Third Access, Participation, Eligibility and Certification Study Series (APEC III)

Forms and Documents

Document Name	Status
2. APEC_III_OMB_Part_B_5.9.17.docx Supporting Statement B	2017-05-18
1. APEC_III_OMB_Part_A (9-27-17) (clean version).docx Supporting Statement A	2017-10-04
O01 Sample Frame Development and Selection Procedures.docx Supplementary Document	2017-05-18
U APEC III Cognitive Pretest Findings Report.pdf Supplementary Document	2017-05-18
S Data Collection Summary.docx Supplementary Document	2017-05-18
R Special School Weights for Non-Certification Errors.docx Supplementary Document	2017-05-18
Q APEC III School Sample Selection Memo.pdf Supplementary Document	2017-05-18
P APEC III SFA Sample Selection Memo.pdf Supplementary Document	2017-05-18
N APEC III Burden Table.xlsx Supplementary Document	2017-05-18
M Westat Information Technology and Systems Security Policy and Best Practices.pdf Supplementary Document	2017-05-18
L Westat APEC III IRB Approval Letters.pdf Supplementary Document	2017-05-18
K Westat Federal-Wide Assurance.pdf Supplementary Document	2017-05-18
J Westat Confidentiality Pledge.pdf Supplementary Document	2017-05-18
H Response to National Agricultural Statistics Service (NASS) Comments.docx Supplementary Document	2017-05-18
G National Agricultural Statistics Service (NASS) Comments.docx Supplementary Document	2017-05-18
A9 Healthy Hunger-Free Kids Act 2010 PL 111_296.pdf Supplementary Document	2017-05-17
A8 FNS FY 2014 Research Evaluation Plan.pdf Supplementary Document	2017-05-17
A7 M-15-02-Appendix C to Circular No. A-123 Requirements for Effective Estimation and Remediation of Improper Payments.pdf Supplementary Document	2017-05-17
A6 OIG FY 2014 Compliance Improper Payment Requirements.pdf Supplementary Document	2017-05-17
A5 Improper Payments Elimination and Recovery Improvement Act 2012.pdf Supplementary Document	2017-05-17
A4 Improper Payments Elimination and Recovery Act (IPERA) of 2010.pdf Supplementary Document	2017-05-17
A3 2009 Executive Order 13520 Reducing Improper Payments.pdf Supplementary Document	2017-05-17
A2 Improper Payments Information Act (IPIA) of 2002.pdf Supplementary Document	2017-05-17
A1 Richard B. Russell National School Lunch.pdf Supplementary Document	2017-05-17

IC Document Collections

IC ID	Document Title	Status
226901	State, Local, and Tribal Government - State Child Nutrition Agency, SFA, and Schools (Non-respondents) Other-Non Respondents Burden Instrument	New
226899	State, Local, and Tribal Government - State Child Nutrition Agency, SFA, and Schools Other-Appendix B1. SFA Request for E-Records (Non-CEP Schools fo	New
226897	Individuals/Households - Households (Non-Respondents) Other-Non Respondents Burden Instrument	New
226896	Individuals/Households - Households Other-Appendix D3. Household Survey Income Worksheet	New
203797	Households: M - Household Survey (Non-Response) Other-Non-Respondent Placeholder	Removed
203796	Households: M - Household Survey Other-M.1-Household Survey	Removed
203795	Private Schools: K -Participation Data Protocol Other-K - Participation Data Protocol- For All Schools	Removed
203794	Private Schools: J - Changes in Student Certification and Enrollment Form Other-J - Changes in Student Certification and Enrollment Form -	Removed
203793	Private Schools: H - School Meal Count Verification Form Other-H.1-School Meal Count Form-Day	Removed
203792	Private Schools: F - Certified and Denied Applicant Sampling Other-F.1-Student Sample Contact Info Form	Removed
203791	Private Schools: D - SFA Reimbursement Claims Data Other-D.1-SFA Reimbursement Claim Verif - Month	Removed
203790	Private Schools: Telephone Interview for Survey Data Clarification Other-Unwritten Information Collection Instrument Placeholder	Removed
203788	Private Schools: C - SFA District Director Questionnaire Other-C - SFA District Director Questionnaire	Removed
203787	State/Local: O - Program Data Other-O.3-Administrative Data Items Being Rqst from State Agenci	Removed
203786	State/Local: K - Participation Data Other-K - Participation Data Protocol- For All Schools	Removed
203785	State/Local: J - Changes in Student Certification and Enrollment Form Other-J - Changes in Student Certification and Enrollment Form -	Removed
203784	State/Local: H - School Meal Count Verification Form Other-H.1-School Meal Count Form-Day	Removed
203783	State/Local: G - CEO Student Sampling Other-G - CEO Student Sampling File Documentation Form	Removed
203782	State/Local: F - Certified and Denied Applicant Sampling Other-F.1-Student Sample Contact Info Form	Removed
203781	State/Local: D - SFA Reimbursement Claims Data Other-Attachment D.1-SFA Reimbursement Claim Verif - Month	Removed
203780	State/Local: Telephone Interview for Survey Data Clarification Other-Unwritten Information Collection Instrument Placeholder	Removed
203779	State/Local: C - SFA District Director Questionnaire (Non-Response) Other-NON-RESPONDENT PLACE HOLDER	Removed
203778	State/Local: C - SFA District Director Questionnaire Other-Attachment C - SFA District Director Questionnaire	Removed

