0048 Supporting Statement State Plan for AT 0521

0985-0048 05/2021

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

OMB Number: (0985-0048)

A. Justification

1. Explain the circumstances that make the collection of information necessary.

The Administration for Community Living (ACL) of the U.S. Department of Health and Human Services (HHS) requests clearance for the reinstatement of a previously approved information collection instrument OMB control Number 0985-0048; for usage by grantees under the Assistive Technology Act of 2004 (Public Law 108-364).

Section 4 of the Assistive Technology Act of 2004 (AT Act) provides grants to states to operate comprehensive statewide assistive technology programs (Statewide AT Programs) that increase access to and acquisition of AT devices and services for individuals with disabilities and older Americans.

States are required to submit an application to ACL in order to receive funds under this grant program. Section 4(d) of the AT Act requires that this application contain:

(1) Information identifying and describing the lead agency and implementing entity (if applicable) responsible for carrying out the Statewide AT Program and a description of how the implementing entity (if applicable) coordinates and collaborates with the state;

(2) A description of how public and private entities were involved in the development of the application and will be involved in implementation of the grant, including the resources to be committed by these entities;

(3) A description of how the Statewide AT Program will implement the activities required under the grant, which include state financing, device reutilization, device loans, device demonstrations, training, technical assistance, and public awareness. Statewide AT Programs must conduct these activities in coordination and collaboration with other appropriate entities;

(4) An explanation of how the grant funds will be allocated, used, and tracked;

(5) A set of assurances; and

(6) A description of the activities that will be supported with State funds.

The full list of application requirements and assurances follows this supporting statement as an appendix. That appendix also indicates where and how the State Plan addresses these requirements.

The information collected through this State Plan for AT instrument is necessary for ACL and states to comply with Sections 4 and 7 of the AT Act. ACL is requesting a reinstatemetn of the State Plan for AT information collection instrument (OMB No. 0985-0048). Approval of 0985-0048 expired March 31, 2021.

Section 4 Requirements Necessitating Submission of the State Plan for AT and Annual Data Collection

Section 4 of the AT Act authorizes grants to public agencies in the 50 states and the District of Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Marianas (states and outlying areas). With these funds, the 56 states and outlying areas operate “Statewide AT Programs” that conduct activities to increase access to and acquisition of assistive technology (AT) for individuals with disabilities and older Americans. These comprehensive activities are divided into two categories: “State-level Activities” and “State Leadership Activities.”

According to Section 4 of the AT Act, as a condition of receiving a grant to support their Statewide AT Programs, the 56 states and outlying areas must provide to ACL: (1) applications and (2) annual progress reports on their activities.

Applications: The application required of states and outlying areas is a three-year State Plan for Assistive Technology (State Plan for AT or State Plan) (OMB No. 0985-0048). The content of the State Plan for AT is based on the requirements in Section 4(d) of the AT Act. As a part of this State Plan, Section 4(d)(3) of the AT Act requires that states and outlying areas conduct activities addressing the assistive technology needs of individuals with disabilities in education, employment, community living and information technology/telecommunications.

National aggregation of data related to the required state-level and state leadership activities is necessary for the Government Performance and Results Modernization Act of 2010 (GPRAMA) (Public Law 111-352), as well as an Annual Report to Congress (see “Section 7 Requirements Necessitating Collection” below). Therefore, this State Plan for AT instrument provides a way for all 56 grantees—50 U.S. states, D.C., Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands to collect and report data on their performance in a consistent manner, including a uniform survey to be given to consumers. This uniform survey is included as part of the data collection package in the annual data collection instrument (OMB No. 0985-0042).

Annual Reports: In addition to submitting a State Plan for AT every three years, states and outlying areas are required to submit annual progress reports on their activities. The data required in that progress report is specified in Section 4(f) of the AT Act.

Section 7 Requirements Necessitating Collection

Section 7(d) of the AT Act requires that ACL submit to Congress an annual report on the activities identified in the State Plan for AT and an analysis of the progress of the states and outlying areas in meeting their measurable goals. The State Plan for AT must include a compilation and summary of the activities conducted under Section 4(f). In order to make this possible, states and outlying areas must provide their data uniformly. This State Plan for AT instrument was developed to ensure that all 56 states and outlying areas report data in a consistent manner in alignment with the requirements of Section 4(f).

