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Improving Systems, Practices, and Outcomes

Preparing for DMS 2.0

Updated July 25, 2024, 2:22 PM

Preparation is the foundation to a successful Differentiated Monitoring and Support (DMS) 2.0 OSEP process. The following eight steps can help you organize information, prepare personnel, and assess and improve your overall state system (as outlined in A System Framework for Building High-Quality Early Intervention and Preschool Special Education Programs). Consider state capacity and current priorities when determining preparation activities and allow enough time for success.

OSEP's DMS process addresses four topics or systems: Monitoring, Dispute Resolution, Data, and Fiscal Management.

The Why

Getting organized is the first and critically important step in preparing for DMS. Having the right people, organizational structures, plans for communicating and coordinating activities in place help ensure activities needed to prepare for DMS can be completed.

To Do

  1. Review OSEP resources and guidance, including:
    1. Overview of the Differentiated Monitoring and Support (DMS) System
    2. DMS 2.0 Framework with Evidence and Intended Outcomes
    3. DMS 2.0 Resources for Grantees (especially the protocol documents)
  2. Create an overall state team for all DMS work.
    1. Identify an individual to function as a project manager to oversee the entire preparation process to ensure all steps are coordinated, completed and documented.
    2. Meet regularly as a full team to ensure consistency across all planning activities and communication is occurring as needed.
  3. Form workgroups for monitoring, data, dispute resolution, and fiscal management topics.
    1. Include staff with content knowledge and those with responsibilities related to the topic in each workgroup.
    2. Invite individuals from other state offices and contractors to topical workgroups as appropriate.
    3. Discuss specific topics of work with the overall planning team, as needed.
  4. Develop a long-term plan for all DMS activities.
    1. Include a calendar of planning and debrief meetings, activities, timelines, and responsible staff.
    2. Schedule team meetings to debrief after calls with OSEP to share what was heard and learned, identify points that need to be clarified with OSEP, and review plans for future OSEP calls and next steps.
    3. Communicate with teams to discuss necessary changes to activities and timelines.
    4. Include planning steps and timelines for each of the four DMS topics and the overall coordination of the activities.
    5. Outline steps to monitor ongoing progress.
  5. Develop and implement a communication plan to keep relevant parties informed.
    1. Identify who should be kept informed including state agency leadership, state Interagency Coordinating Council (ICC) members, local programs and providers, Parent Training and Information Center (PTI) staff, Disability Rights organization staff, parents, and other interested parties.
    2. Identify the information to be shared with whom and when.
      1. Develop a general announcement when your state is assigned to a DMS cohort and post in relevant internal and external publications or websites. Include timelines for when activities will take place.
      2. Share information about the DMS process including OSEP's activities and timelines when notified of your state's OSEP DMS visit dates. Do this especially with the ICC, local programs and providers, PTI, and Disability Rights office since they will be involved in some OSEP DMS activities.
      3. Provide updates on state's activities, timelines and plans throughout the DMS process.
    3. Use a variety of formats to communicate such as summaries, slide decks, infographics, and short videos.
  6. Document all planned and completed activities throughout the DMS process.
    1. Keep written documentation of completed activities, including information and documents shared with OSEP, in an accessible location.
    2. Maintain a record of all communications with OSEP, including questions asked and answered.
    3. Organize and record the list of documents using the DMS 2.0 Document Review and Request Template to prepare for the submission to OSEP of all requested documents.
    4. Record which documents align with the questions/items on each DMS Protocol as outlined in Step 5.
    5. Document the gaps identified during the gap analysis for each of the four DMS topics and how gaps will be addressed as outlined in Step 5 and Step 6.
    6. Keep all documentation in a central location.
  7. Develop a glossary of terms.
    1. Define or clarify terms your state uses that relate to Part C implementation related to the four DMS topics for clarity within your state system.
    2. Incorporate these definitions in written internal and external policies and procedures.
    3. Share these definitions broadly within the state and with OSEP.
    4. Use these terms consistently within the state and in conversations with OSEP.

The Why

An overview of your state's structure gives OSEP context on what partnerships are in place to ensure your state has an equitable, effective, and comprehensive statewide service delivery system designed to meet needs and improve outcomes for young children and families. It also provides information on your Lead Agency's single line of responsibility, including the authority to provide oversight and enforce implementation of requirements under Part C of the Individuals with Disabilities Education Act (IDEA), Uniform Guidance, General Education Provisions Act (GEPA), and your state's Part C grant application.

To Do

Include the following in your state structure overview:

  1. Name of state department that is the lead agency (LA)
  2. Lead agency organization chart that includes where the following are located:
    1. Division or office within the lead agency where Part C is housed
    2. Part C office, including staff or contracts responsible for program monitoring, data collection, training, and TA
    3. Fiscal staff assigned to Part C
    4. Billing staff
    5. Staff who issue and manage Part C contracts
    6. Staff who manage dispute resolution (if separate from the Part C office)
    7. Internal audit staff
  3. Numbers of Early Intervention (EI) programs, providers, and other state agencies that provide Early Intervention Services (EIS).
  4. Overall structure of your EI programs (regional programs, counties, non- or for-profit entities, other state agencies) and providers, and their responsibilities for service provision.

Tips

  • Develop an overview of your state's structure that is high level enough to be shared in 10 minutes or less.
  • Include visual depictions, for example, organization charts or graphics.

