DMS 2.0 FRAMEWORK W/ EVIDENCE AND INTENDED OUTCOMES - gov.ed.sites
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DMS 2.0 FRAMEWORK W/EVIDENCE AND INTENDED OUTCOMES
This Framework outlines a State system that is:
• 100% focused on improved outcomes and results for infants, toddlers, children and youth with disabilities and their families,
• Comprised of defined components,
• Integrated across components, and
• Nimble enough to address emerging issues.
The Framework outlines how all programs will be monitored on their general supervision systems during Phase 1 of DMS.
General supervision encompasses the States’ responsibility to ensure that it and its subgrantees and contractors meet the requirements of IDEA which includes:
1. Improving educational results and functional outcomes for all infants, toddlers, children, and youth with disabilities; and
2. Ensuring that public agencies meet the program requirements under Part B and C of IDEA, with a particular emphasis on those requirements that are most closely related to improving
educational results for infants, toddlers, children, and youth with disabilities.
• For each of the 8 components of a general supervisions system, OSEP provides:
• A definition;
• A series of “if/then” statements which outlines the elements OSEP thinks is necessary to achieve the intended results; and
• A list of examples of the types of evidence that we have found helpful in understanding a State’s system within the specific component. This list is neither exhaustive nor does it mean that a
State is out of compliance if it does not have a specific item.
Phases
Phase 1: October–November............................. 1
Phase 1: January–February ................................ 4
Phase 1: May–June ............................................ 7
Phase 1: July–August ........................................ 10
Phase 2 ............................................................. 12DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
PHASE 1: OCTOBER–NOVEMBER
IF A S TATE H AS T HEN T HEN T HEN T HEN I NTENDED O UTCOME
An effective fiscal The State has a thorough The State will have The State will be able to The State and LEA/EIS An effective fiscal
management system understanding of the IDEA internal controls in place document oversight of the programs will use IDEA management system will
and cross-cutting Federal to ensure compliance with use of IDEA funds. funds for their intended contribute to improved
fiscal requirements. IDEA and cross-cutting purposes in a manner that outcomes for infants,
Federal fiscal is reasonable, necessary, toddlers, children and
requirements. and allocable to the IDEA. youth with disabilities and
their families.
D EFINITION E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A system designed to ensure • Policies and procedures • Organizational charts • Example of reports from • Documentation supporting
that IDEA funds are • (manuals, user guides for • Documentation related to data system for accuracy of State’s implementation of
distributed and expended in applicable requirements the SEA/LA’s allocation of billing, payments etc. its procedures for the timely
accordance with Federal and key Part B and Part C funding, including IDEA Part • Fiscal monitoring reports disbursement/
fiscal requirements. A State's fiscal processes), as well as B/C funds, to its LEA/EIS reimbursement of IDEA
• Part B interactive
fiscal management system description the State’s programs and providers funds
spreadsheets
will include documentation of general supervision system. • Documentation related to
• Risk assessment policies • Part C budgets
required budgetary compliance with cost
• Information on State and procedures,
information, policies and • PART C: System of payments principles of subpart E of
structure (e.g., budget calculations of risk, rubrics
procedures reflecting IDEA, implementation – payor the Uniform Guidance
office and program office; related to the assignment of
EDGAR, and Uniform source, ability to pay, access
interagency agreements; risk categories, including • Fiscal monitoring reports
Guidance requirements and to insurance, interim
examples of contracts; LEA/EIS programs that do that include findings,
evidence of implementation payments etc.
