Introduction
As part of any initial evaluation or reevaluation, an IEP team must develop an evaluation report that includes documentation of a disability category and need for specially designed instruction. Complete Form ER-1 for all evaluations (including initial and reevaluations). Additional evaluation forms may be needed to document the evaluation results depending on the circumstances, such as disability criteria forms, forms ER-2A or 2B additional documentation required for specific learning disabilities, and form ER-3 evaluation for determining braille needs. 34 CFR § 300.306; Wis. Stat. §115.782.
Implementation Considerations
The IEP team must include a review of the student’s reading achievement. This includes an analysis of data available at the time of the referral and new information gathered from additional testing and other sources. The IEP team should also consider how the student’s functional performance affects the student’s reading achievement. A thorough analysis includes how the student’s academic achievement and functional performance affect access, engagement, and progress in the general education curriculum, instruction, and environment.
It is good practice for IEP team members who administer tests or other evaluation materials to prepare a written summary of their individual assessment findings that may assist parents and other IEP team members in program planning; however, the determination of whether a student meets criteria for a disability category, as well as the determination of services and placement must be made by the IEP team during the IEP team meeting. DPI has eligibility criteria forms and evaluation guides to assist with meeting special education compliance requirements and recommended best practices. The department provides eligibility criteria resources.
Parent(s) must be provided with a copy of the IEP team’s evaluation report; however, neither federal nor state law specifies when parents must be provided with a copy. Typically, the local education agency (LEA or agency) provides the parents with a copy of the evaluation report with the student’s IEP and notice of placement. It is, however, important LEAs ensure parents have the information they need to participate meaningfully in IEP team meetings. Parents may need to review their student’s education records. A LEA must comply with a parent request to inspect and review existing education records, including IEP team evaluation reports or summaries of IEP team participants’ findings, without unnecessary delay and before any meeting regarding an IEP or a due process hearing and in no case longer than 45 days after the request. 34 C.F.R. § 300.613.
The ER-1 form has four sections. Section I describes academic and functional information about the student provided by parents/family, teachers, service providers and other sources; classroom-based, district-wide and state assessment results; and other evaluations and assessments that existed at the time of the referral and was reviewed during the Existing Data Review to Determine if Additional Assessments or Evaluation Data are Needed (DPI Model Form ED-1). It also includes information about interventions attempted before the special education referral (or reevaluation) and the effects of those interventions. Section II covers the additional academic and functional assessment data and other evaluation materials gathered through the evaluation process. Section III asks for confirmation that information regarding all areas of concern identified in the referral (or notice of reevaluation) or during the review of existing data has been documented in the previous sections. Section IV.A. is where the IEP team documents whether or not the student meets the criteria for one or more of the disability categories. If so, the team must attach the appropriate Criteria for Disability Category form(s) to the evaluation report. If impairments were considered and rejected, the team must document how the student did not meet the criteria or attach the Criteria for Disability Category form(s). If the student does not meet criteria in any of the identified disability categories, the student is not eligible for special education and the team does not need to proceed to Section IV.B. In Section IV.B., the team considers and documents how the student’s disability affects their access, engagement and progress in age-appropriate activities or in grade-level general education curriculum; conducts a root cause analysis and identifies the student’s academic and/or functional disability-related needs; and determines if the student’s disability-related needs require specially designed instruction. The team documents if, by reason of the student’s disability, the student needs special education. 34 CFR §§ 300.8 and 300.305; Wis. Stat. § 115.782.
Many individuals wonder under which section to place their “observations.” Observations can either be general comments about a student by a teacher, related service provider or parent. In that case, they would be included in Section I: Information from Existing Data. Formal observations may also be conducted in the context of the evaluation, which is an individual assessment to determine eligibility for special education and related services, consistent with the evaluation procedures and for which parental consent was sought. Comments to the Regulations, p. 46639. In this case, formal observations as part of the evaluation belong in Section II: Information from Additional Assessments and Other Sources.
Form Content and Explanations
Content: Type of evaluation. Explanation: The IEP team identifies whether the evaluation being completed is an initial evaluation or a reevaluation. Check the appropriate box. See the comments under ‘Implementation Considerations’ on forms RE-1 and RE-2 for a discussion of when an evaluation is an initial evaluation and when it is a reevaluation. 34 CFR §§ 300.301 and 300.303; Wis. Stat. § 115.782.
