1845-0022 v9 suppstatptA 12 19 13

ICRAS Tracking and OMB Number: (1403) 1845-0022 v9 Revised: 12/19/2013

RIN Number: XXXX-XXXX (if applicable)

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

     

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 section¹. 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 request is for a revision to the current information collection in Office of Management and Budget (OMB) Control Number 1845-0022 that is expiring. This collection contains sections of the regulations at 34 CFR Part 668 – Student Assistance General Provisions. The regulations establish the standards to participate in the student financial aid assistance programs authorized by Title IV of the Higher Education Act of 1965, (HEA), as amended. These regulations establish institutional requirements in various areas of program administration. These regulations are an effort to minimize administrative burden for program participants, provide benefits to eligible Title IV, HEA program recipients, and protect the taxpayers' interest from fraud and abuse of program funds.

While there are no statutory or regulatory language changes to this section, we are requesting that sections 34 CFR 668.23 and 668.24, which were previously included in the OMB information collection 1845-0038, be made a part of OMB information collection 1845-0022. The above mentioned sections are located in Subpart B of Part 668, and the burden for both sections 668.23 and 668.24 are in OMB Control Number 1845-0022. It was discovered that prior to the transfer of information collections from the Office of Postsecondary Education (OMB Control Number prefix 1840) to Federal Student Aid (OMB Control Number prefix 1845) both sections 668.23 and 668.24 were part of a collection that transferred to 1845-0022. This correction will add 1,260 hours to the currently approved burden in 1845-0022.

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.

There is no change to the purpose and use of the information. The information collected and reported in sections of Part 668 – Student Assistance General Provisions will continue to be used for institutional program participation and for student consumer information purposes. If we did not require the reporting and recordkeeping of information in conjunction with the regulations identified below, we would not be able to ensure that the institutions are in compliance with the regulations.

The following sections of Part 668 – Student Assistance General Provisions are currently approved with the OMB Control Number 1845-0022 and the Department is requesting the continued approval of these provisions.

Subpart A – General

34 CFR 668.3 – Academic year

This section describes the requirements for an academic year for programs of study that will be eligible for Federal student aid. It also provides definitions of terms and a method for requesting relief from the Secretary from the requirements of the academic year definition.

34 CFR 668.8 – Eligible program

This section defines the manner in which a program can be eligible to participate in the Federal student aid programs as determined by the type and control of the institution. It also provides the method of calculating completion and placement rates for programs as well as additional program and institutional requirements.

Subpart B – Standards for Participation in Title IV, HEA Programs

34 CFR 668.13 – Certification procedures

This section defines the requirements for certification for institutions to participate in Federal student aid programs, the period that an institution may be eligible to participate, eligibility for provisional certification and for the revocation of eligibility.

34 CFR 668.14 – Program participation agreement

This section specifies the requirements and agreements made between the Secretary and an institution to participate in Federal student aid programs.

34 CFR 668.15 – Factors of financial responsibility

This section identifies how the institution must demonstrate it meets the standards of financial responsibility to participate in the Federal student aid programs, as well as the possible consequences of failing to meet the requirements.

34 CFR 668.16 – Standards of administrative capability

This section identifies how the institution must demonstrate that it is administratively capable of participating in the Federal student aid programs, as well as the possible consequences of failing to meet the requirements.

34 CFR 668.19 – Financial aid history

This section describes the steps the institution must take to ensure that Federal student aid program funds are only delivered to students who previously attended an eligible institution and continue to meet eligibility criteria by reviewing records made available by the Secretary.

34 CFR 668.22 – Treatment of title IV finds when a student withdraws

This section describes the steps the institution must take in determining the eligibility of and amount of Federal student aid a student who has withdrawn from all courses before the conclusion of the academic period may retain and what must be repaid by either the institution, the student, or both.

34 CFR 668.23 – Compliance audits and audited financial statements

This section identifies who and how an institution must provide compliance audits and financial statements to ensure that Federal student aid funds are being obtained and utilized consistent with the statute and the implementing regulations.

34 CFR 668.24 – Record retention and examination

This section identifies the types of records that an institution must maintain to document its eligibility to participate in Federal student aid programs, the eligibility of specific institutional programs to participate in Federal student aid programs, its administration of those aid programs, its financial responsibility, and its delivery of Federal student aid to eligible students.

34 CFR 668.25 – Contracts between an institution and a third-party servicer

This section establishes minimum requirements for contracts between an institution and any third-party that it contracts with to perform any aspect of the administration of the programs that would normally be performed by the institution.

