1845-0049 Supporting Statement 30D

Tracking and OMB Number: ( ) 1845-0049 Revised: 1/31/2020

RIN Number: XXXX-XXXX (if applicable)

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

Student Assistance General Provisions – Subpart J – Approval of Independently Administered Tests

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 an extension without change of the approval for the reporting and recordkeeping requirements that are contained in the information collection 1845-0049 for Student Assistance General Provision in the regulations in Subpart J-Approval of Independently Administered Tests; Specification of Passing Score; Approval of State Process. There are no forms or formats established by the Department for the reporting or recordkeeping requirements. These regulations govern the application for and approval by the Secretary of assessments by a private test publisher or State that are used to measure a student’s skills and abilities. The administration of approved ability to benefit (ATB) tests may be used to determine a student's eligibility for assistance for the Title IV student financial assistance programs authorized under the Higher Education Act of 1965, as amended (HEA) when, among other conditions, the student does not have a high school diploma or its recognized equivalent. The language of the current statute and regulations have not changed.

The HEA, as amended by the Consolidated Appropriation Act, 2012 (Pub. L. 112-74) changed the Federal student aid eligibility criteria for students without a high school diploma or the recognized equivalent of a high school diploma. The statute retained the completion of a homeschool program as an eligibility alternative but removed the passing of an independently administered Department approved ATB test as an eligibility criteria previously available to aid applicants. This change was effective for students who first enrolled in an eligible program of study on or after July 1, 2012. Official guidance from the Department maintains that for students who previously attended an eligible program prior to July 1, 2012 and need to establish Title IV eligibility after July 1, 2012 (“grandfathering test”), the provisions of Public Law 112-74 do not apply and will not prevent those students from using prior ATB alternatives including passing an ATB test.

The HEA, as amended by the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) changed the Federal student aid eligibility criteria for students without a high school diploma or the recognized equivalent of a high school diploma. The statute retained the completion of a homeschool program as an eligibility alternative, but only allows the use of ATB alternatives if the student is enrolled in an “eligible career pathway program” as defined by section 484(d)(2) of the HEA. The HEA, as amended by the Consolidated Appropriations Act, 2016 (Pub. L. 114-113) further changed the Federal student aid eligibility criteria for students by revising the definition of an eligible career pathways program. These new provisions did not affect the eligibility of students who meet the “grandfathering test”.

There continues to be a minimal number of student applicants who could qualify to use the passing of an ATB test alternative to determine Title IV eligibility.

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.

The Department of Education is responsible for evaluating the quality of the State plans and private ATB test publisher tests submitted under the provisions articulated by the Secretary. Department staff will review the submitted tests and use psychometrician services to evaluate the submitted ATB tests using the Secretary's guidelines in these established regulations to determine if the tests meet the conditions for approval by the Secretary.

Postsecondary institutions will evaluate the test scores obtained by the student applicants for Federal student assistance to determine whether the student is eligible for Title IV, HEA program assistance.

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.

There are no legal or technical obstacles to the use of technology in this information collection activity, the process for applicants to submit their tests for approval is moving from “paper and pencil” tests to computer-based testing and we expect this trend to continue. As testing expands into computer-based formats, the reporting of the test results by test publishers to the institutions the student plans to attend should be more automated, until then States and test publishers may continue to provide students with a paper output report or electronic output document, and institutions with an electronic output document.

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 information supplied for State provided plans, for ATB test publisher applications for test approval, and in the students' test score results is not duplicated on any other system.

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.

If this collection is not conducted it is possible that a student without aid eligibility could receive federal student aid in conflict with the law and in violation of the Department’s fiduciary responsibilities to protect the government and taxpayer against loss through fraud and mismanagement. Alternately, without this collection, an otherwise eligible student may be denied a federal benefit for which they are eligible.

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.

This application is consistent with the guidelines in 5 CFR 1320.5(d) (2), except for the request for multiple copies of each test. These tests are copyrighted and are not duplicated by the Department for review purposes. Multiple copies of the tests are required because the tests are reviewed and analyzed by multiple Department staff and testing experts before any test approval is granted by the Secretary. Therefore, the Department is requesting a waiver for 5 CFR 1320.5(d) (2) (iii).

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.

The Department published a 60-day notice in the Federal Register on December 3, 2019 (Vol. 84, No. 232, page 66177) inviting public comment on the form and the burden assessment. No public comments were received. There has been no change to the burden assessment. This is the 30-day publication request.

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

There are no payments or gifts to 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 the respondents concerning the application for State plans or test approval and assurance of confidentiality for the submission of test scores.

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.

There are no questions of a sensitive nature in this application.

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.

