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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

EDICS Tracking and OMB Number: (04569) 1820-0578

Revised 3/18/2013

A. Justification 

1. Explain the circumstances that make the collection of information necessary. Identify

any legal or administrative requirements that necessitate the collection. Attach a hard 

copy of the appropriate section of each statute and regulation mandating or authorizing 

the collection of information, or you may provide a valid URL link or paste the 

applicable section. Please limit pasted text to no longer than 3 pages. Specify the review 

type of the collection (new, revision, extension, reinstatement with change, reinstatement 

without change). If revised, briefly specify the changes. If a rulemaking is involved, 

make note of the sections or changed sections, if applicable.

This is a request for review and approval of a revision to the currently approved Part C 

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

[Information Collection 1820-0578/Expiration Date: 8/31/2014). In accordance with 20 

U.S.C. 1416(b)(1) and 20 U.S.C. 1442, not later than one year after the date of enactment 

of the Individuals with Disabilities Education Improvement Act of 2004 (IDEA), each 

Lead Agency must have in place a Part C SPP that evaluates the Lead Agency’s efforts to 

implement the requirements and purposes of Part C and describe how the Lead Agency

will improve such implementation. IDEA sections 616(b)(1)(C) and 642 require each 

State to review its SPP at least once every six years. In accordance with 20 U.S.C. 

1416(b)(2)(C)(ii) the Lead Agency must report annually to the public on the performance 

of each early intervention service (EIS)1program located in the State on the targets in the 

Lead Agency’s performance plan. The Lead Agency also must annually submit a Part C 

APR to the Secretary on the performance of the State under the Lead Agency’s 

performance plan. The final regulations may be accessed at this link -

http://idea.ed.gov/part-c/regulations/1. 

This collection is conducted in a manner that is consistent with the guidelines in 5 CFR 

1320.5.

Each State submitted its SPP, including targets through FFY 2009, in December 2005. In 

2011, to meet the requirement set forth in IDEA sections 616(b)(1)(C) and 642 to review 

the SPP every six years, and in the absence of IDEA reauthorization, OSEP proposed to 

 

1 Early intervention service program (EIS program) means an entity designated by the lead agency for reporting 

under section 616 (b)(2)(C) of the Act.
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

make no major changes to the SPP, e.g., significant revisions to indicators.2Therefore, 

each State extended its targets and improvement activities through FFY 2012.

In 2012, OMB approved burden-reducing technical amendments to 1820-0578 to 

conform with similar revisions to collection 1820-0624 (Part B SPP/APR).

With this request, OSEP is proposing to further reduce reporting burden within the 

parameters of the current IDEA statutory and regulatory requirements. See OSEP’s 

answer to Question 12 for a full explanation.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a 

new collection, indicate the actual use the agency has made of the information received 

from the current collection.

As required by IDEA sections 616(b)(1)(A) and 642, each State must have in place a SPP 

that evaluates the State's efforts to implement the requirements and purposes of Part C of 

the IDEA, and describes how the State will improve its implementation. IDEA section 

616(b)(2) requires that the State report annually to the Secretary on its performance under 

the Part C SPP. Specifically, the State must report, in its APR, on its progress in meeting 

the measurable and rigorous targets it established in its SPP. 

IDEA sections 616(d) and 642 require that the Department review the APR each year. 

Based on the information provided in the State's APR, information obtained through 

monitoring visits, and any other public information, the Department will determine if the 

State: “Meets requirements” and purposes of the IDEA or “Needs Assistance,” “ Needs 

Intervention,” or “Needs Substantial Intervention” in implementing the requirements of 

the IDEA.

3. Describe whether, and to what extent, the collection of information involves the use of 

automated, electronic, mechanical, or other technological collection techniques or forms 

of information technology, e.g. permitting electronic submission of responses, and the 

basis for the decision of adopting this means of collection. Also describe any

consideration given to using technology to reduce burden.

Lead Agencies may complete and mail a copy of the SPP/APR to the Office of Special 

Education Programs or submit electronically to OSERS.capr@ed.gov. Additionally, 

OSEP is currently developing an online SPP/APR submission mechanism. It is 

anticipated that the system will be operational for the FFY 2012 (February 2014) 

SPP/APR submission allowing for a limited pilot. States will be required to submit using 

the online system beginning with the FFY 2013 (February 2015) SPP/APR submission.

4. Describe efforts to identify duplication. Show specifically why any similar information 

already available cannot be used or modified for use for the purposes described in Item 2

above.