34 CFR 668.26 – End of an institution’s participation in the Title IV, HEA programs

This section identifies the circumstances and requirements of an institution that closes, ceases to provide instruction or loses its eligibility to participate in Federal student aid programs.

Subpart D – Institutional and Financial Assistance Information for Students

34 CFR 668.42 – Financial assistance information

This section identifies the types and manner of information about Federal student aid available at the institution that must be disclosed to various parties who may participate in Federal student aid programs at the institution.

34 CFR 668.43 – Institutional information

This section identifies the types and manner of information about various aspects of the institution that must be disclosed to parties who are or may wish to enroll in programs at the institution.

34 CFR 668.46 – Institutional security policies and crime statistics

This section identifies the types and manner of information about security policies and procedures as well as statistics of the types of crimes that took place at the institution that must be disclosed to parties who are or may wish to enroll in programs at the institution.

Subpart G – Fine, Limitation, Suspension and Termination Proceedings

34 CFR 668.90 – Initial and final decisions

This section provides for an institution’s and a third-party servicer’s appeal, in writing to the Secretary, of a hearing official’s initial decision of a fine, limitation, suspension or termination hearing.

34 CFR 668.96 – Reinstatement after termination

This section stipulates the procedures that an institution or third-party servicer, whose participation in Federal student aid programs has been terminated, must follow to be reinstated as a participating institution or third-party servicer.

Subpart H – Appeal Procedures for Audit Determinations and Program Review Determination

34 CFR 668.113 – Request for review

This section stipulated the procedures that an institution or third-party servicer must follow to request a review by the Secretary of a final audit or final program review determination.

Subpart L – Financial Responsibility

34 CFR 668.171 – General

This section describes the general standards institutions must meet to demonstrate it is financially responsible to participate in the Federal student aid programs.

34 CFR 668.172 – Financial ratios

This section describes the method used to calculate the institution’s composite score.

34 CFR 668.173 – Refund reserve standards

This section describes the method used to determine if an institution has sufficient cash reserves to meet the requirements for the timely return of Federal student aid program funds.

34 CFR 668.174 – Past performance

This section describes how an institution’s past performance, or that of a person affiliated with the institution, will affect its ability to meet the general financial responsibility requirements to participate in the Federal student aid programs

34 CFR 668.175 – Alternative standards and requirements

This section describes how an institution that is not financially responsible under the general standards may begin or continue to participate in the Federal student aid programs under the alternate standards of letters of credit or zone alternatives.

Subpart M – Two Year Cohort Default Rates

34 CFR 668.181 – Purpose of this subpart

This section describes the uses of the calculated cohort default rate for an institution.

34 CFR 668.182 – Definitions of terms used in this subpart

This section describes the terms used in relation to the calculation of the cohort default rate for an institution.

34 CFR 668.183 – Calculating and applying cohort default rates

This section describes the methods used to identify the borrowers in repayment and in default, who are included in a specific cohort.

34 CFR 668.184 – Determining cohort default rates for institutions that have undergone a change in status

This section describes the methods used to establish a cohort default rate for institutions that have undergone acquisition or merged, those who have acquired branches or additional locations, and those branches or locations that became freestanding.

34 CFR 668.185 – Draft cohort default rates and your ability to challenge before official cohort default rates are issued.

This section discusses how an institution will receive draft cohort default rates and the methods that can be used to challenge the rate prior to official rates being calculated and released.

34 CFR 668.186 – Notice of your official cohort default rate

This section describes how institutions will receive official cohort default rates and provides the timeframe for submitting challenges to the data.

34 CFR 668.187 – Consequences of cohort default rates on your ability to participate in Title IV, HEA programs

This section discusses how an institution that loses its eligibility to participate in specific Federal student aid programs and how an institution may regain its eligibility.

34 CFR 668.188 – Preventing evasion of the consequences of cohort default rates

This section discusses how institutions may be affected by the loss of eligibility at another institution under common ownership or management.

34 CFR 668.189 – General requirements for adjusting official cohort default rates and for appealing their consequences

This section describes how institutions may request adjustments to or appeal their official cohort default rate.

34 CFR 668.190 – Uncorrected data adjustments

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.191 – New data adjustments

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.192 – Erroneous data appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.193 – Loan servicing appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.194 – Economically disadvantaged appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.195 – Participation rate index appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.196 – Average rate appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

34 CFR 668.197 – Thirty-or-fewer borrower appeals

This section describes the eligibility to raise this defense to correct an official cohort default rate.

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.