organizational charts) not meet audit thresholds, documentation supporting
of those procedures all of • Notifications to LEA/EIS
• Description of Educational related to monitoring corrective action, and
which assist States in using programs of upcoming fiscal
Service Agencies/regional processes, as appropriate. closeout reporting
Federal funds for improving monitoring activities
performance and outcomes Part C structures • Budget and expenditure • Documentation
for infants, toddlers, and roles/responsibilities for data for a particular year for • Description of procedures demonstrating the
children with disabilities. fiscal requirements the purpose of calculating for resolving IDEA-related implementation of the
MOE/MFS. single audit and monitoring Method if applicable (e.g.,
PAGE 1 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
IF A S TATE H AS T HEN T HEN T HEN T HEN I NTENDED O UTCOME
• Data systems used by the • PART C: Example(s) of findings for LEA/EIS documentation/State forms
State, with specific agreement(s) with EIS programs related to the use of funds
reference to data sources programs/providers/ • List and documentation of to support staff/activities
relevant to fiscal processes vendors/agencies providing IDEA-related single audit described in the State’s
and oversight Part C EIS findings/corrective actions Method and SOP
and fiscal monitoring procedures)
• Description of fiscal TA • List of SEA’s single audit
accessed by the State findings for the past 3 years, findings/corrective actions • Information memos,
with status report on any for LEA/EIS programs guidance documents, and
• Yearly timeline for
unresolved findings • Fiscal monitoring protocols training/professional
reviewing data sources,
development agendas to
calculating, and issuing IDEA • Oversight Agency Reports • PART B: List of charter
LEA/EIS programs on topics
allocations, release of (ex: Legislative review, OIG, school LEAs that opened/
related to IDEA, EDGAR, and
funds, and reallocation policy groups, State task • closed/significantly Uniform Guidance fiscal
considerations force) of SEA/LA internal expanded/changed status requirements, annual
processes
• Policies and procedures applications/plans, budgets,
reflecting the SEA/LA’s fiscal monitoring and
standards for correcting enforcement, reallocation
fiscal noncompliance of funds and other topics as
• PART C: The State’s Method identified
to ensure the provision of,
and financial responsibility,
Part C Services (Draft or
Final), if applicable
• Policies and procedures
related to parental
notification/consent
provisions for
(Public/Private) Insurance
• Sample State consent forms
related to access to
(Public/Private) Insurance
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IF A S TATE H AS T HEN T HEN T HEN T HEN I NTENDED O UTCOME
• Fiscal data system
procedures/screenshots,
demonstrating the system’s
capacity for oversight of
funds for the Part B/Part C
programs
• PART B: Sample calculations
and budget documents for
determining the maximum
amount of funds available
for voluntary CEIS
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PHASE 1: JANUARY–FEBRUARY
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
An effective Integrated The State continuously The State identifies The State requires the LEA/EIS An effective integrated
monitoring system examines and analyzes data noncompliance with procedural programs to correct identified monitoring system will
across multiple sources to and programmatic requirements noncompliance. contribute to improved
evaluate its performance, and and makes recommendations outcomes for infants, toddlers,
that of its LEA/EIS programs for for performance improvements. children and youth with
improved results and disabilities and their families.
compliance.