  • Example 1: The state contracts with 25 EI programs/agencies statewide. They are responsible for providing all services from referral through transition for eligible children in the state's assigned catchment area. They hire staff or contractors to provide the services. The programs bill private and public insurance.

  • Example 2: The state contracts with 5 regional programs called Single Points of Entry (SPOEs). The SPOEs are responsible for completing intake, initial evaluation/assessment, and initial IFSP development for children referred to Part C within their respective regions. The SPOEs provide initial and ongoing service coordination. The state also contracts with 150 individual or agency service providers across the state to provide services once the initial Individualized Family Service Plan (IFSP) is developed. These providers are aligned with one or more SPOEs and parents can choose which providers they want to access. The state lead agency has a statewide central reimbursement system. The reimbursement system pays providers/practitioners on a fee-for-service basis and bills private and public insurance for services.

  • Example 3: The state lead agency employs regionally based staff. They provide services to children in their region from referral through transition. The regional offices also contract with private EI service providers/agencies as supplemental vendors as necessary. The state pays the contractors for services provided and, like services provided by state staff, the state bills public and private insurance.

State Examples

The Why

An overview of your state's monitoring, dispute resolution, data, and fiscal management systems grounds your state team members and OSEP staff in how each system is being implemented.

To Do

Include this information in your monitoring system overview:

  1. the programs you monitor for Annual Performance Report (APR) indicators and other Part C IDEA requirements for compliance and results (including EIS programs, EIS providers, and other state agencies that provide direct services and carry out Part C activities);
  2. the methods used to collect data on your APR compliance indicators;
  3. other Part C IDEA requirements, including those related to compliance and results, that you monitor and methods and frequency of data collection for each;
  4. use of the monitoring data you collect and analyze, for example:
    1. pre-finding correction, including timelines and criteria (if applicable);
    2. timelines for issuing a written notification of findings of noncompliance following discovery;
    3. actions and related timelines you require when a finding is issued such as corrective action plan, TA, root cause analysis, immediate correction;
    4. process used to verify and document correction of noncompliance; or
    5. actions you require to help improve results such as an improvement plan;
  5. strategies used to sustain correction and improvement; and
  6. how the components of your general supervision system interact with each other and inform your accountability and improvement processes.

Include this information in your dispute resolution system overview:

  1. the process used to track and resolve informal issues and how you use these data to inform your general supervision system;
  2. how you ensure parents are aware of and can readily access formal dispute resolution options. Resolution of informal issues cannot deny or delay parents' access to formal dispute resolution options;
  3. how your system maintains and implements a responsive mediation process, including:
    1. how you ensure the availability of qualified mediators (such as contracts or other written agreements);
    2. the process used to select mediators on a random, rotational, or other impartial basis;
    3. the frequency of mediator trainings on Part C regulations; and
    4. internal procedures used to carry out the mediation process within required timelines;
  4. how your system maintains and implements an administrative state complaint process, including:
    1. internal procedures used to investigate and resolve complaints within the 60-day timeline;
    2. the extent to which other state partner agency/entity or contractors assist with the compliant process; and
    3. the process for issuing and verifying correction of findings from a complaint;
  5. how you maintain and implement an impartial due process system, including:
    1. wehther or not you use Part C or Part B Due Process Hearing Procedures;
    2. how you ensure the availability of qualified and impartial hearing officers;
    3. the frequency of due process trainings for hearing officers; and
    4. the internal procedures used to carry out due process hearings within required timelines;
  6. methods used to inform parents, providers, and other key partners about dispute resolution options. Include partners from your statewide Parent Training Information (PTI) Center, State Disability Rights Center, and Community Parent Resource Center (CPRC);
  7. how you ensure conclusions from the dispute resolution processes are implemented; and
  8. how your dispute resolution system informs your general supervision and monitoring system.

Include this information in your data system overview:

  1. system and processes in place to collect valid and reliable data, including:
    1. a list of positions with decision-making authority and accountability;
    2. business rules for 618 and SPP/APR data collection reporting;
    3. data quality, validation, and security processes;
    4. communication mechanisms used to disseminate information;
    5. documentation for data collection requirements, business rules, and data validation and quality processes;
    6. how you ensure local programs are consistently implementing policies and procedures; and
    7. if and how your multiple data systems collect IDEA data, function and connect;
  2. system for reporting timely and accurate data, including:
    1. how you ensure data reporting is timely and accurate;
    2. a list of positions responsible for and involved in reporting data and ensuring that data reporting issues are addressed;
    3. documents that outline each of the reporting requirements, and how you communicate data reporting requirements to personnel (if available);
    4. training provided to staff on data reporting requirements; and
    5. the supports available to staff to help them understand data reporting requirements.

