SAU General Supervision and Monitoring

The Maine State Department of Education has developed monitoring and data collection processes to meet the general supervision requirements outlined in the Individuals with Disabilities Act (IDEA) of 2004. These processes are compliant with the IDEA State Performance Plan Indicators and focus on growth in Federally mandated performance areas. Through a combination of Professional Development, data collection and monitoring we aide school districts in compliance with the regulations and improving the outcomes for students with disabilities.

Contact:  Classroom

Office of Special Services
Julie Pelletier
207) 624-6713
23 State House Station
Augusta, ME 04333-0023


Monitoring Process
  • Desk Audit Submission: Documents are submitted to the Maine DOE for evaluation.  The department will determine if a site visit is necessary.

  • Self Assessment: Districts complete Electronic Monitoring Tool (EMT) based on child count and  submit to the department for verification. 

  • Site Visit: After verification of submitted information, the department will notify SAU if a site visit is required and a provide the date the monitoring team will visit.

  • Next Steps: 1. Post Visit Letter (if applicable) 2. Pre-findings (if applicable) 3. Summary of Findings 4. Corrective Action Plan

  • Federal Regulations dictate a one-year timeline for completion of a Corrective Action Plan.

Federal Requirements
  • B-4: Suspension/Expulsion
  • B-5: LRE Placement
  • B-8: Parent Survey
  • B-11: Child Find
  • B-13: Secondary Transition


Monitoring Timeline

Monitoring Printable Timeline

Letter of Notification and Instruction

Sent by July 16, 2021

Policies and Procedures:

  • Accuracy Document
  • IEP Fund Authorization Letters
  • Child Find
  • Restraint/Seclusion
  • Referral


Due by December 1, 2021


  • 1 Speech/Language Eligibility Forms w/ WNs
  • 3 Learning Disability Evaluation Forms w/WNs
  • 3 Adverse Effect Forms w/WNs
  • 3 Summary of Performance Forms
  • List of any students in Abbreviated Day



Due December 1, 2021

Child Find (B11):

  • 10 Initial Referrals including: Parental Consent to Evaluate, WN or AWN documenting Procedural Safeguards, 1st page of each completed evaluation with date when received, 20-21 & 21-22 school calendars outlining school days and any snow days



Due by December 1, 2021

Transition Plans (B13):

  • 2 screener submissions - (Section 9 ONLY of the IEP)



Due by December 1, 2021

Final Transition Plans (B13):

  • # based on Child Count 

Final B13 plans will be reviewed during on-site visit.


  • Completed EMT 


Due by December 1, 2021

Pre-Findings (if any):

  • Non-systemic compliance findings

Due by 30 days from on-site visit

Summary of Performance:

  • Summary of all % of compliance for desk audit and on-site visit

Sent upon completion of Desk Audit, Pre-Findings (if any), and Final B-13 submissions

Corrective Action Plan

Sent after completion and submission of pre-findings.

Corrective Action Plan

Due one year from Summary of Findings


SAU Resources

Accuracy Document

EMT: Electronic Monitoring Tool

EMT Word Version

Monitoring Cohort Projection List

Procedural Manual

Special Education Director Directory

Regional Program Resources

Regional Program Approval Grid

Regional Program Contact List