2. Indicate how, by whom, and for what purpose the information is to be used.

The purpose of the State Plan for AT is determining the eligibility of a state to receive a grant under section 4 of the AT Act. The information contained in the State Plan is used for monitoring purposes and enables ACL to determine whether the Statewide AT Program proposed by the state is consistent with the requirements of the AT Act. In addition, the State Plan for AT requests information necessary for basic program management, such as contact information for program personnel.

In addition to a source of information for the annual report to Congress, past experience has shown that the information in State Plans is needed to respond to requests for data. ACL frequently receives questions from, or presents information to, other Federal agencies, Congress, and the public on the AT Act. The information culled from State Plans enables ACL to answer common queries, such as how many programs undertake certain activities, how many programs are based in particular agencies, or how many programs collaborate with specified entities.

As explained in the following entry on “Use of Information Technology,” the proposed State Plan for AT will be completed electronically and function as a searchable database. This enables ACL to easily gather information to complete the report to Congress and respond to requests for information.

Information collected from the grantees will provide a national description of activities funded under the AT Act to increase the access to and acquisition of AT devices and services through Statewide AT Programs for individuals with disabilities for use by Congress, the Department, and the public. In addition, ACL will use the State Plan for AT to inform its program management, monitoring, and technical assistance efforts. States will be able to use the information for internal management and program improvement.

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.

The proposed State Plan for AT is submitted electronically as an online survey. Using the Center for Assistive Technology Act Data Assistance (CATADA), states complete their annual reports via the Internet by entering data into fields, choosing from drop-down menus, selection via “check boxes,” and narrative. Paper versions of the plan are neither required nor accepted unless there is a technological barrier to using the online system. CATADA will serve not only as the venue for submitting the data electronically, but also functions as a database to allow both ACL and the public to access information.

Since a web-based data collection system is currently in place, a proposed update to the CATADA system will be implemented to include the State Plan IC based upon the instrument submitted for review. The paper version of the instrument translates directly into a web-based format. Throughout the document, there are numerous references to how certain sections and items are used in the electronic system. Upon OMB approval of the paper version, the web-based application for use by the states will be implemented by ACL using the system and instrument developed by CATADA. Once updated, the system will meet or exceed the requirements for accessibility of Section 508 of the Rehabilitation Act of 1973, as amended, and other applicable statutes and regulations, and industry standards.

This web-based system allows all 56 grantees—50 U.S. states, D.C., Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands and territories to enter and submit their data electronically at their convenience on an ongoing basis. Where appropriate, the system automatically generates totals and does other automatic calculations, saving time and reducing the chance of mathematical errors.

ACL will have immediate access to the information submitted, allowing ACL to identify which grantees have submitted their data in the State Plan. This access will allow ACL to generate reports, even on partial data, as requested by Congress or others. States will have similar access to their information and data for management purposes.

4. Describe efforts to identify duplication.

The information collected by the State Plan for AT is not duplicative of information collected through other data collections or by other methods, with the exception of basic contact information for program personnel. While it is not a duplication of information, some information collected via 0985-0042 is related to information in the State Plan for AT.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

This information collection does not involve small businesses and will not have a significant impact on substantial numbers of small entities.

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.

States only are required to submit a new plan every three years and three years is the maximum approval period for an information collection.

During the three-year effective period of the plan, individual states may update the plan as necessary to ensure its accuracy (i.e., if a state changes how it conducts its activities, the State Plan must be updated to reflect that change).

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;

None.

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

None.

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

None.

• requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than three years;

None.

• 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;

None.

• Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

None.

• 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

None.

• 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.

None.

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.

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.

The renewal of the State Plan for AT information collection instrument was published in the Federal Register in Vol. 86, pg. 11545-11546, on February 25, 2021 for a 60-day solicitation of comments period. There were no public comments. A 30-day notice published in the Federal Register in Vol. 86, pgs. 26522-26523, on May 14, 2021.

Following the AT Act Program Leadership Symposium held in Washington, DC in early March 2020, CATADA, the project responsible for coordinating the development and maintenance of the Assistive Technology Annual Performance Report (AT APR), hosted a webinar meeting on April 18, 2020. ACL and CATADA staff presented a review of all the State Plan for AT data elements and solicited suggestions for revisions from representatives of the State Grant for AT programs of various types and received no comments or suggestions to amend the current plan. ACL will work with CATADA to develop and implement an online State Plan information collection system for the submission of the AT State Plans.

