a copy of each quarter’s progress report should be placed in the
EC file with the respective IEP.
What is the guidance related to “Total School Environment” as a location for services? This
is something we have done in the past, but we were told not to use it anymore. It is an
option in the drop down menu on CECAS. If it isn’t a good option, why is it included there?
The term “Total School Environment” does not indicate whether it is special education time or regular
education time. That has been the reason for previous caution in using that statement. It is acceptable in
cases where the student is receiving consultative services. It is not acceptable to use when we need to
establish the time in regular education vs. special education settings
DEC 5
PRIOR WRITTEN NOTICE
When to Use:
A prior written notice (DEC 5) should be given or sent to the parents following EVERY DECISION related to identification,
evaluation, placement, or the provision of FAPE, even if there was no meeting.
Examples:






Initial Referral Meeting
Initial Placement Meeting
Annual Review Meeting
Reevaluation Meeting
IEP Addendum Meeting
Amending an IEP without holding a Meeting
Purpose: Check all that apply. Whatever purpose(s) is checked will determine which section(s) of the DEC 5 you will
need to complete. Examples:







Initial Referral Meeting: select “other” and type in “Initial Referral”
Initial Eligibility & Placement: select “Eligibility” and “Educational Placement/ Change in Placement, and “OtherDevelop IEP”
Annual Review: select “other” and type in “Annual Review”
Annual Review that results in a change of setting: select “other” and type in “Annual Review” and select
“Educational Placement/Change in Placement”
Reevaluation that results in continuing eligibility and a change in placement, select “Reevaluation” and “Change in
Placement”
Reevaluation that results in an exit from EC services select : “Educational Placement/Change in Placement”
“Disciplinary Change in Placement” should be selected when the student’s placement has been changed as a
direct result of disciplinary action (Manifestation Meeting)
The IEP Team or other group of appropriate individuals determined that______________________
CECAS will automatically fill in the student’s name.
Then complete only the section(s) indicated in the “Purpose” section
Narrative Section
Complete each of the 4 sections below with detailed and through information.
I.
The IEP Team or other group of appropriate individuals decided the action(s) stated on previous
pages because:
Give a detailed and thorough explanation as to why the IEP team made the decisions. Ex: Why did the team
decide that the student was eligible for special education? Why did the team decide that the initial placement
would be at the resource level? Why did the team decide the student needed OT as a related service? Be sure
to explain each decision the team made. Do not say, “The IEP team decided to write a new IEP because the
current IEP was ending”
II.
The IEP Team or other group of appropriate people also considered the following option(s), including the
continuum of alternative educational placements if applicable, and rejected these options because:
Following any meeting where educational placement or a change in educational placement or setting has been
discussed you will have to select from the appropriate drop down box any and all settings that were considered
and rejected. (You can hold the “control key” down to make multiple selections.)
In the space below give a detailed and thorough explanation of any and all considerations that the IEP team
rejected. Ex: Did the IEP team consider and reject Speech as a related service? Why?
Did the IEP team consider and reject the regular setting? Why? Did the IEP team consider and reject taking the
Math EOG with accommodations and modifications? Why? Do not write, “The IEP rejected not writing a new IEP
because the current was ending.”
III.
Describe each evaluation procedure, test, record or report, used as basis for the
action stated on previous pages:
Describe any formal evaluations procedures, tests, records or reports used here.
Ex: Woodcock Johnson III (Educational Evaluation) results indicating student is performing
significantly below grade level in ………
WISC-IV (Psychological Evaluation) results indicating that student’s ability level is within the average
range
Social/Developmental History Questionnaire completed by student’s parent documenting a history of
developmental delays in motor skills and communication skills
IV.
Describe other factors that are relevant to the agency's proposal or refusal:
Do NOT leave this blank or write N/A, or write All factor’s were considered.
Describe any informal assessment information that was used such as:
Review of student’s past and present grades, review of student work samples
Parent and Teacher input
Signatures and Date
Type in the date of the meeting in the small box, then add the name and position of each person attending the meeting one at
a time. At the end of the meeting print off this page and have everyone sign their names and place it in the student’s EC file
along with a copy of the closed/verified form.
If you have any questions, please feel free to call:
The case manager should put their name and contact information here
This decision will be implemented on:
This date would be the date of the meeting if the parent attended the meeting, agreed to the outcomes of the
meeting and was given a copy of the DEC 5 before they left.
However, if the parent did not attend the meeting or the meeting was contentious, or the parent was going to be
sent, not given a copy of the DEC 5 then the date should be 7 to 10 days after the day of the meeting in order to
give the parents time to consider their options. The implementation date on the DEC 5 and the “from” date on
the IEP MUST be the same.
Prior Written Notice Given or Sent
Select the appropriate on and fill in the name of the person that either gave or sent the information to the dates and the date
that it was given or sent.
Method of delivery:
How was the information given or sent? Ex: mailed home, sent home with the student, hand delivered by the teacher, etc. If
“sent”, the implementation date has to be after the parent receives a copy.
Comment section:
Provide additional details as to decisions that were made and/or rejected. If the meeting was contentious or there were
disagreements among team members, document those here.
Q&A
DEC 5

