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

Consistent with the provisions of P.L. 105-244 (Title VII, Part B,
Section 741 of the Higher Education Act as amended), the Fund for the
Improvement of Postsecondary Education (FIPSE) works to improve
postsecondary education through grants to postsecondary educational
institutions and agencies. Such grants are awarded on the basis of
competitively reviewed applications submitted to FIPSE under its
Comprehensive and Special Focus Competition Program grant competitions
(see P.L. 105-244 \[Title VII, Part B, Section 744(c)(3) and (4)\] for
Special Focus Competitions). The U.S. Department of Education is
requesting approval of the grant application guidelines used to solicit
applications for new grants under the Special Focus Program: the
U.S.-Russian Program: Improving Research and Educational Activities in
Higher Education (U.S.-Russia Program). This is a new Special Focus
Competition under FIPSE. The U.S.-Russia Program is an outgrowth of a
Memorandum of Understanding (MOU) signed on May 31, 2006 between the
U.S. Department of Education and the Russian Ministry of Education and
Science. The MOU supports the promotion of understanding between the
peoples of the Russian Federation (RF) and the United States (U.S.) and
improving the quality of their human resource development. It is the
intent of the U.S. Department of Education and the Russian Ministry to
conduct the first competition for the U.S.-Russia Program in fiscal year
2007. The request and justification provided here applies to the
applications instruction package, which includes program-specific forms
for the U.S.-Russia competition as well as other information required
for submissions through the electronic portal, "Grants.gov."

FIPSE's U.S.-Russia Program awards grants to U.S. institutions
participating in bilateral institutional cooperation to support
innovative projects that will improve research and education activities
in higher education in the U.S. and Russia. The rationale for the
U.S.-Russia Program is based upon the growing pace of global
interconnectedness, which is requiring postsecondary education to
prepare individuals for work that will be in an international
environment. Institutions are funded by their respective government
agencies: in the United States, the U.S. Department of Education's Fund
for the Improvement of Postsecondary Education (FIPSE); in Russia, the
Russian Ministry of Education and Science.

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 application guidelines for the U.S.-Russia Program were used for the
first time in fiscal year 2007. The guidelines have been developed in
cooperation with the Russian Ministry of Education and Science. The
guidelines are used to provide institutions of higher education with
information and criteria by which they can submit proposals to the
U.S.-Russia grant competition.

The U.S.-Russia Program awards grants to U.S. institutions that form a
bilateral consortium with institutions in Russia. At least one
institution from the U.S. and one institution from the Russian
Federation comprise a collaborative study program. Collaborative study
programs or consortia also may involve more institutions in the U.S. and
Russia. It is recommended that no more than six institutions comprise a
consortium or collaborative study program (i.e., three institutions from
the U.S. and three institutions from the Russian Federation.) For each
country, one institution is designated as the lead institution or fiscal
representative responsible for submitting a proposal to its respective
government. Using established review criteria in 34 CFR 75, external
readers and FIPSE program staff review the U.S. applications. Five
applications were received for the first competition in FY 2007 and it
is anticipated that 10-12 applications will be received in FY 2008 and
in subsequent years. For fiscal year 2007, 3 applications were funded.
Funded applications received awards totaling no more than \$400,000 for
a two-year period. The first year of funding ranged from \$158,000 -
\$217,000 in FY 20007.

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 of using information technology to reduce burden.

The U.S. Department of Education's Office of Postsecondary Education
(OPE) is now using the electronic portal "Grants.gov" to receive grant
applications. Fiscal Year 2006 was the first year that many grant
competitions within OPE used this portal. Submission through
"Grants.gov" will be the method by which applications are received in
the U.S.-Russia Program.

As a result of efforts to streamline electronic submission for FIPSE's
Special Focus Programs -- all of which currently are international
programs, (i.e., the U.S.-Brazil Program, the North American Program,
and the E.U.-U.S.-Atlantis Program), the Title Page, Budget Form, and
Consortia Identification Partner Form) were consolidated for use within
"Grants.gov " in Fiscal Year 2006. The consolidated forms have an OMB
expiration date of January 31, 2009. However, procedures within
"Grants.gov have changed for fiscal year 2007. Therefore, these forms
will no longer be consolidated forms that require Pure Edge software for
use in "Grants.gov." They are part of the application package for the
U.S.-Russia Program, which means that they were used by applicants as
Word documents and then uploaded into "Grants.gov" as attachments to the
applications package. The information on the forms has not changed but
the procedure for using them has (i.e., "Grants.gov" no longer uses Pure
Edge software). For the U.S.-Russia Program, the three forms are
included as part of the U.S.-Russia application package to OMB.

4\. Describe efforts to identify duplication. Show specifically why any
similar information already available cannot be used or modified for use
of the purposes described in Item 2 above.

FIPSE staff has made every effort to ensure that there is no duplication
of data acquisition. The collection is unique to the collaborative
postsecondary efforts between the United States and Russia through the
respective governmental programs: FIPSE and the Russian Ministry of
Education and Science.

5\. If the collection of information impacts small businesses or other
small entities (Item 5 of OMB Form 83-I), describe any methods used to
minimize burden.

The collection of information does not impact small businesses or other
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.

This application process occurs on an occasional basis (less than once a
year) to enable applicants to compete for Federal funds that are
appropriated by Congress. This application is the lowest frequency
possible to award funds appropriated for this purpose.

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 which 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.

Please note that no special circumstances apply to the circumstances
cited.

