Data Collection and Analysis

20. Which of the following best describes the procedures the state lead agency was using to select monitoring units for monitoring (as of the last complete monitoring period)?
1. All monitoring units were monitored each year. . SKIP to Item 24
2. A regular cycle (e.g., every 3 years) determined all of the monitoring units to be monitored each year.
3. A cycle determined all of the monitoring units to be monitored each year, but the cycle was not regular—the frequency of the monitoring for each monitoring unit was determined by prior compliance or performance. SKIP to Item 22
4. Prior compliance or performance alone determined which monitoring units were monitored each year. SKIP to Item 22
5. A cycle determined some of the monitoring units selected for monitoring each year, others were selected based on prior compliance or performance. SKIP to Item 22
21. If all monitoring units were selected for monitoring according to a regular cycle, the cycle was every ______ years. . SKIP to Item 23
22. Where prior compliance or performance contributed to the selection of monitoring units for monitoring, the selection criteria used by the state lead agency were related to which of the following? [Check all that apply.]
1. Process and procedural requirements (e.g., failure to complete paperwork or to meet timeliness requirements)
2. Provision of child/family services or facilitation of the provision of services (e.g., provision of speech therapy, provision of services in natural environments)
3. Child/family outcomes
4. Complaints, mediations, due process hearings, or other legal actions
5. Specific areas designated by the state as priorities (e.g., percentage of children identified, provision of transition services)
6. Other: _______________
23. For the monitoring units that the state lead agency did not select for monitoring, which of the following activities occurred in connection with the state's overall monitoring efforts, for at least some monitoring units? [Check all that apply.]
1. The state collected and analyzed data from the monitoring units on compliance indicators (i.e., data related to the processes and procedures required by law).
2. The state collected and analyzed data from the monitoring units on child/family outcome indicators.
3. The state collected and analyzed data from the monitoring units on dispute resolution.
4. The state conducted a desk audit or review of data or documents from the monitoring units.
5. The monitoring units conducted a self-assessment (self-review) and reported the results to the state.
6. None of the above occurred.
24. For the monitoring units selected for monitoring, were child records reviewed?
1. Yes
2. No. SKIP to Item 30
25. Was random sampling used to select any of the child records to be reviewed for any monitoring unit?
1. Yes
2. No SKIP to Item 29
26. Which best describes the random sampling used?
1. Simple random sampling was used, which means one group of records was selected from all child records, and all records had an equal chance of being selected. SKIP to Item 29
2. Stratified random sampling was used, which means multiple groups of records were selected from categories of children sorted according to particular characteristics such as age, disability, or race/ethnicity.
3. Other: ____________________. SKIP to Item 29
27. What categories (or strata) were used for the stratified random sampling? [Check all that apply.]
1. Disability category
2. Age
3. Date of identification
4. Race or ethnicity
5. Setting
6. Other: ______________
28. Was oversampling (i.e., selection of a disproportionately large number from a particular category or strata) used for any of the categories?
1. Yes, for the following categories: _____________, _____________, _____________
2. No
29. What were the lowest and highest percentages of child records selected for review among the monitoring units monitored in the last monitoring period?

Lowest percentage of child records reviewed in a monitoring unit: ______%.
Highest percentage of child records reviewed in a monitoring unit: ______%.
30. For the monitoring units selected for monitoring, did monitoring involve a site visit?
1. Monitoring included a site visit for all selected monitoring units.
2. Monitoring included a site visit for some monitoring units, following a regular cycle.
3. Monitoring included a site visit for some monitoring units, based on decision criteria.
4. Monitoring never included a site visit.
31. Were the monitoring units selected for monitoring required to conduct self-assessments that were incorporated into the overall monitoring and local improvement activities conducted by the state lead agency?
1. Yes, all were.
2. Yes, some were, but not all.
3. No. SKIP to Item 33
32. Did the state lead agency provide a standard self-assessment procedure (e.g., a standard set of elements to address, procedures for addressing those elements) for the monitoring unit to follow?
1. Yes
2. No
33. In the table below, indicate how often the state lead agency used each of the following data sources when monitoring a monitoring unit or when planning improvements. [Check one box in each row; disregard the shaded numbers.]

Data Source	Frequency of Use for Monitoring or Improvement Planning
	Never	Rarely	Usually	Always
Parent survey	1	2	3	4
Parent interviews or focus groups	1	2	3	4
Early intervention specialist survey	1	2	3	4
Early intervention specialist interviews or focus groups	1	2	3	4
Advocate survey	1	2	3	4
Advocate interviews or focus groups	1	2	3	4
Site-based administrator (local program director) survey	1	2	3	4
Site-based administrator (local program director) interviews or focus groups	1	2	3	4
Monitoring unit self-assessment reports	1	2	3	4
Public hearings	1	2	3	4
Review of child folders, including review of IFSPs	1	2	3	4
Review of dispute resolution data (complaints, mediations, due process hearings)	1	2	3	4
Review of placement rate data	1	2	3	4
Review of child assessment data	1	2	3	4
Other: ___________________	1	2	3	4
Other: ___________________	1	2	3	4

34. Did the state have an electronic database of individual child records (i.e., records that included individual child identifiers) from which information was extracted and analyzed for monitoring and improvement planning?
1. Yes
2. No SKIP to Item 38
35. Indicate in the table below which data were included in the database for which age group. [Check all boxes that apply; disregard the shaded numbers.]

Child Age Group	Data Available to State Lead Agency in Electronic Form
	Some or all child records were available for all monitoring units	Some or all child records were available for some monitoring units	Available child records included IFSPs for all monitoring units	Available child records included IFSPs for some monitoring units
Birth through 2	1	2	3	4
3 through 5	1	2	3	4

36. Did the database allow the tracking of children from Part C to Part B?
1. Yes
2. No
37. How often were the data updated?
1. Continuously
2. Monthly
3. Annually
4. Other: _____________

After completing Item 37, SKIP to Item 42
38. Does the state have plans to establish an electronic database of individual child records?
1. Yes
2. No SKIP to Item 42
39. Will the planned electronic database include child records from all monitoring units?
1. Yes
2. No
40. What ages will be included in the planned electronic database?

_________through _________
41. On what date will the planned database be fully operational?

____________________
42. Did the state have available for monitoring and improvement planning detailed information (including summaries of issues, topics, or resolutions) from any of the following? [Check all that apply.]
1. Complaints
2. Mediations
3. Due process hearings
4. Compliance findings
5. Corrective actions
6. Local improvement plans
43. Were data regarding dispute resolution analyzed to determine whether statewide systemic noncompliance had occurred?
1. Yes
2. No
44. Were data regarding dispute resolution analyzed to determine whether local systemic noncompliance (within monitoring units) had occurred?
1. Yes
2. No
45. Did findings from monitoring and improvement activities lead to further evaluation in specific areas where statewide systemic noncompliance or deficiencies in performance were found?
1. Yes
2. No SKIP to Item 47
46. Who conducted such an evaluation?
1. The state lead agency conducted the evaluation.
2. An advisory group or steering committee conducted the evaluation.
3. The state lead agency contracted with an independent external evaluator to conduct the evaluation.
4. The state lead agency required monitoring units to conduct self-evaluations focused on the problem area.
5. Other: ____________________

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