400 MARYLAND AVE. S.W., WASHINGTON, DC 20202-2800

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness

by fostering educational excellence and ensuring equal access. 

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

OFFICE OF SPECIAL EDUCATION PROGRAMS

March 1, 2023

Alissa Trollinger 

Deputy Associate Superintendent 

1535 West Jefferson Street

Phoenix, Arizona 85007 

Dear Deputy Associate Superintendent Trollinger: 

This letter responds to the Arizona Department of Education’s (ADE’s) submissions to the U.S. 

Department of Education (Department), Office of Special Education Programs’ (OSEP’s) July 3, 

2018, September 11, 2020 and February 14, 2022, monitoring letters to ADE, which required 

ADE to implement corrective actions to address noncompliance with requirements under Part B 

of the Individuals with Disabilities Education Act (IDEA) as identified through OSEP’s 

differentiated monitoring and support (DMS) activities conducted with ADE’s Exceptional 

Student Services Office (ESS). Additionally, this letter responds to ADE’s submissions to 

OSEP’s July 3, 2018, monitoring letter, which addressed fiscal findings of noncompliance 

originally identified in its May 5, 2016, monitoring letter. 

Early Childhood Transition 

In OSEP’s monitoring letter dated September 11, 2020 (initial DMS letter)1

, OSEP identified 

two findings of noncompliance with IDEA Part B requirements: 

1. That ADE failed to exercise its general supervisory and monitoring responsibilities 

related to transition from IDEA Part C early intervention programs to IDEA Part B 

preschool programs, because it did not have sufficient policies and procedures in 

place to ensure that children with disabilities participating in early intervention 

programs under IDEA Part C and who will participate in preschool programs under 

IDEA Part B experience a smooth and effective transition to those preschool 

programs in a manner consistent with IDEA Section 637(a)(9), as required by IDEA 

Sections 612(a)(9) and (11) and 616(a), and 34 C.F.R. §§ 300.124, 300.149, and 

300.600 through 300.602, and 20 U.S.C. 1232d(b)(3)(A) and (E); and 

2. That ADE failed to exercise its general supervisory and monitoring responsibilities 

related to IDEA Section 619, because it did not have sufficient policies and 

procedures for public education agencies (PEAs) to follow in implementing the 

requirements of IDEA Section 619, as required by IDEA Sections 612(a)(11) and 

616(a), 34 C.F.R. §§ 300.149 and 300.600 through 300.602, and 20 U.S.C. 

1232d(b)(3)(A). 

1 OSEP DMS Report for Arizona Part B, September 2020 
Page 2 – Alissa Trollinger 

OSEP’s initial DMS letter required ADE to provide OSEP with a corrective action plan, 

including timelines and evidence of implementation, within 90 days of receipt of the letter to 

describe the steps ADE would take to: 

A.1. Develop and adopt final written policies and procedures that are reasonably 

designed: 

a. To ensure a smooth and effective transition to IDEA Part B preschool 

programs for children with disabilities who are participating in IDEA Part 

C early intervention programs and found eligible for IDEA Part B 

services, in a manner consistent with IDEA Section 637(a)(9), as required 

by IDEA Section 612(a)(9) and 34 C.F.R. § 300.124; 

b. To ensure the State monitors PEAs’ implementation of all the 

requirements related to transition from IDEA Part C early intervention 

programs to IDEA Part B preschool programs, including identifying 

noncompliance and ensuring timely correction of any identified 

noncompliance in accordance with the requirements in 34 C.F.R. § 

300.600(e) and OSEP Memo 09-022

, as required by IDEA Sections 

612(a)(11) and 616(a), 34 C.F.R. §§ 300.149 and 300.600 through 

300.602, and 20 U.S.C. 1232d(b)(3)(A) and (E); 

A.2. Develop and adopt final written policies and procedures that are reasonably 

designed: 

a. To ensure PEAs carry out the requirements of IDEA Section 619 

consistent with IDEA and its implementing regulations, including policies 

and procedures related to transition conferences as required in IDEA 

section 612(a)(9) and § 34 C.F.R. 300.124(c), initial IEP Team meetings 

as required in IDEA section 614(d)(1)(D) and 34 C.F.R. §§ 300.321(f) and 

300.323(c), and implementation of IEPs as required in IDEA sections 

612(a)(1)(A) and (a)(9) and 614(d)(2)(B) and 34 C.F.R. §§ 300.101(b), 

300.124(b), and 300.323(b); 

b. To ensure the State monitors PEAs’ implementation of IDEA Section 619, 

including identifying noncompliance and ensuring timely correction of 

any identified noncompliance in accordance with the requirements in 34 

C.F.R. §300.600(e) and OSEP Memo 09-02, as required by IDEA 

Sections 612(a)(11) and 616(a), 34 C.F.R. §§300.149 and 300.600 through 

300.602, and 20 U.S.C. 1232d(b)(3)(A) and (E); 

A.3. Implement the final policies and procedures, including: 

a. To ensure that educators who provide services in IDEA Section 619 

programs are trained and aware of their responsibilities under the State’s 

policies and procedures, consistent with the transition requirements in 

2 OSEP Memo 09-02 Timely Correction Memo (ed.gov)
Page 3 – Alissa Trollinger 

IDEA Sections 612(a)(9) and 637(a)(9), and 34 C.F.R. §300.124, and 

IDEA Section 619 requirements; and 

b. To notify all PEAs, parent advocacy groups, and other interested parties 

that the State has developed and adopted the written policies and 

procedures noted above. 

OSEP’s initial DMS letter also required ADE to provide, within 120 days of receipt of the letter:

B.1. The final written policies and procedures related to transition from IDEA Part C 

early intervention programs to IDEA Part B preschool programs; 

B.2. The final written policies and procedures related to implementation of IDEA 

Section 619; 

B.3. Documentation that demonstrates that the State is implementing the new policies 

and procedures; and 

B.4. Evidence that the State has disseminated the new policies and procedures to PEAs 

in the State, and that educators who provide services in IDEA Section 619 

programs in Arizona are trained and aware of their responsibilities under those 

policies and procedures, consistent with IDEA requirements. 