The request for ATB test approval from independent test publishers or the request for approval of a State process will continue to be received by the Department as often as the test developers determine it is in their interest to apply for the Secretary's approval or as the agreement reaches its expiration consistent with the regulations in Subpart J. To date, there have been no State examinations which met the regulatory requirements submitted for approval and some previously approved examinations have been voluntarily removed from use by the test publisher as an ATB examination.

The submission of the student’s test score results from the test publisher to the institution generally, will occur only once. In other cases, where the institution is a two-year or four-year degree granting institution or a public postsecondary vocational institution and the institution has a qualified assessment center, the center may score the student’s ATB test and provide the results to the student’s institution.

Section 668.144 – Application for test approval.

Section 668.144(c) (16) & (d) (7) requires each test publisher or State to have a process for determining the level of training, knowledge, and skills of a test administrator, a process to determine the integrity of the test administrator and to report their process to the Secretary in its submission for test approval.

We estimate that a test publisher or State will on average take 3 hours to review its current process to establish that a test administrator has the necessary training, knowledge, skills and integrity to test students.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours:

3 3 X 3 hours 9

Section 668.144(c)(17) & (d)(8) requires that a test publisher or a State to explain to the Secretary its test anomaly analysis, how it will identify potential test irregularities and how it will determine that test irregularities have occurred. Additionally, an explanation of the process and procedures for corrective action, including de-certification of a certified test administrator and to report information on when and how it will notify a test administrator, the Secretary, the institutions where the test irregularities occurred, that the test administrator has been decertified is required.

We estimate that a test publisher or State will on average take 75 hours to develop/review its test anomaly process and to establish its test anomaly analysis and explain it to the Secretary. That explanation must include its test irregularity detection process, its corrective action process, including its decertification of test administrator process, as well as its reporting processes.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours:

* 3 X 75 hours 225

Section 668.144(c)(18) & (d)(9) requires that a test publisher or a State will describe to the Secretary the types of accommodations available to individuals with disabilities, including an explanation of any accessible technologies and a description of the process for a test administrator to identify and report when accommodations for individuals with disabilities were provided.

We estimate that a test publisher or State will on average take 1 hour to develop/review/update and describe to the Secretary the types of accommodations available to individuals with disabilities, the process the test administrator will use to support the identification of the disability and the process to report when accommodations were used.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours:

* 3 X 1 hour 3

*=Avoids duplication of the universe of respondents at the time of filing.

Sub-total for 34 CFR 668.144:

# of Respondents: # of Responses: # of Burden Hours:

3 9 237

Section 668.150 – Agreement between the Secretary and a test publisher or a State.

Section 668.150(b) (2) requires that each test publisher or State to obtain a certification statement from each prospective test administrator indicating that he or she is not currently de-certified and that if the test administrator becomes de-certified by another test publisher or State that the test administrator will immediately notify all other test publishers or States for whom the test administrator administers ATB tests.

We estimate that a test publisher or State will on average take .5 hours (30 minutes) to review its process to obtain a certification statement from each prospective test administrator. We estimate that it will take each prospective test administrator .17 hours (10 minutes) to access, read, certify and submit the written certification to the test publisher or State, as applicable. We estimate that each test publisher or State, as applicable, will take .08 hours (5 minutes) to review each certification.

AFFECTED ENTITES and BURDEN:

Continuing Burden for Individuals (1,000 test administrators)

# of Respondents: # of Responses # of Burden Hours

1,000 1,000 X.17 hours 170

Continuing Burden for process development For-Profit Entities

# of Respondents: # of Responses # of Burden Hours

* 3 X .5 hours 2

Continuing Burden for review of submitted certifications For-Profit Entities

# of Respondents: # of Responses # of Burden Hours

* 1,000 X .08 hour 80

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.150(b) (6) requires that the test publisher or State immediately notify the test administrator, the Secretary, and the institutions where the test administrator previously administered the ATB tests when it de-certifies a test administrator.

We estimate that 1 percent of the universe of test administrators or 10 test administrators will become de-certified (1,000 test administrators X .01 = 10). We estimate that it will take test publishers and States 1 hour per de-certification to notify the test administrators, the Secretary, and the affected institutions for a total of 10 hours of burden.

AFFECTED ENTITES and BURDEN:

Continuing Burden for decertification process For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours:

* 10 X 1 hour 10

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.150(b)(7) requires that, when the test publisher or State determines that ATB tests have been improperly administered, the affected students and prospective students must be notified by the respective test publisher or State. In addition, the regulations require that the respective test publisher or State are required to provide a report to the Secretary on the results of their review and determination of improper ATB test administration, the notifications to the institutions, students and prospective students.