 

2 Many of the indicators that stakeholders suggested be removed or changed significantly are prescribed by statute, 

and in the absence of Congressional action, may not be removed.
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

Since 2005, all Lead Agencies have completed and submitted seven APRs. Beginning 

with the APR to be submitted in February 2015, a combined Part C SPP/APR is taking 

the place of the previous APR (see Answer 12). This proposed revision will eliminate 

duplicate reporting in the SPP and in the APR on the State’s targets and discussion of 

improvement activities completed. In addition, with the proposed revision of this 

collection, the Department would allow Lead Agencies to use data already collected for 

other purposes whenever possible. 

The SPP/APR provides States an opportunity to analyze and explain data that the State is 

required to report annually under IDEA sections 618 and 642; i.e., number of infants and 

toddlers served, settings where services are provided. OSEP submitted technical 

amendments in October 2012 to 1820-0578 that removed two indicators – Indicators 10 

(State complaint timelines) and 11 (due process hearing timelines) - as OSEP is able to 

evaluate State performance without the information provided in the indicators. OSEP is 

currently proposed to eliminate Indicators 9 and 14 because, as with Indicators 10 and 11, 

OSEP is able to evaluate State performance in these areas (monitoring and data 

collection) without the information provided in those indicators. (See Question 12 for 

more information.)

5. If the collection of information impacts small businesses or other small entities, describe 

any methods used to minimize burden. A small entity may be (1) a small business which 

is deemed to be one that is independently owned and operated and that is not dominant in 

its field of operation; (2) a small organization that is any not-for-profit enterprise that is 

independently owned and operated and is not dominant in its field; or (3) a small 

government jurisdiction, which is a government of a city, county, town, township, school 

district, or special district with a population of less than 50,000.

The information requested does not involve the collection of information from entities 

classified as small business.

6. Describe the consequences to Federal program or policy activities if the collection is not 

conducted or is conducted less frequently, as well as any technical or legal obstacles to 

reducing burden.

Activities described in answers A1 and A2 would not be completed and OSEP would be 

in violation of section 616 of the IDEA, if this collection was not conducted.

7. Explain any special circumstances that would cause an information collection to be 

conducted in a manner:

 requiring respondents to report information to the agency more often than quarterly;

 requiring respondents to prepare a written response to a collection of information in 

fewer than 30 days after receipt of it;

 requiring respondents to submit more than an original and two copies of any

document;
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

 requiring respondents to retain records, other than health, medical, government 

contract, grant-in-aid, or tax records for more than three years;

 in connection with a statistical survey, that is not designed to produce valid and 

reliable results than can be generalized to the universe of study;

 requiring the use of a statistical data classification that has not been reviewed and 

approved by OMB;

 that includes a pledge of confidentiality that is not supported by authority established 

in statute or regulation, that is not supported by disclosure and data security policies 

that are consistent with the pledge, or that unnecessarily impedes sharing of data with 

other agencies for compatible confidential use; or

 requiring respondents to submit proprietary trade secrets, or other confidential 

information unless the agency can demonstrate that it has instituted procedures to 

protect the information’s confidentiality to the extent permitted by law.

There are no special circumstances that would cause an information collection to be 

conducted as described in the bulleted items.

8. As applicable, state that the Department has published the 60 and 30 day Federal Register 

notices as required by 5 CFR 1320.8(d), soliciting comments on the information 

collection prior to submission to OMB. Summarize public comments received in 

response to that notice and describe actions taken by the agency in response to these 

comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the 

availability of data, frequency of collection, the clarity of instruction and record keeping, 

disclosure, or reporting format (if any), and on the data elements to be recorded, 

disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or 

those who must compile records should occur at least once every 3 years – even if the 

collection of information activity is the same as in prior periods. There may be 

circumstances that may preclude consultation in a specific situation. These 

circumstances should be explained.

Information collection 1820-0578 will be placed in the Federal Register as a part of this 

approval of the revision to a currently-approved collection. We will address comments 

received prior to final OMB approval.

9. Explain any decision to provide any payment or gift to respondents, other than 

remuneration of contractors or grantees with meaningful justification.

This collection does not require gifts or payments to be made to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulation, or agency policy. If personally identifiable information 
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

(PII) is being collected, a Privacy Act statement should be included on the instrument. 

Please provide a citation for the Systems of Record Notice and the date a Privacy Impact 

Assessment was completed as indicated on the IC Data Form. A confidentiality statement 

with a legal citation that authorizes the pledge of confidentiality should be provided.

