Introduction
As part of an evaluation, the IEP team first must review existing evaluation data available on the student related to each area of concern identified in the referral or during the review of existing data. The review occurs after the parent has been notified in writing that a referral was received and after the start of the initial evaluation or notice of reevaluation. Parental consent is not required before reviewing existing data as part of an initial evaluation or a reevaluation. Based on that review, the IEP team must decide what additional data, if any, are needed to determine:
- whether the student meets disability criteria and the impact of the disability on educational performance;
- the present levels of academic achievement (including reading achievement or for preschool children, early literacy skills) and functional performance (including cognitive learning, communication, independence and self-determination, physical/health, social and emotional learning);
- the effects of the student’s disability and the student’s disability-related needs;
- goals to meet the student’s disability-related needs;
- whether the student needs or continues to need specially designed instruction and related services;
- the nature and extent of special education and related services the student needs to meet the measurable annual goals set out in the IEP and to participate in the general education curriculum; and
- in the case of a reevaluation, whether any additions or modifications to the special education and related services are needed to enable the student
to meet the measurable annual goals set out in the IEP and to participate, as appropriate, in the general education curriculum.
34 CFR § 300.305; Wis. Stat. § 115.782.
The existing data review should occur in the context of concerns listed in the referral for a special education evaluation or the notice of reevaluation. The purpose of the review of existing evaluation data is to determine whether there is sufficient information related to the concerns to conduct a comprehensive evaluation of a student, including information to determine if the student meets disability criteria and the impact of the disability on educational performance, and to determine the student’s disability-related needs, develop goals, and align special education services. The analysis of the data to determine if the student meets criteria for a disability category occurs during the IEP team evaluation meeting to determine eligibility. The IEP team uses form ED-1 to document the review of existing evaluation data. An IEP team meeting is not required for this purpose although it may be appropriate and helpful to hold one. 34 CFR § 300.300. If a meeting is held, the Invitation to a Meeting of the IEP Team (form I-1) must be sent to the parents and form ED-1 is used with the IEP Team Meeting Cover Page (form I-3) to document the meeting. As a result of the discussion during the existing data review, additional academic and functional concerns may come to light and should be documented on the ED-1. A comprehensive evaluation is based on a thorough identification of all concerns including academics, cognitive learning, communication, independence and selfdetermination, physical/health, social and emotional learning. All concerns identified in the referral (or notice of reevaluation) and existing data review are considered during the evaluation process. The existing data review must ensure there is sufficient data to evaluate all concerns.
Implementation Considerations
Sources of existing data may include the student’s permanent or cumulative file, the behavioral records of the student, information or evaluations provided by the parent(s)/family, previous evaluations, district-wide assessments, state assessments, medical records, post-secondary transition, work samples, grades on daily assignments or tests, and/or observations from teachers, related service providers, or others.
The existing data reviewed and the sources of information are identified on the ED-1. It is important to have sufficient information about reading achievement or early literacy skills in order to determine if a student has a disability-related need that affects reading. If the IEP team determines additional data are needed after reviewing existing data, the new assessments to be administered and other needed evaluation materials are described in Section III of the ED-1. This description, along with the names of the specific assessment tools and personnel responsible for administering the evaluation(s), if known, are recorded on form IE-3 or RE-5.
The review of existing data is an IEP team function, and a student’s parents are IEP team participants. 34 CFR § 300.321; Wis. Stat. § 115.78. If the review occurs during an IEP team meeting, record the date of the meeting and the name of the person completing the form. Whether or not the review of existing data is completed at an IEP team meeting, the local education agency (LEA or agency) must document the parent’s participation or at least three attempts to involve the parent(s) in the review of existing data. Often agency personnel will attempt to contact parents by telephone. The agency may not count a telephone call as an attempt when there is no answer. A telephone call where a message is left may be counted as an attempt. The agency may count a delivered email as an attempt.
Sometimes an error in the existing data review occurs when what is documented is a review by a problem-solving team (e.g., teacher assistance team, building consultation team) prior to referral, instead of the IEP team’s review to decide whether additional evaluation data is needed to complete an IEP team evaluation. Sometimes IEP team participants will review data prior to the parent being notified of the start of an initial evaluation or reevaluation.The review of existing data occurs by IEP team participants after a parent is notified in writing of the start of an initial evaluation or reevaluation. Another common error occurs when an IEP team participant completes form ED-1 and fails to include his or her own input. If the individual completing the form is one of the IEP team participants, the individual needs to remember to record his or her name in the list of IEP team participants involved in the review of existing data to determine if additional information is needed.
The ED-1 becomes part of the student’s education record and may be provided to the parent prior to or with the Notice and Consent Regarding Need to Conduct Additional Assessments (either form IE-3 or RE-5) or the Notice that No Additional Assessments are Needed (either form IE-2 or RE-4), or when the Evaluation Report is provided.
Problems can arise when the existing data review is not comprehensive and additional assessments are added later in the process. IEP team members should consider all identified academic and functional concerns and determine if there is data related to each, then think expansively about the data needed to assist them in determining eligibility for special education and what they may need to determine appropriate services.