In addition, OSEP’s initial DMS letter required ADE to provide, by April 1, 2021: 

C. Evidence (e.g., monitoring protocols and reports) that the State is exercising its 

responsibility to monitor PEAs’ implementation of requirements related to 

transition from IDEA Part C early intervention programs to IDEA Part B 

preschool programs and requirements related to IDEA Section 619, including 

identifying noncompliance and ensuring timely correction of any identified 

noncompliance in accordance with the requirements in 34 C.F.R. § 300.600(e) 

and OSEP Memo 09-02. 

In response to the required actions set out in OSEP’s initial DMS letter, ADE submitted a written 

corrective action plan to OSEP on December 10, 2020, that included a timeline and the steps that 

ADE would take to complete all of the required actions included in the initial DMS letter. In 

addition, ADE requested, and OSEP granted, an extension of several timelines in order to 

sufficiently address some of the required actions. Based on the revised timelines, and several 

meetings between ADE and OSEP to discuss the submissions to date and any necessary 

revisions, ADE/ESS submitted documents and information on December 10, 2020, March 12, 

2021, April 15, 2021, May 4, 2021, June 16, 2021, and October 29, 2021, including draft revised 

policies and procedures related to transition from IDEA Part C to IDEA Part B and 

implementation of IDEA Section 619 requirements, and documentation related to 

implementation and dissemination of, and monitoring under, the revised policies and procedures. 

On February 14, 2022, OSEP issued a response to ADE through a subsequent DMS letter 

(Enclosure A), in which OSEP approved the State’s corrective action plan based on OSEP’s 
Page 4 – Alissa Trollinger 

review of the documents and information submitted by ADE and discussions with ADE. OSEP 

also determined that ADE had taken appropriate steps to complete Required Actions A.1 through 

A.3 and B.1 through B.3, related to the submission of the corrective action plan and the adoption 

and implementation of policies and procedures to reasonably ensure a smooth and effective 

transition to IDEA Part B preschool programs for children with disabilities who are participating 

in the IDEA Part C early intervention programs and found eligible for IDEA Part B services, and 

to exercise its general supervisory and monitoring responsibilities regarding IDEA Section 619 

requirements. However, OSEP noted that ADE had not sufficiently completed Required Action 

B.4 (evidence of dissemination of, and training on, the final version of the revised policies and 

procedures) and Required Action C (evidence of implementation of the revised monitoring 

procedures). 

In response to OSEP’s February 14, 2022 DMS letter, ADE submitted written documentation to 

address Required Actions B.4 and C. On August 19, 2022, ADE and OSEP discussed clarifying 

questions on a telephone conference, which was supported by additional ADE documentation 

submitted to OSEP on September 9, 2022. Based on OSEP’s review of these documents, OSEP 

has determined that ADE has taken appropriate steps to complete Required Actions B.4 and C 

(Enclosure B).

Fiscal Findings 

In OSEP’s July 3, 2018, monitoring letter, OSEP closed several fiscal findings of noncompliance 

originally identified in its May 5, 2016, monitoring letter. The remaining findings from the May 

5, 2016, letter, which addressed local educational agency (LEA) allocation procedures, were 

condensed into two remining corrective actions: 

1. The State must submit to OSEP documentation of its plan to ensure that any LEA that 

received less than the amount of section 611 or section 619 funds to which it was entitled 

in FFYs 2014, 2015, and/or 2016 will be made whole. Consistent with the request made 

in the State’s February 21, 2018 letter, the State may use any available FFY 2018, FFY 

2019, FFY 2020, FFY 2021, and FFY 2022 section 611 and/or section 619 State set-aside 

funds for this purpose. 

 

2. The State must submit to OSEP revised State policies and procedures that describe how 

ADE allocates IDEA section 611 and section 619 funds to eligible LEAs, consistent with 

statutory and regulatory formulas in IDEA sections 611(f) and section 619(g) and 34 

C.F.R. §§ 300.705 and 300.815. The policies and procedures must document how ADE 

fulfills its responsibilities for each of the following actions, consistent with statutory and 

regulatory requirements: a) determines the LEA’s eligibility to receive a subgrant based 

on the submission of a plan that includes required assurances; b) calculates base 

payments; c) calculates base payment adjustments, when required; d) calculates the 

allocation of remaining funds based on population and poverty; e) calculates subgrants to 

eligible charter school LEAs that open or significantly expand their enrollment; f) 

reallocates funds to eligible LEAs, including charter school LEAs, consistent with 

requirements and in the appropriate year; and g) ensures that section 619 allocations are 

made consistent with IDEA requirements, including when allocations to States for section 

619 grants are below the 1997 appropriation level. In addition, the policies and 
Page 5 – Alissa Trollinger 

procedures must include relevant policies and procedures of any ADE organizational 

units that have a role in calculating, issuing, or otherwise ensuring the distribution of 

section 611 and/or section 619 funds to eligible LEAs, including eligible charter school 

LEAs.

In response to OSEP’s July 3, 2018, DMS letter, ADE submitted written documentation to 

address the two corrective actions. On September 28, 2018, and October 1, 2018, ADE submitted 

documentation addressing the first corrective action, regarding a plan to ensure that any LEA 

that received less than the amount of section 611 or section 619 funds to which it was entitled in 

FFYs 2014, 2015, and/or 2016 will be made whole. On November 25, 2019, ADE submitted 

LEA allocation procedures consistent with the information requested in the second corrective 

action. Based on OSEP’s review of these documents, OSEP has determined that ADE has taken 

appropriate steps to complete the two required actions listed above. 

In addition to reviewing the findings cited in the May 5, 2016, monitoring letter, OSEP also 

completed additional fiscal monitoring on the subrecipient monitoring requirements and made 

the following finding: 

Criterion 2.1: Based on the review of documents and interviews with ADE staff on 

September 14, 2017, ADE does not ensure that each IDEA section 611 and section 619 

subaward is clearly identified to the subrecipient as a subaward and includes the required 

information at the time of the subaward as specified in 2 C.F.R. § 200.332(a). OSEP 

made requests to review ADE’s notifications to subrecipients to ensure their consistency 

with 2 C.F.R. § 200.332(a). ADE did not provide the requested documentation 

OSEP’s July 3, 2018, DMS letter required ADE to submit to OSEP documentation 

demonstrating that section 611 and 619 subaward notifications include the information as 

required by 2 C.F.R. § 200.332(a). Under 2 C.F.R. § 200.332(a), ADE must ensure that every 

subaward is clearly identified to the subrecipient as a subaward and includes the information 

specified in 34 C.F.R. § 200.332(a)(1)(i)-(xiv) at the time of the subaward, and if any of these 

data elements change, include the changes in subsequent subaward modification. There are 14 

required items that must be included in the Federal subaward notification. 

