**Part C State Performance Plan (SPP) and Annual Performance Report
(APR)**

**Instruction Sheet**

# I. General Instructions

Information Collection 1820-0578, *Part C State Performance Plan (SPP)
and Annual Performance Report (APR)*, contains both SPP and APR
instructions. The instruction sheet is divided into four sections: 1)
General Instructions; 2) State Performance Plan; 3) Annual Performance
Report; and 4) Related Requirements. States are encouraged to make note
of the following due dates and implement a development schedule
accordingly:

By February 1, 2008, States must submit:

1\) Progress data and improvement activities (using the SPP template)
for Indicator 3. In addition, the State must indicate where, on its Web
site, a complete copy of the State's revised SPP is available.

2\) The State's FFY 2006 Part C APR, which must contain actual target
data from FFY 2006 and other responsive APR information for Indicators
1, 2, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, and 14.

3\) Information to address any deficiencies identified in OSEP's letter
responding to the State's February 1, 2007 SPP/APR.

When completing the SPP and APR, Lead Agencies will need to use the
following parts of Information Collections 1820-0578 and 1820-0678.

> SPP Materials --

-   SPP Instructions (See Section II of the enclosed Instructions.)

-   Part C Indicator/Measurement Table with Instructions[^1]

-   SPP Template

> APR Materials --

-   APR Instructions (See Section III of the enclosed Instructions.)

-   Part C Indicator/Measurement Table with Instructions

-   APR Template

As noted in the conference report to HR 1350, it is Congress'
expectation that SPPs, indicators, and targets will be developed with
broad stakeholder input and public dissemination. Therefore, the State
is required to provide an explanation in the Overview to State
Performance Plan Development in the SPP template to clarify how the
State: 1) Obtained 'broad input' from stakeholders related to "New
Indicators"; and 2) Disseminated the SPP to the public. Similarly, in
the FFY 2006 APR, the State must provide a description of the process
the State used to develop the APR. The description must include how and
when the State will report annually to the public on: 1) the State's
progress and/or slippage in meeting the 'measurable and rigorous
targets' found in its Part C SPP; and 2) the performance of each early
intervention service program (EIS program) located in the State on the
targets in the SPP.

The *Part C Indicator Measurement Table* lists the Monitoring Priorities
and Indicators, required data sources and measurement, and instructions
for providing the required information for each indicator. In addition
to the percentages required in the indicators, Lead Agencies are
required to provide [actual numbers]{.underline} used in the
calculations.[^2] In examining data, Lead Agencies are encouraged to use
the strategies and questions provided in the *Using Data to Guide
Improvement Efforts: Data Analysis* workshop. These questions can be
accessed at <http://www.ed.gov/policy/speced/guid/idea/capr/index.html>

Lead Agencies may add other indicators under Part C if there are
additional areas that the Lead Agency wishes to track and measure to
improve results for infants and toddlers with disabilities and their
families. If additional indicators are added, the Lead Agency must
identify its data source, measurement, and calculation for each
indicator added. In addition, the Lead Agency must include the State's
targets under its additional indicators and data to measure its
performance against the targets.

States are allowed to use sampling when so indicated on the *Part C
Indicator Measurement Table*. When sampling is used, a description of
the sampling methodology outlining how the design will yield valid and
reliable estimates *must* be submitted to OSEP. The description must
describe the: (a) sampling procedures followed (e.g., random/stratified,
forms validation); and (b) the similarity or differences of the sample
to the population of children with disabilities in the early
intervention program (e.g., how all aspects of the population such as
disability category, race, age, gender, etc. will be represented). The
description must also include how the Lead Agency addresses any problems
with: (1) response rates; (2) missing data; and (3) selection bias.

Samples from EIS programs must be representative of each of the EIS
programs sampled, considering such variables as eligibility definition
(diagnosed condition or developmental delay), age, race, and gender. In
reporting on the performance of small EIS programs, the Lead Agency
shall not report to the public or the Secretary any information on
performance that would result in the disclosure of personally
identifiable information about individual children or where the
available data is insufficient to yield statistically reliable
information, i.e., numbers are too small.

For indicators that permit sampling, the Lead Agency must include in its
report on the performance of EIS programs the most recently available
performance data on each EIS program and the date the data were
obtained. If a Lead Agency is using sampling for one or more indicators,
the Lead Agency must sample on the performance of each EIS program on
each of those indicators at least once during the course of the SPP.
Further, if a Lead Agency is using sampling, the Lead Agency must
collect data from a representative sample of EIS programs each year in
order to report on State performance annually.

