**SUPPORTING STATEMENT**

**FOR PAPERWORK REDUCATION ACT SUBMISSIONS**

**PRIORITY NEEDS FOR EDUCATIONAL RESEARCH NEEDS OF THE SOUTHWEST AND
ESTABLISHING A BASELINE FOR REL SOUTHWEST PERFORMANCE**

**OMB CONTROL NO: [XXXX]{.mark}**

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.**

> The current authorization for the Regional Laboratories program is
> under the Education Sciences Reform Act of 2002, Part D, Section 174,
> (20 U.S.C 9564), administered by the Institute of Education Sciences'
> National Center for Education Evaluation and Regional Assistance. This
> data collection is in accordance with this regional educational
> laboratory contractor's five year plan to establish how this
> laboratory contractor shall ensure that the research base used or
> developed for its research endeavors is consistent with the IES
> standards for scientifically valid research. (See sections 134, 173
> and 174 of the IES authorizing legislations.)

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.**

> This will be a new data collection. The respondents will consist of
> Superintendents, Principals, Teachers, Higher Education
> Administrators, PTA Presidents and local and state Chamber of Commerce
> Presidents from Arkansas, Louisiana, New Mexico, Oklahoma, and Texas.
> The information obtained will provide a landscape of the region. It
> will also identify the educational research needs of key REL Southwest
> constituents in a quantitative manner and create insights needed to
> most efficiently serve those constituents. In addition, it will
> identify satisfaction levels with current research available, identify
> educational issues facing REL Southwest constituents, and identify
> unique areas of technical assistance most needed. The information
> obtained through the project will be used by REL Southwest, IES, the
> U.S. Department of Education, state and district policymakers,
> district administrators, educators, building administrators, parents,
> business communities, and possibly others. Two Task 1 Needs Sensing
> projects are planned: Task 1.1.1 Establishing a Baseline for REL
> Southwest Performance and Task 1.1.2 Identifying Customer Needs.

3.  **Describe whether, and to what extent, the collection of
    information involves the use of automated, electronic, mechanical,
    or other technological collection techniques or other forms of
    information technology, e.g., permitting electronic submission of
    responses, and the basis for the decision for adopting this means of
    collection. Also describe any consideration of using information
    technology to reduce burden.**

> Once a sample has been identified for each population of interest,
> e-mail addresses and phone numbers will be obtained for each person in
> the sample. Each person in the sample will be contacted by email, and
> asked to participate in the on-line survey. Each person will be sent
> no more than five emails asking them to participate. If necessary,
> each person who has not yet taken the survey will be contacted by
> phone. Up to five attempts will be made to reach each person, but no
> more than one phone contact will be made with any person (unless they
> agree to participate in the phone survey at a later time, in which
> case a second phone call will be made at an agreed upon time).
>
> Data collection will be done by deploying a survey online/over the
> internet. Invitations to take the survey will be sent by email to the
> identified target population by constituent segment. This methodology
> of online data collection will help to ensure minimum time commitment
> from respondents as most surveys will be completed within 15 minutes.
> We determined this time using two methods.
>
> The first method was to test the time it took for nine respondents to
> complete a paper/pencil version of this survey. We had nine
> individuals complete the survey. The respondents' time ranged from 5
> minutes to complete a survey to 17 minutes to complete a survey. The
> average time it took respondents to complete the educator survey was
> 11 minutes; the average time for the PTA president survey was 10
> minutes; and the average time for business chamber president survey
> was 8 minutes. These averages are comparable to the 15 minutes we are
> estimating for the full project. It is important to keep in mind that
> the group testing the timing of the survey is smaller and does not
> take into account the various titles that may take longer or shorter
> to complete the survey (for example, we did not test the survey with
> superintendents who may provide more or less open-ended comments). In
> addition, there will be some time variance for people taking the
> survey online as compared with those taking the survey via
> paper/pencil.
>
> The second method used was to rely on our previous years' experience
> deploying similar email surveys to these specific groups and the
> average time it took respondents to complete surveys of this length.
> In our experience, the time it takes respondents to complete a survey
> of this length varies greatly depending on the individual themselves,
> the amount of detail provided in the open-ended sections, the
> individual's title, the circumstances going on around the individual
> while taking the survey, etc. Therefore, 15 minutes is an acceptable
> range.
>
> Using an online survey will help reduce burden in that it
> significantly reduces the amount of paperwork necessary to create a
> traditional paper/pencil survey sent to respondents. It is also less
> time-consuming to complete, as respondents do not need to return the
> survey by mail or fax their completed responses. It also allows
> respondents the flexibility to complete the survey at times that are
> most convenient for them. The online survey is less expensive than
> traditional paper/pencil and phone surveys and alleviates time spent
> on data entry, as respondents' responses are automatically entered
> into a database. All steps described above reduce the burden (both in
> terms of time and budget) for the originator of the survey (REL
> Southwest) as well as respondents' time and efforts.

