September 8, 2005

Honorable Steve Shivers

Commissioner

Alabama Department of Rehabilitation Services

2129 East South Boulevard

Post Office Box 11586

Montgomery, Alabama 36111-0586

Dear Commissioner Shivers:

The purpose of this letter is to respond to Alabama's March 28, 2005
submission of its Federal Fiscal Year (FFY) 2003 Annual Performance
Report (APR) under the Individuals with Disabilities Education Act
(IDEA) Part C for the grant period July 1, 2003 through June 30,
2004[^1]. The APR reflects actual accomplishments that the State made
during the reporting period, compared to established objectives. The
Office of Special Education Programs (OSEP) has designed the APR under
the IDEA to provide uniform reporting from States and result in
high-quality information across States.

The State's APR should reflect the collection, analysis, and reporting
of relevant data, and include specific data-based determinations
regarding performance and compliance in each of the cluster areas. This
letter responds to the State's FFY 2003 APR. OSEP has set out its
comments, analysis and determinations by cluster area.

*Background*

The conclusion of OSEP's October 14, 2004 FFY 2002 APR response letter
required the Alabama Department of Rehabilitation Services, Division of
Early Intervention (ADRS-DEI) to continue to report, in its FFY 2003
APR, on its progress in ensuring full compliance with the requirements
regarding: (1) the provision of early intervention services listed on
the individualized family service plan (IFSP), including initiation of
services as soon as possible after IFSP development (34 CFR
§§303.340(c), 303.342(e) and 303.344(f)(1)), and individualization of
IFSP services (34 CFR §303.344(d)); (2) the six-month and annual reviews
of IFSPs (34 CFR §303.342(b) and (c)); and (3) timely transition
conference planning (34 CFR §303.148(b)(2)(i)). OSEP also required the
State to include specific monitoring data regarding the extent to which
service coordinators are fulfilling their roles and responsibilities,
pursuant to 34 CFR §303.23(a)(2) and (b).

*General Supervision*

[Identification and timely correction of noncompliance]{.underline}

On pages 7-12 of the General Supervision section in the FFY 2003 APR,
ADRS-DEI included initial and follow-up Provider Appraisal Review
(PAR)[^2] data and analysis regarding its monitoring of local early
intervention programs during the SFY 2002 through SFY 2004 reporting
periods. The State indicated that most Part C compliance findings
identified during SFY 2002 and SFY 2003 related to natural environments,
procedural safeguards, IFSP services, and transition. Pages 8-9 of this
cluster included a summary of follow-up PARs in SFY 2004 that found
these local programs, with technical assistance and some new contract
providers, remediated all the noncompliance identified in SFY 2002 and
SFY 2003, with most corrective action plans being completed within six
months. Pages 7-9 indicated that previously-identified noncompliance
involving one local program was not corrected, but its State fiscal
agent closed the program, and children were transferred to other early
intervention programs. Pages 9-12 included SFY 2004 PAR data and
analysis indicating that monitoring findings were identified in four
local programs, out of 29 total local programs monitored during SFY
2004, related to documentation of evaluations and assessments, IFSP
services or transition requirements. Pages 11-12 indicated that State
staff recommended corrective actions and follow-up technical assistance,
and monitoring visits later in 2004 or in 2005 reflected that the
identified compliance issues were remediated, except in one program that
received a one-year program certification requiring additional follow-up
to verify correction of the identified noncompliance. In addition, page
8 of the APR stated that, "there was no repetition of local programs
being out of compliance from year to year."

On page 4 of the General Supervision section of its APR, the State
described its monitoring process, which groups the program requirements
or "indicators" into "components." The State reported that it determined
a component to be in compliance if it has a weighted total of 90- 100%,
and partial compliance if it has a weighted total of 80-89%. In the
State Performance Plan (SPP), due December 2, 2005, the State must
describe how the State ensures full (i.e., 100%) compliance with Part C
requirements.