Requests for this information are in accordance with the following ED and OMB 

policies: Privacy Act of 1974, OMB Circular A-108 – Privacy Act Implementation –

Guidelines and Responsibilities, OMB Circular A-130 Appendix I – Federal Agency

Responsibilities for Maintaining Records About Individuals, OMB M-03-22 – OMB 

Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002, 

OMB M-06-15 – Safeguarding Personally Identifiable Information, OM:6-104 – Privacy

Act of 1974 (Collection, Use and Protection of Personally Identifiable Information). If 

the collection is subject to the Privacy Act, the Privacy Act statement is deemed 

sufficient with respect to confidentiality. If there is no expectation of confidentiality, 

simply state that the Department makes no pledge about the confidentially of the data.

No assurance of confidentiality is provided to respondent Lead Agencies. However, 

under 20 U.S.C. 1416(b)(2)(C)(iii), a State must 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. All data provided in the APR are 

aggregated at the State level.

11. Provide additional justification for any questions of a sensitive nature, such as sexual 

behavior and attitudes, religious beliefs, and other matters that are commonly considered 

private. The justification should include the reasons why the agency considers the 

questions necessary, the specific uses to be made of the information, the explanation to be 

given to persons from whom the information is requested, and any steps to be taken to 

obtain their consent.

There are no questions of a sensitive nature.

12. Provide estimates of the hour burden of the collection of information. The statement 

should:

 Indicate the number of respondents by affected public type (federal government, 

individuals or households, private sector – businesses or other for-profit, private 

sector – not-for-profit institutions, farms, state, local or tribal governments), 

frequency of response, annual hour burden, and an explanation of how the burden 

was estimated, including identification of burden type: recordkeeping, reporting or 

third party disclosure. All narrative should be included in item 12. Unless directed to 

do so, agencies should not conduct special surveys to obtain information on which to 

base hour burden estimates. Consultation with a sample (fewer than 10) of potential 

respondents is desirable. If the hour burden on respondents is expected to vary

widely because of differences in activity, size, or complexity, show the range of 

estimated hour burden, and explain the reasons for the variance. Generally, estimates 

should not include burden hours for customary and usual business practices.
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

 If this request for approval covers more than one form, provide separate hour burden 

estimates for each form and aggregate the hour burdens in the ROCIS IC Burden 

Analysis Table. (The table should at minimum include Respondent types, IC activity, 

Respondent and Responses, Hours/Response, and Total Hours)

 Provide estimates of annualized cost to respondents of the hour burdens for 

collections of information, identifying and using appropriate wage rate categories. 

The cost of contracting out or paying outside parties for information collection 

activities should not be included here. Instead, this cost should be included in Item 

14.

In previous versions of this collection, SPP and APR burden hours were calculated 

separately. The overall estimated SPP burden was 10,080 hours (180 hours per 

respondent times 56 respondents). With this request, OSEP is proposing to eliminate the 

separate reporting requirements for the SPP and the APR. Therefore, OSEP will 

immediately eliminate 10,080 reporting burden hours.

The Interagency Coordinating Council (ICC) reviews and certifies the Lead Agency’s 

report, and either agrees or disagrees with the Report. In either case, the ICC may wish 

to provide additional comments related to the SPP/APR by appending comments. The 

estimate will be 2 hours to review, certify, and add comments as needed.

Total burden hours for the SPP/APR (submitted annually) will be 56 respondents times 

1100 hours (or 100 hours per indicator), which equals 61,600 hours, a reduction of 

43,200 hours from the currently approved burden hours. The following proposed 

revisions account for the significant reduction in burden hours –

1) States are no longer required to provide a discussion of –

a. SPP development;

b. State system by indicator;

c. Baseline data;

d. Improvement activities completed; and 

e. Revisions to Improvement Activities, timelines, and resources.

2) States must only report on slippage if the State does not meet its target for the 

reporting year.

3) States are no longer required to report on Improvement Activities per indicator; rather 

States will present a comprehensive State Systemic Improvement Plan (SSIP) 

(Proposed Indicator 11). 

4) States must only report on Improvement Activities for indicators where the State does 

not meet its target.

5) Eliminating Indicators 9 and 14. 

As a result of these revisions, respondents will be required to report on 11 SPP/APR

indicators, instead of the currently approved 12 indicators, which is a reduction from the 

original 14 indicators. The measurement table attached to this package reflects these 

revisions and the revised numbering.
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

Of the total 1100 hours, it is estimated that 1020 hours will be spent planning the report, 

40 hours will be spent writing the report, and 40 hours will be spent typing and compiling 

the report.

