Special Education

Annual State Application Under Part B of IDEA as Amended in 2004 for Federal Fiscal Year 2011

January 2011 - DRAFT FOR PUBLIC COMMENT

OMB NO.  1820-0030
Expires: 06/30/2012

ANNUAL STATE APPLICATION UNDER PART B OF THE INDIVIDUALS WITH DISABILITIES EDUCATION ACT AS AMENDED IN 2004 FOR FEDERAL FISCAL YEAR 2011 - PDF PDF Document(134 KB)

CFDA No. 84.027A and 84.173A

ED FORM No.  9055

UNITED STATES DEPARTMENT OF EDUCATION
OFFICE OF SPECIAL EDUCATION PROGRAMS
Washington, DC  20202-2600


Section I

A.   Submission Statement for Part B of IDEA

Please select 1 or 2 below.  Check 3 if appropriate.
_ X__ 1. The State provides assurances that it has in effect policies and procedures to meet all eligibility requirements of Part B of the Act as found in PL 108-446, the Individuals with Disabilities Education Act and applicable regulations (IDEA).  The State is able to meet all assurances found in Section II.A of this Application.
_____ 2. The State cannot provide assurances for all eligibility requirements of Part B of the Act as found in PL 108-446.  The State has determined that it is unable to make the assurances that are checked as 'No' in Section II.A.  However, the State assures that throughout the period of this grant award the State will operate consistent with all requirements of IDEA in PL 108-446 and applicable regulations.  The State will make such changes to existing policies and procedures as are necessary to bring those policies and procedures into compliance with the requirements of the IDEA, as amended, as soon as possible, and not later than June 30, 2012.  The State has included the date by which it expects to complete necessary changes associated with assurances marked 'No'.  (Refer to Assurances found in Section II.A.)
Optional:

_____ 3.

The State is submitting modifications to State policies and procedures previously submitted to the Department.  These modifications are:  (1) deemed necessary by the State, for example when the State revises applicable State law or regulations; (2) required by the Secretary because there is a new interpretation of the Act or regulations by a Federal court or the State's highest court; and/or (3) because of an official finding of noncompliance with Federal law or regulations.

B.   Conditional Approval for Current Grant Year

If the State received conditional approval for the current grant year, check the appropriate statement(s) below:
1.    Conditional Approval Related to Assurances in Section II.A:
_____ a.    Section II.A provides documentation of completion of all issues identified in the FFY 2010 conditional approval letter.
_____ b.    As noted in Section II.A, the State has not completed all issues identified in the FFY 2010 conditional approval letter. 
2.    Conditional Approval Related to Other Issues:
_____ a.    The State previously submitted documentation of completion of all issues identified in the FFY 2010 conditional approval letter.
_____ b.    The State is attaching documentation of completion of all issues identified in the FFY 2010 conditional approval letter.  (Attach documentation showing completion of all issues.)
_____ c.    The State has not completed all issues identified in the FFY 2010 conditional approval letter.  (Attach documentation showing completion of any issues and a list of items not yet completed.)

Section II

A.   Assurances Related to Policies and Procedures

The State makes the following assurances that it has policies and procedures in place as required by Part B of the Individuals with Disabilities Education Act.  (20 U.S.C. 1411-1419; 34 CFR §§300.100-300.174)

Check and enter date(s) as applicable
Assurances Related to Policies and Procedures

Yes

(Assurance is given.)