Content: Date when the determination of disability category and need for specially designed instruction was made. Explanation: Enter the date the IEP team determined if the student met the criteria for a disability category and needed specially designed instruction. The date of the eligibility determination is the date the IEP team meets and determines whether the student is or continues to be a “child with a disability.”
In the case of an initial evaluation or a reevaluation, the IEP team must make the eligibility determination within 60 calendar days of receiving parent consent for administering tests and other evaluation materials (see form IE-3 or RE-5) or provide the parent notice that no additional assessments are needed (see form IE-2 or RE-4).
There are three exceptions to the 60-calendar-day evaluation timeline. The exceptions include situations in which (1) the parent of a student repeatedly fails or refuses to produce the student for the evaluation; (2) a student enrolls in a school of another LEA after the 60-calendar-day timeline has begun, but prior to a determination of eligibility or continuing eligibility by the student’s previous LEA (see form M-2); or (3) there is a written agreement with the parent to extend the timeline to complete the evaluation of a student suspected of having a specific learning disability (see form M3). The date of eligibility determination also begins the 30-calendar-day timeline within which the IEP team must meet to develop an IEP and determine a student’s placement. 34 CFR §§ 300.301 and 300.303; Wis. Stat. § 115.782.
Section I. Intro
Content: Information from existing data. Explanation: TIn this section, the IEP team documents information from existing data. Refer to the existing data review (Form ED-1) when completing this section. The IEP team must include existing information related to all concerns identified in the referral (Form R-1) or notice of reevaluation, (Form-RE-1) or during the review of existing data (Form ED-1). During the IEP team meeting to determine if a student meets the criteria for a disability category and needs specially designed instruction, document and analyze the relevant data and information that existed prior to the current evaluation. Any data from additional testing or other evaluation materials administered as part of the current evaluation is documented in Section II, under “Information from Additional Assessments and Other Evaluation Materials.” When interpreting evaluation data to determine if a student meets the criteria for a disability category and requires specially designed instruction, IEP teams are required to document and carefully analyze data from a variety of sources.
The IEP team must include information about both academic achievement and functional performance. Academic achievement includes information in reading, mathematics, written language, communication, science and social studies. For preschool children, academic achievement includes information about the child’s acquisition and use of knowledge and skills (including early language/communication and early literacy and other pre-academic skills). Functional performance includes social and emotional skills, activities, and nonacademic skills needed for independence and performance at school, in the home, in the community, for leisure time, and for post-secondary and lifelong learning. Examples include activities of everyday living, school/work/play habits, expressing needs and desires, the ability to problem solve and ask for help, and other social and emotional skills. For preschool children, functional performance includes positive social and emotional skills and use of appropriate behavior to meet their needs. As part of a comprehensive evaluation, IEP teams are encouraged to include information from any relevant areas identified from the referral and during the review of existing data such as achievement in content areas, cognitive learning, communication, independence and self-determination, physical and health, social and emotional learning. 34 CFR §§ 300.301 and 300.303; Wis. Stat. § 115.782.
Section I. A.
Content: Information provided by parent(s)/family. Explanation: Document information provided by the parent(s) and family in reading and other areas. Agencies should encourage parents’ participation by encouraging family members to describe their student’s strengths and abilities and what they view as their student’s challenges. For example, is the student able to read and comprehend classroom texts and materials? Encourage the parent to share information about what and how their student is reading at home and in the community as well as their beliefs about their own skills and their passions and desires. Agencies may provide resources and encourage the parent(s)/family to access other tools before the IEP team meeting to prepare to participate. If the parent(s)/family have no information to provide, document that no additional information was provided. The IEP team should ask the parent for information about the concerns identified in the referral (or notice of reevaluation) and during the review of existing data.34 CFR §§ 300.304, 300.305, and 300.306; Wis. Stat. § 115.782.