Include this information in your fiscal management system overview:

  1. fiscal structure and the offices you interact with (for example, accounting, billing, procurement);
  2. funding sources accessed and the estimated revenue amounts, including:
    1. Part C federal grant award;
    2. state appropriation; and
    3. the top three other funds sources (for example, Medicaid, private insurance);
  3. funding sources included in your System of Payments policies such as public insurance (Medicaid, TRICARE), private insurance, or family fees;
  4. methods used to identify financial responsibility of EI programs and other state agencies to implement Part C. The methods can include subgrants, contracts, interagency agreements, or MOUs;
  5. how federal Part C funds are used, including whether or not they pay for direct services;
  6. mechanisms used to move funds from the lead agency to local EI programs or providers (allocation, fee for service, central billing, tiered rates, combination) and the extent to which federal funds are included in those distributions;
  7. entities that receive federal Part C funds;
  8. how you ensure that appropriate fiscal staff at all levels understand IDEA fiscal requirements and Uniform Guidance;
  9. methods of monitoring the use of federal funds, such as desk review, onsite visit, budget review, and the frequency of the monitoring;
  10. how fiscal monitoring is different based on the types of entities;
  11. a visual depiction of your funding hierarchy or a chart of revenue and expenses for the past year (if available); and
  12. a sample expenditure reports of revenue and expenses of local EI programs or providers for the past year (if applicable).

Tips

  • Develop system overviews that are high level enough to be shared with OSEP in less than 10 minutes.
  • Share visuals such as graphs, tables, or charts with OSEP.
  • Use the content in your overviews to prepare detailed notes about how these systems are designed and function to help complete your gap analysis in Step 5, and to help you effectively respond to OSEP's questions during the DMS process.
  • Modify the overviews as improvements are made to each system. This will keep your team grounded and better prepared to share how your system functions after modifications have been made.

State Examples

The Why

Understanding basic requirements, considerations, and resources related to the four DMS topics helps you to effectively identify gaps and how to address them.