4.  **Describe efforts to identify duplication. Show specifically why
    any similar information available cannot be used or modified for use
    for the purposes describe in item 2 above.**

> Secondary research conducted by REL Southwest has revealed that very
> little research has been done to accurately identify research needs of
> educators in the southwest region, nor has the available research been
> projectable to or representative of the constituents in our five state
> region. The research that has been done has been qualitative in nature
> by SEDL, the former Southwest regional laboratory contract
> administrator. Also as 2006 was the first year of Edvance Research,
> Inc. managing REL Southwest, no prior baseline of performance exists
> and hence there is no concern for duplication of existing research.

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.**

    This collection of information does not impact small businesses or
    other small entities.

6.  **Describe the consequence 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 or is conducted less frequently,
> then the Department of Education will not be able to enhance its
> understanding of the specific education related research needs of the
> southwest region in a timely manner. Also a baseline of performance
> for the REL Southwest will not be established and hence will hinder
> the Department of Education in effectively measuring the needs sensing
> research efforts undertaken by REL Southwest.

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 that 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 respondent 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.**

    No special circumstances exist for this data collection.

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. Consultation with
    representatives of those from who 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.**

> Page and Date of publication in the Federal Register of the agency's
> notice is 45541 and August 9, 2006.

We have not received any public comments.

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

> We will not be offering any incentives.

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

> *REL Southwest follows the confidentiality and data protection
> requirements of IES (The Education Sciences Reform Act of 2002, Title
> I, Part E, Section 183). REL Southwest will protect the
> confidentiality of all information collected for the study and will
> use it for research purposes only. No information that identifies any
> study participant will be released. Information from participating
> institutions and respondents will be presented at aggregate levels in
> reports. Information on respondents will be linked to their
> institution but not to any individually identifiable information. No
> individually identifiable information will be maintained by the study
> team. All institution-level identifiable information will be kept in
> secured locations and identifiers will be destroyed as soon as they
> are no longer required. REL Southwest obtains signed NCEE Affidavits
> of Nondisclosure from all employees, subcontractors, and consultants
> that may have access to this data and submits them to the NCEE COR.*
>
> **Regarding privacy issues:** We will not be seeking any personal
> contact information from respondents. We will be utilizing only
> professional emails and addresses of the respondents'
> employer/educational institution/district. In our surveys, we will
> inform all respondents that it is optional for them to provide us with
> their professional contact information.

**Regarding email addresses:**

> One of the primary functions of REL Southwest is to disseminate
> research information to its constituents. Therefore, it is important
> for us to collect the professional email information from those who
> grant us permission to send them research, since email is the primary
> way to communicate with our constituents.
>
> At the end of the survey, we will ask respondents if they would like
> to receive research or research notifications through email. For those
> who respond "yes", we will ask for their professional emails. For
> those who respond "no", we will not ask for their emails.

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
    justification should include the reasons why the agency considers
    the questions necessary, the specific uses to be made of the
    information, the explanation to be given to persons from whom the
    information is requested, and any steps to be taken to obtain their
    consent.**

> The survey developed for this data collection does not have any
> 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 for 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
    13.**

> This study involves collecting information from a variety of educators
> involved in elementary, secondary and higher education in the
> southwest region, local and state Chamber of Commerce Presidents and
> PTA Presidents (residing in the states of Arkansas, Louisiana, New
> Mexico, Oklahoma and Texas).
>
> Within the targeted elementary and secondary education segment, we
> will collect information from educators in public schools having the
> following titles: Superintendents, Principals, and Teachers.
>
> Within higher education, we will collect information from educators
> having the following titles: College Admissions Directors and College
> Student Affairs Directors/Officers of Public and Private 2 and 4 year
> colleges and universities in the five state region.
>
> We will collect information from the identified sample of presidents
> of a Parent Teacher Association/Organization (PTA/PTO) for a public
> K-12 school in the five state region.
>
> We will also collect information from an identified sample of
> presidents from state and local Chambers of Commerce in the five state
> region.
>
> For most respondent titles, we will collect information from rural and
> non-rural (i.e., urban and suburban) schools/districts and
> universities/colleges within the targeted state. The number of surveys
> required to be completed per respondent title within rural and
> non-rural schools/districts (for each of the 5 REL Southwest states)
> was calculated using sampling techniques (outlined in Supporting
> Statement B, Question 2) to ensure collection of data that will be
> statistically projectable for each targeted population segment.