On July 29, 2020, ADE submitted an example of a project summary identifying some of the 14 

items required under 2 C.F.R. § 200.332(a). Other items, however, were either missing or 

included in a spreadsheet that is separate from the grant award notice. OSEP addressed this issue 

during monthly calls with the State and ADE agreed it would revise its grant award system to 

include an annual notice which includes all of the required items in 2 C.F.R. § 200.332(a). To 

date, ADE has not provided examples of its revised grant award notices. Therefore, within 30 

days of the date of this letter ADE must: 

• Submit to OSEP documentation demonstrating that section 611and 619 subaward 

notifications include the information as required by 2 CFR §200.332(a) 

OSEP appreciates ADE’s effort to address all areas of noncompliance identified through OSEP’s 

DMS activities. OSEP looks forward to a continued partnership with ADE to ensure the full 
Page 6 – Alissa Trollinger 

implementation of IDEA for eligible children with disabilities. Please contact Kim Hymes, at 

202-245-7068 or Kimberly.Hymes@ed.gov if you have any questions or concerns. 

Sincerely, 

Valerie Williams 

Director 

Office of Special Education Programs 

 

cc: Gregg Corr

 Division Director 

 Monitoring and State Improvement Planning 

 Office of Special Education Programs

Enclosure A 

Enclosure B 
400 MARYLAND AVE. S.W., WASHINGTON, DC 20202-2800

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness

by fostering educational excellence and ensuring equal access. 

Enclosure A

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

OFFICE OF SPECIAL EDUCATION PROGRAMS

DIRECTOR 

February 14, 2022

MEMORANDUM

TO: Alissa Trollinger, Deputy Associate Superintendent

Exceptional Student Services 

Arizona Department of Education 

THROUGH: Angela Tanner-Dean, Associate Division Director

Division of Monitoring and State Improvement Planning 

Office of Special Education Programs 

FROM: Kim Hymes, State Lead, Arizona Part B 

SUBJECT: Arizona IDEA Part B Corrective Action Plan Submission under OSEP’s 2020 

DMS Monitoring Letter 

This memorandum responds to the Arizona Department of Education’s (ADE’s) submissions in 

response to the U.S. Department of Education (Department), Office of Special Education 

Programs (OSEP’s) September 11, 2020, monitoring letter (DMS letter) to ADE, which required 

ADE to implement corrective actions to address noncompliance with requirements under Part B 

of the Individuals with Disabilities Education Act (IDEA) as identified through OSEP’s 

differentiated monitoring and support (DMS) activities conducted with ADE’s Exceptional 

Student Services Office (ESS). 

Specifically, OSEP identified two findings of noncompliance with IDEA Part B requirements:

1. That ADE failed to exercise its general supervisory and monitoring

responsibilities related to transition from IDEA Part C early intervention

programs to IDEA Part B preschool programs, because it did not have sufficient

policies and procedures in place to ensure that children with disabilities

participating in early intervention programs under IDEA Part C and who will

participate in preschool programs under IDEA Part B experience a smooth and

effective transition to those preschool programs in a manner consistent with IDEA

Section 637(a)(9), as required by IDEA Sections 612(a)(9) and (11) and 616(a),

and 34 C.F.R. §§ 300.124, 300.149, and 300.600 through 300.602, and 20 U.S.C.

1232d(b)(3)(A) and (E); and

2. That ADE failed to exercise its general supervisory and monitoring

responsibilities related to IDEA Section 619, because it did not have sufficient

policies and procedures for public education agencies (PEAs) to follow in

implementing the requirements of IDEA Section 619, as required by IDEA

Sections 612(a)(11) and 616(a), 34 C.F.R. §§ 300.149 and 300.600 through

300.602, and 20 U.S.C. 1232d(b)(3)(A).
OSEP’s DMS letter required ADE to provide OSEP with a corrective action plan (including 

timelines and evidence of implementation) within 90 days of receipt of the DMS letter that 

included steps ADE would take to: 

A.1. Develop and adopt final written policies and procedures that are reasonably 

designed: 

a. To ensure a smooth and effective transition to IDEA Part B preschool 

programs for children with disabilities who are participating in IDEA Part C 

early intervention programs and found eligible for IDEA Part B services, in a 

manner consistent with IDEA Section 637(a)(9), as required by IDEA Section 

612(a)(9) and 34 C.F.R. § 300.124; 

b. To ensure the State monitors PEAs’ implementation of all the requirements 

related to transition from IDEA Part C early intervention programs to IDEA 

Part B preschool programs, including identifying noncompliance and ensuring 

timely correction of any identified noncompliance in accordance with the 

requirements in 34 C.F.R. § 300.600(e) and OSEP Memo 09-021, as required 

by IDEA Sections 612(a)(11) and 616(a), 34 C.F.R. §§ 300.149 and 300.600 

through 300.602, and 20 U.S.C. 1232d(b)(3)(A) and (E); 

A.2. Develop and adopt final written policies and procedures that are reasonably 

designed: 

a. To ensure PEAs carry out the requirements of IDEA Section 619 consistent 

with IDEA and its implementing regulations, including policies and 

procedures related to transition conferences as required in IDEA section 

612(a)(9) and § 34 C.F.R. 300.124(c), initial IEP Team meetings as required 

in IDEA section 614(d)(1)(D) and 34 C.F.R. §§ 300.321(f) and 300.323(c), 

and implementation of IEPs as required in IDEA sections 612(a)(1)(A) and 

(a)(9) and 614(d)(2)(B) and 34 C.F.R. §§ 300.101(b), 300.124(b), and 

300.323(b); 

b. To ensure the State monitors PEAs’ implementation of IDEA Section 619, 

including identifying noncompliance and ensuring timely correction of any 

identified noncompliance in accordance with the requirements in 34 C.F.R. 

