# **SUPPORTING STATEMENT/JUSTIFICATION**

## 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.*

Section 703 of the Higher Education Act of 1965, as amended, authorizes
the Secretary to award fellowships under the Jacob K. Javits Fellowship
Program for graduate study in the arts, humanities, and social sciences.
The fellowships support graduate students of superior ability selected
on the basis of demonstrated achievement, exceptional promise and
financial need. Each individual fellow's need must be assessed and
reported each year, along with a continuing fellow's academic progress
as determined by the institution. The U.S. Department of Education has
administered the Jacob K. Javits Fellowship Program since 1986.

The regulations governing the Jacob K. Javits Fellowship Program are in
34 CFR Part 650. Included with the submission are the regulations
revised January 20, 1999, which amend Part 650 -- Jacob K. Javits
Fellowship Program sections 650.1. 650.2, 650.3, 650.4, 650.5, 650.10,
650.20, 650.30, 650.31, 650.32, 650.33, 650.34, 650.34, 650.35, 650.36,
650.37, 650.40, 650.41, 650.42, 650.43, 650.44.

The Education Department General Administrative Regulations (EDGAR)
requires grantees to submit performance reports annually \[see 34 CFR
Part 74.51, 34 CFR Part 75, Section 75.118, 75.720(a) and 75.720 (b)\].

Currently, an annual Report of Financial Need and Certification for the
Jacob K. Javits Fellowship Program is submitted to the Program Officer
for each budget period of the four-year grant cycle for the Jacob K.
Javits Fellowship Program by each institution.

The Javits award is a four-year fellowship; renewal for each fellow is
dependent on continued academic progress as determined by the
institution. In addition, the stipend portion of the fellowship is
determined by the individual's financial need and must be reassessed
each year. In order to continue funding for Javits fellows, institutions
of higher education (IHEs) currently certify the academic progress of
each fellow and report on the fellow's financial need.

The Annual Student Activities Report will provide the necessary
information to track each fellow's progress toward degree completion.
Without such critical data on the progress and performance of Javits
fellows, it is difficult to measure the success of the Program's
long-term goals or to further develop useful technical assistance
methods for grantees.

The information to be requested on the Javits fellows is in response to
both congressional inquiries and the need for data to be collected for
the Program's performance indicators, in compliance with the Government
Performance and Results Act.

Requests for data on Javits fellows have come from IHEs, Javits
Coordinators, professional associations, Members of Congress as well as
OMB as part of the PART process.

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 Annual Student Activities Reports will be reviewed by Program
Officers to ensure

compliance with the program requirements and to ensure the completion of
grant

funding activities.

The proposed data to be collected will be used for tracking the
programs' performance measures: graduation rate, the average time to
degree completion rate, as well as the employment status of Javits
fellows.

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.*

In fiscal year 2004, the Javits Program Staff developed and implemented
an electronic version of the currently approved performance data
collection instrument. The electronic version of the instrument is
identical to the currently approved collection instrument. The
instrument was electronically submitted to the grantees to allow for the
option of electronic or hardcopy transmission of their responses. Eighty
percent of grantees downloaded the forms for completion and submitted
the completed forms to ED both electronically and via regular mail. The
Javits program currently utilizes an electronic version of the currently
approved performance data collection instrument, which is accessed
online by grantees. In the future, it is expected that the majority of
grantees will continue to respond in the same manner. The currently
approved collection instrument may be viewed on the Office of
Postsecondary Education Web site at

<http://www.ed.gov/programs/jacobjavits/performance.html> .

This experience has led Javits Program Staff to conclude that electronic
reports are the most effective means to collect programmatic data from
individual fellows each academic year.

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.

The collection and use of this information is not duplicated within the
U.S. Department of Education or any other government entity.

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 this information has no impact on 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.*

As the grants awarded under this Program are awarded on an annual basis,
data must be collected as requested by OMB as part of the PART
requirements. If the data requested in this Annual Student Activities
Report is not collected, program staff will not be able to determine
whether or not funded projects were completed successfully and in
accordance with the program statute and regulations. In addition,
evaluation of the program based on GPRA performance indicators, or on
other program evaluation criteria established by Department policies,
will not be possible.