No

Assurance cannot be given.  Provide date on which State will complete changes in order to provide assurance.)
X   1.   A free appropriate public education is available to all children with disabilities residing in the State between the ages of 3 and 21, inclusive, including children with disabilities who have been suspended or expelled, in accordance with 20 U.S.C. 1412(a)(1); 34 CFR §§300.101-300.108.
X   2. The State has established a goal of providing a full educational opportunity to all children with disabilities and a detailed timetable for accomplishing that goal. (20 U.S.C. 1412(a)(2); 34 CFR §§300.109-300.110)
X   3.       All children with disabilities residing in the State, including children with disabilities who are homeless or are wards of the State and children with disabilities attending private schools, regardless of the severity of their disabilities, and who are in need of special education and related services, are identified, located, and evaluated and a practical method is developed and implemented to determine which children with disabilities are currently receiving needed special education and related services in accordance with 20 U.S.C. 1412(a)(3); 34 CFR §300.111.
X   4. An individualized education program, or an individualized family service plan that meets the requirements of section 636(d), is developed, reviewed, and revised for each child with a disability in accordance with 34 CFR §§300.320 through 300.324, except as provided in §§300.300(b)(3) and 300.300(b)(4).  (20 U.S.C. 1412(a)(4); 34 CFR §300.112)
X   5.       To the maximum extent appropriate, children with disabilities, including children in public or private institutions or other care facilities, are educated with children who are not disabled, and special classes, separate schooling, or other removal of children with disabilities from the regular educational environment occurs only when the nature or severity of the disability of a child is such that education in regular classes with the use of supplementary aids and services cannot be achieved satisfactorily in accordance with 20 U.S.C. 1412(a)(5)(A)-(B); 34 CFR §§300.114-300.120.
X   6.       Children with disabilities and their parents are afforded the procedural safeguards required by 34 CFR §§300.500 through 300.536 and in accordance with 20 U.S.C. 1412(a)(6); 34 CFR §300.121.
X   7.       Children with disabilities are evaluated in accordance with 34 CFR §§300.300 through 300.311.  (20 U.S.C. 1412(a)(7); 34 CFR §300.122)