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 respondents.

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

The State Plan and the data submitted to the Department contain no personally identifiable information; there are no assurances of confidentiality. This information is publicly available.

The web-based system used for this instrument will not allow public access to the reporting instrument for data entry, and states will have access to their data only. They will not be able to see or manipulate data of other states. Individual state reports will be kept confidential until they have been finalized by the state and accepted by ACL.

Once a report has been finalized by the state and accepted by ACL, access to the aggregated state-specific and national data will be available to the public via the Internet. However, while the public will be able to view the data, they will not be able to alter the data. States will be advised that their data will be available to the public in this manner.

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.

This information collection contains no questions of a sensitive nature.

12. Provide estimates of the hour burden of the collection of information.

Fifty-six grantees report to ACL using the web-based data collection system.  A workgroup of grantees estimated that the average amount of time required to complete all responses to the data collection instrument is 73 hours annually.  The burden estimates affect the reporting responsibilities of the Statewide AT Programs and the directors were chosen to represent the diversity of the 56 programs based on regions of the country, sizes of the programs, types of agencies operating the programs, and whether or not the director is an individual with a disability. The estimated response burden includes time to review the instructions, gather existing information, and complete and review the data entries. In addition, we project that clean-up and clarification of data elements will require no change in data burden estimates. The range of “hourly rate of salary” was based on estimates from the previous version of the State Plan adjusted for inflation.

Assuming an average hourly cost of $35 per hour for staff members who complete the instrument, plus 100% for benefits and overhead, resulting in a total estimated hourly cost of $70. The total cost burden for individual grantees is estimated to be $5,110 annually, and the total cost of data collection for the 56 grantees is estimated to be $286,160 annually. The average hourly cost of $35 represents the average of several different classes of labor ranging from clerical to managerial labor and accounts for the amount of time different types of grantee personnel (i.e., clerical, technical, professional and managerial) are expected to expend on the project.

a. Number of respondents -- 56

b. Frequency of response -- 1

c. Total annual responses (a x b) -- 56

d. Hours per response -- 73

e. Total burden hours (c x d) -- 4,088

f. State hourly rate of salary -- $70.00

g. Total cost (e x f) -- $286,160

13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information

Total Annualized Capital/Startup Cost: $0.00

Total Annual Costs (O&M):  $0.00

____________________

Total Annualized Costs Requested : $0.00

No costs are incurred by respondents other than those specified in item 12. There are no capital costs or equipment purchases necessary. Respondents only need to have a computer and internet access to complete the State Plan for AT information collection.

14. Provide estimates of annualized cost to the Federal government.

Section 6(b)(5) of the AT Act requires that ACL award a grant, contract, or cooperative agreement to an entity to assist states with data collection and reporting. The Center for Assistive Technology Data Assistance, CATADA, is responsible for developing the annual progress report data collection instrument, providing training and technical assistance to states on use of the instrument, and assisting with writing the annual report to Congress based on aggregate data submitted. Subject to appropriations, ACL anticipates providing approximately $350,000 each year to the recipient to perform data collection and reporting activities for the State Grant for AT programs, as well as data collection and reporting system training, technical assistance, and analysis for the submission of the State Plan for AT. In addition, ACL awarded CATADA a supplement in the amount of $51,882 to develop and implement a web-based data collection tool for the online submission of the State Plan. The estimated annualized cost to the Federal government for the State Plan for AT information collection portion of the cooperative agreement is $25,000. The State Plan for AT instrument will be housed at CATADA.

In addition to contract costs, ACL employs one management and program analyst at the GS-14 level with the responsibility for the administration of grants funded under the AT Act, including this data collection. This employee is housed in the Center for Innovation and Partnership, Office of Interagency Innovation, which is overseen by a Director. ACL staff dedicates a percentage of their time to this data collection, creating an additional cost. The limited maintenance and receipt of all the AT Program State Plans at ACL is an additional cost associated with the State Plan for AT information collection. The above staff dedicates a percentage of time to this information collection, therefore the estimated annualized cost of salaries to the Federal government for ACL staff time is $30,000. The total amount is $60,000, which includes $30,000 for benefits and overhead.