We estimate that it will take each test publisher or State, as applicable, 3 hours to review their process to determine when ATB tests have been improperly administered. We estimate that 23,046 ATB tests will be provided per year and estimate that 2 %, or 481, of those tests could be improperly administered and affected students or prospective students would require notification from the test publisher or State. We estimate that the notification process and any follow-up contact to average .33 hours (20 minutes) per contact and .25 hours (15 minutes) per student.

AFFECTED ENTITES and BURDEN:

Continuing Burden on For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours

ATB test publishers to review process to determine when an ATB test has been improperly administered:

* 3 X 3 hours = 9 hours

ATB test publisher immediate notification to affected students and prospective students of improper testing:

* 481 X .25 hours = 120 hours

ATB test publishers reporting to the Department the results of review and notification to institutions and students who have been improperly tested:

* 481 X .33 hours= 159 hours

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.150(b)(13) requires that test publishers or a State analyze the test scores for all ATB test takers every 18 months to determine if there are any irregular patterns that raises an inference of improper test administration.

We estimate that a test publisher or State will on average take 75 hours to conduct its test anomaly process to establish its test anomaly analysis and report the results to the Secretary at the end of each 18-month period. That explanation must include its test irregularity detection process results, its corrective action process results, including its de-certification of test administrator process results, as well as its reporting processes.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours:

* 4 X 75 hours = 300 hours

Section 668.150(b)(15) requires that the test publisher or State immediately report to the Secretary if it finds any credible information indicating that the approved ATB test has been compromised.

We estimate 23,046 ATB tests will be taken each year, of that number we estimate that in .001 % of the tests or 23 cases will be compromised and therefore required to be reported to the Secretary. We estimate the collection of credible information and its reporting to the Secretary to take 1 hour per incidence.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours

* 23 x 1 hour = 23 hours

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.150(b)(16) requires that the test publisher or State immediately report to the Office of the Inspector General of the Department of Education any credible information indicating that a test administrator or institution may have engaged in fraud or other criminal misconduct.

We estimate 23,046 ATB tests will be taken each year, of that number we estimate that in .001 % of the tests or 23 cases that there will be credible information indicating that a test administrator or institution may have engaged in fraud or other criminal conduct. We estimate the collection of credible information and its reporting to the Office of the Inspector General to take 1 hour per incidence.

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Entities

# of Respondents: # of Responses: # of Burden Hours

* 23 X 1 hour = 23 hours

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.150(b)(17) requires that all certified test administrators are required to report to the test publisher or State, respectively, the nature of the disability and any accommodations provided when approved ATB tests are given to individuals with disabilities.

We estimate that the average amount of time that a test publisher or State, as applicable, will take to review its process for having test administrators report the nature of the test taker’s disability and any accommodation provided to the individual with the disability to be 1 hours per test.

AFFECTED ENTITES and BURDEN:

Continuing Burden for For-Profit Sector

# of Respondents: # of Responses: # of Burden Hours:

* 4 X 1 hour = 4 hours

*=Avoids duplication of the universe of respondents at the time of filing.

We estimate that 12 % of the U.S. population is severely disabled, and that 2,766 of the ATB test takers will be individuals with disabilities. We estimate that on average it will take .08 hours (5 minutes) per case to report the nature of the disability and any accommodation that the test administrator made for the test taker.

AFFECTED ENTITES and BURDEN:

Continuing Burden for Individuals (1,000 test administrators):

# of Respondents: # of Responses: # of Burden Hours:

* 2,766 X .08 hour = 221hours

Sub-total for 34 CFR 668.150:

# of Respondents: # of Responses: # of Burden Hours:

1,000 5,798 1,121

*=Avoids duplication of the universe of respondents at the time of filing.

Section 668.151 – Administration of tests.

Section 668.151(g)(4) requires that institutions where approved ATB test are given by certified test administrators either at assessment centers or by an independent test administrators, maintain the name and address of the test administrator who administered the test.

Section 668.151(g)(5) requires that if the individual who took the test has a disability and as a result was unable to be evaluated by the use of a conventional test or required test accommodations, that documentation of the individual’s disability and of the testing arrangements must be maintained by the institution.

We estimate that on average it will take an institution .08 hours (5 minutes) per 23,046 ATB test to collect and maintain the identifier information on each test administrator for each ATB test provided, therefore we estimate a total burden of 1,844 hours (23,046 x .08). In addition, for the estimated 2,766 ATB test takers who are individuals with disabilities that it will take an additional .08 hours (5 minutes) per test taker to collect and maintain documentation on the individual’s disability and the testing accommodations that were made by the test administrator for the ATB test-taker for 221 hours (2,766 x .08).

