SupportforHEgrant101-5-30-2008x.

Supporting Statement for Paperwork Reduction Act Submissions

OMB Control Number 1076-0101

Note: Expiration of this collection occurred due to other assignments which had critical deadlines and prevented office personnel from renewing the information collection in a timely manner.

In order to prevent any other delays regarding information collections, the surname process has been shortened and we anticipate the turn around time will enable our office to meet all future deadlines. In addition, the office will provide additional staff to ensure the renewal deadlines are met.

Terms of Clearance: None

General Instructions

A Supporting Statement, including the text of the notice to the public required by 5 CFR 1320.5(a)(i)(iv) and its actual or estimated date of publication in the Federal Register, must accompany each request for approval of a collection of information. The Supporting Statement must be prepared in the format described below, and must contain the information specified in Section A below. If an item is not applicable, provide a brief explanation. When statistical methods are used, Section B, “Collection of Information Employing Statistical Methods” must be completed. OMB reserves the right to require the submission of additional information with respect to any request for approval.

Specific Instructions

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

The Higher Education Grant Application is authorized by 25 CFR 40, and by Sec. 11, 48 Stat. 986; 25 U.S.C. 471. The grant application collects information that is used to assess the eligibility to receive a grant by an applicant..

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. [Be specific. If this collection is a form or a questionnaire, every question needs to be justified.]

The collection of information is conducted annually, by Tribes and Indian organizations that have contracted with the Bureau to administer a Higher Education Grant Program. The purpose of the collection is to assess the eligibility of an applicant to receive a benefit from the Higher Education Grant Program. Without a collection of this information it cannot be determined whether the funding institution is meeting the needs of Indian students. Additionally, the information collected will provide justification for increases in funding budget requests.

• The first six parts of the grant application form identify the recipient and location of the potential recipient of the higher education grant.

• The next part of the grant application identifies the applicant’s funding request period, number of hours anticipated to enroll and the location of the institution selected.

• The next part of the grant application requests information for an expected degree and if the applicant has ever received a previous grant.

• The next part of the grant application contains the Privacy Act statement that informs the applicant that the Bureau of Indian Affairs will not disclose any record containing information without consent of the respondent.

• The next statement is a declaration of purpose that requires the respondent to use grants for the purpose of enrolling at an accredited institution of higher learning.

• The next part of the grant application requires a signature and date to validate a request for grant benefits.

• In the Financial Aid Package Section, Part 1: To Be Completed By the Student is a replication of the student name and mailing address with a release of information statement to the Bureau of Indian Affairs and a student signature and date. This information requested in Part 1 and Part 2 of the application is detached from the general application and forwarded under separate cover to appropriate financial aid officers for a determination of an award.

• Part 2 provides a declaration of the student’s financial aid status and an identification of a semester or quarter institution.

• The next part identifies a college budget and student resources with a recommendation of an award from the Bureau of Indian Affairs.

• The final part requests a financial aid officer’s signature and identification of the institution preparing the award.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of

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

decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden [and specifically how this collection meets GPEA

requirements.].

Use of automated, electronic, mechanical or other technological collection techniques or

other forms of information technology is not required but respondents are free to use it for

their own purposes; however permitting electronic submission of responses as a means of

collection at this time is not an option. At this time, by court order, the organizations

within the Assistant Secretary - Indian Affairs are not authorized unlimited access to the

Internet. However, when access to the Internet is available, we will have the form available on our web site and will consider specific information technology to reduce the burden as a

means of implementing GPEA.

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.

The annual grant application is not similar to any other reported data during the performance year. There is no other data available that can replace this collection as activities through the performance period are based upon academic objectives.

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

methods used to minimize burden.

This collection of information does not impact small business or other small entities. Indian tribes are not considered to be small entities by the federal government for these purposes.

6. Describe the consequence 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.

A collection of information is part of the negotiated contractual agreement set forth under

25 CFR 900 - Indian Self-Determination and Education Assistance Act Amendments. Any

collection less than annually or not conducted would place the administration out of compliance with statutory and regulatory requirements. This non-compliance would

greatly hinder or terminate the continuance of benefits, harming the recipients by barring

them from receiving benefits from the education program.

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;

  • There are no special circumstances that would require respondents to report information to an agency more than quarterly.

• Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

  • There are no special circumstances that would require respondents to prepare a

  • written response to a collection of information in fewer than 30 days after receipt.