ICR Details

OMB Control No: 0584-0530	ICR Reference No: 201705-0584-004
Status: Historical Active	Previous ICR Reference No: 201208-0584-008
Agency/Subagency: USDA/FNS	Agency Tracking No:
Title: Third Access, Participation, Eligibility and Certification Study Series (APEC III)
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 10/04/2017
	Date Received in OIRA: 06/29/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2020	36 Months From Approved	08/31/2015
Responses	59,016	0	7,974
Time Burden (Hours)	13,042	0	5,363
Cost Burden (Dollars)	0	0	0

---

Abstract: The objective of the third study in this IPERA-mandated series (this study series was previously titled NSLP/SBP Access, Participation, Eligibility, and Certification Study) is to calculate updated, nationally-representative estimates of annual erroneous payments in the school meals programs by replicating the "APEC methodology" (which was implemented in APEC I and APEC II) using data collected in School Year 2017-2018 for the continental states and the District of Columbia.

---

Authorizing Statute(s): US Code: 42 USC 1766, Sections 4 and 10) Name of Law: Richard B. Russell National School Lunch Act of 1966
   EO: EO 13520 Name/Subject of EO: Reducing Improper Payments
   PL: Pub.L. 107 - 300 17 Name of Law: Improper Payments Information Act (IPIA) of 2002
   PL: Pub.L. 111 - 204 1508 Name of Law: Improper Payments Elimination and Recovery Act (IPERA) of 2010
   PL: Pub.L. 112 - 248 4053 Name of Law: Improper Payments Elimination and Recovery Improvement Act (IPERIA) of 2012
   PL: Pub.L. 111 - 296 305 Name of Law: Healthy, Hunger-Free Kids Act of 2010
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 52814	08/10/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 29475	06/29/2017
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
State/Local: F - Certified and Denied Applicant Sampling
State/Local: Telephone Interview for Survey Data Clarification
State/Local: H - School Meal Count Verification Form
Private Schools: F - Certified and Denied Applicant Sampling
Households: M - Household Survey
Individuals/Households - Households
Individuals/Households - Households (Non-Respondents)
State, Local, and Tribal Government - State Child Nutrition Agency, SFA, and Schools
State, Local, and Tribal Government - State Child Nutrition Agency, SFA, and Schools (Non-respondents)
State/Local: D - SFA Reimbursement Claims Data
State/Local: J - Changes in Student Certification and Enrollment Form
State/Local: O - Program Data
Private Schools: D - SFA Reimbursement Claims Data
State/Local: C - SFA District Director Questionnaire
State/Local: K - Participation Data
Private Schools: H - School Meal Count Verification Form
Private Schools: K -Participation Data Protocol
Households: M - Household Survey (Non-Response)
State/Local: G - CEO Student Sampling
Private Schools: C - SFA District Director Questionnaire
Private Schools: Telephone Interview for Survey Data Clarification
Private Schools: J - Changes in Student Certification and Enrollment Form
State/Local: C - SFA District Director Questionnaire (Non-Response)

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	59,016	7,974	0	51,042	0	0
Annual Time Burden (Hours)	13,042	5,363	0	7,679	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: This collection is a reinstatement of a previously approved information collection. It adds 13,042 burden hours and 59,016 responses to OMB's inventory as a program change. When this collection was discontinued, it had 5,363 burden hours and 7,974 responses, so this reinstatement reflects an increase from APEC II (approximately 7,679 burden hours and 51,042 responses).

---

Annual Cost to Federal Government: $2,364,184

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 06/29/2017

---