AFFECTED ENTITES and BURDEN:

Section 668.151(g)(4) –requirement that institutions maintain the identifier information for all certified ATB test administrators.

Continuing Burden for For-Profit Institutions

23,046 ATB test takers X .19% (418 For-Profit institutions as a percentage of 2,170 participating institutions) = 4,379 X .08 hours = 350 hours

Continuing Burden for Private Institutions

23,046 ATB test takers X .38% (818 Private institutions as a percentage of 2,170 participating institutions) = 8,857 X .08 hours = 701hours

Continuing Burden for Public Institutions

23,046 ATB test takers X .43% (934 Public institutions as a percentage of 2,170 participating institutions) = 9,910 X .08 hours = 793 hours

# of Respondents: # of Responses: # of Burden Hours:

2,170 23,046 1,844

Section 668.151(g)(5) –requirement that institutions collect and maintain documentation of the individual ATB test-takers disability and of any accommodating provided by the certified test administrator to the ATB test-taker (668.151(g)(5)).

AFFECTED ENTITES and BURDEN:

Continuing Burden For-Profit Institutions

2,766 cases of individuals with disabilities taking an ATB test X 19% (For-Profit institutions as a percentage of all participating institutions) 526 X .08 hours per case reported = 42 hours

Continuing Burden for Private Institutions

2,766 cases of individuals with disabilities taking an ATB test X 38% (Private institutions as a percentage of all participating institutions) 1,051 X .08 hours per case reported = 84 hours

Continuing Burden for Public Institutions

2,766 cases of individuals with disabilities taking an ATB test X 43% (Public institutions as a percentage of all participating institutions) 1,189 X .08 hours per case reported = 95 hours

# of Respondents: # of Responses: # of Burden Hours:

* 2,766 221

*=Avoids duplication of the universe of respondents at the time of filing.

Revised Sub-total for 34 CFR 668.151:

# of Respondents: # of Responses: # of Burden Hours:

2,170 25,812 2,065

Section 668.152 – Administration of tests by assessment centers.

The regulations require that if the test assessment center scores the approved ATB test that it must provide a copy of the completed test to the test publisher or State, as applicable, on a weekly basis to include either; the name, address, and any other identifier provided by the test publisher or State of the test administrator who administered the test; or a report of all test-takers’ scores and institutions to which the scores were sent and the name, address, and any other identifier provided by the test publisher or State of the test administrator who administered the test.

We estimate that of the 1,000 test administrators, approximately one-third or 330 are at test assessment centers.

AFFECTED ENTITES and BURDEN:

Continuing Burden for Private Institutions

We estimate that 15% of the test assessment centers giving ATB tests are at private non-profit institutions.

330 assessment centers X .15 = 50

X .17 hours (10 minutes)

X 52 weeks

equals 442 hours of additional burden.

# of Respondents: # of Responses: # of Burden Hours:

50 2,600 442

Continuing Burden for Public Institutions

We estimate that 85% of the test assessment centers giving ATB tests are at public institutions.

330 assessment centers X .85 = 280

X .17 hours (10 minutes)

X 52 weeks

equals 2,475 hours of additional burden.

# of Respondents: # of Responses: # of Burden Hours:

280 14,560 2,475

Sub-total for 34 CFR 668.152:

# of Respondents: # of Responses: # of Burden Hours:

330 17,160 2,917

Section 668.153 – Administration of tests for individuals whose native language is not English or for individuals with disabilities.

The regulations require that the test administrator must ensure that there is documentation to support the determination that the individual has a disability and requires accommodations, however, the burden associated with this final requirement is in the maintenance of the documentation by the institution in §668.151(g)(5) - see above.

Total Respondents, Responses and Burden Hours:

# of Respondents # of Responses # Hrs Burden

Section 668.144 – Application for test approval.

3 9 237

Section 668.150 – Agreement between the Secretary and a test publisher or a State.

1,000 5,798 1,121

Section 668.151 – Administration of tests.

2,170 25,812 2,065

Section 668.152 – Administration of tests by assessment centers.

330 17,160 2,917

Proposed and Current Inventory Total:

# of Respondents # of Responses Burden Hours

3,503 48,779 6,340

Net change:

# of Respondents # of Responses Burden Hours

0 0 0

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 are no startup costs.

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 final 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).

The extension of the current information collection is being requested without change. The Department requests the continued approval of 6,340 hours for 48,779 responses.

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.

This 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. The OMB number and expiration date will be announced in the Federal Register once approved by the Office of Management and Budget.

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

There are no exceptions to the certification.

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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