D EFINITION E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A multifaceted process or system • Monitoring policies/procedures • Monitoring reports with findings • Root cause analysis to identify
which is designed to examine and o Self-assessments (State-level • Description of processes in manual what is behind the performance
evaluate States with a particular or LEA/EIS programs) data
• Tools to conduct monitoring
emphasis on educational results, • Evidence of TA provided and
• Timeline for monitoring • Training of LEA/EIS programs
functional outcomes and outcomes as a result of the TA
compliance with IDEA procedural • Criteria for identifying LEA/EIS • Examples of improvement plans provided
and programmatic requirements. programs for monitoring
• Description of Stakeholder • Documentation of what corrective
• Description of how the State engagement and activities related actions were required and/or
analyzes data for CWD and all to compliance and performance improvement plans
students improvement
• Additional data sources they are
using (IDEA/ESEA)
• Documentation of Stakeholder
engagement activities and work
• Evidence of State cross analysis of
different factors and data points
that contribute to identified issues
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IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
A system designed to The State uses a system of LEA/EIS programs develop and The State verifies that LEA/EIS A system designed to sustain
Sustain Compliance and incentives and sanctions to implement improvement programs have implemented compliance and improvement
ensure continued improvement activities and corrective actions improvement activities and will contribute to improved
Improvement
and IDEA compliance. to address areas in need of corrected noncompliance. outcomes for infants, toddlers,
improvement and children and youth with
noncompliance. disabilities and their families.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A system for recognizing, and • Evidence of a general supervision • LEA and EIS procedural manuals • Verification of the correction of
improving compliance and system which includes a defined including at a minimum; methods systemic and individual
performance including use of system of incentives and sanctions for determining non-compliance, noncompliance
improvement activities, incentives, for compliance with IDEA steps-to-correct, timelines, • Records of enforcement actions
and sanctions. • Documentation of enforcement sanctions and incentives taken against LEA/EIS programs
policies that explain the • Evidence of the implementation • Records of technical assistance
consequences of violating and evaluation of improvement provided to LEA/EIS programs
regulations, policies, and activities, and how stakeholders related to noncompliance and
procedures. are involved program improvement
• Policies related to Incentives for • Verification of correction of • Tracking noncompliance (statistics,
improved performance and systemic and individual frequency, areas of need)
compliance noncompliance
• Samples of LEA/EIS program
• Written State monitoring • Evidence State collects and documents or compliance reports
procedures reviews LEA/EIS program tracking
• Close out reports, evidence of
• Sample of corrective action mechanisms for noncompliance
correction
(reports and timelines) • Audit reports
• Revised policies and procedures, if
• Valid and reliable data on State • Sample of Corrective Actions applicable
monitoring of LEA/EIS programs (reports and timelines)
• Evidence of the Implementation of
the revised policies and
procedures
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IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
• Evidence of change in practices
from attendees of trainings
• Updated data showing
improvement
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PHASE 1: MAY–JUNE
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
An effective dispute Parents and other stakeholders The State timely resolves LEA/EIS programs provide FAPE An effective dispute resolution
resolution system will be informed of their rights disputes about IDEA procedures in the LRE/EIS to eligible infants, system will contribute to
under the law. and the provision of FAPE in the toddlers, children and youth improved outcomes for infants,
LRE or EIS. with disabilities. toddlers, children and youth with
disabilities and their families.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A system designed as part of a • Procedural safeguards notice • Section 618 data • Timely Correction of
State’s general supervisory (dispute resolution components) • Evidence of hearing officer’s noncompliance (individual and
responsibility to ensure • Evidence of receipt of Procedural decisions, state complaint actions, systemic)
implementation of IDEA’s dispute Safeguards (signature page, file mediation agreements • Evidence of implementation of
resolution procedures consistent review during monitoring) remedies ordered by hearing
• Evidence of training provided to
with IDEA requirements. officer or State (compensatory
• Model forms for State complaints hearing officers and mediators
and due process services, monetary
• Description of how the Due
reimbursement, IEP/IFSP Team
• Review of communication to MSIP Process System is established in
meetings)
Customer service the State
• Evidence of technical assistance
• News articles or pending lawsuits • Part C programs – policies and
procedures for Part C due process • Review any Memorandums of
• State websites for access to forms
hearing procedures or adoption of agreements or contracts with the
and safeguards
Part B hearing procedures entity responsible for conducting
• LEA/EIS program examples of the hearings
model forms • Documentation that appeal rights
are included in hearing decisions • Any supplemental guides or Q & A
• Policies and procedures regarding Documents the States have
timing of safeguards, use of model • Tracking documents for Dispute
developed to provide guidance to
forms, and information required in resolution systems (State
their Stakeholders related to
State complaints and hearing Complaint, Due Process and
Dispute Resolution activities
notices mediation)
• Policies around timelines
PAGE 7 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
• Information on requesting
mediation (info in notice, website,
etc.)