§300.600(e) and OSEP Memo 09-02, as required by IDEA Sections 

612(a)(11) and 616(a), 34 C.F.R. §§300.149 and 300.600 through 300.602, 

and 20 U.S.C. 1232d(b)(3)(A) and (E); 

A.3. Implement the final policies and procedures, including:

c. To ensure that educators who provide services in IDEA Section 619 programs 

are trained and aware of their responsibilities under the State’s policies and 

procedures, consistent with the transition requirements in IDEA Sections 

612(a)(9) and 637(a)(9), and 34 C.F.R. §300.124, and IDEA Section 619 

requirements; and

1 OSEP Memo 09-02 Timely Correction Memo (ed.gov)
d. To notify all PEAs, parent advocacy groups, and other interested parties that 

the State has developed and adopted the written policies and procedures noted 

above. 

OSEP’s DMS letter also required ADE to provide, within 120 days of receipt of the letter:

B.1. The final written policies and procedures related to transition from IDEA Part C 

early intervention programs to IDEA Part B preschool programs;

B.2. The final written policies and procedures related to implementation of IDEA 

Section 619;

B.3. Documentation that demonstrates that the State is implementing the new policies 

and procedures; and

B.4. Evidence that the State has disseminated the new policies and procedures to PEAs 

in the State, and that educators who provide services in IDEA Section 619 

programs in Arizona are trained and aware of their responsibilities under those 

policies and procedures, consistent with IDEA requirements. 

In addition, OSEP’s DMS letter required ADE to provide, by April 1, 2021:

C. Evidence (e.g., monitoring protocols and reports) that it is exercising its 

responsibility to monitor PEAs’ implementation of requirements related to 

transition from IDEA Part C early intervention programs to IDEA Part B 

preschool programs and requirements related to IDEA Section 619, including 

identifying noncompliance and ensuring timely correction of any identified 

noncompliance in accordance with the requirements in 34 C.F.R. § 300.600(e) 

and OSEP Memo 09-02. 

In response to the required actions set out in OSEP’s DMS letter, ADE submitted a written 

corrective action plan to OSEP on December 10, 2020, that included a timeline and the steps 

that ADE would take to complete all of the required actions included in the DMS letter. In 

addition, ADE requested, and OSEP granted, an extension of several timelines in order to 

sufficiently address some of the required actions. Based on the revised timelines, and several 

meetings between ADE and OSEP to discuss the submissions to date and any necessary 

revisions, ADE/ESS submitted documents and information on December 10, 2020, March 12, 

2021, April 15, 2021, May 4, 2021, June 16, 2021, and October 29, 2021, including draft 

revised policies and procedures related to transition from IDEA Part C to IDEA Part B and 

implementation of IDEA Section 619 requirements, and documentation related to 

implementation and dissemination of, and monitoring under, the revised policies and 

procedures. (See enclosed chart for a detailed listing of ADE’s submissions.)

Based on OSEP’s review of the documents and information submitted by ADE, and discussions 

with ADE, OSEP has approved the State’s corrective action plan. OSEP has also determined, 

subject to the additional explanations contained in the enclosed chart, that ADE/ESS has taken 

appropriate steps to complete Required Actions A.1 through A.3 and B.1 through B.3, related to 

the submission of the corrective action plan and the adoption and implementation of policies and 

procedures to reasonably ensure a smooth and effective transition to IDEA Part B preschool 

programs for children with disabilities who are participating in the IDEA Part C early 
intervention programs and found eligible for IDEA Part B services, and to exercise its general 

supervisory and monitoring responsibilities regarding IDEA Section 619 requirements. 

However, ADE must still complete Required Action B.4 (evidence of dissemination of, and 

training on, the final version of the revised policies and procedures) and Required Action C

(evidence of implementation of the revised monitoring procedures) in accordance with the 

timelines noted in the enclosed chart. OSEP appreciates ADE/ESS’s efforts to complete several 

of the required actions, and looks forward to receiving the additional documentation as described 

in the enclosed chart in order to complete the remaining required actions and close out the 

findings. 

Please contact Kim Hymes, at 202-245-7068 or kimberly.hymes@ed.gov if you have any 

questions or concerns. 

Sincerely, 

/s/ 

Valerie Williams

 Director

Office of Special Education Programs

Enclosure 

cc: Gregg Corr, Division Director
Enclosure to February 14, 2022 Memo

1 

OSEP’s Analysis of Arizona’s Responses to IDEA Part B DMS Findings and Required Actions in

OSEP’s September 2020 DMS Letter

Listed below are the required actions identified in OSEP’s September 2020 DMS letter, the State’s responses to the required actions, and OSEP’s analysis of the State’s 

responses.

Required Actions from OSEP’s

Sep. 2020 DMS Letter

State’s Response to Required Actions OSEP Analysis and Required

Actions

A. Within 90 days from the receipt of the September 

11, 2020 letter, ADE must submit a written plan to 

OSEP that includes a timeline, as well as steps it will 

take, to: 

 1. Develop and adopt final written policies and 

procedures that are reasonably designed:

 a. To ensure a smooth and effective transition to 

IDEA Part B preschool programs for children with 

disabilities who are participating in IDEA Part C early 

intervention programs and found eligible for IDEA 

Part B services, in a manner consistent with IDEA 

Section 637(a)(9), as required by IDEA Section 

612(a)(9) and 34 C.F.R. § 300.124; and

 b. To ensure the State monitors PEAs’ 

implementation of all of the requirements related to 

transition from IDEA Part C early intervention 

programs to IDEA Part B preschool programs, 

including identifying noncompliance and ensuring 

timely correction of any identified noncompliance in 

accordance with the requirements in 34 C.F.R. § 

300.600(e) and OSEP Memo 09-027, as required by 

IDEA Sections 612(a)(11) and 616(a), 34 C.F.R. §§ 

300.149 and 300.600 through 300.602, and 20 U.S.C. 

1232d(b)(3)(A) and (E); 

 2. Develop and adopt final written policies and 

procedures that are reasonably designed: 

On December 10, 2020, ADE submitted a draft ADE/ESS 

ECSSE Transition Policy and Procedure and a written plan that 

included a timeline and the steps it would take to complete the 

required actions. ADE requested an extension of the following 

deadlines: (1) an extension from 12/10/2020 to 3/1/2021 to 

complete Required Actions A.3.a and A.3.b; (2) an extension 

from 1/8/2021 to 3/1/2021 to complete Required Actions B.3 and 

B.4; and (3) an extension from 4/1/2021 to 6/25/2021 to 

complete Required Action C.