[Dispute resolution]{.underline}

In Attachment 1 and on page 13 of the General Supervision section in the
FFY 2003 APR, the State indicated that it received no formal Part C
administrative complaints or Part C requests for due process hearings or
mediation during the reporting period. On pages 13-15, the State
described a number of mechanisms that ADRS-DEI employed to gather parent
and provider input for State decision-making, compliance and program
improvement used to effect system change. OSEP appreciates the work of
the State regarding performance and compliance in this area.

[Personnel]{.underline}

On pages 17-21 of the General Supervision section in the FFY 2003 APR,
the State reported that the PARs consistently monitored the use of
qualified personnel, and that programs and private vendors were required
to comply with ADRS Personnel Standards, involving certification and
licensure requirements approved by the State Interagency Coordinating
Council (ICC). Pages 19 and 33-34 stated: (1) "All of the programs
monitored during SFY 2003 and SFY 2004 were in compliance with the
personnel standards"; and (2) "The number of temporary, provisional or
emergency certifications for personnel who provide services to eligible
infants and toddlers with disabilities were within the limits
established by the State ICC via the Personnel Standards
(Subcommittee)." OSEP appreciates the work of the State regarding
performance in this area.

[Collection and timely reporting of accurate data]{.underline}

On pages 36-37 of the General Supervision section in the FFY 2003 APR,
the State described its new web-based data system and the procedures
used to ensure data accuracy through two mechanisms: (1) during the PAR
process, data are collected and compared against children's records to
determine the accuracy of the data in the database; and (2) the three
State fiscal agencies develop reports from the database that are used to
identify needed corrections. On page 36, Alabama reported that its
fiscal agents did not identify any inaccurate data. OSEP appreciates the
State's efforts regarding performance and compliance in this area and
looks forward to reviewing data and information in this area in the SPP,
due December 2, 2005.

*Comprehensive Public Awareness and Child Find System*

On pages 1-7 of the Child Find section in the FFY 2003 APR, the State
reported: (1) PAR data reflecting 100% compliance in local programs
monitored for public awareness, outreach and eligibility indicators; (2)
there was an increase of 400 children referred to early intervention
from 3,450 in SFY 2003 to 3,850 in SFY 2004; (3) 2,065 of the SFY 2004
referrals were determined to be Part C-eligible, in accordance with the
State's Part C eligibility criteria; (4) according to the annual child
count submitted under section 618 of IDEA there was an increase of 102
children identified on the State's December 1 Part C child count from
2,159 in December 2003 to 2,261 in December 2004; (5) there was a total
increase of 189 children served during the SFY 2004 reporting period as
compared to the number of children served in SFY 2003; (6) the
child-count data indicated an increase in total referrals and in the
State's Part C child count, but the number of counties serving at or
above 2% of the infant-toddler population actually decreased from ten
counties in SFY 2003 to seven counties in SFY 2004; and (7) the total
number of children served in the program under one year of age, as
indicated in the State's December 1, 2004 Part C child count, was 291,
representing an increase of 76 infants served in the birth-to-one
population, compared to 215 infants under one year of age identified in
the State's December 1, 2003 child count.

On pages 8-11, the State described specific outreach efforts undertaken
during the SFY 2004 reporting period, such as the development and
dissemination of early intervention materials and brochures to the
medical community and the Hispanic community and other collaborative
initiatives with other programs and groups, to raise public awareness
and increase referrals to the State's early intervention system. On page
9, the State reported that there was an increase in referrals of
Hispanic children from 89 in SFY 2002 to 110 in SFY 2003 to 152 in SFY
2004, and, as reported in the State's December 1 child count, in the
total number of Hispanic children served, from 44 in 2002 to 56 in 2003
to 79 in 2004. OSEP appreciates the State's efforts in this area and
looks forward to reviewing updated data and information regarding
performance in this area in the SPP.

