1

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013 **SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION**  EDICS Tracking and OMB Number: ( 04736 ) 1820 - 0624

Revised 3 / 18 /13 

### A. Justification 1. Explain the circumstances that make the collection of information necessary. I dentify any legal or administrati ve 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 . Plea se limit pasted text to no longer than 3 pages. Specify the review ty pe of the collection (new, revision, extension, reinstatement with change, reinstatement without change) . If revised, briefl y 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 of the currently
- approved Part B State Performance Report (Part B SPP) and Annual Performance Report (Part B APR) [Information Collection 1820
- 0624 / Expiration Date: 07 / 31 /1 5 ]. In accordance with 20 U.S.C. 1416(b)(1), not later than one ye ar after the date of enactment of the Individuals with Disabilities Education Act (IDEA) Improvement Act of 2004, each State must have in place a Part B SPP that evaluates the State’s efforts to implement the requirements and purposes of Part B and describe s how the State will improve such implementation. ID EA s ection 616(b)(1)(C) requires each State to review its SPP at least once every six y ears. In accordance with 20 U.S.C. 1416(b)(2)(C)(ii) , the State must report annually to the public on the performance of each local educational agency located in the State on the targets in the State’s performance plan. The State also must annually submit a Part B APR to the Secretary

on the performance of the State under the State’s performance plan. In formation Collection 1820
- 0624 corresponds to 34 CFR §§300.600
- 300.602. The regulations may

be accessed at this link
- http://idea.ed.gov/download/finalregulations.pdf . This collection is conducted in a manner that is consistent with the guidelines in 5 CFR 1320.5. Each State submitted its SPP, i ncluding targets through FFY 2009 in December 2005 . In 2011, to meet the requirement set forth in IDEA s ection 616(b)(1)(C) to review the SPP every six y ears, and in the absence of ID EA reauthorization, OSEP proposed to make no major changes to the SPP, e.g., significant revisions to indicators. 1 S ince it was anticipated that Congress would soon act to reauthorize IDEA, it was less of a reporting burden to maintain the indicators as written. Therefore, each State extended its targets and improvement activities through FFY 2012 .

1 Many of the indicators that stakeholders suggested be remove d or change d significantly are prescribed by statute, and in the absence of Congressional action, may not be removed.2

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013 In 2012, OSEP sought OMB reapproval for the Part B SPP/APR and eliminated two indicators that were not required b y statute and for which the data were available to the Department through other sources. Burden was further reduced in response to OMB’s terms of clearance for 1820
- 0624 in November 2012 , which permitted OSEP to make several technical amendments that reduced reporting burden . 2 With this request, OSEP is proposing to further reduc e reporting burden within the parameters of the current IDEA statutory and regulatory

requirements . See OS EP’s answer to Question 12 for a full explanation. 2. Indicate how, b y 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 collectio n. As required b y IDEA section 616(b)(1)(A), each State must have an SPP in place that evaluates the State's efforts to implement the requir e ments and purposes of Part B of the ID EA, and describes how the State will improve its implementation. IDEA s ectio n 616(b)(2) requires that the State report annuall y to the Secretary on its performance under the State ’s SPP for Part B of the IDEA. Specifically , the State must report, in its APR, on its progress in meeting the measurable and rigorous targets it establ ished in its SPP. In the past, OSEP has required States to maintain a separate SPP and APR. However, OSEP proposes to combine the SPP/APR into one document. This change reflects the current practice of man y States to maintain a combined SPP/APR for publ ic dissemination purposes and represents a significant burden reduction. ID EA s ection 616(d) requires that the Department review the APR each y ear. 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 r equirements ” and purposes of the IDEA or “Needs Assistance ,” “Needs Intervention ,” or “Needs Substantial Intervention ” in implementing the requirements of the IDEA . 3. Descri be 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 th e basis for the decision of adopting this means of collection. Also describe any consideration given to using technology to reduce burden. States may

complete and mail a copy of the SPP/APR to the Office of Special Education Programs (OSEP) or submit elec tronicall y to OSERS.bapr@ed.gov . Additionally , OSEP is currentl y developing an online SPP/APR submission mechanism . Itis anticipated that the sy stem 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.

