**[Client Assistance Program]{.smallcaps} (CAP)**

**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.

> The Rehabilitation Act of 1973, as amended (Act), requires each State
> to have in effect a Client Assistance Program (CAP) in order to
> receive payments from its Section 110 allotments under the Act.
> Section 112 of the Act authorizes CAP grantees to provide information
> to individuals with disabilities regarding the services and benefits
> available under the Act and the rights afforded them under Title I of
> the Americans with Disabilities Act. In addition, CAP grantees are
> authorized to provide advocacy and legal representation to individuals
> seeking or receiving services under the Act, in order to resolve
> disputes with programs providing such services, including the
> vocational rehabilitation (VR) program.
>
> The current version of the Annual Client Assistance Program Report
> (Form RSA-227) expires on March 31, 2006. RSA is requesting approval
> of the currently approved form, as described below.
>
> In April 2004, OMB granted approval for the current Form RSA-227 for a
> one-year period only, requiring that RSA consider revisions to the
> reporting instrument based on the work of the Interagency Workgroup on
> Common Definitions for P&A Reporting. Although RSA will not be
> required to utilize the common reporting system developed by the
> workgroup for the purpose of collecting data and information on the
> CAP program, OMB requested that RSA adopt those data elements
> applicable to the program. It is anticipated that final consensus will
> be reached during the spring of 2007. Therefore, while the work of the
> Interagency Workg roup is ongoing and decisions regarding common data
> elements are not yet final, RSA has adopted those decisions
> appropriate for use in the Form RSA-227. In addition, RSA has revised
> Form RSA-227 in order to obtain data and information that will best
> describe and support the important work of CAP grantees.
>
> RSA has revised the structure of the form so that it is consistent
> with the structure and content of collection instruments currently
> used for other Protection and Advocacy (P&A) programs, including the
> Protection and Advocacy of Individual Rights (PAIR) program and the
> Protection and Advocacy for Assistive Technology (PAAT) program, both
> administered by RSA. RSA has made substantive revisions to the content
> of the form, you will find a detail list of all changes beginning on
> page two (2) under the heading Part I. Non-Case Services and ending in
> the middle of page three (3) under the heading Part V. Program
> Narrative.
>
> **Part I. Non-Case Services**

A.  Information and Referral Services: RSA has added line item 4,
    services available

> from CAP, to better capture all types of information and referral
> services provided by CAP.

B.  Agency Outreach: This information previously had been collected
    through another section of the form. As a non-case service, RSA
    believes that this information is best captured under Part I.

> **Part II. Individual Case Services**

B.  Problem Areas: In response to comments from CAP grantees, and in
    order to obtain more detailed information, RSA has revised Part II B
    by adding line items for the selection of vendors,
    training/postsecondary education and employment outcomes. In
    addition, RSA has included a separate line item to capture data
    related to transition services. Finally, specific line items have
    been added related to other Rehabilitation Act issues, such as
    independent living and projects with industries.

C.  Intervention Strategies for Closed Cases: RSA has revised this
    section of the form, so that the data elements regarding the
    continuum of services provided is consistent with that utilized by
    other P&A programs and decisions of the Interagency Workgroup.

D.  Reasons for Closing Cases: RSA has made revisions to this section of
    the form for the reasons stated with respect to Part II C.

> **Part III. Program Data**

A.  Age: RSA has made revisions to this section of the form so that the
    age groupings are consistent with those utilized by the Census
    Bureau and decisions made by the Interagency Workgroup.

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A.  Race and Ethnicity of Individuals Served: RSA has revised this
    section of the form so that it is consistent with guidance provided
    by OMB and with decisions made by the Interagency Workgroup.

B.  Disabling Conditions of Individuals Served: RSA has revised this
    section of the form to include specific mention of disabling
    conditions not previously indicated on the form. The listing of
    disabling conditions is consistent with decisions made by the
    Interagency Workgroup.

> **Part IV. Systemic Activities and Litigation**
>
> RSA has adopted the format and content for collecting data and
> information on systemic activities conducted by the grantees similar
> to that being utilized with respect to the PAAT program. The
> Interagency Workgroup has adopted this format and content for use in
> the consolidated P&A reporting instrument under development.
>
> **Part V. Program Narrative**
>
> RSA has revised former Part III of the form by eliminating the
> following information:
>
> d\. Number of Person-Years: RSA has determined that it will longer
> collect this infromation through an annual reporting instrument, in
> keeping with decisions made by the Interagency Workgroup. This
> information can be more appropriately obtained during monitoring of
> individual grantees.
>
> e\. Summary of Presentations Made: As a non-case service, information
> regarding training and presentations is now being collected through
> Part II B of the form.

g.  Outreach to Unserved/Underserved Populations: This information is
    now being collected through Part II C of the form.