Do we sign a DEC 5 at the time of the DEC 2, or wait until evaluation is completed? A DEC 5
should be completed, signed, and a copy given or sent to the parents following EVERY DECISION related
to identification, evaluation, placement, or the provision of FAPE, even if there was no meeting. (See DPI
Handout on Prior Written Notice)

Should DEC forms be mailed to parents if not provided to them at the IEP meeting? Yes.
Certified mail would be a good method since this will confirm the delivery of the mail to the parent.
Remember, no decisions including the IEP can be implemented until the parent has a copy of the DEC 5.
Once the parent has a copy of the DEC 5 it sets the 1 year timeline that the parents have to go “due
process.” (Implementation date on the DEC 5 must match the “from” date on the IEP)

Is it ok to let the parent know to expect it the next day with the student and then send it with
the student? Yes. If this method is used, it would be wise to call the next day to document that the
parent received all forms because nothing can be implemented until the parent has received a copy of the
DEC 5. The Implementation date on the DEC 5 and the “from” date on the IEP need to be dated 7 to 10
days from the time of the meeting and must match.

What happens when a parent refuses to sign even though you have explained to them that
signing indicates they were present for the meeting and heard the information, not that they
agree/disagree with the decision? If, after explaining this, the parent still chooses not to sign, just
indicate on the parent signature line “Parent was present for the meeting but chose not to sign “ and you
can document it in the comment section.

What about kids who move to our district with a placement we do not have? The law says that
we must provide comparable services. The services do not have to be identical to what the student
received in the previous school.

Scenario: IEP team meets and finds the student eligible for services. The parent does not
attend. The team members complete a DEC 5 stating that the student is eligible. The DEC 6
(Consent to place) is then sent home and comes back with a date that is later than the DEC 5.
Which date is utilized in order to determine the student's reevaluation due date.... the DEC 5
or the DEC 6? You will use the date on the DEC 5 to determine when the student is due for reevaluation. However, no services can be given prior to the DEC 6 being signed, so the implementation date
on the DEC 5 should be dated out 7 to 10 days to give the parent time to sign and return the DEC 6. The
IEP “from” date would be the same as the DEC 5 implementation date. Both need to be a date after the
DEC 6 was signed.
 Summary of Performance/”Graduation” DEC 5
These cannot be done at any time during the spring semester; they must be completed
within the last 30 days of school because the implementation date on the DEC 5 cannot be
dated out any further than 30 days from the time of the meeting.