• Evidence of availability of hearing
decisions to SAP/ICC and/or public
An effective system for The States uses all available The State identifies TA/PD The State prioritizes the delivery An effective system for targeted
targeted technical data/information to prioritize offerings that are aligned to of TA/PD in those areas in need technical assistance and
which areas need improvement. those areas in need of of improvement. professional development will
assistance and professional
improvement. contribute to improved
development outcomes for infants, toddlers,
children and youth with
disabilities and their families.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A system of technical assistance and • Tools/ mechanisms to collect data • Evidence of dissemination and • State level or LEA/EIS program
professional development that uses that would inform targeted TA or communication of available TA/PD best practices for implementing
data-informed root cause analysis identified area(s) for improvement • Description of State’s analysis of IDEA.
areas to address State priorities and • Evidence of how the State is data to inform TA/PD activities • Description of the delivery method
areas in need of improvement. triangulating or analyzing their of the TA/PD activities the State
data. are developing and implementing
• Monitoring reports • Review the State’s description of
• 616/618 Data Reports TA/PD in the SPP/APR introduction
• Description of State TA/PD • Evidence of alignment with other
activities within the State programs/initiatives (e.g. SPDG)
(e.g., meeting notes, agendas,
• Description of how the State
etc.)
identifies the types of TA/PD
activities they provide • Evidence of stakeholder
involvement in identifying needs
on TA/PD activities
PAGE 8 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
• Outline of stakeholder’s
involvement in development of
TA/PD activities
PAGE 9 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
PHASE 1: JULY–AUGUST
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
An effective system to The State collects and reports The State analyzes data for The State uses data to support An effective system to collect and
collect and report valid and reliable data that are strategic planning and equitable implementation of strategies that report timely and accurate data
timely submitted to the Secretary allocation of resources. are most closely aligned to will contribute to improved
timely and accurate
and the public. improved outcomes. outcomes for infants, toddlers,
data children and youth with
disabilities and their families.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A data system designed to • Description of data collection • Schedule/Timeline for examining • Timeline of data pulls for
ensure that the data system(s) LEA/EIS program data implementation of strategies
collected and reported are • Reports/Screen Shots of data • Guidelines for using data to inform • Documentation of analysis of data
valid and reliable and that systems monitoring/TA trends
information is reported to
• Walk through demonstration of data • Evidence that the State uses its data • Evidence that the State supports a
the Department and the
system systems to plan for new initiatives data driven culture at the LEA/EIS
public in a timely manner.
• Documentation of Data governance • Evidence that the State compiles program level to ensure LEA/EIS
The data system will inform
requirements and integrates data across systems programs carry out evidence-based
and focus a State’s
and uses the data to inform and practices with fidelity (e.g. trainings,
improvement activities as • Manuals or evidence reflecting the
focus its improvement activities user manuals, guidance etc.)
well as verifying that that the Edit Checks/Business Rules within
data collected and reported their data system • Models for root cause analysis • Identification of high and low
reflect actual practice and performing LEA/EIS programs based
• Data manuals • Evidence of how root cause analysis
performance. on data
• Description of data process/oversight is used
• Evidence of identification of best
• Organizational Chart related to data • Process for making data informed practices through the use of data
and roles and responsibilities decisions at the State level
• Additional sources of data beyond
• TA/PD trainings for data users • Guidance and/or training to LEA/EIS
616 and 618 data at both State and
programs to use data to inform
• EDFacts Data Quality Reports LEA/EIS program level
decision making
• APR Data Matrix
PAGE 10 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
IF A S TATE H AS T HEN T HEN T HEN I NTENDED O UTCOME
• Data sharing agreements • Training and guidance for LEA/EIS • Evidence that the State uses its data
programs on how to analyze data. systems (e.g., monitoring, self-
• Public Reporting
assessment, database, due process,
• Evidence of meaningful stakeholder • Evidence such as a data sharing
and State complaints) to improve
involvement agreement, MOU, or information
program and systems operations
attained during OSEP interviews
• Evidence that the State has a system • Evidence that outcomes data within
that State level Part C and Part B
to ensure protection of personally longitudinal data systems are
619 staff regularly communicate
identifiable data analyzed and used for improving the
about outcomes data issues
programs
A State Performance The State executes an approvable The State reports annually to the The State will work with LEA/EIS An SPP/APR that demonstrates
Plan/Annual plan that evaluates the State’s Secretary on the performance of programs to address needed progress on compliance and
efforts to implement IDEA the State under the SPP/APR. The improvement, in those areas that results indicators will contribute
Performance Report
requirements and purposes and SPP/APR demonstrates the State’s are most closely related to to improved outcomes for
(SPP/APR) the plan describes how the State progress towards meeting the improved outcomes. infants, toddlers, children and
will improve IDEA measurable and rigorous targets youth with disabilities and their
implementation. for each indicator that have been families.