Content: Information provided by teachers, related service providers. Explanation: Document information provided by teachers and related service providers about the student’s academic and functional performance in the classroom and school environment. IEP team members may share how the student is achieving in reading, mathematics and other content areas; observations regarding social/emotional behavior, health status, self-determination, communication skills or cognitive learning (making connections when learning new material). The IEP team should document information from teachers and service providers about the concerns identified in the referral (or notice of reevaluation) and during the review of existing data. Concerns may be in the areas of achievement in content areas, cognitive learning, communication, independence and self-determination, physical and health, social and emotional learning. 34 CFR §§ 300.304, 300.305, and 300.306; Wis. Stat. § 115.782.
Content: Information provided by other sources. Explanation: Include any other existing data here. This may include information pertaining to postsecondary transition, pertinent medical information (including vision and hearing), information from the Birth to 3 Program if the child is transitioning to early childhood, and any other pertinent data. 34 CFR §§ 300.304, 300.305, and 300.306; Wis. Stat. § 115.782.
Section I. B.
Content: Summary of previous evaluations and assessments. Explanation: Document information in reading and any areas of concern. If no previous assessments or evaluations exist, note this on the form.
Content: Classroom-based, district-wide or state assessment results. Explanation: Include the student’s performance on classroom tests, quizzes and district and state-wide assessments. Include data in reading and other academic areas. The assessments may have been conducted in the general education classroom or in a special education classroom. Local or district-wide assessments include any standardized tests administered district-wide (e.g., Iowa Test of Basic Skills, STAR, PALS, and MAP). If no previous classroom-based, local, or state assessments exist, note this on the form. 34 CFR §§ 300.305 and 300.306; Wis. Stat. § 115.782.
Content: Other evaluations and assessments. Explanation: When applicable, include information from a reading teacher or specialist. For preschool children, use the results of their Indicator 7 Child Outcomes Ratings. Document results from an independent educational evaluation, whether at school district or parent expense. Include the results of any previous functional performance assessments or evaluations. 34 CFR §§ 300.305 and 300.306; Wis. Stat. § 115.782.
Section I. C.
Content: Previous interventions and the effects of those interventions. Explanation: Identify any previous evidenced-based interventions, including instructional methodologies, provided in the general education classroom or a special education setting. Include data on the effects of those interventions on reading achievement/early literacy and other academic and functional areas. Document any modifications or accommodations provided in any environment. Include data on how the student responded to the interventions (e.g., Previous intervention: Direct instruction in reading fluency for eight weeks; Effect: Increase of two words per minute.) These may include, among other things, formal interventions as part of a multi-level system of supports or previous special education services. Prior interventions are required before an initial eligibility decision may be made for a Specific Learning Disability (SLD). In the rare case that no previous interventions have been provided, check “Not Applicable” box. Wis. Stat. § 115.782(2)(b)1.
Section II.
Content: Information from additional assessments and other evaluation materials was gathered. Explanation: In this section, the IEP team documents the new information gathered as part of the evaluation or reevaluation. The IEP team must include information about the student’s academic and functional early literacy or reading skills. Include any information collected during the evaluation related to identified areas of concern in academic or functional skills such as achievement in content areas, cognitive learning, communication, independence and self-determination, physical and health, social and emotional learning. Identify whether information from additional assessments or other sources was gathered during this evaluation/reevaluation by checking the “Yes” or “No” box. If yes, document data and information about academic and functional performance. 34 CFR §§ 300.304 and 300.306; Wis. Stat. § 115.782.
Content: Academic. Explanation: Include data and information about early literacy or reading and other content areas of concern identified in the referral (or notice of reevaluation) or during the review of existing data. Data and information are obtained from assessments and other evaluation materials administered as part of the current evaluation with consent from the parent. The data may include formal observations, aptitude tests, and other newly conducted assessments determined to be needed as a result of the review of existing data.
Content: Functional. Explanation: Include results from checklists, behavior rating scales and interviews related to the student’s functional performance. Formal observations of the student’s functional performance conducted as part of the student’s special education evaluation should be documented in this section. Document the observations of professionals conducted outside the school environment. Document assessment results of the student’s functional reading skills. Include information about areas of concern identified during the referral (or notice of reevaluation) or review of existing data such as cognitive learning, communication, independence and self-determination, physical and health, social and emotional learning.
Section III.