• Requiring respondents to submit more than an original and two copies of any document;

  • There are no special circumstances that require 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 years;

  • There are no special circumstances that require respondents to retain records, other than health, medical, government contact, 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 that can be generalized to the universe of study;

  • Responses are not used to provide statistical surveys not designed to produce valid

  • and reliable results that 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;

  • We do not use 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 which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

  • Any responses of a sensitive nature are covered by the Privacy Act.

• 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.

  • Respondents are not required to submit proprietary trade secrets as part of their

  • application for a grant.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, 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 in response to the PRA statement associated with the collection over the past three years] and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

The collection of information appeared in the Federal Register, on Tuesday, October 16,

2007 (72 FR 58680). No comments were received during the comment period.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and record-keeping,

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

reported. [Please list the names, titles, addresses, and phone numbers of persons contacted.]

The Indian Self-Determination and Education Assistance Act contractual requirements

provide information concerning the grant program. The “Act” provides instructional

clarity for reporting requirements, record-keeping practices and the collection of information to assess respondent eligibility for a grant.

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. Technical assistance for procedures not covered within the Indian Self-Determination and

Education Assistance Act are provided upon request by administrators of grant programs

and not by the Office of Indian Education Programs. However, OIEP staff can address

questions if called upon. Since we have no actual contact with the student applicant, we

cannot address the views of the student concerning burden. We will contact the contract

administrators to get names and related information for some of the students if you request that.

8. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

There is no decision to provide any payment or gift to respondents.

8. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

Assurances of confidentiality are provided when a contractor operates a system of records to accomplish a Bureau function under 43 CFR Part 2, Subpart D, which implements the Privacy Act (5 U.S.C. 552a).

8. 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. This 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.

Questions found in the information collection covering grants for individuals are public

information and non-sensitive in nature. There is no 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.

8. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an

explanation of how the burden was estimated. 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.

Annually, the information collection requires each of the 14,000 respondents approximately 1 hour to prepare the grant application. These forms are completed by the tribal members.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.

The burden was estimated from previous collections submitted by tribal contractors and communications with respondents submitting the information collection forms, although there were no special surveys to obtain information on which to base hour burden estimates. This estimate does not include burden hours for applicant supplying information, such as birth certificate or tribal enrollment number, used for many purposes.

• Provide estimates of annualized cost to respondents for 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 13.

An estimate of annualized cost to respondents for the hour burdens for collections of information is as follows: 1 hr X 14,000 respondents = 14,000 Hrs @ $15.904/hr = $222,656.00 The use of 1.4 to calculate salary & benefits is based on USDL: 07-1883 of December 11, 2007. Since some applicants will be at a higher academic level, we are using the GS-3 rate as an average for salary/benefits. From the table that incorporates the 2.50% General Schedule Increase 2008:

GS - 3 step 5 is $11.36 x 1.4 = $15.904

GS - 2 step 5 is $10.07 x 1.4 = $14.098

GS -1 step 5 is $ 9.25 x 1.4 = $ 12.95

Respondent cost	Time	Total Respondents	Total Cost
GS-2/5 ($14.098 salary/benefits)	1 hour	14,000 hours	$197,372.00

8. Provide an estimate of the total annual [non-hour] 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 [including filing fees paid]. 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 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 purchasing or 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.

Tribal organization bookkeeping and records management preexist the administration of the higher education grant program. Capital setup and start up costs are actualized as existing services not associated to new program costs. There are no appreciable costs beyond that identified in question 12.

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 tribal contract employees are acting on our behalf and providing the function of federal employees by collecting the information from the students. The higher education grant review by the employees will require about 1 hour to review the information for the year @ $15.59 (GS-7) x 1.4 = $21.826./hr. (14,000 x 1 hours = 14,000 burden hours x $21.826 = $305,564.00). We are using 1.4 to show salary & benefits for the tribal contract employees.

15. Explain the reasons for any program changes or adjustments reported in reporting or recordkeeping burden or in start-up or O&M costs.

All the data is a program change because the collection expired before the renewal process was completed.

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.

Data is collected annually and published in summary form in budget documents and annual reports

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.

Approval not to display the expiration date for OMB approval is not being requested. We will display the OMB Control Number and the expiration date on the form.

18. Explain each exception to the certification statement identified in Paperwork Reduction Act Submissions," 5 CFR 1320.9 (hourly and cost burden) and 5 CFR 1320.8(b)(3) (the questions we ask commenters to address).

There no exceptions to the certification statement.

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