Step 1 – Gather and Inquire

There are fifteen activities in Step 1 of the Compliance and Improvement Monitoring process, eleven of the activities are relevant for Local Educational Agencies (LEAs) that have been identified as Significantly Disproportionate (Sig Dis). The activities listed below are aligned with the to the activities listed in the Stepwell Instructions.

Please refer to the following materials (all open in a separate tab):

  • Stepwell Instructions – know what will be submitted to the California Department of Education (CDE) through the Stepwell platform.
  • Stepwell Template – use this to prepare your content for submission into the Stepwell platform. Save it to document the information submitted to CDE for Steps 1, 2, and 3.
  • Guidance Document (Step 1 only) – learn about expectations for each of the required activities.
  • Pacing Guide – develop a timeline to ensure that your LEA is able to accomplish the activities prior to the Step 1 due date (July 10, 2024).

CIM Team and Educational Partner Worksheet

LEAs can use this worksheet to guide them in identifying the key members of the CIM for CCEIS Team and the Educational Partners Group.

Assemble an Appropriate Team

Guidance from the IDEA Data Center to ensure LEAs select appropriate team members to address significant disproportionality.

Sample Invitation for Inviting Equity Team Members

The IDEA Data Center provided this sample invitation to help LEAs approach Educational Partners in an informative and respectful way. The Spanish version was translated by Dr. Paul Luelmo, SPP-TAP TA Facilitator.

Federal Regulations that inform the Policies, Practices, and Procedures Review for Significant Disproportionality

Requirements under IDEA, Part B, Subsection F, Sec. 300.646 (c)
(1) Provide for the annual review and, if appropriate, revision of the policies, practices, and procedures used in identification or placement in particular education settings, including disciplinary removals, to ensure that the policies, practices, and procedures comply with the requirements of the Act.

(2) Require the LEA to publicly report on the revision of policies, practices, and procedures described under paragraph (c)(1) of this section consistent with the requirements of the Family Educational Rights and Privacy Act, its implementing regulations in 34 C.F.R. part 99, and Section 618(b)(1) of the Act.

Under IDEA, Part B, Subsection F, Sec. 300.646 (d) (1) (iii), LEAs… Must address a policy, practice, or procedure it identifies as contributing to the significant disproportionality, including a policy, practice or procedure that results from a failure to identify, or the inappropriate identification of, a racial or ethnic group (or groups).

Policies, Practices, and Procedures Review Matrix (video – 23 minutes)

In this video, Dr. Mildred Browne, walks through the sample Matrix (below) and Trena Spurlock illustrates using empathy interviews to discover how the policies and procedures are being implemented.

Policies, Practices, and Procedures Review Matrix (Blank)

This tool provides a structured process for reviewing an LEA’s policies and procedures that are relevant to disproportionality. LEA’s may want to pair this review process with empathy interview to learn how the policies and procedures are translated into practice.

Policies, Practices, and Procedures Review Matrix (Sample)

This sample illustrates how a review form may look once it has been filled out.

CAPE Parent Focus Group Tool Protocol (English)

CAPE Parent Focus Group Tool Protocol (Spanish)

CAPE Tool User Guide

The California Protocol for Addressing Significant Disproportionality in Special Education (CAPE) and User Guide was developed and validated by Dr. Paul Luelmo, SPP-TAP TA Facilitator. The tool provides a structure for conducting focus groups with parents or caregivers of students who have IEPs to learn of their students’ journeys into Special Education. Findings can be used, along with other data sources, to determine root causes of an LEA’s disproportionality. The protocol is also available in Spanish.

Seeds of Partnership Parent Input Survey

This parent input survey is specifically designed for parents of special education students. If LEAs choose to use this survey, they will also need to use additional tools for gathering parent input around issues of significant disproportionality.

The Infrastructure Analysis tool is available both online and in PDF format. Below you will find links to both versions, along with the guide for the infrastructure analysis process.

Infrastructure Analysis Tool (Online)

Infrastructure Analysis Tool (PDF)

Guidance for Completing the Infrastructure Analysis

All links and documents open in a different tab.

Sample Data Sources

LEAs may use this comprehensive but not exhaustive list of data sources to inform their data-gathering for development of root causes.

Sample Root Cause Analysis Data Sources

List of Primary and Secondary Self-Assessment Tools

Brief descriptions of the tools are provided to assist LEAs in tool selection. See following two columns for the tools described.

List of Primary and Secondary Self-Assessment Tools

CDE-Required Programmatic Self-Assessment Tools

All significantly disproportionate LEAs in California must use at least one of the following tools as part of their data gathering for development of a CIM for Sig Dis plan. It is recommended that you view the CIM for CCEIS Programmatic Self-Assessment Tools video (27 minutes) to assist you in selecting the tool you will use. LEAs may want to access additional learning resources for the CDE-Required Self-Assessment Tools.

Annotated Checklist for Addressing Racial Disproportionality in Special Education

Also known as “The Wisconsin” this is a questionnaire-based tool designed to help LEAs identify contributing factors of their disproportionality.

Racial/Ethnic Disproportionality in Special Education

Also known as “The New York” or the “NYU Data Analysis Workbook”, this is a statistical tool designed to help LEAs identify contributing factors of their disproportionality.

Success Gaps Rubric

This is a survey-based programmatic self-assessment tool developed under the auspices of the Office of Special Education Programs to address issues of disproportionality. It is designed to help LEAs identify contributing factors of their disproportionality.

Additional resources for using the Success Gaps Rubric can be found at the IDEA Data Center.

Secondary Self-Assessment Tools

Racial Equity & Impact

Root Cause Analysis

Capacity for Change

English Learners

Access to Least Restrictive Environments

Improvement Data Center – California System Improvement Leads (SIL)

File Review Process for 2023 CIM for CCEIS Case Studies

Originally recorded in 2020, this webinar recording has been trimmed from the original 90-minute format to a 50-minute abbreviated version. California Local Education Agencies (LEAs) identified as Significantly Disproportionate in 2023 are required to complete a Case Study for their CIM for CCEIS Action Plan. This recording and the accompanying handout are resources the LEAs may use to facilitate the Case Study development. In this recording Dr. Mary Bacon, State Performance Plan Technical Assistance Project (SPP-TAP) TA Facilitator discusses the importance and utility of the file review process and provides step-by-step instructions for completing File Reviews. 

Case Study Instructions

This document provide guidance from the CDE for the completion of the Case Study.

Case Study Questions

Significantly Disproportionate LEAs may want to select questions from this document to structure their file reviews for the Case Study.

Consolidation Video

This five-minute video was prepared by the System Improvement Leads (SIL) to support LEAs in consolidating the data gathered in Step 1. Significantly disproportionate LEAs can identify preliminary findings and themes through this process. Additional, more in-depth data analysis and identification of root causes of significant disproportionality will occur in Step 2.

Contact SPP-TAP

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CDE Information

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Equity in IDEA

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Funding Information

California Department of Education, Special Education Division's special project, State Performance Plan Technical Assistance Project (SPP-TAP) is funded through a contract with the Napa County Office of Education. SPP-TAP is funded from federal funds, (State Grants #H027A080116) provided from the U.S. Department of Education Part B of the Individuals with Disabilities Education Act (IDEA). Opinions expressed herein are those of the authors and do not necessarily represent the position of the U.S. Department of Education.