2 OSEP made conforming technical amendments to 1820 - 0578.3

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013 4. Describe ef

forts to identify

duplication. Show specificall y wh y an y similar information alre ad y available cannot be used or modified for use for the purposes described in Item 2 above. Since 2005, all States have completed and submitted seven A PRs . Beginning with the APR to be submitted in February 2015 , a combined Part B SPP /APR is taking the p lace of the previous APR (see Answer 12) . This proposed change will eliminate duplicate reporting in the SPP and in the APR on the State’s targets and its discussion of improvement activities completed. Inaddition, w ith the proposed revision of this col lection , the Department would allow States to use data already collected for other purposes whenever possible. The SPP/A PR provides States an opportunity to analyze and explain data that the State is required to report annually under section 618 of the I DEA , i.e., data on educational environments, dispute resolution, and assessment. During the last approval cycle , with stakeholder input, the Department determined that it is no longer necessary for S tates to report on Indicators 16 and 17

– the timeliness of S tate complaint and due process hearing decisions , as OSEP is able to evaluate State performance on these indicators by using data collected through IDEA section 618 without having to require States to report this information through the SPP/APR collec tion . OSEP is currently proposing to eliminat e In dicators 15 and 20 because, as with Indicators 16 and 17, OSEP is able to evaluate State performance in these areas (monitoring and data collection) without the information provided in those indicators . (S ee discussion under item 12 below.) 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 independentl y owned and operated and is not dominant in its field; or (3) a small government jurisdiction, which is a government of a city , count y, 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 es or other sm all entities . 6. Describe the consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequentl y, as well as an y technical or legal obstacles to reducing burden. Activities described in answers A1 and A2 w ould 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 repo rt information to the agency more often than quarterl y;4

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013
 requiring respondents to prepare a written response to a collection of information in fewer than 30 day s after receipt of it;  requiring respondents to submit more than an original and two copies of any document;  requiring respondents to retain records, other than health, medical, government contract, grant - in
- aid, or tax records for more than three y ears;  in connection with a statistical survey , that is not designed to produce valid and reliable result s than can be generalized to the universe of study;  requiring the use of a statistical data classification that has not been reviewed and approved b y OMB;  that includes a pledge of confidentiality that is not supported by

authority established in statute o r 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 propriet ary 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 inf ormation 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 b y 5 CFR 1320.8(d), soliciting comments on the information collection pri or 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. Specificall y 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 an y), and on the data elements to be recorded, disclosed, or reporte d. 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 y ears – 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. In formation C ollection 1820 - 0624 will be placed in the Federal Register as a part of this approval of the revision to a currently
- approved col lection. We will address comments received prior to final OMB approval.5

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013 9. Explain any

decision to provide any

pay ment or gift to respondents, other than remuneration of contractors or grantees with meaningful justification . This collection does not require gifts or pay ments to be made to respondents. 10. Describe an y assurance of confidentialit y provided to respondents and the basis for the assurance in statute, regulation, or agency policy . If personally

identifiable information (PII) is being collected, a Privacy Act statement should be included on the instrument. Please provide a citation for the Sy stems 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 Personall y Identifia ble Information, OM:6
- 104

– Privacy Act of 1974 (Collection, Use and Protection of Personally I dentifiable Information) . If the collection is subject to the Privacy Act, the Privacy