The requirement to wait 7-10 days before implementing a change in the IEP is
necessary in cases where the parent is not present at the meeting or in cases where
there is a contentious disagreement. If the parent attends the meeting but is not
given a copy of the DEC 5 but will be sent a copy, the implementation date cannot
be prior to the parent having possession of a copy of the DEC 5. If the parent
attends the meeting and the team arrives at consensus with the decisions that are
made and the parent is handed a copy of the DEC 5 prior to leaving the meeting,
then the implementation of any changes can take place immediately.
DEC 6
Consent for Initial Provision of Special Education and Related Services
When to do a DEC 6:
At an initial eligibility meeting when a student has been found eligible for special education services (including an
“out of state” transfer student who is being found eligible in NC for the first time).
General Information at the top:
This will automatically fill in from information saved in CECAS.
Parent Consent:
The student’s parent has two choices:
A.
B.
Agree to special education services
Disagree to special education services
If the parent accidentally checks and signs on the wrong line, print another copy and have them check and sign the
correct line prior to closing and verifying the form.
Be sure to offer the parent a copy of the Handbook on Parents’ Rights
Copy given or sent to parents by ______________________ on (date) ________________:
After printing be sure to circle either given or sent and to fill in the name of the person who gave the parents a
copy and the date that the copy was given.
If the form is “sent” home, the implementation date on the DEC 5 and the “from” date on the IEP must be a date
after the parent signs and returns the DEC 6.
Return to:
Fill in the name and address of the case manager in case the parent wants to take this home and send it back at
a later date. Should that happen, the IEP “from” date cannot be before the date that the parent signs the
consent.
The signed copy of this form should be placed in the student’s EC file.
This is the only form that can be replaced if lost or doesn’t come with an in-state
transfer student’s folder. Contact your Lead EC teacher or EC Data Manager if
you need help obtaining transfer students’ files.
DEC 7
REEVALUATION
When to use:
When a student has already been identified as EC and the team needs to:






Start a 3 year reevaluation
Add or delete a related service (including transportation)
Change eligibility category
Add a secondary eligibility category
Get additional data on an “In-state” transfer student
Get additional information/evaluations in order to properly serve a student
Current Primary Eligibility Category(s): This will automatically fill in by pulling from the “Special Education” page of
CECAS
Secondary Eligibility Category(s): (if applicable) If the student has a secondary eligibility category you will need to select from
the list in the drop down box
The following members of the IEP Team participated in the reevaluation process on: Type in the date of the meeting
Signature, Position, and Date: Add the name, their position, and the date for each person that attends the meeting. (You
have to do this one person at a time and click “add”). At the end of the meeting print the meeting copy and have everyone
sign it, then place this in the student’s EC file.
Review of Existing Data
Record Review (e.g. attendance, past and current grades, work samples, state and district-wide assessment data, relevant
medical/health information, discipline reports, IEP progress):
Click on each box that you have current and relevant information or data and summarize that information in the box to the right. You
need to address all of the boxes when possible.
Summary of previous assessment(s) (If attaching the most current summary of evaluation/eligibility worksheet,
results must be discussed below):
Provide a detailed summary of any previous assessments such as: Educational Evaluations (WJC), Psychological Evaluations, OT or
PT evaluations, Motor Screenings/Evaluations, Benchmark testing, EOG/EOC testing, etc. If you include scores, you must explain
what those scores mean.
Do not write, “See attached” and then attach a previous DEC 3.
Summary of evaluations and information provided by the parent(s):
If the parent brings any current evaluation information such as a medical report or testing from an outside agency, summarize that
information here. If the parent does not have any information to share, write in, “The parent did not have any information to share at
this time.”
Summary of classroom based assessments and observation:
Summarize any and all information from classroom assessments (chapter tests, homework or class work assignments, etc.) and
observations (behavior checklists, time on task data collection, notes from observations, etc.).
Summary of observation by teachers and service providers:
Summarize any additional observations (formal and/or informal) from teachers and other service providers such as OT, PT, Speech
Therapist, BMT, etc.
Determination of Needed Additional Data, if any:
Questions A – C
Carefully look at each question and determine whether additional data is needed to determine: (check “yes” or “no” for each question)
A.
If the student continues to have such a disability and educational needs?
If the student continues to need special education and related services?
B.
Present level of academic achievement and developmental needs?
C. Whether any additions or modifications to special education and/or related services are needed to meet
measurable annual goals and participation in the general curriculum?
If yes to any of the above, which will occur? (Check one or both and discuss):

Collection of the following data without formal assessment: (**Complete Eligibility Worksheet(s), Complete Eligibility
Determination, Address IEP, and Complete Prior Written Notice) In the space given, list what data will be collected without
formal assessment(s). Ex: work samples, observation notes, attendance records, behavior log, etc. These do not require the
parent’s signature on a DEC 2.