Institutions may use available technology to transmit documents to and from the U.S. Department of Education and Federal student aid recipients. There are no legal prohibitions to the use of technology in this collection activity. Institutions are expected to follow the required encryption of personally identifiable information when utilizing electronic transmission of such data.

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 current requirements are minimal and avoid duplication. There is no similar information available that can be used or modified for this purpose at this time.

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.

No small businesses are affected by this information collection.

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.

Recordkeeping and reporting requirements are imposed to assure accountability of program participants for proper program administration and less frequent collection could impair accountability of program participants.

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;

• 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.

The collection of this information will be conducted in a manner that is consistent with the guidelines in 5 CFR 1320.5(d)(2).

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

There has been no change to the underlying statutory or regulatory language. There was a 60-day notice published in the Federal Register. No public comments regarding the burden assessment were received. There will be a 30-day notice in the Federal Register seeking public comment on these burden calculations.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees with meaningful justification.

No payments or gifts are provided to the 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 (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.² 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.

There is no assurance of confidentiality provided to institutions for the submission of this information.

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.

The Department is not requesting any sensitive data.

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.

• 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.

Current Burden Totals

Respondents Responses Hours

904,176 1,321,882 2,137,060

As noted in Item 1, the Department is requesting the addition of the respondents (36), responses (36) and hours (1,260) currently identified for 34 CFR 668.23 and 668.24 in OMB information collection 1845-0038 and transfer them to OMB information collection 1845-0022. This will increase the current burden associated with these section in this collection as follows:

New Revised Burden Totals

Respondents Responses Hours

904,212 1,321,918 2,138,320

This is the new starting point for the distribution of the respondents, responses and hours for the OM information collection 1845-0022 shown below and the Department is requesting the continued approval of these respondents, responses and hours.