The estimated cost burden to public agencies of preparing the APR is $1,848,000

annually. The estimated total cost burden is reached by multiplying the hours of response 

(1100) by the number of responses (56) and then multiplying the newly obtained product 

by the average hourly pay rate ($30) of the staff preparing the report.

13. Provide an estimate of the total annual cost burden to respondents or record keepers 

resulting from the collection of information. (Do not include the cost of any hour burden 

shown in Items 12 and 14.)

 The cost estimate should be split into two components: (a) a total capital and start-up 

cost component (annualized over its expected useful life); and (b) a total operation 

and maintenance and purchase of services component. The estimates should take into 

account costs associated with generating, maintaining, and disclosing or providing the 

information. Include descriptions of methods used to estimate major cost factors 

including system and technology acquisition, expected useful life of capital 

equipment, the discount rate(s), and the time period over which costs will be incurred. 

Capital and start-up costs include, among other items, preparations for collecting 

information such as purchasing computers and software; monitoring, sampling, 

drilling and testing equipment; and acquiring and maintaining record storage 

facilities.

 If cost estimates are expected to vary widely, agencies should present ranges of cost 

burdens and explain the reasons for the variance. The cost of contracting out 

information collection services should be a part of this cost burden estimate. In 

developing cost burden estimates, agencies may consult with a sample of respondents 

(fewer than 10), utilize the 60-day pre-OMB submission public comment process and 

use existing economic or regulatory impact analysis associated with the rulemaking 

containing the information collection, as appropriate.

 Generally, estimates should not include purchases of equipment or services, or 

portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory

compliance with requirements not associated with the information collection, (3) for 

reasons other than to provide information or keep records for the government or (4) as 

part of customary and usual business or private practices. Also, these estimates should 

not include the hourly costs (i.e., the monetization of the hours) captured above in 

Item 12

Total Annualized Capital/Startup Cost:

Total Annual Costs (O&M): 

Total Annualized Costs Requested:

Lead Agencies have been preparing an Annual Performance Report for the past seven

years. Therefore, there are no start-up costs. There are no anticipated costs for operation, 
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

maintenance, or purchase of services that are imposed on States by these requirements, 

other than those noted above.

14. Provide estimates of annualized cost to the Federal government. Also, provide a 

description of the method used to estimate cost, which should include quantification of 

hours, operational expenses (such as equipment, overhead, printing, and support staff), 

and any other expense that would not have been incurred without this collection of 

information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a 

single table.

The estimated cost to the Federal Government is the staff time to review and analyze the 

reports. It is estimated that it will take 10 hours of staff time to review each of the 56 

responses, which equals 560 hours. The 560 hours is multiplied by the average hourly 

rate of pay for each reviewer ($36), to equal an estimated cost to the Federal Government 

of $20,160.00.

15. Explain the reasons for any program changes or adjustments. Generally, adjustments in 

burden result from re-estimating burden and/or from economic phenomenon outside of an 

agency’s control (e.g., correcting a burden estimate or an organic increase in the size of 

the reporting universe). Program changes result from a deliberate action that materially 

changes a collection of information and generally are the result of new statute or an 

agency action (e.g., changing a form, revising regulations, redefining the respondent 

universe, etc.). Burden changes should be disaggregated by type of change (i.e., 

adjustment, program change due to new statute, and/or program change due to agency

discretion), type of collection (new, revision, extension, reinstatement with change, 

reinstatement without change) and include totals for changes in burden hours, responses

and costs (if applicable).

The changes in Items 12 and 14 reflect program changes and a burden decrease due to 

Agency Discretion. These revisions are fully explained in Items 12 and 14.

16. For collections of information whose results will be published, outline plans for 

tabulation and publication. Address any complex analytical techniques that will be used. 

Provide the time schedule for the entire project, including beginning and ending dates of 

the collection of information, completion of report, publication dates, and other actions.

The collection of information does not require publication of the information or use of 

complex analytical techniques.

17. If seeking approval to not display the expiration date for OMB approval of the 

information collection, explain the reasons that display would be inappropriate.

There is no request to ask for an approval not to display the expiration date.
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EDICS Tracking and OMB Number: (04569) 1820-0578

Revised: 3/18/2013

18. Explain each exception to the certification statement identified in the Certification of 

Paperwork Reduction Act.

There are no proposed exceptions to the certifications.

B. Collections of Information Employing Statistical Methods

This collection does not require that statistical methodology be employed.