Resources for Systems Change and Improvement Planning

There are strong relationships between many of the SPP/APR indicators. Understanding these connections and considering them when planning improvement activities can reveal critical leverage points. Using this approach, the SPP and APR can be very effective mechanisms to guide improvement planning and state systems change.

Rather than addressing each APR indicator separately, states need to examine how the indicators connect with one another, how changes in one indicator might affect other indicators, and be able to prioritize which indicators are most critical to address first. Thinking more systemically about the challenges the state faces can lead to increasingly sustainable solutions.

Thinking systemically is a challenge, as the data used to report on the various SPP/APR indicators are collected in many ways and from a variety of sources. Some data are provided via child, student and family demographics. Other collection points are child outcome data, student state-wide assessment, parent surveys, and school-level discipline data. These data collections are frequently the responsibility of different departments, divisions or programs. As a result, each indicator is often seen as a separate entity, apart from the others, and this perception has made it difficult for states to plan and implement improvement activities that have long-lasting impact on outcomes for infants, toddlers, preschoolers, students and families of children with disabilities.

Using the SPP and APR as frames of reference to think about how the indicators connect and to identify connections between data collections will lead to a plan that results in more efficient use of funds and coordinated professional development, and ultimately improved child and family outcomes and student achievement.

How to Use the Resources

The resources in this collection are organized according to the basic steps in systems thinking and improvement planning. Tools can be customized according to state needs. New resources will be added to the collection as they are identified. If you have a resource or tool to recommend, please use the form to let us know.

These resources guide states through a multiple step approach to identifying, implementing, and evaluating improvement initiatives.

The IT Kit: Thinking Through Improvement (Posted 02.09) is for a wide range of audiences, including state agencies, local education agencies, and early childhood service providers. It teaches a process that will allow participants to develop skills for analyzing and using data to make good decisions and improvements to existing programs. Thinking Through Improvement is divided into three parts: Thinking About Connections, Thinking About Data, and Thinking About Results.

Part One: Thinking About Connections explains how participants are connected to educational accountability. Activities focus on understanding the federal-state-local connection and how local agencies can meet the responsibilities of IDEA 2004.

Part Two: Thinking About Data explains what data may be considered during the improvement planning process and how local agencies can address data quality issues. Activities focus on the interpretation and use of data as it relates to the local improvement process.

Part Three: Thinking About Results explains the PIER process [Prioritizing areas of improvement, Identifying improvement activities, Evaluating process and impact, and Reporting results] for establishing and maintaining local improvement efforts. Activities focus on prioritizing areas for improvement, setting local targets and benchmarks, selecting effective improvement activities, evaluating the Thinking Through Improvement process and impact, and reporting progress on local improvement efforts.

 For more information about these resources, contact North Central Regional Resource Center, Maureen Hawes. Previews of the IT Kit Materials:

IT Kit Guide:PDF

IT Kit Book: PDF

IT Kit Tools: PDF

NECTAC TA Model for Long-Term Systems Change (Posted 02.09)

NECTAC was charged by OSEP from October, 2001, through September, 2006 to develop, implement, and evaluate an approach to technical assistance that would result in sustainable systems change in state Early Intervention and Preschool Special Education programs. Both process and summative evaluation were conducted over the five year contract period. The TA Model for Long-Term Systems Change was found to result in improvements in state and local infrastructures, personnel development systems, practices, and outcomes for children and families.

NECTACTAMODEL21Jan09.doc

The NECTAC TA Model is described in this 18-page document which includes an example of components of a state’s Systems Change Plan. The content is presented in bulleted format for ease of use by TA providers working with an individual state on a process for improving the state system of services. The following areas are covered:

* Background
* Conceptual framework
* Multi-level approach
* Critical characteristics of the model
* Components of the plan
* TA model implementation process steps

 * Evaluation methods
* Criteria for state readiness
* Criteria for plan quality review
* Recommendations for developing plans
* Recommendations for implementing plans
* Anticipated results for states at each level of the system

State Systems Improvement Self Assessment and Planning Guide (Posted 02.09)

Mid-South Regional Resource Center developed this 15-page document, designed to be used as an assessment of State systems by State Part B and Part C staff and their stakeholders. It provides a detailed process for State Education Agencies (SEA) and Lead Agencies (LA) to follow that will guide improvement efforts relative to the APR indicators and other statewide initiatives. Its purpose is to assist States in 1) implementing a systematic approach to designing and refining improvement activities; 2) aligning improvement activities with State priorities; 3) allocating funding and human resources to State improvement efforts which are most effective; and 4) implementing, tracking, documenting and evaluating improvement efforts designed to achieve or maintain compliance and improve performance that lead to better results.

