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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 Institute of Education Sciences (IES) has three education training grant programs that 

provide funds to universities to support three types of training programs in the education 

sciences: 1) Predoctoral Interdisciplinary Research Training Programs, 2) Postdoctoral Research 

Training Program, and 3) Postdoctoral Research Training Program in Special Education. To 

determine the quality and effectiveness of these grants, IES staff survey program participants 

annually as to their satisfaction with their program and their accomplishments. The populations 

of pre- and postdoctoral fellows are small enough to make a census survey manageable and to

make a sample not reliable for subgroup findings.

Participants currently in the program will be surveyed every year until they complete. Participants

who have completed their programs will be surveyed for 5 years following the completion of 

their training (predoctoral fellows will be tracked for 5 years following the completion of their 

fellowship and doctorate program). The purpose of surveying completed fellows is to determine 

whether participants in the pre- and postdoctoral fellows program continue to work in and 

contribute to the field of education research. Therefore, data on their annual status and 

contributions to the field of education research will be collected. However, to decrease burden on 

fellows over time, we will not survey them beyond 5 years. 

The National Center for Education Research (NCER) of the Institute of Education Sciences 

(IES), U.S. Department of Education, is conducting this study, as authorized under Public Law 

107-279, Title I, Part C, Section 131(a) and 131(b) of the Education Sciences Reform Act of 

2002 and U.S. Code Title 20 Section 9543 which states:

(a) ESTABLISHMENT.—There is established in the Institute a National Center for Education 

Research (in this part referred to as the ‘‘Research Center’’).

(b) MISSION.—The mission of the Research Center is—

(1) to sponsor sustained research that will lead to the accumulation of knowledge and 

understanding of education, to—

(A) ensure that all children have access to a high quality education;

(B) improve student academic achievement, including through the use of educational 

technology;

(C) close the achievement gap between high-performing and low-performing students 

through the improvement of teaching and learning of reading, writing, 

mathematics, science, and other academic subjects; and
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(D)improve access to, and opportunity for, postsecondary education;

(2) to support the synthesis and, as appropriate, the integration of education research;

(3) to promote quality and integrity through the use of accepted practices of scientific inquiry to 

obtain knowledge and understanding of the validity of education theories, practices, or 

conditions; and

(4) to promote scientifically valid research findings that can provide the basis for improving 

academic instruction and lifelong learning.

Furthermore, the Director is to ensure that the activities conducted through IES are meeting the 

needs of the larger community. In particular, Public Law 107-279, Title I, Part C, Section 185 of 

the Education Sciences Reform Act of 2002 and U.S. Code Title 20 Section 9543 states that IES 

must address performance management: 

SEC. 185. PERFORMANCE MANAGEMENT.

The Director shall ensure that all activities conducted or supported by the Institute or a National 

Education Center make customer service a priority. The Director shall ensure a high level of 

customer satisfaction through the following methods:

(1) Establishing and improving feedback mechanisms in order to anticipate customer needs.

(2) Disseminating information in a timely fashion and in formats that are easily accessible and 

usable by researchers, practitioners, and the general public.

(3) Utilizing the most modern technology and other methods available, including arrangements to 

use data collected electronically by States and local educational agencies, to ensure the efficient 

collection and timely distribution of information, including data and reports.

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 survey information is used by IES staff to write an annual report that examines how the

grants and their supported programs have contributed to the development of new education 

researchers. IES staff use this information to improve the training programs and to provide 

general feedback to programs about major themes arising from the analysis. 

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 survey will be conducted online so that (1) participants can easily access the survey, (2) all 

responses can be submitted electronically, and (3) participants can save and return to their 

responses. These features will also decrease the amount of IES staff effort by eliminating the 

need for keying data and minimizing respondent errors. We are currently working on making 

previous year’s submissions available to the fellows so that they have prepopulated forms that 

need only to be updated, thereby further decreasing their effort.
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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 survey collects data from individuals taking part in the education programs that is not 

available from other sources. The information gathered provides important details regarding 

fellows’ satisfaction with the training programs and post-fellowship status.

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 survey 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.

The survey is in compliance with 5 CFR1320.5. Without the survey, IES will not be in a position 

to determine whether its education training grants programs were achieving their purpose and 

will not be able to make adjustments to improve the results of these grant programs. The annual 

nature of the survey is in sync with the annual nature of the training provided by the universities.

7. Explain any special circumstances that would cause an information collection to be 

conducted in a manner: 

 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 would cause information collection to be conducted in 

any of the manners listed above. 
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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.

The public has had the opportunity to comment during both the 60-day and 30-day comment 

period notices. Also, we have received feedback from previous respondents asking if the survey

could be conducted online and if they could receive prepopulated surveys. We have implemented 

the first recommendation and are piloting the feasibility of the second. We expect that both 

recommendations for improvement will be fully realized by the time of the next survey.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration 

of contractors or grantees.

No payments or gifts will be provided to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulation, or agency policy.

From a privacy standpoint, the survey cover letter cites the Privacy Act to assure respondents that 

the appropriate safeguards are implemented to avoid unauthorized use or disclosure of 

individually identifying information. The statements below will appear: The data collection 

activities will be conducted in compliance with the Privacy Act of 1974.