On March 1, 2021, ADE submitted the following documents:

- Revised draft ADE/ESS ECSE Transition Policy and 

Procedure (revised Feb. 2021)

- ADE/ESS Early Childhood Transition Policy and Procedure 

Training Plan (developed Feb. 2021)

- Revised ADE/ESS organizational charts (revised Feb. 2021) 

outlining organizational responsibility for IDEA activities

With its March 1, 2021, submission, ADE also indicated it had 

completed the following activities:

- Finalization of the Transition Policy and Procedure

- Notification to the field, as documented in the Early 

Childhood Special Education Summit training document 

(Feb. 2021) and the Special Education Director Check-In 

(Feb. 2021)

- Development of a comprehensive plan for technical 

assistance and training, in accordance with the Transition 

Policy and Procedure Training Plan

OSEP granted ADE’s requests for extension of the

timelines, and the State submitted documents and 

information in response to the corrective actions

within the agreed-upon timelines. 

Required Actions A.1 through A.3: 

ADE submitted a written plan and timeline on 

December 10, 2020, regarding the steps it would 

take to complete the required actions. Based on the 

State’s submissions, OSEP approved the State’s 

proposed plan and timeline as reasonably designed 

to address the findings of noncompliance and 

required actions identified in the September 2020 

DMS letter. No further action is required under 

Required Actions A.1 through A.3.

Required Actions B.1 through B.4:

ADE submitted the following documents in response 

to Required Actions B.1 through B.4: 

- Revised policies and procedures related to 

transition from the Part C program to the Part 

B preschool program

- Revised policies and procedures related to 

implementation of the requirements of IDEA 

Section 619

- Documentation demonstrating that the State is 

implementing the revised policies and 

procedures
Enclosure to February 14, 2022 Memo

2 

 a. To ensure PEAs carry out the requirements of 

IDEA Section 619 consistent with IDEA and its 

implementing regulations, including policies and 

procedures related to transition conferences as 

required in IDEA section 612(a)(9) and § 34 C.F.R. 

300.124(c), initial IEP Team meetings as required in 

IDEA section 614(d)(1)(D) and 34 C.F.R. §§ 

300.321(f) and 300.323(c), and implementation of 

IEPs as required in IDEA sections 612(a)(1)(A) and 

(a)(9) and 614(d)(2)(B) and 34 C.F.R. §§ 300.101(b), 

300.124(b), and 300.323(b); 

 b. To ensure the State monitors PEAs’ 

implementation of IDEA Section 619, including 

identifying noncompliance and ensuring timely 

correction of any identified noncompliance in 

accordance with the requirements in 34 C.F.R. § 

300.600(e) and OSEP Memo 09-028, as required by 

IDEA Sections 612(a)(11) and 616(a), 34 C.F.R. §§ 

300.149 and 300.600 through 300.602, and 20 U.S.C. 

1232d(b)(3)(A) and (E); 

 3. Implement the final policies and procedures 

described in Required Actions A.1 and A.2 above, 

including: 

 a. Ensuring that educators who provide services 

in IDEA Section 619 programs are trained and aware 

of their responsibilities under the State’s policies and 

procedures, consistent with the transition 

requirements in IDEA Sections 612(a)(9) and 

637(a)(9), and 34 C.F.R. § 300.124, and IDEA 

Section 619 requirements; and 

 b. Notifying all PEAs, parent advocacy groups, 

and other interested parties that the State has 

developed and adopted written policies and 

procedures consistent with the required actions 

above. 

- Training of section 619 educators regarding their 

responsibilities, as documented in the Early Childhood 

Special Education Summit training document (Feb. 2021) 

and the Special Education Director Check-In (Feb. 2021)

In addition, with its March 1, 2021, submission, ADE requested 

further extension of the following deadlines: (1) an extension 

from 3/1/2021 to 4/1/2021 to submit documentation of evidence 

of dissemination of new policies and procedures to PEAs, in 

order to complete the public participation requirements under 

IDEA based on feedback from OSEP and ADE; and (2) an 

extension from 4/1/2021 to 6/25/2021 to submit documentation of 

implementation of the new policies and procedures.

On April 15, 2021, and May 4, 2021, ADE submitted further 

revisions to the Transition Policy and Procedure document.

On June 16, 2021, ADE submitted the following documents and 

information: 

- ADE/ESS announcement email demonstrating that notice of 

programmatic monitoring changes to the preschool 

transition process were sent via the ESS Special Education 

Directors email list serv, which contains contacts for all PEA 

special education directors and preschool coordinators

- May 2021 ADE/ESS monitoring alert to special education 

directors and preschool coordinators, outlining changes 

being made to the programmatic monitoring process specific 

to preschool transition, resulting from findings of 

noncompliance issued by OSEP.

- Documentation showing how the revised ECSE Transition 

Policy and Procedures have been integrated into the 

ADE/ESS programmatic monitoring system, including 

revisions to: (1) ADE/ESS Programmatic Monitoring Guide 

Steps showing the compliance review for a PEA’s systems 

for Child Find procedures for ages 2.5-5 years; (2) ADE/ESS 

Programmatic Monitoring Data Collection Form designed to 

document compliance decisions and other helpful 

information at the PEA or “Agency Level” and to accompany 

the Child Find Agency-Level Guide Steps; (3) ADE/ESS 

Programmatic Monitoring Guide Steps showing the 

- Documentation of notification and training to 

the field regarding the changes being made to 

the Part C to Part B transition process and to

the IDEA Section 619 program.

Based on OSEP’s review of the documents and 

information submitted by ADE, and discussions with 

ADE staff, OSEP has determined that ADE has 

completed Required Actions B.1 through B.3, related 

to the adoption and implementation of policies and 

procedures to reasonably ensure a smooth and 

effective transition to IDEA Part B preschool 

programs for children with disabilities who are 

participating in the IDEA Part C early intervention 

programs and found eligible for IDEA Part B 

services, and to exercise its general supervisory and 

monitoring responsibilities regarding IDEA Section 

619 requirements. 