15. Explain the reasons for any program changes or adjustments.

The State Plan for AT IC package is a reinstatement of a previously approved information collection. There is a program change increase of 4,088 annual burden hours.

16. For collections of information whose results will be published, outline plans for tabulation and publication.

Because states receive formula grants every year, there is no end date for the reporting requirements. States will remain on a set reporting cycle, with the period beginning October 1 and ending September 30 each year. Approved State Plans will be posted on CATADA’s website. No complex analytical techniques will be used. The aggregate, national data derived from this collection will be used to create an annual report to Congress. The format of this report responds to the requirements of Section 7(d) of the AT Act.

Upon Office of Management and Budget approval, ACL plans to formally transmit the approved renewal of the State Plan to the State Grant for AT Programs. ACL staff will review and approve all corresponding State Plans for AT. The State Plan for AT will be tabulated, verified for accuracy, and 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.

ACL will display the expiration date for OMB approval of the information collection. See the Paperwork Burden Statement document.

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

There are no exceptions to the certification statement.

APPENDIX

REQUIREMENTS RELATED TO THE STATE PLAN FOR AT

Requirement	Where and How the State Plan Addresses this Requirement
From section 4(d): (1) IN GENERAL.—Any State that desires to receive a grant under this section shall submit an application to the Secretary, at such time, in such manner, and containing such information as the Secretary may require.	N/A
(2) LEAD AGENCY AND IMPLEMENTING ENTITY.—The application shall contain information identifying and describing the lead agency referred to in subsection (c)(1)(A). The application shall contain information identifying and describing the implementing entity referred to in subsection (c)(1)(B), if the Governor of the State designates such an entity. [Section 4(c) has related a related requirement: “On obtaining the approval of the Secretary, the Governor may re-designate the lead agency, or the implementing entity, if the Governor shows to the Secretary good cause why the entity designated as the lead agency, or the implementing entity, respectively, should not serve as that agency or entity, respectively. The Governor shall make the showing in the application described in subsection (d).”]	Section A includes items identifying and describing the lead agency and implementing entity (if applicable), as well as requiring information about any changes to these respective entities.
(3) MEASURABLE GOALS.—The application shall include— (A) measurable goals, and a timeline for meeting the goals, that the State has set for addressing the assistive technology needs of individuals with disabilities in the State related to— (i) education, including goals involving the provision of assistive technology to individuals with disabilities who receive services under the Individuals with Disabilities Education Act (20 U.S.C. 1400 et seq.); (ii) employment, including goals involving the State vocational rehabilitation program carried out under title I of the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act (29 U.S.C. 720 et seq.); (iii) telecommunication and information technology; and (iv) community living; and (B) information describing how the State will quantifiably measure the goals to determine whether the goals have been achieved.	The methods for measuring the goals are described and conducted under the annual AT APR data collection instrument, 0985-0042.
(4) INVOLVEMENT OF PUBLIC AND PRIVATE ENTITIES.—The application shall describe how various public and private entities were involved in the development of the application and will be involved in the implementation of the activities to be carried out through the grant, including— (A) in cases determined to be appropriate by the State, a description of the nature and extent of resources that will be committed by public and private collaborators to assist in accomplishing identified goals; and (B) a description of the mechanisms established to ensure coordination of activities and collaboration between the implementing entity, if any, and the State.	Sections C-G all contain items where states identify the activities in which public and private entities are involved, what entities are involved, and how they are involved. Section A includes an item to describe the mechanisms for coordination and collaboration between the implementing entity and state, if applicable.
(5) IMPLEMENTATION.—The application shall include a description of— (A) how the State will implement each of the required activities described in subsection (e), except as provided in subsection (e)(6)(A); and (B) how the State will allocate and utilize grant funds to implement the activities, including describing proposed budget allocations and planned procedures for tracking expenditures for activities described in paragraphs (2) and (3) of subsection (e).	Section B is where states identify the activities they will undertake, how they will allocate funds to those activities, and how they will track their expenditures. Sections C-G ask a series of questions about each activity the state conducts, such as the kinds of locations from which the activity is performed, how the activity is made available to consumers, policies related to the activity, and other questions that indicate how the activity is implemented.