The data have been and will continue to be stored electronically. It is retrievable by name, and 

the data are kept after the report is complete. The electronic files are kept in a password protected 

server. The security protections for the content have been identified in the SORN and PIA 

documents. The PIA and SORN are added assurances of confidentiality that IES is establishing 

protections to reasonably safeguard the respondents’ information from improper disclosure,

whether intentional or unintentional. 

The assurance of confidentiality for the survey of participants is as follows:

Information collected for this study come under the confidentiality and data protection 

requirements of the Institute of Education Sciences (The Education Sciences Reform Act 

of 2002, Title I, Part E, Section 183). Information that could identify an individual or 

institution will be separated from the survey responses submitted, kept in secured 

locations, and be destroyed as soon as they are no longer required. Survey responses will 

be used only for research purposes. The reports prepared for the study will summarize 

findings across individuals and institutions and will not associate responses with a 

specific district, school, or person. The data collection activities will be conducted in 

compliance with the Privacy Act of 1974.

The above statement describes the intent to keep information collected on fellows’ opinions on

the quality of the fellowship programs confidential. Such information might be considered 
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prejudicial by those running the programs or other participants if it was critical of the program. 

For this reason, this information will be kept confidential and reported only in aggregated data.

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 this type are included in the survey.

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.

 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.

Table 1: Respondents’ Burden from Annual IES Fellows Survey (Predoctoral Fellows)

Year

Estimated 

# of PreDocsCost per hour*

Time to 

Complete 

Survey 

(hours)

Cost per 

respondent

Total time to 

complete survey 

(hours)

Total Respondent 

Burden ($)

1 500 $ 19.40 0.35 $ 6.79 175 $ 3,395.00 

2 520 $ 19.40 0.35 $ 6.79 182 $ 3,531.00 

3 540 $ 19.40 0.35 $ 6.79 189 $ 3,667.00 
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Table 2: Respondents’ Burden from Annual IES Fellows Survey (Postdoctoral Fellows)

Year

Estimated 

# of 

Postdocs

Cost per 

hour**

Time to 

Complete 

Survey 

(hours)

Cost per 

respondent

Total time to 

complete survey 

(hours)

Total Respondent 

Burden ($)

1 100 $ 28.74 0.35 $ 10.06 35 $1,006 

2 105 $ 28.74 0.35 $ 10.06 36.75 $1,056 

3 110 $ 28.74 0.35 $ 10.06 38.5 $1,106 

The average annual respondents and responses will be 625 and the average annual burden hours 

will be 218.75 burden hours per year. 

*Predocs receive a fellowship in the amount of $40,500 per 12 month year that covers stipend, 

tuition support, and fringe benefits. Using 2,088 working hours per year, this works out to a 

fellowship of $19.40 per hour.

**Postdocs receive a fellowship in the amount of $60,500 per 12 month year that covers stipend 

and fringe benefits. Using 2,088 working hours per year, this works out to a fellowship of $28.74

per hour.

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.)

There are no capital costs, no start-up costs, and no costs for operation and maintenance and 

purchase of services.

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 survey, data analysis, and report writing will be handled by IES education research analysts. 

Because the survey is conducted online, the analysis is done in house, and the report will be 

published electronically, there are no equipment, printing, and overhead costs. The annual cost 

to the Federal government is determined by the time spent by the education research analysts 

which is described in the table below.

Annual Time and Its Cost Required by IES Education Research Analysts

Task Predoctoral Survey Postdoctoral 

Survey

Special Education 

Postdoctoral Survey

Total

Data collection and 

quality control

60 hours 60 hours 60 hours 180
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Data compilation and 

tabulation

120 hours 60 hours 20 hours 200

Report writing 120 hours 60 hours 60 hours 240

Total Hours 300 180 140 620

Education Research 

Analyst’s salary & 

benefits per hour

$71.60 $71.60 $71.60 $71.60

Annual Cost $21,480 $12,888 $10,024 $44,392

15. Explain the reasons for any program changes or adjustments to #16f of the IC Data Part 1 

Form.

The number of individuals trained by the IES programs has increased over time. This survey will 

be sent to all current fellows and former fellows who have completed their training within the 

past 5 years. Thus, the total number respondents has grown since the survey was established. The 

number of questions has also increased slightly, so there is a modest increase in the amount of 

time each respondent may spend filling in the survey relative to past years. To help reduce the 

burden, we have taken the following three steps: (1) the survey will be administered online, (2) 

respondents will receive targeted questions based on where they are in their programs (e.g., if 

they have not completed their programs or if they finished years ago, they will receive only the 

most relevant questions), and (3) fellows will be tracked for only 5 years after completing their 

fellowships. These last three elements all reduce the burden. Given these adjustments, the overall 

burden for a respondent is approximately 20 minutes.

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.

 Links to the survey will be sent out by email in December or January, (pending OMB 

approval).

 Survey responses will be due by February.

 Follow-up data collection for non-respondents will continue to the end of March.

 Data analysis will take place from March through June. This analysis will make use of 

tabulations. No complex analytical techniques will be used.

 The report will be written in August.

 The report will be published in November.

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.

Approval is not being sought to not display the expiration date for OMB approval of the 

information collection.

18. Explain each exception to the certification statement identified in Item 20, “Certification for 

Paperwork Reduction Act Submissions,” of OMB Form 83-I.
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No exceptions are being sought for this work.