To Do

Information forthcoming

  • Maintain all responsive state complaint, mediation, and due process hearing processes.
  • Report all formal disputes in the 618 data collection.
  • Seek state legal counsel, as needed and appropriate.
  • Use trends data from dispute resolution processes to inform:
    • training needs;
    • policy clarification; and
    • monitoring, TA, opportunities for improvement, and other parts of the general supervision system.
  • Implement monitoring activities to determine if parents understand their rights under procedural safeguards. This includes conducting interviews using open-ended questions with families who are randomly selected.
  • Provide training and accountability checks throughout the system on processes for state complaints, mediation, and due process hearings.
  • Provide the translation and interpretation services needed for all dispute resolution processes.
  • Implement plans for reaching parents who do not use a written language or do not have access to technology.
  • Provide ways for parents and other interested persons to access dispute resolution information on your state's website. One example is a QR code.
  • Post dispute resolution information on your website, for example, types of dispute resolutions, training materials, or optional request forms.
  • Disseminate resources and materials that explain the dispute resolution process to families such as videos, brochures, and FAQs.
  • Verify that processes for submitting a state complaint and requesting mediation or a due process hearing are widely promoted, easily accessible, and clearly defined.
  • Evaluate the effectiveness of your state's dispute resolution system.
  • Make improvements to your state's dispute resolution system based on the evaluation.
  • Implement procedures so that an informal dispute resolution does not delay or be used as a prerequisite to a formal dispute resolution.
  • Provide training on written procedures for using informal resolution. Training will include who is permitted to conduct it, steps for using it, ways these activities are reported to the state.
  • Provide training for families and providers so parents will understand their rights to an IFSP review and informal or formal dispute resolution at any time during the process.
  • Develop and implement written procedures for responding to any noncompliance discovered through the informal process.
  • Require use of a data collection form by anyone conducting an informal resolution process. These data (for example, child and parent's name, county, staff involved, program, issue, or resolution) will be used for trend analyses.
  • Develop and implement written policies and procedures, steps, timelines, and forms related to investigating and resolving state complaints that outline the process for:
    • Responding to alleged violations of IDEA. The process will also include making conclusions and developing the report.
    • Conducting an investigation when the Lead Agency (LA) is named as the party in the state complaint.
    • Determining day 1 of the 60-calendar-day timeline and tracking timely completion, including when any extentions are granted, why, and for how long.
    • Setting aside issues being addressed in a current due process hearing.
    • Determining whether an issue was resolved in a hearing decision or needs to be addressed by the state complaint process.
    • Documenting withdrawal of a complaint. This may include an optional form.
    • Documenting when mediation is used and if the dispute was resolved.
    • Documenting when the complaint decision is issued, and its results.
    • Verifying correction of noncompliance and completing follow-up.
  • Post written procedures on your state's website.
  • Include the following in the state complaint resolution letter:
    • data and information used;
    • investigation conclusions;
    • reasons for conclusions;
    • any findings, required actions, and timelines; and
    • next steps.
  • Consider developing an optional form to help families filing a state complaint. The form must identify any content not required by IDEA as optional.
  • Provide training and updates for staff and contractors who investigate state complaints to ensure consistent and effective implementation of complaint policies and activities.
  • Disseminate state procedures to parents, protection and advocacy agencies, and other interested individuals.
State Complaint Resources from CADRE
  • Develop and implement written policies and procedures, steps, timelines, and forms for responding to mediation requests. This includes:
    • tracking when the mediation request was filed, when a mediator was assigned, and how many mediations were associated with state complaints or due process hearings, and recording if and when any agreements are reached and signed.
    • assigning mediators on a rotational, random, or other impartial basis;
    • assigning a public agency representative with decision-making authority to the mediation; and
    • enforcing the terms of mediation agreements.
  • Describe mediation in the procedural safeguard notice to parents.
  • Implement a process to ensure mediators are not employees of the LA or EIS provider that is involved in the care of the child, the provision of early intervention, other services to the child for Part C, and do not have a personal or professional interest that conflicts with the person's objectivity.
  • Implement a monitoring process to ensure that mediation is available at any time and offered when a due process hearing is filed.
  • Ensure that mediation does not deny or delay parent's right to a due process hearing, a state complaint, or any other rights afforded under Part C.
  • Verify that the LA pays for all costs associated with mediation.
  • Implement procedures so that participation in mediation is voluntary, timely scheduled, and held in a convenient location for all parties to the dispute.
  • Develop and execute a legally-binding mediation agreement for resolved disputes. The agreement will:
    • be enforceable in any state or district court;
    • include a confidentiality statement that discussions will not be used as evidence in subsequent due process hearings or civil proceedings; and
    • include signatures from parents and a representative of the public agency who has decision-making authority.
  • Maintain a list of qualified individuals who are trained in effective mediation and knowledgeable in Part C regulations for EI service provision.
  • Review mediation agreements for patterns to inform the state general supervision system.
Mediation Resources from CADRE
  • Develop and implement written policies and procedures, steps, timelines, and forms for operating the state due process hearing process. This includes:
    • how the state tracks due process events, such as when a hearing request is received, when a hearing decision is due, when extensions are granted by the hearing officer, for what reason, and for how long, when a hearing decision is delivered and the results of the hearing decision, if a hearing is dismissed, and when parties agree to mediate;
    • steps when the Lead Agency (LA) is named as the party in due process hearing;
    • what to investigate and what to put in abeyance if a state complaint and a request for a due process hearing are filed at the same time on the same issue, as well as a process for the timely start of the state complaint investigation if a hearing officer later dismisses the matter;
    • the circumstances when a hearing officer may grant an extension, but not due to insufficient staff or other administrative reasons;
    • distribution of copies of the hearing officer's decision to each party; and
    • issuance of finding(s) and verification of correction of noncompliance identified in a due process hearing decision.
  • Provide all parents access and support necessary to file a hearing request. That may include translation, interpretation, and literacy services and technology access.
  • Consider developing an optional form to help families request a due process hearing. The form must identify any content not required by IDEA as optional.
  • Train state hearing officers to ensure they know IDEA Part C and the needs of and EI services available for infants and toddlers with disabilities, and their families.
  • Establish criteria to verify that the state's hearing officers are not employees of the Lead Agency, do not provide EI services to the child, and do not have personal or personal or professional interest that could conflict with their objectivity in implementing the process.
  • Review due process hearing decisions for patterns to inform the state general supervision system.
  • Develop policies and procedures, steps, timelines, and forms for operating the state due process hearing process. This includes:
    • how the state tracks due process events, such as when a hearing request is received, when a hearing decision is due, when extensions are granted by the hearing officer, for what reason, and for how long, the start date and outcome of the resolution meeting, when a hearing decision is delivered and the results of the hearing decision, if a hearing is dismissed, and when parties agree to mediate;
    • a model form to assist a parent, EIS provider, or the state's Part C lead agency in filing a due process hearing request;
    • steps for a timely resolution meeting with the parent and appropriate lead agency and IFSP team members, unless the parent and the lead agency agree in writing to waive, or they agree to use mediation;
    • the lead agency timeline of 30- or 45-days for the resolution of the due process hearing;
    • the circumstances when a hearing officer may grant an extension, but not due to insufficient staff or other administrative reasons;
    • issuance of finding(s) and verification of correction of noncompliance identified in a due process hearing decision;
    • distribution of copies of the hearing officer's decision to each party; and
    • make findings and decisions available to the public in a timely manner after deleting personally identifiable information.
  • Include content in the due process hearing request form that is required by IDEA. Ensure that the use of the form is not a requirement to file a due process hearing request.
  • Consider developing an optional form to help families request a due process hearing. The form must identify any content not required by IDEA as optional.
  • Provide all parents access and support necessary to file a hearing request. That may include translation, interpretation, and literacy services and technology access.
  • Establish criteria to verify that the state's hearing officers are not employees of the Lead Agency, do not provide EI services to the child, and do not have a personal or professional interest that could conflict with their objectivity in implementing the process.
  • Review due process hearing decisions for patterns to inform the state general supervision system.
  • If the lead agency has a two-tier due process system:
    • Have an appeals process with all required activities.
    • Notify parents of their right to appeal.
    • Have a statewide means to ensure appeal timelines are met.
Due Process Hearing Resources from CADRE

Information forthcoming

Information forthcoming

The Why

Completing a gap analysis can identify aspects of your system that need improvement. Identifying gaps early helps you prioritize which gaps can be easily and quickly addressed, and which will need more time.

To Do

Compile, organize, and make accessible to team members all written documents, including internal and public-facing policies and procedures, for each system assessed. Then, use the gap analysis worksheet to review each overarching question's Protocol Items and complete the following:

  • Use the Systems Overview developed in Step 3 to identify current policies, procedures, and practices related to each Protocol Item.
  • Determine if what you are doing aligns with the foundational information in Step 4.
  • Determine if what you are doing (or need to do) is described in your written procedures. Record the document and page number or section where this information can be found.
  • Determine and record a status code: 1, 2, 3, or 4.
  • Note anything missing or that needs modification.
  • Document your key conclusions for the overarching question.
Gap Analysis Worksheet Status Codes
Status CodeDetermination
1We are doing it correctly and it is documented.
2We are doing it correctly, but it needs to be documented.
3We are doing some of it, but not all of it, and documentation needs to be developed or modified.
4We need to give this item a lot of attention.