Form Content and Explanations
Content: Notice of receipt of referral. Explanation: Record the date the notice of referral and start of initial evaluation or notice of reevaluation was provided to the parents. After the notice is provided to the parent and within 15 business days of the district receiving the referral, the review of existing data must be completed, and the parent must be sent a request for consent to conduct additional assessments or notice that no additional testing is needed. 34 CFR §§ 300.300, 300.503, and 300.504; Wis. Stat. §§ 115.777, 115.782, and 115.792.
Content: Information from referral. Explanation: The IEP team verifies they have reviewed information provided on the referral for special education or notice of reevaluation by checking “Yes” or “No.” It is good practice to review the referral for information about the student’s reading ability or other existing information. Identify concerns listed in the referral (or in the notice of reevaluation) to determine if there is sufficient existing data to assess each area of concern or if additional data and information needs to be gathered as part of the evaluation. 34 CFR § 300.305; Wis. Stat. § 115.782.
Section I.
Content: Existing Data Review. Explanation: The IEP team must review existing data related to academic achievement and functional performance. Check the box next to each area of existing data reviewed. If insufficient or no data exists in a particular area, the IEP team must determine if additional data needs to be gathered. The IEP team should pay particular attention to any areas of concern identified in the referral (or the notice of reevaluation) or during the review of existing data and ensure there is sufficient data to assess each concern. For instance, the parent may have referred the student because of concerns about the student’s ability to read grade level materials. During the review of existing data, the student’s regular education teacher may identify concerns about the student’s social and emotional well-being. Both areas should be checked under “Existing Data” and a determination made as to whether there is sufficient existing data about each. 34 CFR § 300.305; Wis. Stat. § 115.782.
Content: Sources of Information. Explanation: Check the box next to the sources of information. The IEP team must review existing evaluation data, including::
- Information or evaluations provided by the parents/family;
- Previous evaluations;
- Current classroom based, district-wide, or state assessment results;
- Observations by teachers, related service providers and others (including current classroom-based observations and observations by reading teacher/specialist, if applicable);
- Previous interventions and effects;
- Behavioral records (including but not limited to discipline data, suspensions, office referrals, and data tracking a behavior);
- Assistive technology assessment (including but not limited to assessment for accessible educational materials and augmentative and alternative communication);
- Functional behavioral assessment;
- Adaptive PE assessment; and
- Information from other sources (e.g., including but not limited to postsecondary transition, medical, Birth to 3, etc.).
34 CFR § 300.305; Wis. Stat. § 115.782.
Section II.
Content: Additional areas of concern identified during the review of existing data, if any. Explanation: When IEP team members are reviewing the areas of existing data and sources of information, they may identify concerns not listed on the referral (or in the notice of reevaluation). A comprehensive evaluation should consider all areas of concern. List the additional areas of concerns identified during the existing data review. Ensure any areas of concern identified during the existing data review are checked in Section I and there is sufficient data to assess all areas of concern. If there are no concerns beyond those identified in the referral (or notice of reevaluation), check “None.”
Section III.
Content: Description of Additional Data Needed. Explanation: Once the existing data is reviewed, the IEP team must determine whether additional data is needed to address all the identified areas of concern. When considering whether additional data is needed, keep in mind that this data can be related to academic or functional areas, or both. If an IEP team member, including the parent(s), identifies additional data is needed, check the box “Yes.” Describe the types of additional assessments and other evaluation materials needed in Section III of the ED-1. A more detailed description of additional assessments and other evaluation materials and titles, if known, and the personnel responsible for administering assessments, if known, must be recorded on Form IE-3 or RE-5. Ensure there is sufficient information about reading achievement or early literacy skills compared to grade-level standards/age-level expectations.34 CFR § 300.305; Wis. Stat. § 115.782.
Section IV.
Content: IEP Team Participants. Explanation: Documentation on form ED-1 must include the name of each individual, the date they were involved in the review of existing data, and the method of involvement. Input regarding additional assessments and other needed evaluation materials is documented in Section III. If the consideration of existing data was done at a meeting, the IEP team participants are also listed on the IEP Team Meeting Cover Page (Form I-3). 34 CFR § 300.305; Wis. Stat. § 115.782.
Content: Parent(s). Explanation: The consideration of existing data is an IEP team function and parents are IEP team participants. Documentation on the ED-1 of the parents’ involvement in the review of existing data must include the date and method of involvement. The parent’s input should be documented on the ER-1 and reviewed during the meeting to determine eligibility. If the review of existing data was conducted at a meeting, the parent’s involvement is documented on the IEP Team Meeting Cover Page (Form I-3). 34 CFR §§ 300.305 and 300.321; Wis. Stat. §§ 115.78 and 115.782.
Content: Parent Involvement Attempts. Explanation: The review may be conducted without a parent’s participation if the agency is unable to involve the parent(s). If a parent did not participate, the agency must document at least three reasonable attempts to involve the parent(s). Examples of documentation include:
- detailed records of telephone calls and the results of those calls;
- copies of correspondence sent to the parent and any response received; and
- detailed records of visits made to the parent’s home or place of employment and results of the
visits.
The requirement for involving parents in the review is the same as for IEP team participation. If the parents did not participate in the review, the district should document three good faith attempts to involve them. Often school personnel will attempt to contact parents by telephone. A telephone call where there is no answer is not counted as an attempt. A telephone call where the phone is answered and a message is left may be counted. A delivered email message counts as an attempt. 34 CFR §§ 300.305 and 300.321; Wis. Stat. §§ 115.78 and 115.782.