Collection of the following data through formal assessment: (**Complete Eligibility Worksheet(s), Complete Eligibility
Determination, Address IEP, and Complete Prior Written Notice.) In the space given, list what data will be collected with
formal assessment(s). Ex: Educational Assessment-WJC, Psychological Assessment, Motor Screening, OT or PT
Evaluation, FBA, etc. These do require the parent’s signature on a DEC 2.
**Completion of Eligibility Worksheets, Eligibility Determination, Address IEP, and Completion of Prior Written Notice will take
place at a second meeting. (Reminder, DEC 3 worksheets have to be completely filled out, don’t leave anything blank.)
If no to all of the questions above:

If no additional data or assessment is needed, explain why: (Complete Eligibility Determination, Address IEP, and Complete
Prior Written Notice.) Explain why no additional data or assessments are needed at this time, Ex: “Progress on current IEP
goals along with a review of student’s work samples, and on-going classroom assessments document that the student
continues to perform significantly below grade level in all academic areas and requires specially designed instruction in
order to access the standard course of study.”
Do not write a statement stating, “The team feels that student will remain eligible without further data collection.”
If the parent disagrees with the decision of the team not to do any additional testing or data collection, he/she can
sign on the line stating that he/she disagrees with the team’s decision. In that case the team should carefully consider
their decision not to do additional data collection. If the team can back their decision with appropriate data and
documentation, then continue without doing any additional assessments or data collection. However; if the data is
questionable or there is an area that lacks appropriate data, then the team should reconsider its decision and
determine what type of additional data it needs to get and readdress those areas on the DEC 7.
Additional comments:
Use this section to clarify and explain areas that need further explanation. If members of the IEP team do not agree
with decisions made, explain that here.
Q&A
DEC 7 & Transfers

On DEC 7 form, if the parent does not attend the meeting how should we document that? Do
NOT put the parent’s name or position on the signature lines. Document that the parent did not attend in
the comment section.

Where is the best place to find the date from which the 3-year reevaluation date is
calculated? On the signature page of the DEC 5 that went with the last reevaluation. (DEC 7).

Is it necessary to do a DEC 3 Eligibility Determination if no testing was needed? Isn’t that the
purpose of the DEC 5 to state that eligibility has continued? Yes, it is noted on the DEC 7 that if
no additional data or assessment is needed you will need to complete the DEC 3 Eligibility
Determination,(not the DEC 3 worksheet), address the IEP by either developing a new IEP or doing an
addendum IEP, and complete a DEC 5.

Is it necessary to complete a DEC 7 when you are adding or deleting special transportation
and adaptive physical education? Yes, whenever you are adding or deleting special transportation or
any other related service.
No, when adding or deleting Adaptive Physical Education, because ADPE is not a related service. You will
need to involve the Adapted Physical Education Teacher in the decision making about whether or not the
student needs ADPE. If the team should decide that ADPE is merited, it is an IEP team decision and would
simply be added or deleted from the existing IEP.
Reminder: anytime you open a DEC 7 you need to consider the whole child.

For a student who is certified as OH, can OH continue for years after the initial evaluation
without another medical evaluation? Yes, if the team decides that they do not need additional
medical information and want to continue OHI eligibility, they would not need to obtain updated medical
information as a part of the reevaluation process. If the team should decides that updated medical
information is necessary to determine continued eligibility; they would list that on the DEC 7 and on the
DEC 2 and obtain it as a part of the evaluation process. It is a team decision in determining what (if any)
additional testing/data are needed in order to determine continuing eligibility if the category of eligibility is
staying the same.

If we are doing a reevaluation on a student who is currently LD but we are considering ED, do
we write all required components for both ED and LD under the data collection section on the
DEC 7? You would need to do everything on the REF DEC 3 for the new area of eligibility being
considered and list those pieces in the appropriate places on the DEC 7. You would also need to note what
(if any) testing, assessments, data, you want or need to gather in the old eligibility area. You can pick and
choose which data you would like to collect for the old category of eligibility. Upon completion of testing
and data collection you would have to do DEC 3 Worksheets for both areas being considered.