Table 1.A Estimates of Annual Burden Hours by Respondents:

  ----------------- ------------- ------------- --------------------- -------------- --------------- -----------
  **Respondent**    **Number of   **Number of   ** **                 ** **          **Number of     **Total
                    respondents   respondents                                        Collections**   Annual
                    per region    per region                                                         Person
                    type: (Rural  type: (Non-                                                        Hours For
                    Regions)**    Rural)**                                                           All Five
                                                                                                     REL
                                                                                                     Southwest
                                                                                                     States**

                                                **Total Number of     **Burden Hours                 
                                                Respondents:          per                            
                                                (Rural+Non-Rural)**   Respondent**                   

  Superintendents   195           200           395                   0.25           1               99

  Principals        200           200           400                   0.25           1               100

  Teachers          320           320           640                   0.25           1               160

  Higher Education  -             -             402                   0.25           1               101
  Administrators                                                                                     

  PTA Presidents    200           200           400                   0.25           1               100

  Chamber            -             -            422                   0.25           1               106
  Presidents                                                                                         

  Total              -             -            2,659                 0.25           1               665
  ----------------- ------------- ------------- --------------------- -------------- --------------- -----------

The estimated average time per interview was calculated based on the
experience of using similar instruments from other research surveys with
the targeted audience at Harcourt Assessment, Inc., a leading, national,
educational assessment company.

Table 2.A Estimates of Annualized Cost to Respondents:

  ----------------- -------------- -------------- --------------- ----------- ------------ -----------
  **Respondent**    **Total Number **Burden Hours **Number of     **Total     **\*Hourly   **Total
                    of             Per            Collections**   Annual      Salary       Annual Cost
                    Respondents:   Respondent**                   Person      Estimate**   for All
                    (Rural+                                       Hours For                Five REL
                    Non-Rural)**                                  All Five                 Southwest
                                                                  REL                      States**
                                                                  Southwest                
                                                                  States**                 

  Superintendents   395            0.25           1               99          \$40         \$3,960

  Principals        400            0.25           1               100         \$39         \$3,900

  Teachers          640            0.25           1               160         \$24         \$3,840

  Higher Education  402            0.25           1               101         \$40         \$4,040
  Administrators                                                                           

  PTA Presidents    400            0.25           1               100         \$24         \$2,400

  Chamber           422            0.25           1               106         \$50         \$5,300
  Presidents                                                                               

  Total             2,659          0.25           1               665                      \$23,440
  ----------------- -------------- -------------- --------------- ----------- ------------ -----------

\* The hourly salaries provided here were derived from annual salary
estimations and adjusted for inflation, as based on information from the
U.S. Census Fact Sheet, *Differences Between the Income and Poverty
Estimates From the American Community Survey and the Current Population
Survey Annual Social and Economic Supplement, Released 8/26/04*.

13. **Provide an estimate for 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 show 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 components. 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 or
    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 purchasing or contracting out information collections
    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 and 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 associate 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.**

    There are no startup costs to respondents.

14. **Provide estimates of annualized costs to the Federal government.
    Also, provide a description of the method used to estimate cost,
    which should include quantification of hours, operation 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 may also aggregate cost
    estimates from Items 12, 13, and 14 in a single table.**

    The total annualized cost to the Federal Government per study is
    \$112,882.

The annualized capital/startup cost per study is estimated to be
\$59,632. This estimate includes costs for online data collection,
online survey software and hosting fees and phone survey costs.

The annual labor costs for study 1.1.1 are \$53,250 and for study 1.1.2
are \$53,251. These include labor costs for REL Southwest staff that
will be involved and responsible for this data collection, results
analysis and product development efforts.

All costs are outlined as follows:

> **Table 3.A Estimated Annualized Costs**

  ----------------- -------------------------- ----------- ----------- ------------
                                               Study 1.1.1 Study 1.1.2 Total for
                                                                       Both Studies
                                                                       (1.1.1 AND
                                                                       1.1.2)

  Annualized        Total Annualized           \$59,632    \$59,632    \$119,264
  Capital/Startup   Capital/Startup Cost                               
  Costs             (including data collection                         
                    costs, email purchase                              
                    costs, online survey                               
                    software costs, online                             
                    survey hosting costs and                           
                    phone survey fielding                              
                    costs)                                             

  Annual Labor                                 \$53,250    \$53,251    \$106,501
  Costs                                                                

  Total Annualized                             \$112,882   \$112,882   \$225,764
  Costs                                                                
  ----------------- -------------------------- ----------- ----------- ------------