However, ADE must still complete Required Action 

B.4, i.e., provide evidence that it has disseminated 

the final version of the revised policies and 

procedures to PEAs in the State and that educators 

who provide services in IDEA Section 619 programs 

in the State are trained on their responsibilities 

under those final policies and procedures. OSEP 

appreciates ADE’s submission of the ADE 

Exceptional Student Services Early Childhood 

Special Education Policy & Procedure Training Plan 

document, dated February 28, 2021. While this 

documentation provides general information 

regarding completed and upcoming training 

opportunities, it does not specify whether such 

training is aligned to the final version of the revised 

policies and procedures document. ADE must 

submit documentation of completed training aligned 

to the final ADE ESS ECSE Transition Policies and 

Procedures by May 16, 2022. 

Required Action C: 
Enclosure to February 14, 2022 Memo

3

B. Within 120 days from the receipt of the September 

11, 2020 letter, ADE must provide OSEP with:

 1. The final written policies and procedures related 

to transition from IDEA Part C early intervention 

programs to IDEA Part B preschool programs, as 

detailed in Required Action A.1 above; 

 2. The final written policies and procedures related 

to implementation of IDEA Section 619, as detailed in 

Required Action A.2 above; 

 3. Documentation that demonstrates that the State 

is implementing the new policies and procedures; 

 4. Evidence that the State has disseminated the 

new policies and procedures to PEAs in the State, 

and that educators who provide services in IDEA 

Section 619 programs in Arizona are trained and 

aware of their responsibilities under those policies 

and procedures, consistent with IDEA requirements. 

C. By April 1, 2021, the State is required to provide 

evidence (e.g., monitoring protocols and reports) that 

it is exercising its responsibility to monitor PEAs’ 

implementation of requirements related to transition 

from IDEA Part C early intervention programs to IDEA 

Part B preschool programs and requirements related 

to IDEA 619, including identifying noncompliance and 

ensuring timely correction of any identified 

noncompliance in accordance with the requirements 

in 34 C.F.R. § 300.600(e) and OSEP Memo 09-02. 

compliance review for a PEA’s systems of Early Childhood 

Special Education Transition at the student level; and (4) 

ADE/ESS Programmatic Monitoring Data Collection Form 

designed to document compliance decisions and other 

student identification information (to support future 

correction of noncompliance at the individual level) and to 

accompany the Preschool Transition Student-Level Guide 

Steps

- Information indicating that the Guide Steps are posted on 

the ADE/ESS website and were made available on May 28, 

2021, through: (a) an email to special educators via the ESS 

Special Education Directors email list serv; and (b) a memo 

notifying the field that the Guide Steps have been made 

available for SY 2021-2022 and highlighting the revisions to 

the early childhood special education preschool transition 

process

- Information indicating that the SY 2021-2022 PEA 

monitoring schedule will not begin until October 2021, and 

that there may not be comprehensive documentation with 

actual student data until Spring 2022

- Information indicating that the dissemination of the final 

ECSE Transition Policy and Procedure would occur after 

final approval from OSEP.

On October 29, 2021, ADE submitted the following documents:

- Further revised ECSE Transition Policy and Procedures

- Further revised ADE/ESS Programmatic Monitoring Guide 

Steps

ADE submitted the following documents in response 

to Required Action C:

- Documentation of notification to the field 

regarding changes to programmatic monitoring 

of the Part C to Part B transition process and 

implementation of IDEA Section 619 

requirements

- Documentation of revised monitoring protocols 

and data collection forms

- Information indicating that ADE will begin 

monitoring PEAs based on the revised policies 

and procedures in October 2021

OSEP appreciates ADE’s submissions and efforts to 

ensure it has monitoring procedures that support its 

general supervision requirements under Part B of 

IDEA. 

During a January 28, 2022 discussion between ADE 

and OSEP regarding the status of the Required 

Actions, ADE stated the revised version of the 

ADE/ESS Programmatic Monitoring Guide Steps 

would not be implemented until the SY 2022-23 PEA

monitoring cycle, given when ADE received OSEP 

feedback on the ADE/ESS Programmatic Monitoring 

Guide Steps. However, the revised ECSE Transition 

Policy and Procedures reflect the content of the 

revised Programmatic Monitoring Guide Steps 

consistent with IDEA requirements, and ADE 

indicated it has implemented the revised Transition 

Policy and Procedures effective with the State’s SY 

2021-22 monitoring cycle. Therefore, although ADE 

will use the revised ADE/ESS Programmatic 

Monitoring Guide Steps starting in the SY 2022-23 

PEA monitoring cycle, based on the information and 

documentation submitted by ADE on the whole,

OSEP accepts that the revisions to the ADE/ESS 

Programmatic Monitoring Guide are sufficiently

addressed in the ECSE Transition Policy and 
Enclosure to February 14, 2022 Memo

4 

Procedures for the purposes of ADE’s SY 2021-22 

monitoring cycle for its PEAs. 

However, in order to complete Required Action C, 

ADE must still submit evidence of implementation of 

its revised ECSE Transition Policy and Procedures

by providing, for example, sample monitoring 

findings issued to PEAs on requirements related to 

transition from IDEA Part C early intervention 

programs to IDEA Part B preschool programs and 

requirements related to IDEA Section 619 by May

16, 2022.
Enclosure B: OSEP Analysis of ADE/ESS’s Response to OSEP’s February 14, 2022 DMS Letter

Listed below are the required actions identified in OSEP’s February 2022 DMS letter, the State’s responses to the required actions, and OSEP’s analysis of the State’s responses.

Required Action B

Required Actions from 

OSEP’s Sep. 2020 DMS Letter

State’s Response to Required 

Actions in OSEP’s Sep.2020 DMS 

Letter

OSEP Analysis & Required Actions

in Feb. 2022 DMS Letter

State’s Response to Required 

Actions in OSEP’s Feb. 2022 DMS 

Letter

OSEP Analysis & Required Actions 

(January 2023) 

Required Action B

B. Within 120 days from the

receipt of the September 11, 2020

letter, ADE must provide OSEP

with:

1. The final written policies and

procedures related to

transition from IDEA Part C

early intervention programs

to IDEA Part B preschool

programs, as detailed in

Required Action A.1 above;

2. The final written policies and

procedures related to

implementation of IDEA

Section 619, as detailed in

Required Action A.2 above;

3. Documentation that

demonstrates that the State

is implementing the new

policies and procedures;

4. Evidence that the State has

disseminated the new

policies and procedures to

PEAs in the State, and that

educators who provide

services in IDEA Section 619

programs in Arizona are

trained and aware of their

responsibilities under those

policies and procedures,

consistent with IDEA

requirements.