Systems Framework Guide (Posted 06.09)

The purpose of this guide is to assist states and TA providers in making improvement planning and technical assistance decisions within a systems context as it applies to the SPP/APR development. This tool is useful as a discussion guide to determine what TA supports or resources may need to be developed, and to ensure that supports and resources are developed using a system perspective.  Use of this framework will also assist states and TA providers in assessing their current capacity to implement improvement activities in a given area and identify their needs for technical assistance.

These tools assist states in assessing performance on each APR indicator, such as the use of investigative questions and/or root cause analysis.

Technical Assistance Related to SPP Indicators and Determinations

The SPP/APR Calendar website has tools and resources specifically designed to assist states in their efforts to improve performance on State Performance Plans (SPPs). States are encouraged to answer the Overarching Analysis Questions to assist them in making decisions about technical assistance needed to target their improvement efforts. In additon to the overarching questions, drill-down questions specific to each indicator have been developed by OSEP TA Centers. These can can be accessed under the Investigative Questions tab in the resource collection for each individual indicator in the TA Resources section.

These tools were designed to assist states in identifying leverage points and prioritizing improvement areas for each indicator and across indicators.

The Trees of Influences are flow charts (one for Part C indicators, and one for Part B) illustrating relationships of influence among indicators. This tool was originally developed by the WRRC for use in analyzing states' SPPs to illustrate the potential connections and impact of one indicator on others. States have found the flow charts helpful in their own analysis of state plans and data, and in planning future improvement strategies. Performance on a single indicator often becomes the focus of improvement efforts, when in fact, to elicit the desired change the effort should be targeted further back in the chain of influences. The document is available in PDF format for Part B and Part C.

Part B Tree of Influences

Part C Tree of Influences

Nevada's Innovation Adoption Readiness Model (IARM) This model is designed for tracking the readiness for adoption of an innovation by an agency or institution. The IARM is an Excel tool with questions requiring a yes/no response or high/medium/low choices. The tool can be adapted for different situations by creating a new set of questions. The tools works best if at least three people answer the questions, then examine any discrepancies and explore why there might be differences in ranking in those areas.

The tool graphically represents the degree to which a given innovation is already in place. Each arm on the star represents an essential element. For each arm on the star there is a set of questions. Responses to the questions dictate the length of the arm. A long arm indicates no or low implementation for a given variable (hitting wide of the target). A short arm indicates a high level or quality of implementation (hitting the target).

This tool is an example of an easy way to present data to stakeholders who may not be accustomed to analyzing data or unsure how to interpret data in terms of readiness for change. Specific versions of the model include:

Innovation Adoption Readiness Model (IARM) for Response to Intervention (RTI) model
Innovation Adoption Readiness Model (IARM) for Instructional Consultation model
Innovation Adoption Readiness Model (IARM) for NCATE accreditation

This model was developed by Ed Caffarella at SUNY Cortland. Please direct any comments or suggestions about the model to Dr. Caffarella.

 Resources in this section assist states in developing effective implementation strategy plans.

PDSA (Plan - Do - Study - Act) is a process used in continuous quality improvement. This site offers a worksheet that can help you use the PDSA methodology as your team implements initiatives.

Resource Mapping
The community resource mapping process acknowledges that individuals, organizations, and local institutions all have the capacity to create real change in their communities, but that no agency can do it alone. With increased accountability, tight budgets, resource shortages, and fragmented services, it is a sound decision for communities to encourage cross-agency and cross-systems coordination. Insight into a community’s existing partnerships and programs, resource allocations and policies, and priorities and assets can contribute to its ability to evaluate its overall effectiveness in serving its children and youth with disabilities. It can also support the creation of a strategic plan to improve the alignment, coordination, and ultimately, delivery of services. When combined with community information, resource maps can provide a comprehensive picture of a community’s vision, goals, projects and infrastructure.

Essential Tools Community Resource Mapping

This 52 page publication was issued by the Institute on Community Integration at the University of Minnesota, in collaboration with the National Center on Secondary Education and Transition. The publication clearly lays out the steps involved in the process and includes tools to use along the way.

Resource Mapping: A Toolkit for Education Communities

This is a multi-tiered, multi-faceted prevention framework developed by a statewide systems change initiative in Wisconsin called The Early and Ongoing Collaboration and Assistance project (EOCA). This Resource Mapping toolkit is one in a series of toolkits developed under the initiative to help school teams, mentors and other support professionals implement the COCA framework. Resource Mapping assists teams in identifying and aligning resources and promoting collaborative planning and instruction to enhancing educational options.

 These tools assist states in assessing the process and impact of the improvement strategies they are implementing.

SPP/APR Improvement Activity Review Form (PDF) This form is intended for states to broadly assess quality of improvement activities for SPP/APR indicators.