> i\. Systemic Advocacy: This information is now being collected in
> greater detail through Part IV of the form.

j.  Interesting Cases: RSA has determined to no longer collect this
    information because it is repetitive of information collected
    elsewhere on the form.

> k\. Online Information Outreach: RSA has determined to no longer
> collect this information.
>
> RSA will require CAP grantees to submit data on the revised form
> beginning with the FY 2006 reporting period.

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 Form RSA-227 provides the RSA with a principle monitoring tool for
> the CAP program. Subsection 112(g) of the Act, and its implementing
> regulations at 34 CFR 370.44, require each CAP to submit an annual
> report, including "a summary of the work done and the uniform
> statistical tabulation of all cases handled by such programs." Form
> RSA-227 has enabled RSA to furnish the President and Congress with
> data on the provision of advocacy services and has helped to establish
> a sound basis for future funding requests. Data from the form is used
> to evaluate the effectiveness of individual programs. Analisis of the
> data is also used as an indicator of trends in the provision of
> services from year-to-year.
>
> Furthermore, Form RSA-227 is the instrument RSA uses to monitor and
> evaluate the program of each designated CAP agency to ensure
> compliance with all Federal requirements. Subsection 112(b) requires
> the Secretary to ensure compliance with Subsections 112(a) and (c)
> before allocating funds under the Act, including funds under the Title
> I VR Program, to any State.

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.

Currently, each CAP system can electronically transmit Form RSA-227 data
using electronic mail via INTERNET. RSA has developed an electronic
Management Information System (MIS), which was expanded to allow CAPs to
access and submit data online, beginning with the data collected in
fiscal year 2004. Please see the reference to this new method of
collection contained on Page 21 of the instructions to Form RSA-227.

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.

Form RSA-227 provides information on the number of individuals with
disabilities currently receiving advocacy services authorized by Section
112 of the Act. No similar information is available.

5\. If the collection of information impacts small businesses or other
small entities (Item 5 of OMB Form 83-1), describe any methods used to
minimize burden.

Several respondents are not-for-profit organizations. RSA included the
respondents and the national organization that represents them in the
initial development of this collection of information. This was done in
an effort to ensure that the information requested could be provided
with a minimal burden on the respondents.

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.

Because RSA uses the information obtained by this collection in
preparing its annual report to the President and Congress, current data
on the advocacy services provided by CAPs must be made available by
eligible programs each year.

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 special circumstances that require this information
collection to be conducted in any manner listed above.

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 three (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.

> During prior revisions and extensions of the form, RSA has received
> both formal and informal comments from OMB, RSA staff, the National
> Disability Rights Network (NDRN), formerly known as the National
> Association of Protection and Advocacy Systems[^1] (NAPAS), and most
> significantly, CAP grantees, on the content of the form. Suggestions
> from all sources were considered during this revision of the form and
> are reflected therein. For example, RSA has received both verbal and
> written comments over the past several years from individual CAPs
> regarding the need to report more specifically the types of issues
> addressed on behalf of their clients. In response, RSA has revised
> Part II B of the form, as indiciated above. In addition, CAP grantees
> have expressed informally to RSA dissatisfaction with the time
> estimated for completion of the current version of the form;
> therefore, RSA has reestimated this figure for purposes of the revised
> form as indicated in Question 12 below.

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

RSA has made no decision to 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.

Confidentiality is assured because Form RSA-227 is an aggregate report.

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.

This report contains 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 83-1.

-   Provide estimates of annualized cost to respondents of the hour
    burdens for collections of information, identifying and using
    appropriate wage rate categories. The cost of contracting out or
    paying outside parties for information collection activities should
    not be included here. Instead, this cost should be included in Item
    14.

> See table in answer to Item 14 below.

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.

> States and territories incur no additional cost burden when submitting
> the Form 227.

  ------------------------------------- ---------------------------------
                                        Annual Burden

  Number of respondents                 56

  Frequency of response                 1

  Total annual responses                56

  Hours per response                    16.0

  Total hours                           896

  Cost per hour                         \$25

  Total cost                            \$22,400
  ------------------------------------- ---------------------------------

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.