7.         Children with disabilities are evaluated in accordance with 34 CFR §§300.300 through 300.311.  (20 U.S.C. 1412(a)(7); 34 CFR §300.122)
X   8.       Agencies in the State comply with 34 CFR §§ 300.610 through 300.626 (relating to the confidentiality of records and information).  (20 U.S.C. 1412(a)(8); 34 CFR §300.123)
X   9.       Children participating in early intervention programs assisted under Part C, and who will participate in preschool programs assisted under this part, experience a smooth and effective transition to those preschool programs in a manner consistent with section 637(a)(9). By the third birthday of such a child, an individualized education program or, if consistent with 34 CFR §300.323(b) and section 636(d), an individualized family service plan, has been developed and is being implemented for the child. The local educational agency will participate in transition planning conferences arranged by the designated lead agency under section 635(a)(10).  (20 U.S.C. 1412(a)(9); 34 CFR §300.124)
X   10.      Agencies in the State, and the SEA if applicable, comply with the requirements of 34 CFR §§300.130 through 300.148 (relating to responsibilities for children in private schools), including that to the extent consistent with the number and location of children with disabilities in the State who are enrolled by their parents in private elementary schools and secondary schools in the school district served by a local educational agency, provision is made for the participation of those children in the program assisted or carried out under this part by providing for such children special education and related services in accordance with the requirements found in 34 CFR §§300.130 through 300.148  unless the Secretary has arranged for services to those children under subsection (f) [By pass].  (20 U.S.C. 1412(a)(10); 34 CFR §§300.129-300.148)
X   11.      The State educational agency is responsible for ensuring that the requirements of Part B are met including the requirements of 34 CFR §§300.113, 300.149, 300.150 through 300.153, and 300.175 and 300.176 and that the State monitors and enforces the requirements of Part B in accordance with 34 CFR §§300.600-300.602 and 300.606-300.608. (20 U.S.C. 1412(a)(11); 34 CFR §300.149)
X   12.       The Chief Executive Officer of a State or designee of the officer shall ensure that an interagency agreement or other mechanism for interagency coordination is in effect between each public agency described in subparagraph (b) of 34 CFR §300.154 and the State educational agency, in order to ensure that all services described in paragraph (b)(1)(i) that are needed to ensure a free appropriate public education are provided, including the provision of such services during the pendency of any dispute under §300.154(b)(3). Such agreement or mechanism shall meet the requirements found in 20 U.S.C. 1412(a)(12)(A)-(C); 34 CFR §300.154.
X   13.       The State educational agency will not make a final determination that a local educational agency is not eligible for assistance under this part without first affording that agency reasonable notice and an opportunity for a hearing.  (20 U.S.C. 1412(a)(13); 34 CFR §300.155)
X   14.       The State educational agency has established and maintains qualifications to ensure that personnel necessary to carry out this part are appropriately and adequately prepared and trained, including that those personnel have the content knowledge and skills to serve children with disabilities as noted in 20 U.S.C. 1412(a)(14)(A)-(E); 34 CFR §300.156.
X   15.       The State has established goals for the performance of children with disabilities in the State that meet the requirements found in 20 U.S.C. 1412(a)(15)(A)-(C); 34 CFR §300.157.
X   16.       All children with disabilities are included in all general State and districtwide assessment programs, including assessments described under section 1111 of the Elementary and Secondary Education Act of 1965, with appropriate accommodations and alternate assessments where necessary and as indicated in their respective individualized education programs as noted in 20 U.S.C. 1412(a)(16)(A)-(E); 34 CFR §300.160.
X   17.       Funds paid to a State under this part will be expended in accordance with all the provisions of Part B including 20 U.S.C. 1412(a)(17)(A)-(C); 34 CFR §300.162.
X   18.       The State will not reduce the amount of State financial support for special education and related services for children with disabilities, or otherwise made available because of the excess costs of educating those children, below the amount of that support for the preceding fiscal year, unless a waiver is granted, in accordance with 20 U.S.C. 1412(a)(18)(A)-(D); 34 CFR §§300.163 through 300.164.
X   19.       Prior to the adoption of any policies and procedures needed to comply with this section (including any amendments to such policies and procedures), the State ensures that there are public hearings, adequate notice of the hearings, and an opportunity for comment available to the general public, including individuals with disabilities and parents of children with disabilities.  (20 U.S.C. 1412(a)(19); 34 CFR §300.165)
X   20.       In complying with 34 CFR §§300.162 and 300.163, a State may not use funds paid to it under this part to satisfy State-law mandated funding obligations to local educational agencies, including funding based on student attendance or enrollment, or inflation.  (20 U.S.C. 1412(a)(20); 34 CFR §300.166)
X   21.       The State has established and maintains an advisory panel for the purpose of providing policy guidance with respect to special education and related services for children with disabilities in the State as found in 20 U.S.C. 1412(a)(21)(A)-(D); 34 CFR §§300.167-300.169.
X   22.       The State educational agency examines data, including data disaggregated by race and ethnicity, to determine if significant discrepancies are occurring in the rate of long-term suspensions and expulsions of children with disabilities in accordance with 20 U.S.C. 1412(a)(22)(A)-(B); 34 CFR §300.170.
X   23a.      The State adopts the National Instructional Materials Accessibility Standard for the purposes of providing instructional materials to blind persons or other persons with print disabilities, in a timely manner after the publication of the National Instructional Materials Accessibility Standard in the Federal Register in accordance with 20 U.S.C. 1412(a)(23)(A) and (D); 34 CFR §300.172.
X   23b.      (Note:  Check either "23b.1" or "23b.2" whichever applies.)
X   23b.1  The State educational agency coordinates with the National Instructional Materials Access Center and not later than 12/03/06 the SEA as part of any print instructional materials adoption process, procurement contract, or other practice or instrument used for purchase of print instructional materials enters into a written contract with the publisher of the print instructional materials to:
  • require the publisher to prepare and, on or before delivery of the print instructional materials, provide to the National Instructional Materials Access Center, electronic files containing the contents of the print instructional materials using the National Instructional Materials Accessibility Standard; or
  • purchase instructional materials from the publisher that are produced in, or may be rendered in, specialized formats.  (20 U.S.C. 1412(a)(23)(C); 34 CFR §300.172)
X   23b.2    The State Educational Agency has chosen not to coordinate with the National Instructional Materials Access Center but assures that it will provide instructional materials to blind persons or other persons with print disabilities in a timely manner.  (20 U.S.C. 1412(a)(23)(B); 34 CFR §300.172)
X   24.       The State has in effect, consistent with the purposes of the IDEA and with section 618(d) of the Act, policies and procedures designed to prevent the inappropriate overidentification or disproportionate representation by race and ethnicity of children as children with disabilities, including children with disabilities with a particular impairment described in 34 CFR §300.8.  (20 U.S.C 1412(a)(24); 34 CFR §300.173)
X   25.       The State educational agency shall prohibit State and local educational agency personnel from requiring a child to obtain a prescription for a substance covered by the Controlled Substances Act (21 U.S.C. 812(c)) as a condition of attending school, receiving an evaluation under 34 CFR §§300.300 through 300.311, or receiving services under the IDEA as described in 20 U.S.C. 1412(a)(25)(A)-(B); 34 CFR §300.174.

