System Framework, Second Edition: Self-Assessment

User Guide for ECTA/DaSy System Framework Self-Assessment (version 2026)

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Purpose

The System Framework Self-Assessment is an Excel workbook and a companion to the ECTA System Framework and the DaSy Data System Framework. It was developed for state IDEA Part C early intervention (EI) and Part B, Section 619 early childhood special education (ECSE) programs to evaluate and improve their systems. Developed by ECTA and DaSy, the Self-Assessment is an Excel-based tool that provides a structure for states to discuss and record the current status of their state system, using quantitative and qualitative data to identify strengths, and set priorities for improvement.

• Download Excel Workbook
• Download Excel Workbook (with Sample Data)

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Before You Start

We recommend the state assemble one or more teams to complete the Self-Assessment. Team members could include state agency staff along with local program staff, families, and other partners. States may opt to complete one or more components of the Self-Assessment at a time or over an extended period of time. Different teams may be appropriate for different components, based on experience and areas of expertise. Because the Data System component is more extensive, states may opt to complete one or more subcomponents. For all other components, we recommend that the entire component be completed as part of a Self-Assessment process.

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The Process

We encourage states to use the Self-Assessment as part of an ongoing improvement planning process to assess the current status of their system, develop a plan for improvement, implement the plan, and reassess the system to monitor progress. When used as part of an ongoing process, reassessment allows a state to monitor and document progress toward building and maintaining a high-quality system.

We recommend following these steps:

1. Select the component(s) (or for the Data System, subcomponent[s]) of the Self-Assessment to complete.
2. Identify the appropriate team members for the Self-Assessment process for these components and subcomponents.
3. Gather the team and complete the Self-Assessment.
4. Review the Self-Assessment results and determine priorities for improvement planning.
5. Develop a plan for improvement.
6. Implement the plan for improvement.
7. Repeat the Self-Assessment regularly to monitor progress, identify new priorities, and update your improvement plan.

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Completing the Self-Assessment

Each framework component contains multiple subcomponents with Quality Indicators. Each Quality Indicator has multiple Elements of Quality. When completing the Self-Assessment, the team reviews and discusses each element, assigning it a consensus rating of 1 to 4 and recording brief notes (the “evidence”) describing the basis of the rating.

The team should read each element and discuss whether the element is in place and, if so, whether it is partially or fully implemented.

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Elements of Quality Rating Scale

Elements of Quality Rating Scale

Rating	Description
1	No — element not in place and not planning to work on it at this time
2	No — element not in place but planning to work on it or getting started
3	Yes — element partially implemented*
4	Yes — element fully implemented**

• * "3" — The element is partially implemented. An element can be partially implemented in a variety of ways. It might be that some aspects of the element are implemented, and others are not. It might be that the element is implemented in some areas of the system but not others.
• ** "4" — The element is fully implemented, meaning the element is in place and of high quality.

After discussing an element, the team chooses the rating that best describes the current status, records the rating, and documents the basis for the rating. Documenting the basis for the rating decision is important for improvement planning so there is a record of what the team considered in reaching their decision. For example, if the element was rated as partially implemented, what aspect of the element was identified as not yet in place or of high quality?

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Quality Indicator Rating Scale

Unlike the Elements of Quality rating, the Quality Indicator rating is not selected by the team. The Self-Assessment tool automatically calculates the Quality Indicator ratings from the element ratings. The Quality Indicators receive a rating ranging from 1 to 7.

Quality Indicator Rating Scale

Rating	Description
1	None of the elements are yet planned or in place.
2	Most of the elements are not yet planned or in place.
3	Some elements are in place; a few may be fully implemented.
4	At least half of the elements are in place; a few may be fully implemented.
5	At least half of the elements are in place; some are fully implemented.
6	At least half of the elements are fully implemented; the rest are partially implemented.
7	All elements are fully implemented.

Note: In place means an element is fully or partially implemented.

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Results

The Self-Assessment creates a profile that includes a summary of the numerical ratings and a representation of the results. The bars are color coded to show the relative strengths and weaknesses across the Quality Indicators in each of the completed components or subcomponents.

The results of the Self-Assessment help a state identify the relative strengths and weaknesses of its system, but it is up to the state to determine where to focus improvement efforts based on its priorities and resources. After reviewing the overall results for the Quality Indicators, priority areas for improvement should be determined. To set priorities, the state or the team can go back to the worksheet for each of the components/subcomponents completed and assign priority ratings of low, medium, or high to each of the Elements of Quality, the Quality Indicators, or both. The priorities assigned in the Component worksheet are summarized on the QI Summary worksheet. An improvement plan can be developed based on the profile and the priorities assigned by the stakeholders.