Content: Information regarding all areas of concern. Explanation: The IEP team must verify they have included data or other information related to all areas of concern identified in the referral (or notice of reevaluation) or during the review of existing data. The IEP team should review the referral (R-1) (or notice of reevaluation, RE-1) and existing data review (ED-1) forms to determine the concerns that were previously identified. Data or other information related to each area of concern is documented under Section I, II or both. If data or other information related to each area of concern is documented, the IEP team would check the “Yes” box. If the IEP team neglected to consider or evaluate an area of concern, the “No” box should be checked, and the IEP team should reconvene to consider the additional area(s) after data or information is obtained. This will ensure the evaluation is sufficiently comprehensive to identify all the student’s disability-related needs. If the IEP team considered an area of concern but determined the area did not need to be evaluated, provide an explanation as to why in Section I and check the “Yes” box; the IEP team considered the area of concern.
Section IV. A.
Content: Determination of disability category. Explanation: When considering whether the student meets the criteria for one or more disability categories, the IEP team may not find the student eligible if the determining factor is due to a lack of appropriate instruction in reading or math, or due to limited English proficiency. The district must take steps to address the lack of appropriate instruction or the student’s limited English proficiency. The IEP team may provide recommendations (e.g., resources or supports) for the district to consider.
To identify a student as a “child with a disability,” the IEP team must first determine the student meets the criteria for one or more of the twelve disability categories and second determine if the student requires specially designed instruction (see Section IV.B). In determining if the student meets criteria, the IEP team should consider all suspected disability categories of concern and, using the eligibility criteria in section PI 11.36, Wisconsin Administrative Code, document how the student meets (or does not meet) the criteria. If the student meets eligibility criteria, check the box next to the disability category in Section IV.A.3. on Form ER-1. Check each disability category where the student meets criteria. For each disability category identified, document how the student meets the criteria. The IEP team must attach the disability criteria form as documentation.
If the student did not meet criteria for any disability category that was considered by the IEP team, document how the student did not meet the criteria for the rejected disability category. If the student was not eligible under any disability category, document which ones were considered and how the student did not meet the criteria. The IEP team may attach the disability criteria form as documentation, if used.
A student must be found to have met criteria for a disability category before the IEP team considers if the student needs specially designed instruction. If the student does not meet criteria for a disability category, do not complete Section IV.B.: Need for Specially Designed Instruction. The IEP team may include recommendations other than special education for the district and parent(s) to consider to support the student. If the student has a significant developmental delay (SDD), SDD must be the only disability category checked. The IEP team must consider and dismiss all other disability categories before identifying a student with SDD. If the IEP team identifies a Specific Learning Disability, document the additional information required for Specific Learning Disabilities on form ER-2A or 2B. If the IEP team identifies a visual impairment, document the additional information required for determining a student’s need for braille on form ER-3. If the student meets the criteria for at least one disability category defined in PI.11.36, then the IEP team determines if the student needs specially designed instruction.
Section IV. B.
Content: Need for specially designed instruction. Explanation: This section is completed if the student meets the criteria for one or more disability category. It is possible for a student to meet criteria for a disability category and not need specially designed instruction and, therefore, not be a “child with a disability.” Child with a disability means a child who meets disability category criteria, and who, by reason thereof, needs special education and related services. 34 CFR §§ 300.306, 300.503, and 300.8; Wis. Stat. §§ 115.76, 115.782, and 115.792.
Content: Describe how the student’s disability affects their access, engagement and progress... Explanation: In determining the effects of the disability, consider how the disability affects academic achievement (e.g., early literacy/reading, math, science, social studies) and functional performance (e.g., cognitive learning, communication, independence and self-determination, physical and health, social and emotional learning). Describe how the student’s disability affects the student’s access, involvement, and progress in the general education curriculum, instruction, and environment, including how the disability affects reading. The term “general education curriculum” refers to the same curriculum as for nondisabled students in the same grade in which the student is enrolled. It is the standards-based curriculum adopted by each LEA or schools within the LEA that applies to all students within each general age grouping from preschool through secondary school.