*Family Centered Services*

On pages 1-4 of the Family Centered Services section in the FFY 2003
APR, the State included PAR data regarding compliance among local
programs with regard to family involvement. The State also included PAR
Family Survey results regarding parent involvement in
evaluation/assessment and IFSP processes, as well as in family awareness
of child and parent rights, reflecting parent satisfaction and
involvement. On pages 4-7, the State enumerated ways it tries to
increase the knowledge of diverse and multicultural families about
programs, services and supports. OSEP appreciates the State's efforts in
this area and looks forward to reviewing updated data and information in
the SPP.

*Early Intervention Services in Natural Environments (EIS/NE)*

#### Service Coordination

On pages 2-6 of the EIS-NE section in the FFY 2003 APR, the State
reported data and analysis regarding service coordination throughout the
State. The State included PAR data compiled from the 29 programs
monitored during SFY 2004 regarding the roles and responsibilities of
service coordinators required under 34 CFR §303.23(a)(2) and (b). OSEP
appreciates the State's efforts regarding service coordination.

[Evaluation and identification of needs]{.underline}

On page 8 of the EIS-NE section of the FFY 2003 APR, the State reported
that personnel conducting evaluations and interpreting results during
the SFY 2004 reporting period were qualified and met the ADRS Personnel
Standards, and that infants and toddlers referred to AEIS received
evaluations in all five areas of development. On page 8, the State
reported that the PAR process consistently monitored and implemented
corrective actions, where indicated, regarding: (1) qualifications of
personnel conducting and interpreting early intervention evaluations
throughout the State; (2) the provision of evaluations in all five areas
of development; and (3) the provision of evaluations in the native
language or other mode of communication of the family. The State
reported PAR data from the 29 local programs monitored during SFY 2004
regarding State evaluation and assessment indicators covering these
three areas. OSEP appreciates the State's efforts in the evaluation and
assessment area and looks forward to reviewing evaluation and assessment
data and information in the SPP.

[IFSPs]{.underline}

OSEP's October 2004 letter required the State to report, in its FFY 2003
APR, its progress in ensuring full compliance with the Part C
requirements regarding: (1) the provision of early intervention services
listed on IFSPs, including initiation of services as soon as possible
after IFSP development (34 CFR §§303.340(c), 303.342(e) and
303.344(f)(1)); (2) individualization of IFSP services (34 CFR
§303.344(d)); and (3) the six-month and annual reviews of IFSPs (34 CFR
§303.342(b) and (c)). On page 12 of the EIS-NE section in the FFY 2003
APR, the State reported: (1) during SFY 2004, AEIS provided early
intervention services in a timely manner to eligible infants and
toddlers and their families that were linked to "identified concerns;"
(2) ADRS-DEI consistently monitored the timely provision of on-going
IFSP reviews and implemented corrective actions where indicated; and (3)
PAR data from the 29 local programs monitored during SFY 2004 regarding
PAR indicators concerning: (a) IFSP development to meet the unique needs
of the child and family, with no generalized patterns of service
delivery evident; (b) initiation of early intervention services as soon
as possible after the development of the IFSP; and (c) IFSP six-month
and annual reviews. OSEP looks forward to reviewing the State's data as
requested in the SPP.

[Natural Environments]{.underline}

On pages 13-14 of the EIS-NE section in the FFY 2003 APR, the State
included data from December 1, 2003 indicating that AEIS was serving
approximately 90% of eligible infants and toddlers (1,959 out of 2,159
children served) in the home (82% or 1,780 children) or in programs with
typically developing children (8% or 179 children). The State also
included family satisfaction survey data on pages 14-15 indicating that
97-98% of respondents rated their service coordinator as "good" to
"excellent" in assisting them in receiving services and supports in
natural environments. OSEP appreciates the State's efforts in the area
of the provision of early intervention services in natural environments
and looks forward to reviewing updated data and information in the SPP.