If a student who is eligible under the category of LD and was receiving speech as a related
service was exited from speech as a related service in May of 2008, do we use the May of
2008 date to determine when the next reevaluation is due, or do we follow the LD
reevaluation date which was completed in May of 2007? Any time a DEC 7 is opened it begins the
reevaluation process, so the date on the DEC 5 that closes the reevaluation process will be the date you
use to “reset” the 3 year reevaluation cycle. In this case, if the student was exited from speech in May
2008 and a DEC 5 was signed at that time closing the reevaluation, the student would be due for their
next re-evaluation in 3 years, May 2011.

Scenario: The team meets and completes a DEC 7 to consider ID and LD as categories for a
student that is currently eligible under the OHI category. The DEC 7 indicates all the testing
needed for the new categories. When all testing is complete, the student is not going to
qualify in either of the new categories, but the team decides that they need to keep the
student eligible as OHI. Which forms would be used and how should this be documented on
the paperwork? When the team completes the DEC 7, care should be taken in answering the questions
in the Review of Existing Data and Determination of Needed Additional Data. The team can provide
information in the Review of Existing Data that reflects a continued need in the current eligibility area.
And, if the team is not questioning the current eligibility, that should be documented by answering the
questions under A as “NO.” Items B & C would be answered as “YES.” Then the team needs to indicate
the specific information that needs to be gathered for the other eligibility categories that are under
consideration. If the team determines that the child is eligible in one of the other categories, it would be
advisable to maintain at least a secondary eligibility in the original category since it has been established
through the DEC 7 documentation that the student continues to meet criteria for that area. Because the
team has considered three areas of eligibility, then all 3 worksheets would be completed regardless of the
eligibility decisions that are reached. Be sure to answer the questions on the end of each worksheet in
accordance with the data used on each worksheet.

If a DEC 7 is completed and the team decides to add Special Transportation and do testing
for a Re-evaluation, do we have to wait until the Re-evaluation is complete to start
transportation? No. The team would need to do a DEC 5 at the same meeting as the completion of the
DEC 7. This DEC 5 will reflect the addition of Special Transportation as a related service in the
reevaluation section of the DEC 5 and complete the 4 questions at the end of the DEC 5. This will allow
transportation to get started. Then, when all testing is complete, the team will meet again to complete the
reevaluation with DEC 3 worksheets, DEC 3 Eligibility Determination Sheet, either an addendum IEP or
develop a new IEP and a DEC 5 will be completed at that time to document the decisions of the team
based on the testing information.

What forms should be completed for an OT only evaluation? Always make sure to look at the
child’s needs in all areas, but if you go forward with a re-evaluation and decide at a DEC 7 meeting that OT
is the only area to assess, then this is what the follow-up paperwork will look like:
o DEC 2- Parent consent for testing in the motor area.
o OT Referral Form.
o Once testing is complete, DEC 3 worksheet(s) completely filled in with the new information from
the OT evaluation and bringing previous information forward and complete a new DEC 3 eligibility
form.
o DEC 5 – purpose would be “reevaluation” complete all the components that apply under the
Reevaluation Heading, and answer the 4 questions at the end.
o
Transfer Process:

For in-state transfers, what information must we have to serve the child in EC? In the past,
we have said that verbal information and confirmation were adequate. Is this still the case?
Or must we have an IEP in hand to begin serving the student? Section 1503-4.4 C says that if a
child transfers from another LEA in the state “with a current IEP that was in effect in a previous LEA” then
we must provide comparable services. So the general rule would be that we need to have something in
hand to verify that the child was receiving services. In speaking with a DPI consultant about this;
however, she stated that there may be rare situations where a student may transfer to your school without
written documentation where service provision may still merited based on verbal verification from the
former school system. She cited the example of Hurricane Katrina victims, whereby a number of children
were displaced due to the disaster and arrived at receiving school without written documentation or any
possibility of obtaining records. Cases such as this should be brought to the attention of your Lead EC
teacher, who can in turn consult with the EC Director or Co-coordinator for EC Services.