Gap Analysis Worksheets

These worksheets are adapted from NCSI's Adapted Protocols for State Use.

Monitoring

Dispute Resolution

Data

Fiscal Management

The Why

The results of the gap analysis provide a snapshot of the needs within each system (monitoring, dispute resolution, data, or fiscal management) that can be used to set priorities and develop a plans of action for addressing identified gaps in the short- or long-term.

To Do

Summarize gaps from your gap analysis worksheets from Step 5, and plan for the timesframe(s) in which your state will address identified gaps.

  • Gap Topic: Group items in your gap analysis worksheet(s) that you recorded a status code of 2, 3, or 4 into more specific topics, for example, "monitoring other areas beyond SPP/APR indicators", "training hearing officers and mediators", "data validation", or "parent consent for use of private insurance".
  • Issue(s): Describe the issue. What is or isn't happening related to the gap topic?
  • Next Steps: Determine what actions you can take to address these issues:
    • before the document request;
    • before your OSEP visit; and
    • after your OSEP visit.
  • Resources: What is needed to support addressing the gap?
  • Develop Gap Analysis Plan(s): Gaps that are more complex or that require systems change may need to be partially or fully addressed after OSEP's visit. Each of these might need a more detailed plan that incorporates steps or activities, timelines, and resources that your state team identifies most beneficial. Steps or activities might include:
    • meeting with stakeholders to obtain input on the modification to the system;
    • developing or modifying public-facing policies and procedures or internal procedures to align with current implementation or desired changes; or
    • implementing revised policies and procedures and gathering of evidence of this implementation.

Additional example activities and steps are presented in the Example Gap Analysis Plans below.

Gap Summary and Plan Templates

Example Gap Analysis Summaries and Plans

Example Gap Summary: Monitoring
Gap Topic Issue(s) Before Document Request Before OSEP Visit After OSEP Visit Resources
Pre-Finding Correction
  • Only verifying individual child correction. Not reviewing updated data to verify if providers are correctly implementing the requirement (at 100%).
  • Revise procedures on how correction is verified for pre-finding correction.
  • Implement revised pre-finding correction procedures.
  • Celebrate!
  • Other state examples of procedures on pre-finding correction.
  • TA review of procedures.
Monitoring Other Areas
  • Only monitoring SPP/APR indicators.
  • Develop plan.
  • Initiate implementation of the plan.
  • Finalize other monitoring areas and related information.
  • Develop and implement procedures for monitoring other areas.
  • Examples of states other monitoring areas.
  • Examples of the process other states used to identify other monitoring areas.
  • TA review of plan and procedures.
Data Validation and Verification
  • EIS providers verify accuracy of data in data system, but the state is not doing validation checks against source documents for a selection of records.
 —
  • Develop and document procedures for the state data validation process.
  • Implement the data validation process.
  • Data elements states are validating.
  • Number of records states review to validate data.

The state identified a gap for monitoring other areas beyond SPP/APR indicators. Since OSEP's document request is July 2024, five months before the visit in December, the state recognized it could not fully develop and implement monitoring procedures for other areas before the visit.

The state determined that before the visit it could identify the other areas to monitor. After the visit, the state would determine the details of how, who and when they would monitor these areas and establish written implementation procedures.

In response, the state devised a plan of activities and timelines to identify the other monitoring areas, make decisions, revise current monitoring procedures to include how to monitor these other areas. The state anticipated receiving a finding of noncompliance and would need to submit written monitoring procedures and evidence of implementation to OSEP.

Steps identified by letters A–E are completion dates for key activities of the plan.

