2015 Part C – SPP/APR

Part C SPP/APR Part C SPP/APR Instruction Sheet – Section I - 1

(OMB NO: 1820-0578 / Expiration Date:)

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

Instruction Sheet

I. General Instructions

Information Collection 1820-0578, Part C State Performance Plan (SPP)/ Annual Performance Report 

(APR), contains both Part C – SPP/APR instructions. The instruction sheet is divided into two

sections: 1) General Instructions and 2) State Performance Plan/Annual Performance Report

(SPP/APR or Report). States are encouraged to make note of the following due dates and implement 

a development schedule accordingly:

By February 2, 2015, States must submit:

1) One Report that includes both SPP and APR information.

2) An introduction, with sufficient detail so that the Secretary and the public are informed of and 

understand the State’s systems designed to drive improved results for infants and toddlers with 

disabilities and to ensure that the Lead Agency meets the requirements of IDEA Part C. This 

introduction must include descriptions of the State’s: 

a. General Supervision System: The systems that are in place to ensure that IDEA Part C 

requirements are met, e.g., monitoring systems, dispute resolution systems; 

b. Technical Assistance System: The mechanisms that the State has in place to ensure the 

timely delivery of high quality, evidenced based technical assistance and support to early 

intervention service (EIS) programs; 

c. Professional Development System: The mechanisms the State has in place to ensure that 

service providers are effectively providing services that improve results for infants and 

toddlers with disabilities and their families;

d. Stakeholder Involvement: The mechanism for soliciting broad stakeholder input on targets in 

the SPP, including revisions to targets; and

e. Reporting to the Public: How the State will report annually to the public on the performance 

of EIS program or provider located in the State on the targets in the SPP/APR as soon as 

practicable, but not later than 120 days following the State’s submission of its APR as 

required by 34 CFR §303.702(b)(1)(i)(A).

3) Targets for each indicator, determined with stakeholder input, that cover the years of the SPP 

(i.e., FFY 2013 through FFY 2018)1

4) Data from FFY 2013 and other responsive APR information for all indicators.

2

5) An explanation of slippage in indicators where the State did not meet its FFY 2013 target. 

6) An overall improvement plan that includes the following information and annually update the 

status of improvement activities in the plan3:

a. Data Analysis: How the State will analyze data, including indicator data, to identify EIS 

programs or providers that need improvement. Analyses could include by EIS programs 

or providers, race/ethnicity, placement, etc. The goal of this analysis is to determine 

which EIS programs or providers are most in need of support from the State and identify 

areas of needed support.

b. Connection with Other State Improvement Efforts: How the State has aligned with other 

improvement initiatives in the State.

 

1

As noted in the conference report to HR 1350, it is Congress’ expectation that targets will be developed with broad stakeholder 

input and will be disseminated to the public.

2

Previous Indicator 9 (Timely Correction) and Indicator 14 (Timely and Accurate Data) have been removed. Consequently, the 

indicators have been renumbered.

3

States should include information that was covered under the former section “Discussion of Improvement Activities Completed”
2015 Part C – SPP/APR

Part C SPP/APR Part C SPP/APR Instruction Sheet – Section I - 2

(OMB NO: 1820-0578 / Expiration Date:)

c. Infrastructure to Support Improvement and Build EIS Program and Provider Capacity:

How the State will develop an infrastructure to best support improvement in EIS 

programs or providers. For example, OSEP-funded technical assistance centers have 

identified leadership teams at the State, EIS program and provider levels as critical 

components to effective scale up and sustainability. Communication from the 

program/provider level to the regional and State level has also been identified as critical 

to ensuring that adequate support for implementation is available. 

d. Professional Development: How the State will select evidence-based practices and the 

personnel to support implementation fidelity. This should include how the State will 

provide ongoing training and coaching; assist with building and using data systems; and 

improve administrative support so that systems that support the use of evidence-based 

practices are in place.

e. Scale-Up and Sustainability: Once implementation with fidelity has been established, 

how the State will plan to replicate these systems in other EIS programs and providers 

that demonstrate similar needs. 

f. Evaluating Implementation: How the State will analyze data, including stakeholder input, 

to determine if EIS programs and providers are effectively implementing evidence-based 

practices and to assess the impact that implementation is having on the outcomes of 

infants and toddlers with disabilities.