Act statement is deemed sufficient with respect to confidentiality . I f the re is no expectation of confidentiality , simply state that the Department make s no pledge about the confidentiall y of the data. No assurance of confidentiality is provided to respondent States. However , under 20 U.S.C. 1416(b)(2)(C)(iii) , a State must not report to the public or the Secretary an y 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 informati on. All data provided in the APR are aggregated at the State level. 11. Provide additional justification for an y 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 an y steps to be taken to o btain 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 ty

pe (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 or6

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013

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 estim ates. 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 exp lain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.  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 ROCI S IC Burden Analy sis 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 30,000 hours ( 500 hours per respondent times 60 respondents). With this request, OSEP is proposing to eliminate the se parate reporting requirements for the SPP and APR. Therefore, OSEP will immediately

eliminate 30,000 reporting burden hours. Total burden hours for the combined SPP/APR (submitted annually) will be 60 respondents times 1,7 00 hours (or an average 3 of 100 h ours per indicator) , which equals 102 ,000 hours, a reduction of 228 ,600 burden hours from the previous collection. The following proposed revisions account for the significant reduction in burden hours

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

– a. SPP development; b. State s ys tem 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 y ear. 3) States are no longer required to report on Improvement Activities per indicator; rather States will pres ent a comprehensive State Systemic Improvement Plan (SSIP) (Proposed Indicator 17).

3 OSEP bases its average on the staff hours associated with collecting and analyzing data, and reporting in the SPP/APR for each indicator. Some indicators may require more staff time than the average, e.g., Indicators 11, 12, and 13 , while others may require far less than the average, e.g., Indicators 15 and 16.7

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013

4) Eliminating Indicators 15 and 20 As a result of thes e revisions, respondents will be required to report on 1 7 SPP/APR indicators, instead of the currentl y approved 18 indicators , which is a reduc tion from the original 20 indic ators . The measurement table attached to this package reflects these revisions an d the revised numbering. Of the total 1,7 00 hours, it is estimated that 1,620 hours will be spent planning the report, 40 hours will be spent writing the report, and 40 hours will be spent ty ping and compiling the report. The estimated cost burden to publi c agencies of preparing the SPP/APR is $ 3,162 ,000 annually . The estimated total cost burden is reached by multiplying the hours of response ( 1,700 ) b y the number of responses (60) and then multiplying the newly
- obtained product by the average hourl y pay r ate ($31) 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 cos t 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 s ys tem and technology acquisition, expected useful life of capital equipment, the d iscount 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 eq

uipment; and acquiring and maintaining record storage facilities.  If cost estimates are expected to vary widel y, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of contracting out information collection se rvices 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 regulat ory impact anal ys is 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 re gulatory 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 esti mates should not include the hourly

costs (i.e., the monetization of the hours) captured above in Item 12 Total Annualized Capital/Startup Cost:8

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013

Total Annual Costs (O&M): Total Annualized Costs Requested: States have been preparing an APR for the past sev en ye ars. Therefore, there are no start - up costs. There are no anticipated costs for operation, 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 an y 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 includes the staff time to review and anal yz e the reports. It is estimated that it will take 10 hours of staff time to review each of the 60 responses, which equals 600 hours. The 600 hours is multiplied by the average hourly rate of pay

for each reviewer ($36), to equal an estimated cost to the Federal Government of $ 21,600 .00. 15. Explain the reasons for any program changes or adjustments. Generall y, 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 incr ease in the size of the reporting universe). Program changes result from a deliberate action that materiall y changes a collection of information and generall y are result of new statute or an agency action (e.g., changing a form, revising regulations, redef ining the respondent universe, etc.). Burden changes should be disaggregated b y ty pe of change (i.e., adjustment, program change due to new statute, and/or program change due to agency discretion), ty pe of collection (new, revision, extension, reinstatement with change, reinstatement without change) and include totals for changes in burden hours , responses and cost s (if applicable) . The changes in Items 12 and 14 reflect program changes and a burden decrease due to Agency Discretion. These revisions are fu lly explained in Items 12 and 14. 16. For collections of information whose results will be published, outline plans for tabulation and publication. Address an y complex anal yt ical 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 analy

tical techniques. 17. If s eeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.9

EDI CS Tracking and OMB Number: ( 04736 ) 1820 - 0624 Revised: 3/ 18 /2013 There is no request to ask for an approval not to display the expiration date. 18. Explain each excepti on 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 statist ical methodology be employ ed.