The largest portion of the Government's cost is borne directly by the
Department of Education in designing the report form, securing clearance
of the form, and in collecting, aggregating and disseminating the
information.

+-----------------------------------------------------------+----------+
| **Estimated annual costs to the Federal Government**: RSA |          |
| Form-227                                                  |          |
+-----------------------------------------------------------+----------+
| #### Professional                                         | \$       |
| staff to update report form and prepare clearance package | 4,000.00 |
|                                                           |          |
| #### (GS 14 employee) \$50 per hour X 84 hours            |          |
+-----------------------------------------------------------+----------+
| Overhead costs related to facilities, Administration and  | \$       |
| other indirect costs, plus accrual of leave and fringe    | 2,000.00 |
| benefits, estimated at 50% of salary \$4,000 X 50 percent |          |
+-----------------------------------------------------------+----------+
| #                                                         | \$160.00 |
| ##### Clerical staff to type, route, and copy report form |          |
|                                                           | \$ 80.00 |
| \$16 per hour X 10 hours                                  |          |
|                                                           |          |
| ###### Overhead costs: \$160 X 50 percent                 |          |
+-----------------------------------------------------------+----------+
| ###### **O                                                |          |
| ther Department staff to review and approve the request** |          |
+-----------------------------------------------------------+----------+
| (GS 15 employee) \$55 per hour X 20 hours=\$1,100.00      | \$       |
|                                                           | 2,725.00 |
| (GS 14 employee) \$50 per hour X 30 hours=\$1,500.00      |          |
|                                                           |          |
| (GS 14 employee) \$50 per hour X 30 hours=\$1,500.00      |          |
|                                                           |          |
| ##                                                        |          |
| #### (GS 13 employee) \$45 per hour X 30 hours=\$1,350.00 |          |
|                                                           |          |
| ######                                                    |          |
+-----------------------------------------------------------+----------+
| **OMB review (estimated)**                                |          |
+-----------------------------------------------------------+----------+
| \$42 per hour X 8 hours                                   | \$336.00 |
|                                                           |          |
| ###### Overhead Costs: \$336 X 50 percent                 | \$168.00 |
+-----------------------------------------------------------+----------+
| #### **Other Administrative Costs**                       |          |
+-----------------------------------------------------------+----------+
| Overhead costs: \$2,000 X 50 percent                      | \$       |
|                                                           | 1,000.00 |
+-----------------------------------------------------------+----------+
| ######                                                    | **\$10,  |
|  **[Total Estamated Annual Government Cost]{.smallcaps}** | 469.00** |
+-----------------------------------------------------------+----------+

15\. Explain the reasons for any program changes or adjustments reported
in Items 13 or 14 of the OMB Form 83-1.

This submission requires changes to the burden for hours and costs
included in current OMB inventory. RSA has reestimated the time required
for each respondent to complete the form, so that the estimate is
consistent with that used in connection with similar reporting
instruments used by RSA, in particular, the Annual Protection and
Advocacy for Assistive Technology Performance Report. RSA conducted a
field test of nine respondents to the Annual PAAT Performance Report
during its development and found that on average respondents completed
the form within 16 hours. RSA believes that the revised Form RSA-227 can
be completed by CAP grantees in an equal amount of time given the
similarities in the contents of both forms. In addition, RSA now
estimates the hourly cost to respondents to be \$25 reflecting increases
in wages caused by the increased cost of living.

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.

Reports are due to RSA within 90 days following the end of the fiscal
year (approximately December 30th of each year). Data reported are
evaluated and transmitted to the President and Congress in the Annual
Report prepared by the RSA Commissioner.

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.

RSA is not seeking approval to not display the expiration date.

18\. Explain each exception to the certification statement identified in
Item 20, \"Certification for Paperwork Reduction Act Submissions,\" of
OMB Form 83-1.

There are no exceptions to the certification statement in Item 20 of OMB
Form 83-1.

**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 83-1 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.

3.  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.

4.  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.

5.  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.

> RSA does not employ statistical methods in the collection of this data
> and information.

[^1]: "System (s)" is the statutory term used to describe the Protection
    and Advocacy programs under the Rehabilitation Act of 1973. (See
    Section 509(A)(1) Purpose---The purpose of this section is to
    support a system in each state to protect the legal and human rights
    of individuals with disabilities who. . . ).