*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.*

There are no circumstances that would cause this information collection
to be conducted in this manner.

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.*

We will publish the appropriate 60- and 30-day [Federal
Register]{.underline} Notices to allow for public comment. Requests for
data on Javits fellows have come from IHEs, Javits Coordinators,
professional associations, Members of Congress as well as OMB as part of
the PART process. The collection attached reflects the comments and
requests of these groups, as well as clarifications based on questions
to Program Staff. The information to be collected will also give the
Program Staff the data needed to accurately address the Program's
performance indicators, in compliance with the Government Performance
and Results Act. Data from all of these sources have been used to
calculate hour and cost burden to respondents.

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

No payment 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 proposed data to be collected in the Annual Student Activities
Report will be subject to the requirements of the Privacy Act to
maintain confidentiality, as the reports will contain information
regarding individual Javits fellows. Any collected data made public
would only be presented in aggregate, and would not include personal
information.

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.

No questions of a sensitive nature are asked in this report.

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.*

+-------------+---------------+---------------+-------+--------------+
| ### Resp    | **Number of   | **Frequency   | **Ho  | **Total      |
| ondent Type | Respondents** | of Response** | urs** | Burden       |
|             |               |               |       | Hours**      |
+-------------+---------------+---------------+-------+--------------+
| Individual  | 190           | Annual        | 3     | 570          |
| Fellow      |               |               |       |              |
+-------------+---------------+---------------+-------+--------------+
| Totals      | 190           | Annual        | 3     | 570          |
+-------------+---------------+---------------+-------+--------------+

> The burden of individual respondents is estimated at an average of 3
> hours for each Javits fellow. These estimates are based on input from
> current respondents.

*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*

The only costs would be for customary and usual business practices.

*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.*

+--------------------+--------+-------+--------+-----------+-----------+
| **Task**           | **     | **Ho  | **     | **Hours   | **Total   |
|                    | Cost** | urs** | Number | Total**   | Cost to   |
|                    |        |       | of     |           | USG**     |
|                    |        |       | S      |           |           |
|                    |        |       | taff** |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Securing OMB       | \      | 10    | 6      | 60        | \$2520.00 |
| approval           | $42/hr |       |        |           |           |
|                    |        |       |        |           |           |
| (every 3 years)    |        |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Reports Design     | \      | 8     | 2      | 16        | \$672.00  |
| (every 3           | $42/hr |       |        |           |           |
|                    |        |       |        |           |           |
| years)             |        |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Review Of Forms by | \      | 8     | 2      | 16        | \$672.00  |
|                    | $42/hr |       |        |           |           |
| Staff              |        |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Data Entry for     | \      | 8     | 2      | 16        | \$672.00  |
| Reports            | $42/hr |       |        |           |           |
|                    |        |       |        |           |           |
| by Staff           |        |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Annual Monitoring  | \      | 8     | 2      | 16        | \$672.00  |
| and                | $42/hr |       |        |           |           |
|                    |        |       |        |           |           |
| Technical          |        |       |        |           |           |
| Assistance         |        |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| Other Department   | \      | 5     | 5      | 25        | \$1375.00 |
| Staff Review       | $55/hr |       |        |           |           |
+--------------------+--------+-------+--------+-----------+-----------+
| **Totals**         |        |       |        | **149**   | **\$6     |
|                    |        |       |        |           | ,583.00** |
+--------------------+--------+-------+--------+-----------+-----------+

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

There is no change or adjustment reported in Items 13 or 14 of the OMB
Form 83-I.

*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.*

The U.S. Department of Education does not plan to publish any
information from this collection.

*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 U.S. Department of Education will display the expiration date for
the OMB approval for this data collection.

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

No exceptions are being requested for this information collection.

## B. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS {#b.-collection-of-information-employing-statistical-methods .unnumbered}

*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.*

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.*

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.*

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.*

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.*

This information collection does not employ statistical methods.