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

> The total annual person hours for respondents from all five REL
> Southwest states are 665. The 665 program change is because this is a
> new collection.
>
> This study involves collecting information from a variety of educators
> involved in elementary, secondary and higher education in the
> southwest region, state and local Chamber of Commerce Presidents and
> PTA presidents (comprised of Arkansas, Louisiana, New Mexico, Oklahoma
> and Texas).
>
> Within the targeted elementary and secondary education segment, we
> will collect information from public educators having the following
> titles: Superintendents, Principals, and Teachers.
>
> Within higher education, we will collect information from educators
> having the following titles: College Admissions Directors and College
> Student Affairs Directors/Officers of Public and Private 2 and 4 year
> colleges and universities in the five state region.
>
> We will collect information from presidents of a PTA/PTO for a public
> K-12 school in the five state region.
>
> We will also collect information from presidents of state and local
> Chambers of Commerce in the five state region.
>
> For most respondent titles, we will collect information from rural and
> non-rural schools/districts and universities/colleges within the
> targeted state. The number of surveys required to be completed per
> respondent title within rural and non-rural schools/ districts (for
> each of the 5 REL Southwest states) was calculated using sampling
> techniques (outlined in Item 16) to ensure collection of data that
> will allow for estimation of population parameters with desired level
> of precision for each targeted population segment.
>
> **Table 4.A Respondent Sampling Profile**

  ----------------- ------------- --------------- -------------- -------------- --------------- -----------
  **Respondent**    **Number of   **Number of     **Total Number **Burden Hours **Number of     **Total
                    respondents   respondents per of             Per            Collections**   Annual
                    per region    region type:    Respondents:   Respondent**                   Person
                    type: (Rural  (Non-Rural)**   (Rural +                                      Hours For
                    Regions)**                    Non-Rural)**                                  All Five
                                                                                                REL
                                                                                                Southwest
                                                                                                States**

  Superintendents   195           200             395            0.25           1               99

  Principals        200           200             400            0.25           1               100

  Teachers          320           320             640            0.25           1               160

  Higher Education  -              -              402            0.25           1               101
  Administrators                                                                                

  PTA Presidents    200           200             400            0.25           1               100

  Chamber of        -              -              422            0.25           1               106
  Commerce                                                                                      
  Presidents                                                                                    

  Total             -              -              2,659          0.25           1               665
  ----------------- ------------- --------------- -------------- -------------- --------------- -----------

> The estimated average time per interview was calculated based on the
> experience of using similar instruments from other research surveys
> with the targeted audience.
>
> **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.**
>
> We are collecting data for six different populations for this survey
> (superintendents, principals, teachers, higher education
> administrators, PTA/PTO presidents, state and local Chamber of
> Commerce presidents) across five different states (Arkansas,
> Louisiana, New Mexico, Oklahoma, Texas) and, in some cases, two levels
> of urbanicity (rural, non-rural). Operational definitions of the
> various populations of interest are provided in Table 1.B in
> Supporting Statement B. Data for the different populations will not be
> combined in any way, though within a population, data will be
> aggregated across both state and urbanicity.
>
> Please see Supporting Statement B, Question 2 for specifics on
> statistical details.

**Publication:**

> The following research products will be developed and published to
> present information collected through this research effort one for
> each Task 1.1.1 and Task 1.1.2:
>
> []{.mark}
>
> []{.mark}

  ------------------------------------------------ ----------- -----------
  **2007**                                         **Date**    **Date**

  **Milestones**                                   **Task      **Task
                                                   1.1.1**     1.1.2**

  Re-submit to OMB                                 3/15        3/15

  Anticipate approval from OMB                     5/31        5/31

  Pilot to begin                                   6/4         6/4

  Begin data collection                            8/01        8/01

  School summer vacation - no data collection on   8/01-8/31   8/01-8/31
  Teachers                                                     

  Continue Data Collection as appropriate per      8/01        8/01
  sample                                                       

  Resume Data Collection on Teachers & rest of     9/03        9/03
  sample                                                       

  Complete Data Collection                         11/15       11/15

  Data Analysis Begins                             11/16       11/16

  **2008**                                                     

  **Milestones**                                   **Task      **Task
                                                   1.1.1**     1.1.2**

  Data Analysis Ends/Report Writing Begins         2/1         2/1

  Complete Final Report                            2/29        3/7

  Submit Final Report Draft to IES for Review      3/3         3/14

  Submit Revised Final Report Draft to IES for     3/14        4/1
  Review                                                       

  Submit Final Report (in template) to IES for     3/31        4/30
  Approval                                                     

  Receive Final Report Approval from IES           4/15        5/15

  Begin Final Report Dissemination                 5/1         5/30

                                                               

  ***Subsequent Dissemination Products***                      

  Begin Policymaker News Dissemination             N/A         7/1

  Begin District Administrator News Dissemination  N/A         9/3
  ------------------------------------------------ ----------- -----------

> *\*Survey pilot and any data collection with more than 9 people will
> not occur until OMB project approval has been granted. Therefore, data
> collection and analysis dates are subject to change.*

16. **If seeking approval to not display the expiration date for OMB
    approval of the information collection, explain the reasons that
    display would be inappropriate.**

    Not Applicable

17. **Explain each exception to the certification statement identified
    in Item 19, "Certification for Paperwork Reduction Act Submissions,"
    of OMB Form 83-I**

    Not Applicable