 

B. Other Assurances

The State also makes the following assurances:

Yes

Other Assurances
X 1. The State shall distribute any funds the State does not reserve under 20 U.S.C. 1411(e) to local educational agencies (including public charter schools that operate as local educational agencies) in the State that have established their eligibility under section 613 for use in accordance with this part as provided for in 20 U.S.C. 1411(f)(1)-(3); 34 CFR §300.705.
X 2.       The State shall provide data to the Secretary on any information that may be required by the Secretary.  (20 U.S.C. 1418(a)(3); 34 CFR §§300.640-300.645.)
X 3.       The State, local educational agencies, and educational service agencies shall use fiscal control and fund accounting procedures that insure proper disbursement of and accounting for Federal funds. (34 CFR §76.702)
X 4.       As applicable, the assurance in OMB Standard Form 424B (Assurances for Non-Construction Programs), relating to legal authority to apply for assistance; access to records; conflict of interest; merit systems; nondiscrimination; Hatch Act provisions; labor standards; flood insurance; environmental standards; wild and scenic river systems; historic preservation; protection of human subjects; animal welfare; lead-based paint; Single Audit Act; and general agreement to comply with all Federal laws, executive orders and regulations.

 

C.   Certifications

The State Educational Agency is providing the following certifications:
Yes  
X 1.       The State certifies that ED Form 80-0013, Certification Regarding Lobbying, is on file with the Secretary of Education.
With respect to the Certification Regarding Lobbying, the State recertifies that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making or renewal of Federal grants under this program; that the State shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," when required (34 CFR Part 82, Appendix B); and that the State Agency shall require the full certification, as set forth in 34 CFR Part 82, Appendix A, in the award documents for all sub awards at all tiers.
X 2.       The State certifies that certifications in the Education Department General Administrative Regulations (EDGAR) at 34 CFR §80.11 relating to State eligibility, authority and approval to submit and carry out the provisions of its State application, and consistency of that application with State law are in place within the State.
X 3.       The State certifies that the arrangements to establish responsibility for services pursuant to 20 U.S.C. 1412(a)(12)(A)-(C); 34 CFR §300.154 (or 20 U.S.C. 1412(a)(12)(A); 34 CFR 300.154(a) are current.  This certification must be received prior to the expenditure of any funds reserved by the State under 20 U.S.C. 1411(e)(1); 34 CFR §300.171.

D.   Statement

I certify that the State of New York can make the assurances checked as 'yes' in Section II.A and II.B and the certifications required in Section II.C of this application.  These provisions meet the requirements of the Part B of the Individuals with Disabilities Education Act as found in PL 108-446.  The State will operate its Part B program in accordance with all of the required assurances and certifications.
If any assurances have been checked 'no', I certify that the State will operate throughout the period of this grant award consistent with the requirements of the IDEA as found in PL 108-446 and any applicable regulations, and will make such changes to existing policies and procedures as are necessary to bring those policies and procedures into compliance with the requirements of the IDEA, as amended, as soon as possible, and not later than June 30, 2012.  (34 CFR §76.104)
I, the undersigned authorized official of the
______________________________________________________,
(Name of State and official name of State agency)
am designated by the Governor of this State to submit this application for FFY 2011 funds under Part B of the Individuals with Disabilities Education Act (IDEA).