Monitoring Areas Beyond SPP/APR Indicators
Step Activity Due Date Person(s) Responsible Resources
1 Collect data from various sources to identify common issues in the field that might inform other areas to monitor. 10/15/2023
  • TA Coord
  • Data Mgr.
  • Dispute formal/informal data
  • TA Notes
  • Quarterly call notes with EI providers
  • ICC minutes and public comments
2 Review and compile list of common issues and potential areas for monitoring. 12/15/2023
  • Data Mgr.
  • Part C Coord.
  • Related Requirements doc
3 Share the compilation with ICC, providers, and parent network to identify additional issues and prioritize. 02/15/2024
  • Part C Coord.
  • Data Mgr.
  • Summary of data collected
  • Related Requirements doc
A OSEP Document Request 07/2024
  • Part C Coord.
 —
4 Develop additional monitoring areas including data sources, methods for collecting data, and criteria for compliance. 07/31/2024
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
  • Other state examples
5 Obtain input from ICC, providers, parent network, and other interested parties on the draft monitoring areas, including clarity and TA needs of the field. 08/31/2024
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
 —
B Finalize monitoring areas and share with OSEP during monitoring visit along with the steps that will be taken to determine the procedures for monitoring the additional areas. 12/2024
  • Part C Coord.
 —
6 Obtain input from the field and other interested parties and determine how, who, and when the other areas will be monitored, including the tools needed to collect the data, the criteria for compliance, and how this monitoring process connects to their monitoring of SPP/APR indicators. 02/15/2025
  • Part C Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Processes for gathering input
  • Other state examples
7 Document procedures for analyzing, interpreting, and drawing conclusions from the data for the additional monitoring areas, as well as procedures for notifying providers about compliance/performance decisions and any required actions for correction/improvement. 03/15/2025
  • Part C Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Other state examples
C Anticipated OSEP Letter Date 04/2025
  • Part C Coord.
 —
8 Develop procedures on how TA, training and other supports will be used to help EI providers correct and improve performance, as well as how the state will verify correction and performance. 04/15/2025
  • Part C Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Feedback from ICC, providers, parent network, and other interested parties
  • Historical TA needs based on current correction procedures
9 Incorporate the additional monitoring areas and their associated processes into the existing written monitoring procedure manual. 05/15/2025
  • Part C Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Current monitoring procedure manual
  • Other state procedures on monitoring other areas
10 Develop tool(s) to conduct monitoring and include in appendices of the state's monitoring procedure manual. 06/15/2025
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
  • Other state examples
11 Train ICC, providers, parents, and other interested parties on additional monitoring areas and monitoring tool(s). 06/30/2025
  • Part C Coord.
  • ICC Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Revised Monitoring Procedure Manual
D Provide OSEP with the revised monitoring procedural manual which clearly documents how the state will monitor additional areas (to meet the required action of submitting written procedures within 90-days of the OSEP letter). 07/2025
  • Part C Coord.
 —
12 Implement the monitoring procedures. Compile all evidence demonstrating implementation. 09/01/2025 to 03/01/2026
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
  • Revised Monitoring Procedure Manual
  • Monitoring Tools
E Submit evidence of implementation to OSEP to meet the required action of demonstrating implementation of the procedures within one year of the OSEP letter. 04/2026
  • Part C Coord.
 —

Example Gap Summary: Dispute Resolution
Gap Topic Issue(s) Before Document Request Before OSEP Visit After OSEP Visit Support and Resources
Tracking Informal Concerns
  • Inconsistent tracking of calls and identification of what is tracked as an "informal concern".
  • No verification that individuals are apprised of formal dispute resolution options.
  • Identify current practices and create a consistent process for identifying and tracking calls, including a tracking form and database.
  • Operationalize sharing formal dispute resolution options.
  • Incorporate processes into training and onboarding.
  • Collect data on use of form, distribution of information about dispute resolution options, and outcomes of informal concerns.
  • Incorporate any feedback from OSEP monitoring team
  • Schedule annual updating/review of process
  • Incorporate processes into annual training and onboarding.
  • Examples of other states' forms and procedures for addressing informal concerns.
  • TA review of procedures.
Written Procedures
  • Process is unclear for when dispute options are initiated.
  • Need for consistency and continuity of practice
  • Verification that procedures are in line with regulations
  • Gather current process documentation.
  • Organize existing documentation by dispute resolution process (for example, internal checklists, letters).
  • Record in writing current practices and procedures.
  • Create internal process manuals for informal concerns, mediation, state complaints, and due process hearings, including links to supporting or relevant documents (for example, letters, checklists).
  • Incorporate any feedback from OSEP monitoring team.
  • Schedule annual updating/review of manuals.
  • Examples of other states' written procedures.
  • Interview staff/providers to understand their processes.
  • TA review of plan and procedures.

This example reflects a dispute resolution gap related to selecting mediators on a random, rotational, or other impartial basis.

Selecting Mediators on a Random, Rotational, or Other Impartial Basis
Step Activity Due Date Person(s) Responsible Resources
1 Create a stop-gap system of rotational assignments of mediators while exploring a permanent policy. 11/01/2023
  • Part C Dispute Resolution Coordinator
  • Immediately institute process where mediators are assigned based on availability.
  • Obtain appropriate approvals for mediator travel or overnight stay.
  • Inform and keep current mediators updated on changes and when permanent policy is in effect.
2 Survey other Part C systems for methods of assigning mediators. 11/15/2023
  • Part C Dispute Resolution Coordinator
  • Bring up question on EI Dispute Resolution Learning Community call.
  • Contact TA providers.
3 Obtain input from current mediators about the process of assignments. 12/15/2023
  • Part C Dispute Resolution Coordinator
  • Hold a group meeting with mediators on how to make assignments and to explore training needs and capacity issues.
  • Compile results.
4 Identify a minimum of three mediators available for each of the six regions in the state. 01/15/2024
  • Part C Dispute Resolution Coordinator
  • Verify availability of current Part C mediators and determine their willingness to travel.
  • Revise mediator contracts to allow extended travel if approved.
  • Expand mediator list (inquire about Part B mediators to train in Part C).
  • Develop a new RFP for mediators in underserved regions.
5 Develop a rotational, random, or other impartial process for assigning mediators. 02/10/2024
  • Part C Dispute Resolution Coordinator
  • Create written protocols for assigning mediators.
  • Create a written protocol for how to identify and address the need for substitutions.
  • Share protocols with mediators and administration for feedback.
  • Incorporate feedback.
  • Institute procedures.
6 Assess efficacy of process in three months 05/01/2024
  • Part C Dispute Resolution Coordinator
  • Assess mediators experience with new system.
7 Document the process of identifying gap and instituting change. 05/15/2024
  • Part C Dispute Resolution Coordinator
  • Include compiled evidence with Dispute Resolution protocols and documentation.