developed with stakeholder input.
The State has a plan in place to
address needed improvement.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
A multifaceted plan that • An approved SPP/APR • SPP/APR • Public Reporting
evaluates the State’s efforts • Policies and procedures around the • Improvement activities • Training to LEA/EIS programs on
to implement the SPP/APR Indicator Analysis and Evaluation
• Cross indicator analysis
requirements and purpose of
• Evidence of stakeholder input in the • Reasons for slippage • Policies and procedures around data
the IDEA and describes how
development and the submission
the State will improve its • Plans in place to address slippage
implementation of the SPP/APR • Valid and reliable data
implementation. • Policies and procedures around data
submission
• Valid and reliable data
PAGE 11 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
PHASE 2
IF A S TATE H AS T HEN T HEN T HEN T HEN I NTENDED O UTCOME
Effective The State develops policies The State effectively The State ensures that LEA/EIS programs Effective implementation
implementation of and procedures that are implements its policies and LEA/EIS programs are effectively implement of policies and procedures
aligned with IDEA and procedures. knowledgeable about the policies and procedures will contribute to
policies and
other Federal policies and procedures. that ensure the provision improved outcomes for
procedures requirements. of FAPE in the LRE and EIS. infants, toddlers, children
and youth with disabilities
and their families.
D EFINITION : E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE E XAMPLES OF E VIDENCE
Policies and procedures • Annual IDEA Grant • Evidence of LEA/EIS • Evidence of dissemination • Samples of LEA/EIS program
outline the goals, objectives, Application program implementation of of State policies and policies and procedures
processes and statutory • Evidence of systematic and the State’s policies and procedures • Sample documents (largest
requirements of a Part B and periodic review of procedures • Evidence of State TA/PD LEA/EIS programs, Redacted
Part C Program, that are implementation of specific • LEA/EIS program websites related to implementation documents such as
implemented with fidelity. policies and procedures demonstrating consistency of policies and procedures IEP/IFSPs, to verify
• Evidence of policies and with State policies and to its LEA/EIS programs implementation/
procedures being publicly procedures related to IDEA • Documentation of the State compliance)
available • The State monitoring process for identifying • Evidence of LEA/EIS
• Evidence of accessible reports of LEA/EIS programs barriers to LEA/EIS program program methods for
policies and procedures on on implementation of State implementation through identifying noncompliance
State’s Website policies and procedures root cause analysis • Examples of LEA/EIS
• Review of communication • Evidence of periodic review • Documentation of what program improvement
to MSIP Customer service of LEA/EIS program policies LEA/EIS program corrective plans
and procedures actions were required
and/or improvement plans,
if applicable
• Evidence of meaningful
stakeholder engagement
PAGE 12 OF 14DMS 2.0 F RAMEWORK W /E VIDENCE AND I NTENDED O UTCOMES
during implementation, and
evaluation of LEA/EIS
program policies and
procedures
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