For preschool children, describe how the disability affects participation in age-appropriate activities, including language development, communication, and/or early literacy. “Age-appropriate activities” means activities that children of that chronological age typically engage in as part of a formal preschool program or in informal activities, for example coloring, pre-reading activities, play time, sharing time, or listening to stories read by teachers or parents. Describe how the disability affects functional performance (e.g., cognitive learning, communication, independence and selfdetermination, physical and health, social and emotional learning).
A statement that a student’s disability impacts their performance, or a restatement of the eligibility criteria is not sufficient. A suggested sentence starter when describing the effects of the disability might be, “The student is not meeting grade-level standards/expectations in the area of X (effect).” Visit our guidance for more information on effects of the disability and disability-related needs.
Content: Based on a root cause analysis of the effects of the student’s disability, describe the student’s academic and/or functional disability-related needs. Explanation: The disability-related needs are identified by asking why the student is not achieving grade-level standards or functional expectations. The IEP team digs deep into this analysis, asking why multiple times to identify the root cause(s). This includes why the student is not able to access, be involved in, or make progress in the general education curriculum and why the student is not achieving grade-level reading standards/early learning standards. Based on the root cause analysis of the effects of the student’s disability, the IEP team determines the student’s disability-related needs. Disability-related needs are specific skills impacted by the student’s disability that a student needs to learn in order to access, engage and make progress in meeting early-childhood/grade-level standards and expectations. This may include needs related to the acquisition of academic skills such as phonemic awareness, phonics/decoding, reading fluency, vocabulary development, reading comprehension, number sense, and ability to manipulate numbers. A disability-related need may also relate to functional skill needs such as social-emotional, behavioral, self-regulation, mobility, sensory, and others that affect access and engagement in curriculum, instruction and other activities.
The IEP team must consider and document the disability-related needs unique to each student, regardless of their areas of impairment, including students who are “speech and language only.” It is important to consider the effects of a speech and language impairment on reading achievement and other academic areas and functional performance. If the student is reading below grade-level, the IEP team must consider why the student is not reading at grade-level. If the IEP team determines the disability adversely affects reading (even if the student is identified solely with a speech and language impairment), then the team must conduct a root cause analysis to identify the reasons. This will help ensure everyone on the IEP team understands how the disability is affecting the student’s academic achievement and functional performance and inform what goals and services are needed.
A suggested sentence starter for developing a statement of disability-related need might be, “The student needs to develop/improve/increase X skill/behavior (related to root causes), so the student can Y (addresses effect).” For more information on identifying the disability-related needs refer to Step 2 of the 5-Step Process.
Content: Can the student’s disability-related needs be addressed without specially designed instruction? Explanation: The IEP team must determine if the student’s disability-related needs can be met solely by regular education or if the student requires specially designed instruction. Special education means specially designed instruction to meet the unique needs of a child with a disability. Specially designed instruction means adapting the content, methodology or delivery of instruction to address the unique needs of the student that result from the student’s disability and ensure access of the student to the general curriculum so that the student can meet the educational standards that apply to all students within the jurisdiction of the LEA.
Check “Yes” if the student’s disability-related needs can be addressed by regular education. This means the student does not require special education. Describe any supports the student may need provided by regular education, such as preferential seating, etc. Note if the IEP team suggests the student be considered for a Section 504 evaluation and supports via a Section 504 Plan. If the student only requires modifications or accommodations that can be made by the regular education program, the student does not need special education and no IEP is developed for the student.
Check “No” if the student’s disability-related needs cannot be addressed without specially designed instruction. This means the student’s disability-related needs cannot be addressed solely by regular education. Explain why the student requires specially designed instruction. Describe the student’s needs that cannot be addressed by the regular education program. Describe the adaptations to content, methodology or delivery of instruction needed to address the student’s disability-related needs. If a student does not need specially designed instruction, the student is not eligible for special education and an IEP is not developed.
Content: Final prompt. Explanation: By reason of the identified disability category(ies) that adversely affects the student’s education performance, does the student need specially designed instruction or in the case of a reevaluation, continue to need specially designed instruction? This final prompt is intended to be a concluding statement or determination as to whether the student needs specially designed instruction and is therefore eligible to receive special education services. The IEP team should consider the information discussed and documented in the preceding prompts and check “Yes” if the student requires specially designed instruction to meet their disability-related needs, or “No” if the student does not require specially designed instruction.34 CFR § 300.306.