On December 10, 2020, ADE 

submitted a draft ADE/ESS ECSSE 

Transition Policy and Procedure and a 

written plan that included a timeline 

and the steps it would take to complete 

the required actions. ADE requested 

an extension of the following 

deadlines: (1) an extension from 

12/10/2020 to 3/1/2021 to complete 

Required Actions A.3.a and A.3.b; (2) 

an extension from 1/8/2021 to 

3/1/2021 to complete Required Actions 

B.3 and B.4; and (3) an extension from

4/1/2021 to 6/25/2021 to complete

Required Action C.

On March 1, 2021, ADE submitted the

following documents:

- Revised draft ADE/ESS ECSE

Transition Policy and Procedure

(revised Feb. 2021)

- ADE/ESS Early Childhood

Transition Policy and Procedure

Training Plan (developed Feb.

2021)

- Revised ADE/ESS organizational

charts (revised Feb. 2021)

outlining organizational

responsibility for IDEA activities

With its March 1, 2021, submission, 

ADE also indicated it had completed 

the following activities: 

Required Actions B.1 through B.4: 

ADE submitted the following documents 

in response to Required Actions B.1 

through B.4: 

- Revised policies and procedures

related to transition from the Part C

program to the Part B preschool

program

- Revised policies and procedures

related to implementation of the

requirements of IDEA Section 619

- Documentation demonstrating that

the State is implementing the

revised policies and procedures

- Documentation of notification and

training to the field regarding the

changes being made to the Part C

to Part B transition process and to

the IDEA Section 619 program.

Based on OSEP’s review of the 

documents and information submitted 

by ADE, and discussions with ADE 

staff, OSEP determined that ADE 

completed Required Actions B.1 

through B.3, related to the adoption and 

implementation of policies and 

procedures to reasonably ensure a 

smooth and effective transition to IDEA 

Part B preschool programs for children 

with disabilities who are participating in 

the IDEA Part C early intervention 

programs and found eligible for IDEA 

On May 16, 2022, ADE submitted the 

following documents in response to 

Required Action B.4:

- Early Childhood Special

Education Transition Policies:

Training Plan (May 2022)

- IDEA Early Childhood Special

Education Transition Policies and

Procedures (October 2021)

- Early Childhood Special

Education Transition Policies and

Procedures: Evidence of

Implementation (May 2022)

OSEP reviewed the following 

documentation submitted by ADE in 

response to Required Action B.4: 

- Early Childhood Special

Education Transition Policies:

Training Plan (May 2022)

- IDEA Early Childhood Special

Education Transition Policies and

Procedures (October 2021)

- Early Childhood Special

Education Transition Policies and

Procedures: Evidence of

Implementation (May 2022)

Based on OSEP’s review of this

documentation submitted by ADE, 

OSEP has determined that ADE has 

completed Required Action B.4, related 

to the dissemination of the new policies 

and procedures to PEAs in the State, 

and that educators who provide 

services in IDEA Section 619 programs 

in Arizona are trained and aware of their 

responsibilities under those policies and 

procedures, consistent with IDEA 

requirements. 

Enclosure B
- Finalization of the Transition 

Policy and Procedure 

- Notification to the field, as 

documented in the Early 

Childhood Special Education 

Summit training document (Feb. 

2021) and the Special Education 

Director Check-In (Feb. 2021) 

- Development of a comprehensive 

plan for technical assistance and 

training, in accordance with the 

Transition Policy and Procedure 

Training Plan 

- Training of section 619 educators 

regarding their responsibilities, as 

documented in the Early 

Childhood Special Education 

Summit training document (Feb. 

2021) and the Special Education 

Director Check-In (Feb. 2021) 

In addition, with its March 1, 2021, 

submission, ADE requested further 

extension of the following deadlines: 

(1) an extension from 3/1/2021 to 

4/1/2021 to submit documentation of 

evidence of dissemination of new 

policies and procedures to PEAs, in 

order to complete the public 

participation requirements under IDEA 

based on feedback from OSEP and 

ADE; and (2) an extension from 

4/1/2021 to 6/25/2021 to submit 

documentation of implementation of 

the new policies and procedures. 

On April 15, 2021, and May 4, 2021, 

ADE submitted further revisions to the 

Transition Policy and Procedure 

document. 

Part B services, and to exercise its 

general supervisory and monitoring 

responsibilities regarding IDEA Section 

619 requirements. 

However, OSEP informed ADE that it

had not completed Required Action B.4, 

which required evidence that ADE had 

disseminated the final version of the 

revised policies and procedures to 

PEAs in the State and that educators 

who provide services in IDEA Section 

619 programs in the State are trained 

on their responsibilities under those final 

policies and procedures. OSEP noted 

that while ADE had submitted the ADE 

Exceptional Student Services Early 

Childhood Special Education Policy & 

Procedure Training Plan document

(dated February 28, 2021), this 

documentation provided general 

information regarding completed and 

upcoming training opportunities, but it 

did not specify whether such training 

was aligned to the final version of the 

revised policies and procedures 

document. OSEP required ADE to 

submit documentation of completed 

training aligned to the final ADE ESS 

ECSE Transition Policies and 

Procedures by May 16, 2022. 
On June 16, 2021, ADE submitted the 

following documents and information: 

- ADE/ESS announcement email 

demonstrating that notice of 

programmatic monitoring changes 

to the preschool transition 

process were sent via the ESS 

Special Education Directors email 

list serv, which contains contacts 

for all PEA special education 

directors and preschool 

coordinators 

- ADE/ESS monitoring alert to 

special education directors and 

preschool coordinators, outlining 

changes being made to the 

programmatic monitoring process 

specific to preschool transition, 

resulting from findings of 

noncompliance issued by OSEP.