Subpart A – General

34 CFR 668.3 – Academic year

Respondents Responses Hours

For profit institutions

4,192 7,847 2,100

Not-for profit institutions

3,473 6,502 1,740

Public institutions

4,312 8,071 2,160

34 CFR 668.8 – Eligible program

Respondents Responses Hours

For profit institutions

4,192 7,847 6,590

Not-for profit institutions

3,473 6,502 5,460

Public institutions

4,312 8,071 6,779

Subpart B – Standards for Participation in Title IV, HEA Programs

34 CFR 668.13 – Certification procedures

Respondents Responses Hours

For profit institutions

4,192 7,847 10

Not-for profit institutions

3,473 6,502 9

Public institutions

4,312 8,071 11

34 CFR 668.14 – Program participation agreement

Respondents Responses Hours

For profit institutions

4,192 7,847 32,648

Not-for profit institutions

3,473 6,502 27,051

Public institutions

4,312 8,071 33,581

34 CFR 668.15 – Factors of financial responsibility

Respondents Responses Hours

For profit institutions

4,192 7,847 857

Not-for profit institutions

3,473 6,502 710

Public institutions

4,312 8,071 881

34 CFR 668.16 – Standards of administrative capability

Respondents Responses Hours

For profit institutions

4,192 7,847 18,194

Not-for profit institutions

3,473 6,502 15,075

Public institutions

4,312 8,071 18,713

34 CFR 668.19 – Financial aid history

Respondents Responses Hours

For profit institutions

4,192 7,847 1,027

Not-for profit institutions

3,473 6,502 851

Public institutions

4,312 8,071 1,056

34 CFR 668.22 – Treatment of title IV finds when a student withdraws

Respondents Responses Hours

Individuals

45,075 425,075 318,806

For profit institutions

4,210 7,862 147,779

Not-for profit institutions

3,503 6,506 122,446

Public institutions

4,321 8,095 152,001

34 CFR 668.23 – Compliance audits and audited financial statements

Respondents Responses Hours

For profit institutions

4,192 7,847 3,836

Not-for profit institutions

3,473 6,502 3,178

Public institutions

4,312 8,071 3,946

34 CFR 668.24 – Record retention and examination

Respondents Responses Hours

For profit institutions

4,192 7,847 279,602

Not-for profit institutions

3,473 6,502 231,671

Public institutions

4,312 8,071 287,591

34 CFR 668.25 – Contracts between an institution and a third-party servicer

Respondents Responses Hours

For profit institutions

4,192 7,847 1,750

Not-for profit institutions

3,473 6,502 1,450

Public institutions

4,312 8,071 1,800

34 CFR 668.26 – End of an institution’s participation in the Title IV, HEA programs

Respondents Responses Hours

For profit institutions

4,192 7,847 420

Not-for profit institutions

3,473 6,502 348

Public institutions

4,312 8,071 432

Subpart D – Institutional and Financial Assistance Information for Students

34 CFR 668.42 – Financial assistance information

Respondents Responses Hours

For profit institutions

4,192 7,847 10,412

Not-for profit institutions

3,473 6,502 8,628

Public institutions

4,312 8,071 10,710

34 CFR 668.43 – Institutional information

Respondents Responses Hours

For profit institutions

4,192 7,847 26,095

Not-for profit institutions

3,473 6,502 21,621

Public institutions

4,312 8,071 26,840

34 CFR 668.46 – Institutional security policies and crime statistics

Respondents Responses Hours

For profit institutions

4,192 7,847 93,761

Not-for profit institutions

3,473 6,502 77,687

Public institutions

4,312 8,071 96,440

Subpart G – Fine, Limitation, Suspension and Termination Proceedings

34 CFR 668.90 – Initial and final decisions

Respondents Responses Hours

For profit institutions

4,192 7,847 1,769

Not-for profit institutions

3,473 6,502 1,466

Public institutions

4,312 8,071 1,820

34 CFR 668.96 – Reinstatement after termination

Respondents Responses Hours

For profit institutions

4,192 7,847 266

Not-for profit institutions

3,473 6,502 220

Public institutions

4,312 8,071 274

Subpart H – Appeal Procedures for Audit Determinations and Program Review Determination

34 CFR 668.113 – Request for review

Respondents Responses Hours

For profit institutions

4,192 7,847 84

Not-for profit institutions

3,473 6,502 70

Public institutions

4,312 8,071 86

Subpart L – Financial Responsibility

34 CFR 668.171 – General

Respondents Responses Hours

For profit institutions

4,192 7,847 193

Not-for profit institutions

3,473 6,502 160

Public institutions

4,312 8,071 199

34 CFR 668.172 – Financial ratios

Respondents Responses Hours

For profit institutions

4,192 7,847 193

Not-for profit institutions

3,473 6,502 160

Public institutions

4,312 8,071 199

34 CFR 668.173 – Refund reserve standards

Respondents Responses Hours

For profit institutions

4,192 7,847 193

Not-for profit institutions

3,473 6,502 160

Public institutions

4,312 8,071 199

34 CFR 668.174 – Past performance

Respondents Responses Hours

For profit institutions

4,192 7,847 193

Not-for profit institutions

3,473 6,502 160

Public institutions

4,312 8,071 199

34 CFR 668.175 – Alternative standards and requirements

Respondents Responses Hours

For profit institutions

4,192 7,847 193

Not-for profit institutions

3,473 6,502 160

Public institutions

4,312 8,071 199

Subpart M – Two Year Cohort Default Rates

34 CFR 668.181 – Purpose of this subpart

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.182 – Definitions of terms used in this subpart

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.183 – Calculating and applying cohort default rates

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.184 – Determining cohort default rates for institutions that have undergone a change in status

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.185 – Draft cohort default rates and your ability to challenge before official cohort default rates are issued.

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.186 – Notice of your official cohort default rate

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.187 – Consequences of cohort default rates on your ability to participate in Title IV, HEA programs

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.188 – Preventing evasion of the consequences of cohort default rates

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.189 – General requirements for adjusting official cohort default rates and for appealing their consequences

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.190 – Uncorrected data adjustments

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.191 – New data adjustments

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.192 – Erroneous data appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.193 – Loan servicing appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.194 – Economically disadvantaged appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.195 – Participation rate index appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.196 – Average rate appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

34 CFR 668.197 – Thirty-or-fewer borrower appeals

Respondents Responses Hours

For profit institutions

4,192 7,847 510

Not-for profit institutions

3,473 6,502 422

Public institutions

4,312 8,071 524

This total for information collection 1845-0022 includes the transfer of hours from 1845-0038:

Respondents Responses Hours

904,212 1,321,918 2,138,320

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 :      

There is no start-up cost associated with these regulations.

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.

There are no additional costs to the Federal government as a result of the regulations.

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 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).

There is no new statutory or regulatory language in this adjustment. This revised collection is caused by the requested adjustment increase of 36 respondents and responses and 1,260 hours due to the transfer of section 34 CFR 668.23 and 668.24 from 1845-0038 to 1845-0022 to correct an error made when information collections were transferred from 1840 to 1845 series. There is no other change to the prior burden assessment.

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 results of the collection of information will not be published.

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.

The Department is not seeking this approval.

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

The Department is not requesting any exceptions to the “Certification of Paperwork Reduction Act Submissions”.

1 Please limit pasted text to no longer than 3 paragraphs.

2 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)

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