If a student comes from out of state with minimal paperwork 3-4 weeks before the end of the
school year, what is considered to be a reasonable amount of time to begin the initial
eligibility process/DEC 1? Use our local form I to guide you on this process. The form I states that the
DEC 1 meeting should be held within 30 days of the student’s enrollment. The DEC 1 date will begin the
90 day timeline for completing the process. While going through the process the student should be given
comparable services to what was documented in the out of state IEP. Failure to do so could result in us
owing the student compensatory ed.

If evaluation components are missing, does that drive a reevaluation? Yes, if evaluation
components are missing for an in state transfer student, they must be obtained through a reevaluation
process (DEC 7). For an out of state transfer student you would address the missing components on the
DEC 1 to start the initial eligibility process. In both instances you will use the REF DEC 3 to determine
what pieces of information need to be gathered and write them on the appropriate form, DEC7 or DEC 1
and DEC 2. You would then use a combination of previous data and new data to complete the
reevaluation or initial eligibility process.
What is the time line for receipt of records? How should we document the school’s attempt(s)
to get records? For Use the CCS local form I to guide you on this and document the school’s attempts
to get records. If records are not received within 30 days, start the reevaluation process (DEC 7) for in
state transfers and the initial eligibility process (DEC 1) for out of state transfers. (Remember there is a
90 day timeline for completing the initial eligibility process.) Be sure to let your Lead EC Teacher and EC
Data Manager know if you are having difficulty obtaining records.


What should we do if we receive a transfer student who has an IEP that has lapsed? You will
still need to provide FAPE to the child (including comparable services from the previous IEP) until you are
able to develop, and implement a new IEP.

What should we do if an out-of-state transfer student cannot produce an IEP, and the parent
is the only source for identifying what services the child received? If, after taking reasonable
steps to obtain the child’s records from the previous school, the new public agency is not able to obtain the
IEP from the previous school or the parent, the receiving school is not required to provide services to the
child and the student should be placed in the regular program until the initial eligibility process has been
completed and the student is found eligible for special education services in NC. If there is a dispute
between the school and the parent regarding whether or not an evaluation is necessary, the dispute could
be resolved through mediation procedures, or as appropriate, due process procedures. (US Department of
Education: IDEA 2004) The EC Director should be made aware of this type of situation.
Q&A
Testing
Testing Accommodations monitoring forms are kept in the EC file for the current year. These should be used as
documentation of the provision of accommodations. At the time of the annual review, these forms can assist with making
decisions about accommodations to include on the new IEP. The monitoring forms for the past year should be purged
from the file at that time.
PLAFP & ANNUAL GOAL Checklist
PLAFP COMPONENTS
Yes
Comments
ANNUAL GOAL COMPONENTS
Annual goal(s) directly address the area and skill deficit(s) identified in the
PLAFP and is not a curriculum goal or objective
When needed, the annual goal contains a “given/condition” (when, where, with,
what)
AG contains an observable learner action/tells what the student will (apply,
compose, solve, answer) and does not contain unobservable behaviors/actions
(understands, enjoys, feels, appropriate)
AG contains measurable criteria/specifies the level at which the student’s
performance will be acceptable (4 out of 5 trials, 80% accuracy, etc)
When more than one AG is needed for the PLAFP, each annual goal is written on
a separate goal page
Anyone reading the AG would know exactly what to do to determine whether
the goal had been met or not
Yes
Comments
Measuring Progress Towards the Annual Goal
Is tangible/can be produced or shown upon request (Ex: Student work samples,
teacher made tests, checklists, teacher observation notes)
Does not use: Teacher observation, progress reports, EOG/EOC, or report card
Truly measures progress towards the skill deficit stated in the AG
Yes
Comments
Clearly states the area being addressed
Evident that current/relevant information was used
Clearly states student’s strengths in this area
Clearly identifies skill(s) deficit/needs in this area
Clearly states how skill deficit(s) impacts student’s progress & participation in
the general education curriculum
Modifications/accommodations student needs as a result of the skill deficit are
clearly supported/evidenced
Any and all “scores” used are clearly explained
The need for specially designed instruction is clearly supported/evidenced
Written in terms that can be readily understood by the general public
Do the PLAFP(S), Annual Goal(s) and Measuring Progress towards the Annual Goal(s) all tie together?
YES
NO