(May 2021) 

- Documentation showing how the 

revised ECSE Transition Policy 

and Procedures have been 

integrated into the ADE/ESS 

programmatic monitoring system, 

including revisions to: (1) 

ADE/ESS Programmatic 

Monitoring Guide Steps showing 

the compliance review for a 

PEA’s systems for Child Find 

procedures for ages 2.5-5 years; 

(2) ADE/ESS Programmatic 

Monitoring Data Collection Form 

designed to document 

compliance decisions and other 

helpful information at the PEA or 

“Agency Level” and to accompany 

the Child Find Agency-Level 
Guide Steps; (3) ADE/ESS 

Programmatic Monitoring Guide 

Steps showing the compliance 

review for a PEA’s systems of 

Early Childhood Special 

Education Transition at the 

student level; and (4) ADE/ESS 

Programmatic Monitoring Data 

Collection Form designed to 

document compliance decisions 

and other student identification 

information (to support future 

correction of noncompliance at 

the individual level) and to 

accompany the Preschool 

Transition Student-Level Guide 

Steps 

- Information indicating that the 

Guide Steps are posted on the 

ADE/ESS website and were 

made available on May 28, 2021, 

through: (a) an email to special 

educators via the ESS Special 

Education Directors email list 

serv; and (b) a memo notifying 

the field that the Guide Steps 

have been made available for SY 

2021-2022 and highlighting the 

revisions to the early childhood 

special education preschool 

transition process 

- Information indicating that the SY 

2021-2022 PEA monitoring 

schedule will not begin until 

October 2021, and that there may 

not be comprehensive 

documentation with actual student 

data until Spring 2022 

- Information indicating that the 

dissemination of the final ECSE 
Transition Policy and Procedure 

would occur after final approval 

from OSEP. 

On October 29, 2021, ADE submitted 

the following documents: 

- Further revised ECSE Transition 

Policy and Procedures 

- Further revised ADE/ESS 

Programmatic Monitoring Guide 

Steps 

Required Action C

Required Actions from OSEP’s 

Sep. 2020 DMS Letter

State’s Response to Required 

Actions in Sep.2020 DMS Letter

OSEP Analysis & Required Actions 

(Feb. 2022)

State’s Response to Required 

Actions in Feb. 2022 DMS Letter

OSEP Analysis & Required Actions 

(September 2022)

Required Action C

C. By April 1, 2021, the State is 

required to provide evidence 

(e.g., monitoring protocols and 

reports) that it is exercising its 

responsibility to monitor PEAs’ 

implementation of requirements 

related to transition from IDEA 

Part C early intervention 

programs to IDEA Part B 

preschool programs and 

requirements related to IDEA 619, 

including identifying

noncompliance and ensuring 

timely correction of any identified 

noncompliance in accordance 

with the requirements in 34 

C.F.R. § 300.600(e) and OSEP 

Memo 09-02. 

Please see above for State’s response 

to Required Actions. 

ADE submitted the following documents 

in response to Required Action C: 

- Documentation of notification to the 

field regarding changes to 

programmatic monitoring of the Part 

C to Part B transition process and 

implementation of IDEA Section 619 

requirements 

- Documentation of revised monitoring 

protocols and data collection forms 

- Information indicating that ADE will 

begin monitoring PEAs based on the 

revised policies and procedures in 

October 2021 

OSEP appreciates ADE’s submissions 

and efforts to ensure it has monitoring 

procedures that support its general 

supervision requirements under Part B 

of IDEA. 

During a January 28, 2022 discussion 

between ADE and OSEP regarding the 

status of the Required Actions, ADE 

stated the revised version of the 

On May 16, 2022, ADE submitted the 

following documents in response to 

Required Action C: 

- Early Childhood Special 

Education Transition Policies 

and Procedures: Evidence of 

Implementation Summary

- Early Childhood Special 

Education Policies and 

Procedures: Evidence of 

Implementation Documentation

OSEP reviewed the following 

documentation submitted by ADE in 

response to Required Action C

- Early Childhood Special 

Education Transition Policies and 

Procedures: Evidence of 

Implementation Summary (May 

2022)

- Early Childhood Special 

Education Policies and 

Procedures: Evidence of 

Implementation Documentation 

(May 2022)

- Summary of Current System for 

Ensuring Attendance at Transition 

Conferences (September 2022)

- Database Development based on 

Arizona Part C/B Data Sharing 

Agreement (September 2022)

Based on OSEP’s review of the 

documentation submitted by ADE 

OSEP has determined that ADE has 

completed Required Action C. 

Specifically, ADE has submitted 
ADE/ESS Programmatic Monitoring 

Guide Steps would not be implemented 

until the SY 2022-23 PEA monitoring 

cycle, given when ADE received OSEP 

feedback on the ADE/ESS 

Programmatic Monitoring Guide Steps. 

However, the revised ECSE Transition 

Policy and Procedures reflect the 

content of the revised Programmatic 

Monitoring Guide Steps consistent with 

IDEA requirements, and ADE indicated 

it has implemented the revised 

Transition Policy and Procedures 

effective with the State’s SY 2021-22 

monitoring cycle. Therefore, although 

ADE will use the revised ADE/ESS 

Programmatic Monitoring Guide Steps 

starting in the SY 2022-23 PEA 

monitoring cycle, based on the 

information and documentation 

submitted by ADE on the whole, OSEP 

accepts that the revisions to the 

ADE/ESS Programmatic Monitoring 

Guide are sufficiently addressed in the 

ECSE Transition Policy and 

Procedures for the purposes of ADE’s 

SY 2021-22 monitoring cycle for its 

PEAs. 

However, in order to complete Required 

Action C, ADE must still submit 

evidence of implementation of its 

revised ECSE Transition Policy and 

Procedures by providing, for example, 

sample monitoring findings issued to 

PEAs on requirements related to 

transition from IDEA Part C early 

intervention programs to IDEA Part B 

preschool programs and requirements 

evidence of implementation of its 

revised ECSE Transition Policy and 

Procedures as it provided sample 

monitoring reports issued to PEAs as 

well as school and individual level 

documentation which include 

requirements related to transition from 

IDEA Part C early intervention programs 

to IDEA Part B preschool programs. 
related to IDEA Section 619 by May 16, 

2022.