(6) ASSURANCES.—The application shall include assurances that— (A) the State will annually collect data related to the required activities implemented by the State under this section in order to prepare the progress reports required under subsection (f); (B) funds received through the grant— (i) will be expended in accordance with this section; and (ii) will be used to supplement, and not supplant, funds available from other sources for technology-related assistance, including the provision of assistive technology devices and assistive technology services; (C) the lead agency will control and administer the funds received through the grant; (D) the State will adopt such fiscal control and accounting procedures as may be necessary to ensure proper disbursement of and accounting for the funds received through the grant; (E) the physical facility of the lead agency and implementing entity, if any, meets the requirements of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) regarding accessibility for individuals with disabilities; (F) a public agency or an individual with a disability holds title to any property purchased with funds received under the grant and administers that property; (G) activities carried out in the State that are authorized under this Act, and supported by Federal funds received under this Act, will comply with the standards established by the Architectural and Transportation Barriers Compliance Board under section 508 of the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act (20 U.S.C. 794d); and (H) the State will— (i) prepare reports to the Secretary in such form and containing such information as the Secretary may require to carry out the Secretary’s functions under this Act; and (ii) keep such records and allow access to such records as the Secretary may require to ensure the correctness and verification of information provided to the Secretary under this subparagraph.	Assurances are found in Section H.
(7) STATE SUPPORT.—The application shall include a description of the activities described in paragraphs (2) and (3) of subsection (e) that the State will support with State funds.	Sections C-G require the state to report those activities supported by the state and the kind of support provided.
From section 4(c): (2) ADVISORY COUNCIL.— (A) IN GENERAL.—There shall be established an advisory council to provide consumer-responsive, consumer-driven advice to the State for, planning of, implementation of, and evaluation of the activities carried out through the grant, including setting the measurable goals described in subsection (d)(3). (B) COMPOSITION AND REPRESENTATION.— (i) COMPOSITION.—The advisory council shall be composed of— (I) individuals with disabilities that use assistive technology or the family members or guardians of the individuals; (II) a representative of the designated State agency, as defined in section 7 of the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act (29 U.S.C. 705) and the State agency for individuals who are blind (within the meaning of section 101 of that Act (29 U.S.C. 721)), if such agency is separate; (III) a representative of a State center for independent living described in part C of title VII of the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act (29 U.S.C. 796f et seq.); (IV) a representative of the State workforce development board established under section 101 of the Workforce Innovation and Opportunity Act; (V) a representative of the State educational agency, as defined in section 9101 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 7801); and (VI) representatives of other State agencies, public agencies, or private organizations, as determined by the State. (ii) MAJORITY.— (I) IN GENERAL.—A majority, not less than 51 percent, of the members of the advisory council, shall be members appointed under clause (i)(I). (II) REPRESENTATIVES OF AGENCIES.—Members appointed under subclauses (II) through (VI) of clause (i) shall not count toward the majority membership requirement established in subclause (I). (iii) REPRESENTATION.—The advisory council shall be geographically representative of the State and reflect the diversity of the State with respect to race, ethnicity, types of disabilities across the age span, and users of types of services that an individual with a disability may receive. (C) EXPENSES.—The members of the advisory council shall receive no compensation for their service on the advisory council, but shall be reimbursed for reasonable and necessary expenses actually incurred in the performance of official duties for the advisory council. (D) PERIOD.—The members of the State advisory council shall be appointed not later than 120 days after the date of enactment of the Assistive Technology Act of 2004. (E) IMPACT ON EXISTING STATUTES, RULES, OR POLICIES.— Nothing in this paragraph shall be construed to affect State statutes, rules, or official policies relating to advisory bodies for State assistive technology programs or require changes to governing bodies of incorporated agencies who carry out State assistive technology programs.	Section B is where states identify the membership of their council and provide an assurance that the composition of the council is representative of the state.
A State shall include certain certifications in its State plan. (a) A State shall include the following certifications in each State plan: (1) That the plan is submitted by the State agency that is eligible to submit the plan. (2) That the State agency has authority under State law to perform the functions of the State under the program. (3) That the State legally may carry out each provision of the plan. (4) That all provisions of the plan are consistent with State law. (5) That a State officer, specified by title in the certification, has authority under State law to receive, hold, and disburse Federal funds made available under the plan. (6) That the State officer who submits the plan, specified by title in the certification, has authority to submit the plan. (7) That the agency that submits the plan has adopted or otherwise formally approved the plan. (8) That the plan is the basis for State operation and administration of the program.	Certifications are found in Section H.

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