Information forthcoming.

Information forthcoming.

Example Gap Summary: Fiscal Management
Gap Topic Issue(s) Before Document Request Before OSEP Visit After OSEP Visit Resources
General Supervision/EIS Provider Fiscal Monitoring
  • Not monitoring the procurement of goods/services by EIS providers using Part C funds.
  • Consider ways that monitoring for procurement of goods/services by EIS providers using Part C funds could be conducted, including who should monitor, monitoring frequency, potential methods, and data sources.
  • Determine the indicator for procurement of goods/services by EIS providers using Part C funds, including who will monitor, at what frequency, using which method(s), and data sources.
  • Draft written fiscal monitoring procedure.
  • Finalize written fiscal monitoring procedure
  • Train LA staff and EIS providers on new monitoring procedure.
  • Implement monitoring activities.
  • Examples of how other states implement monitoring for procurement of goods/services by EIS providers using Part C funds.
  • TA review/feedback for draft written procedures.
  • Fiscal Monitoring Indicators Checklist and EIS Provider Fiscal Monitoring Indicator Template
Personnel Documentation Procedures for Time and Effort
  • Time and effort records are documented through the LA's total time reporting system, and we believe the LA has an overarching policy that affects all programs with federal funds. We do not have a copy of the policy or procedures and are not sure what data is available to confirm implementation of this policy.
  • Determine which office within the LA oversees this agency wide policy.
  • Obtain a copy of the written policy and/or procedure.
  • Ensure we understand and can articulate this policy and how the procedure is implemented, including what data is available to confirm compliant implementation.
  • N/A
  • N/A
  • No TA needs at this point

The state identified a gap related to not monitoring the procurement of goods and services by EIS providers using Part C funds. OSEP's visit is in December 2024 and the OSEP document request is 5 months before the visit (in July 2024), the state recognized they would not have time to fully develop and implement a fiscal monitoring indicator related to procurement within their monitoring system prior to their OSEP visit.

The state determined they could not establish written procedures for how they would monitor procurement until after the OSEP visit.

In response, the state developed a plan including activities and timelines for revising current monitoring procedures to incorporate this new fiscal monitoring indicator, and what they would submit to OSEP and when. The state anticipated receiving a finding of noncompliance and would need to submit written monitoring procedures to OSEP, as well as evidence of implementation.

Steps identified by letters A–E are completion dates for key activities of the plan. The state used the following dates to target completion of key activities:

  1. OSEP Document Request: 07/2024
  2. OSEP Engagement: 12/2024
  3. Anticipated OSEP Letter: 04/2025
  4. 90-day Required Action: 07/2025
  5. 1-year Correction: 04/2026
Monitoring the procurement of goods and services by EIS providers using Part C funds
Step Activity Due Date Person(s) Responsible Resources
1 Establish fiscal monitoring workgroup to work on identified fiscal monitoring gap. 01/15/2024
  • Part C Coord.
  • Lead Agency (LA) Fiscal Staff
  • ICC Partners
  • EIS Providers
2 Collect data and resources on the procurement of goods and services by EIS providers using Part C funds. 04/15/2024
  • Part C Coord.
  • Fiscal Monitoring Workgroup
  • Resources from LA fiscal staff
  • State LA Procurement Policies & Procedures
  • Uniform Guidance requirements
  • Current State RFP for EI services (if applicable)
3 Identify ways that monitoring procurement of goods/services by EIS providers using Part C funds could be conducted. 06/15/2024
  • Part C Coord.
  • Fiscal Monitoring Workgroup
  • State Examples
A OSEP document request 07/2024
  • Part C Coord.
 —
4 Identify the fiscal monitoring indicator. 08/15/2024
  • Part C Coord.
  • Fiscal Monitoring Workgroup
5 Determine who, how, and when the new identified fiscal monitoring indicator will be monitored. 10/15/2024
  • Part C Coord.
  • Fiscal Monitoring Workgroup
  • Current monitoring policies and procedures
  • Lead Agency procurement policies and procedures
  • Uniform Guidance requirements
6 Develop tools needed to collect the data, the criteria for compliance, and how this monitoring process connects to how the state LA procures early intervention services. 11/15/2024
  • Part C Coord.
  • TA Notes
  • Uniform Guidance requirements
  • Processes for gathering input
B Finalize fiscal monitoring indicator and share with OSEP during monitoring visit along with the steps that will be taken to determine the procedures on how the fiscal monitoring indicator will be monitored. 12/2024
  • Part C Coord.
 —
7 Document procedures for analyzing, interpreting, and drawing conclusions from the data for the new fiscal monitoring indicator, as well as procedures for notifying providers about compliance/performance decisions and any required actions for correction/improvement. 03/15/2025
  • Part C Coord.
  • Fiscal Monitoring Workgroup
  • TA Team
  • Data Mgr.
  • Other state examples
C Anticipated OSEP Letter Date 04/2025
  • Part C Coord.
 —
8 Develop tool(s) to conduct monitoring for the new fiscal monitoring indicator and include in appendices of the state's monitoring procedure manual. 06/15/2025
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
  • Other state examples
9 Share and train on the fiscal monitoring indicator and monitoring procedures with ICC, providers, and other interested parties. 06/30/2025
  • Part C Coord.
  • ICC Coord.
  • Monitoring Team
  • TA Team
  • Data Mgr.
  • Revised Monitoring Procedure Manual
D Provide OSEP with the revised monitoring procedural manual which clearly documents how the state will monitor additional areas (to meet the required action of submitting written procedures within 90-days of the OSEP letter). 07/2025
  • Part C Coord.
 —
10 Implement the fiscal monitoring indicator procedures. Compile all evidence demonstrating implementation. 09/01/2025 to 03/01/2026
  • Part C Coord.
  • Monitoring Team
  • Data Mgr.
  • Revised Monitoring Procedure Manual
  • Monitoring Tools
E Submit evidence of implementation to OSEP, meeting the required action of demonstrating implementation of the procedures within one year of the OSEP letter. 04/2026
  • Part C Coord.
 —