The results help states identify strengths and areas for improvement. State teams use the results, along with their priorities and available resources, to determine where to focus improvement efforts and develop an improvement plan.

Once complete, the Self-Assessment produces:

• A summary of ratings.
• A color-coded representation, showing relative strengths and areas for improvement across the Quality Indicators in each completed component or subcomponent.
• A feature for assigning priority ratings (low, medium, or high) to each Element of Quality, each Quality Indicator, or both, is available and summarized on the Summary worksheet.

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Excel Worksheets

There are three types of worksheets in the System Framework Self-Assessment: informational, data entry, and auto-generated rating results of each quality indicator across components. Below is a description of the content for each worksheet, along with instructions for those that require data entry.

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Informational Worksheets

Information

General background information about the System Framework.

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Instructions

Detailed instructions for working in the Self-Assessment and saving and printing results.

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Table of Contents

List of all components and data subcomponents and number of quality indicators in each, links to each element rating worksheet, and worksheet tabs at the bottom for alternate navigation.

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Codes and Abbreviations

Reference information about the rating scales for Elements, Quality Indicators, and Priorities; and a list of all abbreviations used for components and subcomponents.

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Data Entry Worksheets

Participants

Document the participants involved in the Self-Assessment

1. Enter the name and role of each person who participated in the Self-Assessment. Enter or select an “X” in the cell for the components in which they participated.
2. Enter date the Self-Assessment was completed in Row 11.
3. Be sure to use drop down list in Cell C8 to indicate whether your program is Early Intervention (EI) or Early Childhood Special Education (ECSE). This information is needed if you complete Data Elements (SD).

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Element Rating Worksheets

GV, FN, PN, AC, QS, PV, DG, SD, DU, and SU

Capture the ratings for the Elements of Quality (EQ) for each component/subcomponent. Within a worksheet, the elements are organized by Quality Indicator (QI).

1. Element rating: Enter a 1 to 4 rating for each element or select the number from the dropdown list.
   • Values for the 1 to 4 scale are presented at the top directly above the rating column and further explained in the Self-Assessment User Guidance.
   • QI rating is calculated automatically and displayed in the light blue cell of the respective row once all element ratings for that QI are entered.
2. Evidence: Document evidence for rating given to the element in the light yellow text box immediately below each element.
3. Priority (optional): Enter an H (High), M (Medium) or L (Low) or use the dropdown list to indicate the priority of each Element and QI.
   • We recommend rating all elements the team is planning to rate and then assigning priorities to allow the team to get an overall view of strengths and weaknesses.

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Data Elements (SD)

Content applies to the Data System (DaSy) Design and Development subcomponent SD QI 3.a, listing all data elements recommended for EI or ECSE data system.

1. Select "Yes" or "No" to indicate whether your state data system contains each data element.
   • Table automatically displays number and percentage of data elements overall and by data type (child-level, service provider/teacher-level, and EIS program/LEA-level).
   • Four data elements were deemed necessary only for EI programs. These data elements are excluded from calculation if ECSE program type is selected on Participants worksheet.

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Auto-generated Summary of QI Ratings Worksheet Content

QI Summary

Auto-generated summary of the QI ratings for each of the Quality Indicators for which all elements were rated. Data cannot be entered or edited on this worksheet.

• Ratings are displayed in column C.
• Priority (if entered) is displayed in column D.
• Red, yellow, and blue horizontal bars depict QI ratings in columns E through K.
• Total number of elements in the QI is in column L.
• Number of elements in each QI with ratings of 1-4 are in columns M through Q.
• Number of elements assigned to each priority are in columns R through T. Elements not assigned a priority are not included.

Some users may find some limitations with accessibility. If you need assistance with the use of this tool, please contact your ECTA or DaSy TA Liaison.

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Saving the Self-Assessment

The Self-Assessment is an Excel workbook and needs to be saved just like any other workbook. We recommend saving the file with the date it was completed in the file name, such as Self-Assessment_06-23-26.

If you complete more components at a later date, save that file with a new file name and date, such as Self-Assessment_7-08-26.

Save the file often while you are working in it.

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Printing the Results of the Self-Assessment

Each worksheet in the Self-Assessment has an existing default print area set up. Use the Print Area option in Excel's Page Layout to redefine or resize the print area.

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in collaboration with:

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