Printed/Typed Name and Title of Authorized Representative of the State:
Valerie Grey, Chief Operating Officer

Section III

Description of Use of Funds Under Part B of the Individuals with Disabilities Education Act - 20 U.S.C. 1411(e)(5); 34 CFR §300.171
States must provide the Description of Use of Funds by completing and submitting the Excel Interactive Spreadsheet with the 2010 Application.
Describe how the amount retained by the State educational agency under 20 U.S.C. 1411(e)(1) will be used to meet the following activities under Part B.  (20 U.S.C. 1411(e)(1)-(3), (6) and (7))  The Department annually identifies for States the maximum amounts that a State may retain under Section 1411(e)(1) and (2).  The dollar amounts listed in the Excel Interactive Spreadsheet by the State for administration and for other State activities should add up to less or equal to the dollar amount provided to the State by the Department for each of these activities.
Enter whole dollar amounts (do not enter cents) in appropriate cells on the State’s Excel Interactive Worksheet.  The Excel Interactive Spreadsheet must be submitted as part of the State’s application.

Describe the process used to get input from LEAs regarding the distribution of amounts among activities described in the Excel excel document Interactive Spreadsheet to meet State priorities.  (20 U.S.C. 1411(e)(5)(B); 34 CFR §300.704)

Funds are allocated based on local needs in accordance with goals set forth by the Office of Special Education (OSE) and within IDEA restrictions.  LEAs have input into the distribution of amounts through OSE meetings with LEAs, District Superintendents, approved private schools and other constituent groups including the Commissioner’s Advisory Panel for Special Education Services.

*Dollar amounts listed in the Excel excel document Interactive Spreadsheet are based on 2010-11 allocations.

Section IV

State Administration

Section 608(a) of the IDEA requires each State that receives funds under this title to:
(1) ensure that any State rules, regulations, and policies relating to this title conform to the purposes of this title;
(2) identify in writing to local educational agencies located in the State and the Secretary any such rule, regulation, or policy as a State-imposed requirement that is not required by this title and Federal regulations; and
(3) minimize the number of rules, regulations, and policies to which the local educational agencies and schools located in the State are subject under this title.
States must attach to this application a list identifying any rule, regulation, or policy that is State-imposed (not required by IDEA or Federal regulations).  If there are no such State-imposed rules, regulations, or policies, please so indicate.  In addition, the State is required to inform local education agencies in writing of such State-imposed rules, regulation or policy.  (20 U.S.C. 1407(a); 34 CFR §300.199)

New York State Law, Regulations and Policy Not Required by Federal Law/Regulation/Policy, Revised January 2011

  Each State may reserve for each fiscal year not more than the maximum amount the State was eligible to reserve for State administration under this section for fiscal year 2004 or $800,000 (adjusted in accordance with 20 U.S.C. 1411(e)(1)(B)), whichever is greater; and each outlying area may reserve for each fiscal year not more than 5 percent of the amount the outlying area receives under 20 U.S.C. 1411(b)(1) for the fiscal year or $35,000, whichever is greater.
For each fiscal year beginning with fiscal year 2005, the Secretary shall cumulatively adjust: 1) the maximum amount the State was eligible to reserve for State administration under this part for fiscal year 2004; and 2) $800,000, by the rate of inflation as measured by the percentage increase, if any, from the preceding fiscal year in the Consumer Price Index For All Urban Consumers, published by the Bureau of Labor Statistics of the Department of Labor.

Last Updated: January 11, 2011