The Why

Once you develop a plan to address identified gaps, the next step is to make improvements to your monitoring, dispute resolution, data, or fiscal systems. Making improvements to these systems is critical to meet IDEA requirements and to ensure that the state's overall system is high-quality, equitable and effective so that each and every child and family can achieve improved outcomes.

To Do

  1. Implement your plans to make improvements to your monitoring, dispute resolution, data or fiscal management systems.
  2. Monitor progress and update your plans as needed.

Tips

  • Use the foundational information in Step 4 to make improvements based on gaps identified in your monitoring, dispute resolution, data, and fiscal systems.
  • Develop or modify your public-facing policies and your internal operating procedures as you implement your plans.
  • As you implement improvements, compile evidences of your implementation, such as findings letters issued to programs, list of hearing officers, data validation results.
  • A System Framework for Building High-Quality Early Intervention and Preschool Special Education Programs can also support you in making systems improvement.

The Why

Preparing for your OSEP DMS interviews—which might be conducted virtually or onsite—helps your state team know who will respond to each OSEP question, identify the information that will be shared to describe how your state systems are functioning, and determine how responses will build on other team members information to deliver a consistent message.

To Do

Before the interviews:

  • Determine which staff should be involved. Identify which Part C staff, contractors, and other staff should be involved in each of the system interviews and discussions (monitoring, dispute resolution, data, and fiscal).
  • Assign staff to share specific content. Assign the person that manages the work or is most knowledgeable about OSEP's DMS protocols questions to respond—defer to them as needed. For example, for the fiscal interview decide which individuals will share information related to revenue sources, internal procedures for processing and paying invoices, fiscal monitoring on systems of payments, payor of last resort, and general fiscal reviews.
  • Complete a walk-through of how you implement your monitoring, dispute resolution, data and fiscal systems. Jointly complete a comprehensive walkthrough of how your monitoring, dispute resolution, data and fiscal systems are being implemented. Ensure everyone on the team has the same information, and understands its implementation well enough to comprehensively describe your system to OSEP and ensure consistent information is shared. This is especially important if different people are responsible for different parts of the system. Use your overview of each of these systems as a starting point for this walk-through, but go deeper into details.
  • Review your notes. If you organized your notes to align with the questions in the protocols, include links to key policies, procedures, manuals, and other resources that OSEP might want to review.

Tips

During the interviews, before you answer:

  • Take your time. Listen carefully to the question, and if you need a moment to think about your answer, take it. There are no "bonus points" for answering quickly.
  • Ask for clarification. Ask a questioner to repeat or restate questions as needed. It is better to ask for clarification than to give an inaccurate answer.

As you answer:

  • Answer carefully and concisely. Answer the question that is being asked—no more, no less. Do not assume where the line of questioning is going and do not offer information that is not being asked for. Answer the questions as succinctly as possible. OSEP will ask follow-up questions if needed.
  • Stick to the facts. Present what you know, even if it is uncomfortable or difficult. Do not guess, assume, or try to tell a story to highlight your point.
  • Be confident. Answer with confidence and conviction.
  • Be consistent. If asked the same question multiple times, give the same answer. Prepare all team members to do the same.
  • If you do not know the answer to a question, acknowledge it. Ask for time to consult with others who know the answer, or arrange for others to attend the interview. For the best use of your time, this should be an infrequent occurrence.

These tips are adapted from NCSI's tips for Part B programs preparing for OSEP interviews.

Technical Assistance

You can request a mock interview with TA centers to practice using these tips and sharing your responses to questions several months before your DMS visit:

produced in collaboration with:

  • The Early Childhood Technical Assistance Center (ECTA)
  • The Center for Appropriate Resolution for Dispute Resolution in Special Education (CADRE)
  • The Center for IDEA Early Childhood Data Systems (DaSy)
  • The Center for IDEA Fiscal Reporting

The contents of this document were developed under cooperative agreements #H326P170001 (ECTA) and #H326X230002 (CADRE), and grants #H373Z190002 (DaSy) and #H373F200001 (CIFR), from the Office of Special Education Programs, U.S. Department of Education. However, the content does not necessarily represent the policy of the U.S. Department of Education, and you should not assume endorsement by the Federal Government.

ECTA Center Project Officer: Julia Martin Eile

CADRE Project Officer: Carmen M. Sánchez

DaSy Center Project Officers: Meredith Miceli and Amy Bae

CIFR Project Officers: Jennifer Finch and Charles Kniseley