When completing the SPP and APR, Lead Agencies will need to use the following parts of 

Information Collections 1820-0578.

SPP/APR Materials –

 SPP/APR Instructions (See Section II of the enclosed Instructions.)

 Part C Indicator Measurement Table with Instructions4

 SPP/APR Template

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 used in the calculations.5 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 the data source, 

measurement, and calculation for each indicator added. In addition, the Lead Agency must include 

the State’s targets under each of its additional indicators and the 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, 

 

4 Monitoring Priorities, indicators, and measurements included on the Part C Indicator Measurement Table are to be used to 

complete designated sections of the SPP/ APR Templates. Templates containing monitoring priorities, indicators, and 

measurements can be found at http://www.ed.gov/policy/speced/guid/idea/capr/index.html

5

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.
2015 Part C – SPP/APR

Part C SPP/APR Part C SPP/APR Instruction Sheet – Section I - 3

(OMB NO: 1820-0578 / Expiration Date:)

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 

are 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 period of FFYs 2013 - 2018. 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.

The State must submit its SPP/APR electronically through OSEP’s online submission tool.

The State may, in addition, choose to also submit a hard copy of the documents to the following 

address: 

U.S. Department of Education

Office of Special Education Programs

400 Maryland Ave., S.W.

Washington, D.C. 20202

The submission requirements, tables, and templates that should be used to complete the Part C 

SPP/APR can be accessed electronically at http://www2.ed.gov/fund/data/report/idea/sppapr.html .

If you have any further questions about the SPP/APR and/or the submission options listed above, 

please contact your OSEP Part C State contact.
2015 Part C – SPP/APR

Part C SPP/APR Part C SPP/APR Instruction Sheet – Section I - 4

(OMB NO: 1820-0578 / Expiration Date:)

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of 

information unless such collection displays a valid OMB control number. It is estimated that each 

respondent will spend approximately 1,000 hours maintaining and completing the SPP/APR. These times 

such things as reviewing instructions, searching any existing data sources, gathering needed data, 

analyzing collected data, implementing improvement activities, and completing and reviewing the

information collection. The obligation to respond to this collection is mandatory (20 U.S.C. 1400, 

Individuals with Disabilities Education Act). Send comments regarding the burden estimate or any other 

aspect of this collection of information, including suggestions for reducing this burden, to the U.S. 

Department of Education, 400 Maryland Ave., S.W., Washington, D.C. 20202-4536 or email 

ICDocketMgr@ed.gov and reference the OMB Control Number 1820-0578. Note: Please do not return 

the completed Part C SPP/APR to this address.
2015 Part C – SPP/APR

Part B SPP/APR Part B SPP/APR Instruction Sheet – Section II - 1

(OMB NO: 1820-0578 / Expiration Date:)

II. State Performance Plan (SPP)/Annual Performance Report (APR) for 2013-2018

Information found in the following sections of the SPP/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.

Indicator:

 A statement used to help quantify and/or qualify a monitoring priority. Indicators are 

determined by the Secretary.

Data Source:

 The mechanism and process used for collecting Indicator data (database, child specific 

records, file system, etc.).

Measurement:

 Specific measures, determined by the Secretary and in designated cases by the Lead 

Agency, used to quantify or qualify given indicators

FFY

2013

(2013-14)

2014

(2014-15)

2015

(2015-16)

2016

(2016-17)

2017

(2017-18)

2018

(2018-19)

Measurable 

and 

Rigorous

Targets

Actual 

Target Data

Explanation of Slippage that occurred for (Insert FFY):

 Analyze data to form a basis for the explanation. Explain slippage if the State did not meet its 

target and how the State plans to address the slippage through adjustments or improvements 

made in State programs, policies, or practices.

Discussion of any actions required in OSEP’s response to prior year’s Report

 Provide information on topics such as public reporting, timely correction of noncompliance, or 

information that was missing from the prior year’s Report.

Justification for any changes in targets that will be less rigorous for (Insert FFY):

 Provide information on revised targets that are less rigorous. Revisions to targets do not relieve 

the State of its responsibility to provide data for the given year.