8.  If applicable, provide a copy and identify the date and page number
    of publication in the Federal Register of the agency's notice,
    required by 5 CFR 1320.8(d), soliciting comments on the information
    collection prior to submission to OMB. Summarize public comments
    received in response to that notice and 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.

Fiscal Year 2007 was the first time that these application guidelines
were used.

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

The U.S. Department of Education does not provide any payment or gift to
respondents.

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

No assurance of confidentiality is provided to respondents except as
provided by the Privacy Act and the U.S. Department of Education's
policies governing the review of discretionary grant applications.

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.

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

> Indicate the number of respondents, frequency of response, annual hour
> burden, and an explanation of how the burden was estimated. Unless
> directed to do so, agencies should not conduct special surveys to
> obtain information on which to base hour burden estimates.
> Consultation with a sample (fewer than 10) of potential respondents is
> desirable. If the hour burden on respondents is expected to vary
> widely because of differences in activity, size, or complexity, show
> the range of estimated hour burden, and explain the reasons for the
> variance. Generally, estimates should not include burden hours for
> customary and usual business practices.
>
> If this request for approval covers more than one form, provide
> separate hour burden estimates for each form and aggregate the hour
> burdens in item 13 of OMB Form 83-I.
>
> 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 not be included in
> Item 14.

[Number of Respondents]{.underline}: 12

[Frequency of response]{.underline}: once annually

> [Annual hour burden]{.underline}: 30 hours per applications; total 360
> annual hour burden. Annual hour burden was estimated based on oral
> accounts of applicants and grantees from similar FIPSE international
> programs that have occurred over the years.

[Estimated Annualized Cost to Respondents of Hour Burdens]{.underline}:

Preparation of applications (\$28.00) per hour x 360 burden
hours...\$10,080

These estimates are based on the U.S. -- Russia competition conducted in
FY 2007 and other special focus competitions conducted in previous years
by the Fund for the Improvement of Postsecondary Education. OPE
evaluated the accuracy of the burden estimates and the estimates above
seem to be the best estimate.

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 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.

Total Annualized Capital/Startup Cost : \$ .00

Total Annual Costs (O&M) : \$ .00

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Annualized Costs Requested : \$ .00

Respondents will submit applications through Grants.gov; therefore,
there are no postage and printing costs. Costs to respondents are
detailed in the response to question no. 12 of this document.

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.

Review by FIPSE program staff

(200 hours x \$30.50)...................................................
\$6,100

Administrative and Support staff

(50 hours x \$14 + 175 hours x \$30.50)................................
\$6,037

Review by Outside Readers (3 x \$100 x 12)........................
\$3,600

[\$15,737.00]{.underline}

15\. Explain the reasons for any program changes or adjustments reported
in Items 13 or 14 of the OMB Form 83-I.

FY 2007 was the first time that the U.S.-Russia Program was held; FY
2008 will be the second collection. The applications package will be
available through the "Grants.gov" electronic portal.

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.

No data or results of this information collection are 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.

We will display the expiration date for OMB approval of the collection.

18\. Explain each exception to the certification statement identified in
Item 20, "Certification for Paperwork Reduction Act Submissions," of OMB
Form 83-I.

There are no exceptions.

**B. Collection of Information Employing Statistical Methods**

The agency should be prepared to justify its decision not to use
statistical methods in any case where such methods might reduce burden
or improve accuracy of results. When Item 17 on Form 83-I is checked
"Yes," the following documentation should be included in the Supporting
Statement to the extent that it applies to the methods proposed:

1.  Describe the potential respondent universe (including a numerical
    estimate) and any sampling or other respondent selection method to
    be used. Data on the number of entities (e.g., establishments, state
    and local government units, households, or persons) in the universe
    covered by the collection and in the corresponding sample are to be
    provided in tabular form for the universe as a whole and for each of
    the strata in the proposed sample. Indicate expected response rates
    for the proposed sample. Indicate expected response rates for the
    collection as a whole. If the collection had been conducted
    previously, include the actual response rate achieved during the
    last collection.

Not applicable: FIPSE does not employ statistical methods in this
collection of information.

2.  Describe the procedures for the collection of information,
    including:

> Statistical methodology for stratification and sample selection.
>
> Estimation procedure.
>
> Degree of accuracy needed for the purpose described in the
> justification.
>
> Unusual problems requiring specialized sampling procedures, and
>
> Any use of periodic (less frequent than annual) data collection cycles
> to reduce burden.
>
> Not applicable: FIPSE does not employ statistical methods in this
> collection of information.

1.  Describe methods to maximize response and to deal with issues of
    non-response. The accuracy and reliability of information collected
    must be shown to be adequate for intended uses. For collections
    based on sampling, a special justification must be provided for any
    collection that will not yield "reliable" data that can be
    generalized to the universe studied.

> Not applicable: FIPSE does not employ statistical methods in this
> collection of information.

2.  Describe any tests of procedures or methods to be undertaken.
    Testing is encouraged as an effective means of refining collections
    of information to minimize burden and improve utility. Tests must be
    approved if they call for answers to identical questions from 10 or
    more respondents. A proposed test or set of tests may be submitted
    for approval separately or in combination with the main collection
    of information.

    Not applicable: FIPSE does not employ statistical methods in this
    collection of information.

3.  Provide the name and telephone number of individuals consulted on
    statistical aspects of the design and the name of the agency unit,
    contractor(s), grantee(s), or other persons who will actually
    collect and/or analyze the information for the agency.

FIPSE does not employ statistical methods in this collection of
information.