[Early Childhood Outcomes]{.underline}

Under the Government Performance and Results Act of 1993, 31 U.S.C.
1116, the effectiveness of the Part C program is measured based on the
extent to which children receiving Part C services demonstrate improved
and sustained functional abilities in the cognitive, physical,
communication, social or emotional and adaptive developmental areas. The
Part C FFY 2001, 2002 and 2003 APRs requested data on the percentage of
children participating in the Part C program that demonstrate improved
and sustained functional abilities in the developmental areas listed in
34 CFR §303.322(c)(3)(ii)). On pages 16-17 of this cluster, the State
provided the following information: (1) in 2003, 239 children or 21% of
the total number of children exiting Part C completed their IFSP prior
to reaching the maximum age for Part C, and 25% in 2004; and (2) the
State is developing a new IFSP rating system to more accurately evaluate
the family's satisfaction with their child's sustained and/or functional
abilities; however, the new IFSP rating system was not available during
the SFY 2004 reporting period. In preparation for submission of the SPP
on December 2, 2005, the State should carefully consider data and
information collected for the APRs, along with OSEP's responses, against
the requirements related to this indicator in the SPP packet.

***Early Childhood Transition***

Based on the data the State reported in its Improvement Plan, OSEP's
December 2002 letter identified noncompliance with the transition
conference requirements at 34 CFR §303.148(b)(2)(i). In its October 2004
letter, OSEP required the State to continue to report, in its FFY 2003
APR, on its progress in ensuring full compliance with those
requirements. On pages 2-5 of the Early Childhood Transition section in
the FFY 2003 APR, the State included PAR data showing that in the 29
programs monitored during SFY 2004, ADRS-DEI found that: (1) of 170
records reviewed of children who were entering the transition process,
160 records (94%) had documented transition plans regarding a timely
transition planning conference; and (2) the ten children's records that
did not have documentation of a timely transition planning conference
were in three local programs. ADRS-DEI personnel provided technical
assistance and developed action plans that required mandatory transition
training and targeted technical assistance to bring these programs into
compliance. On page 2 of the Early Childhood Transition section of the
FFY 2003 APR, the State reported that those three local programs reached
full compliance by August 2004.

ADRS included information regarding extensive lead agency and district
training around transition issues for service coordinators and other
providers, families and school district personnel, as well as family
survey data indicating that families rated their transition experience
at a 93 to 95% rate of satisfaction. The State revised its monitoring
procedures to measure the participation of local education agencies'
representatives in transition meetings.

OSEP appreciates the State's efforts to remediate the noncompliance
issues regarding transition conferences. OSEP has not identified any
further concerns regarding this issue.

***Conclusion***

In the SPP, due December 2, 2005, the State must describe how the State
ensures full (i.e., 100%) compliance with Part C requirements.

IDEA 2004, Section 616, requires each State to submit an SPP that
measures performance on monitoring priorities and indicators established
by the Department. These priorities and indicators are, for the most
part, similar to clusters and probes in the APR. OSEP encourages the
State to carefully consider the comments in this letter as it prepares
its SPP, due December 2, 2005.

OSEP recognizes that the APR and its related activities represent only a
portion of the Part C work in Alabama, and we look forward to
collaborating with you as you continue to improve results for infants
and toddlers with disabilities and their families. If you have
questions, please contact your OSEP Part C State Contact, Rhonda Spence,
at (202) 245-7382.

> Sincerely,
>
> /s/Troy R. Justesen
>
> Troy R. Justesen
>
> Acting Director
>
> Office of Special Education Programs

cc: Elizabeth D. Prince

Part C Coordinator

[^1]: Alabama uses its State Fiscal Year (SFY), October 1st through
    September 30th as its reporting period for APRs. Therefore, SFY 2004
    is reported in the FFY 2003 APR.

[^2]: Provider Appraisal Review (PAR) monitoring is the on-site
    component of AEIS's comprehensive systems of monitoring certified
    local programs and providers, as well as district early intervention
    staff. The State's comprehensive general supervision monitoring
    systems also include data collection and review.