Submit a copy of the APR to the following address:

> U.S. Department of Education
>
> ATTN: Janet Scire / Mail Stop 2600
>
> 7100 Old Landover Road
>
> Landover, MD, 20785-1506

If available, a corresponding electronic text file of the SPP and/or APR
should be submitted to <OSERS.capr@ed.gov>

The submission requirements, tables, and templates that should be used
to complete the Part C SPP and/or APR can be accessed electronically at
<http://www.ed.gov/policy/speced/guid/idea/monitor/index.html>.

If you have any further questions about the SPP and/or APR and/or the
submission options listed above, please contact your OSEP Part C State
contact.

**II. State Performance Plan (SPP)**

> The State Performance Plan (FFY 2005-2010) was submitted on December
> 2, 2005 and is to be reviewed by the State at least once every six
> years. The Secretary shall review each SPP. A SPP shall be deemed
> approved by the Secretary unless the Secretary makes a written
> determination, prior to the expiration of the 120-day period beginning
> on the date on which the Secretary received the plan, that the plan
> does not meet the requirements of 20 U.S.C. 1416, including the
> specific provisions described at 20 U.S.C. 1416(b).

  -----------------------------------------------------------------------
  **Lead Agencies are to provide information, as instructed, in the
  following section of the SPP Template:**

  -----------------------------------------------------------------------

> **Overview of State Performance Plan Development:**

-   Provide a description of the process the Lead Agency used to develop
    the SPP. The description must include how the Lead Agency:

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-   Obtained 'broad input' from stakeholders; and

-   Will disseminate the SPP to the public.

+-----------------------------------------------------------------------+
| **Information found in the following sections of the SPP Template is  |
| provided by the Secretary:**                                          |
|                                                                       |
| **Monitoring Priority:**                                              |
|                                                                       |
| -   A prioritized area in which Lead Agency and EIS programs'         |
|     performance is measured. [Monitoring priorities are determined by |
|     the Secretary]{.underline}.                                       |
|                                                                       |
| **Indicator:**                                                        |
|                                                                       |
| -   A statement used to help quantify and/or qualify a monitoring     |
|     priority. [Indicators are determined by the                       |
|     Secretary]{.underline}.                                           |
|                                                                       |
| **Measurement:**                                                      |
|                                                                       |
| -   Specific measures, determined by the Secretary and in designated  |
|     cases by the Lead Agency, used to quantify or qualify given       |
|     indicators. [Measurements are determined by the Secretary or in   |
|     designated cases by the Lead Agency]{.underline}.                 |
+-----------------------------------------------------------------------+

  -----------------------------------------------------------------------
  **Lead Agencies are to provide information, as instructed, in the
  following sections of the SPP Template:**

  -----------------------------------------------------------------------

> **Overview of Issue/Description of System or Process:**

-   Provide an overview or description of the issue (e.g., Child
    Find/Public Awareness) or system (e.g., monitoring).

> **Baseline Data:**

-   Provide [baseline]{.underline} data using the measurements provided
    by the Secretary or as determined by the Lead Agency.

> **Discussion of Baseline Data:**

-   Provide clarification needed in regard to the baseline data.

> **FFY:**

-   Indicate the federal fiscal year on which data are being reported.

> **Measurable and Rigorous Target:**

-   Designate, for each indicator, the desired level of performance to
    be reached for each specified federal fiscal year (FFY).

-   Progress data and improvement activities for Indicator 3 are to be
    provided with the FFY 2006 (2006-2007) APR due February 1, 2008.

-   Targets for Indicators 1, 7, 8, 9, 10, 11, and 14 cannot be less
    than 100%.

> **Improvement Activities/Timelines/Resources:**

-   Describe how the Lead Agency will improve performance for each
    indicator, including activities, timelines, and resources.

## III. Annual Performance Report

> The State Annual Performance Report is to be submitted annually in
> accordance with 20 U.S.C. 1416(b)(2)(C)(ii)(II) and 1442. The first
> APR will be due February 1, 2008. The State shall report annually to
> the public on the performance of each EIS program located in the State
> on the targets in the State's performance plan. The State shall report
> annually to the Secretary and the public on the performance of the
> State under the State's performance plan.

