DMS 2.0: General Supervision: Integrated Monitoring, Sustaining Compliance and Improvement, Data and SPP/APR
The reporting and use of high-quality data is integral to effective monitoring and making conclusion about compliance and needed improvement. This includes the collection and analyses of data related to the SPP/APR indicators under Section 616 of IDEA and the required data reported under Section 618 of the IDEA.
General Supervision Protocols
States are required to have a general supervision system that monitors implementation of IDEA by early intervention programs (whether or not they receive Part C funds), and local education agencies statewide. [IDEA 2004, Section 616(a)(2)]. The primary focus of state monitoring activities is on improving educational results and functional outcomes for all children with disabilities; and ensuring that states meet the program requirements of IDEA, with a particular emphasis on those requirements that are most closely related to improving educational results for children with disabilities.
OSEP has developed joint Parts C and B general supervision protocols to guide OSEP's Phase 1 inquiry and state engagement. Each of the protocols are organized by an overarching topical question and focus area related to the monitoring component, general information about what States need to answer the question, follow-up questions to more closely examine general information provided by the State, and possible areas for additional focus or support that could result in areas of identified concern or noncompliance.
- Integrated Monitoring Protocol
- Sustaining Compliance and Improvement Protocol
- Data and SPP/APR Protocol
General Supervision Protocol Worksheets
States have requested companion tools to OSEP's protocols for their use in preparing for DMS 2.0 activities. Technical Assistance Centers have adapted the protocols for use by states in planning for and tracking policies and procedures in each general supervision area. These reformatted protocols include a customizable chart for each overarching question where States can track documents and resources, responsible staff, and planned actions to prepare for Phase 1 monitoring activities. States can customize the table rows and columns as needed to meet their specific needs. Technical Assistance Centers will update these tools as needed.
- Integrated Monitoring Worksheet
- Sustaining Compliance and Improvement Worksheet
- Data and SPP/APR Worksheet
General Supervision TA Resources
A State Guide on Identifying, Correcting, and Reporting Noncompliance in Accordance with IDEA Requirements
This document, and its companion document A State Guide on Identifying, Correcting, and Reporting Noncompliance with IDEA Requirements outline the steps related to monitoring and ensuring compliance with IDEA requirements covers:
- Identifying noncompliance;
- Making findings of noncompliance;
- Correcting noncompliance;
- Verifying correction of noncompliance; and
- Reporting on compliance, correction and verification of noncompliance.
States can use these resources to assess and improve processes for identifying, correcting, and reporting noncompliance.
This guide outlines a six-step inquiry process for a state accountability and monitoring system to focus on results while ensuring compliance. Each step includes activities and tips for avoiding pitfalls. States can use this resource to assess their state monitoring processes and sustain progress and improvement.
Local Contributing Factor Tools
The Local Contributing Factor Tools include questions to identify factors that contribute to performance issues/noncompliance and to assist in developing strategies for improvement and/or correction.
- Local Contributing Factor Tool for SPP/APR Compliance Indicators C-1, C-7, C-8, C-9/B-15, B-11 and B-12
- Local Contributing Factor Tool for SPP/APR Results Indicators C-2, C-4, C-5, C-6
This guide is for conducting data analyses to identify the extent/level of issue/noncompliance to determine: 1) Required actions to ensure correction of noncompliance/improvement, and 2) Data needed to verify resolution/correction. States can use this resource to improve analysis of monitoring data in deciding required actions and data needed for verification of correction of noncompliance.
The purpose of this document is to help state staff:
- answer critical questions about their Part C and Part B, Section 619 programs with their data systems;
- take stock of where their data systems are relative to being able to provide the data to answer these important questions; and
- begin to plan for how-to improve the power of their data system.
This tool kits includes resources for staff and stakeholders in engaging in conversations about how states collect, analyze, and use data to improve results for children and families to provide a deeper understanding of the data. States can use this toolkit to support data informed decisions related to the DSM protocols.
The DaSy Data Culture Toolkit contains information, guidance, and templates to help Part C and Part B, Section 619 program staff build effective data teams and support conditions for a culture of data use at state and local levels.
The Part C Data Processes Toolkit contains customizable data collection protocols to document data processes for the State Lead Agency. Using this toolkit to create protocols for all data collections will establish a well-managed process for data collection, analysis, and reporting.
This guide provides general and indicator-specific guidance, considerations, and resources to assist state systems in working with stakeholders to set targets for the SPP/APR indicators and the State Systemic Improvement Plan (SSIP) State-Identified Measurable Result (SIMR).
This blog on setting targets for the SPP/APR indicators includes information on planning a timeline for preparing and analyzing data and engaging with stakeholders to set targets for each SPP/APR indicator. It also highlights key information in the steps for setting targets.
SPP/APR 101: What You Need to Know
Outline or Checklist on General Supervision and Monitoring Procedures