  -----------------------------------------------------------------------
  **Lead Agencies are to provide information, as instructed, in the
  following section of the APR Template:**

  -----------------------------------------------------------------------

> **Overview of the Annual Performance Report Development:**

-   Provide a description of the process the Lead Agency used to develop
    the APR. The description must include how and when the Lead Agency
    will report annually to the public on the:

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```
-   Progress and/or slippage in meeting the 'measurable and rigorous
    targets' found in the SPP; and

-   Performance of each EIS program located in the State on the targets
    in the SPP.

+-----------------------------------------------------------------------+
| **Information found in the following sections of the APR Template is  |
| provided by the Secretary:**                                          |
|                                                                       |
| **Monitoring Priority:**                                              |
|                                                                       |
| -   A prioritized area in which Lead Agency and EIS programs'         |
|     performance is measured. [Monitoring priorities are determined by |
|     the Secretary]{.underline}.                                       |
|                                                                       |
| **Indicator:**                                                        |
|                                                                       |
| -   A statement used to help quantify and/or qualify a monitoring     |
|     priority. [Indicators are determined by the                       |
|     Secretary]{.underline}.                                           |
|                                                                       |
| **Measurement:**                                                      |
|                                                                       |
| -   Specific measures, determined by the Secretary and in designated  |
|     cases by the Lead Agency, used to quantify or qualify given       |
|     indicators. [Measurements are determined by the Secretary or in   |
|     designated cases by the Lead Agency]{.underline}.                 |
+-----------------------------------------------------------------------+

  -----------------------------------------------------------------------
  **Lead Agencies are to provide information, as instructed, in the
  following sections of the APR Template:**

  -----------------------------------------------------------------------

> **FFY:**

-   Indicate the federal fiscal year on which data are being reported.

> **Measurable and Rigorous Target:**

-   Designate, for each indicator, the desired level of performance to
    be reached for the specified FFY.

> **Actual Target Data for** *(Insert FFY)***:**

-   Provide the actual target data for the given indicator.

> **Discussion of Improvement Activities Completed and Explanation of
> Progress or Slippage that occurred for** *(Insert FFY)***:**

-   Analyze data to form a basis for this discussion. Describe the
    improvement activities implemented during the FFY and progress on
    meeting the targets. Describe any slippage, e.g., lack of progress
    on the target, improvement activities not completed, etc., that has
    occurred and how the State plans to address the slippage through
    adjustments or improvements made in State programs, policies, or
    practices. Provide an explanation of performance data in this
    section, if needed.

-   Provide detailed information about the timely correction of
    noncompliance as noted in OSEP's review of the previous APR. If the
    State did not correct the previous noncompliance, provide
    information regarding the nature of the continuing noncompliance,
    improvement activities completed (e.g., review of policies and
    procedures, technical assistance, training, etc.) and any
    enforcement actions that were taken.

-   The Lead Agencies shall not report to the public or the Secretary
    any information on performance that would result in the disclosure
    of personally identifiable information about individual children or
    where the available data is insufficient to yield statistically
    reliable information, i.e., numbers are too small.

**Revisions, with Justification, to Proposed Targets / Improvement
Activities / Timelines / Resources for** *(Insert FFY)***:**

-   Provide information on revised targets, activities, timelines or
    resources. This information should include the State\'s revisions to
    the SPP and justification for the revisions. Revisions to targets,
    activities, timelines or resources do not relieve the State of its
    responsibility to provide \"Actual Target Data\" for the given year.

IV. **Related Requirements**

> This document includes a list of the Monitoring Priorities and
> Indicators and the requirements from the statutes and regulations that
> are related to each Priority and Indicator. The purpose of this
> document is to inform States of the statutory and/or regulatory
> requirements related to each Indicator that will be reviewed by OSEP
> as part of Focused Monitoring. That is, if OSEP determines that it
> will do Focused Monitoring in a State because that State is low
> performing or in noncompliance with a specific indicator, OSEP will
> review the Related Requirements for that Indicator as part of the
> Focused Monitoring. OSEP encourages States to examine their general
> supervision systems to determine how they address these Related
> Requirements.

[^1]: Monitoring Priorities, indicators, and measurements included on
    the *Part C Indicator Measurement Table* are to be used to complete
    designated sections of the SPP and APR Templates. Templates
    containing monitoring priorities, indicators, and measurements can
    be found at
    <http://www.ed.gov/policy/speced/guid/idea/capr/index.html>

[^2]: Lead Agencies are not required to provide the actual numbers for
    Indicators 2, 5 and 6 because they are using 618 State-reported data
    for these Indicators, specifically the percentages that the State
    reported for its 2006 IDEA Section 618 child count and service
    settings data collection report that was due in February 2007
    (Information collection 1820-0557).