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Supporting Statement for Paperwork Reduction Act Submissions

Consolidated State Application (Collection 1810-0576)

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.

Title IX, Part C, Sections 9301-9306, of the Elementary and Secondary Education Act 

(ESEA), as amended, authorizes the Secretary of Education to provide States the option of 

submitting consolidated applications to obtain funds for covered programs in which the State 

participates. The purpose of consolidated applications as defined in ESEA is to improve 

teaching and learning by encouraging greater cross-program coordination, planning, and 

service delivery; to enhance program integration; and to provide greater flexibility and less 

burden for State educational agencies. 

The programs covered by Title IX, Part C are –

Title I, Part A --------------------Improving Basic Programs Operated by Local Educational

 Agencies

Title I, Part B, subpart 3 ------William J. Goodling Even Start Family Literacy Programs

Title I, Part C --------------------Education of Migrant Children

Title I, Part D --------------------Prevention and Intervention Programs for Children and

 Youth Who Are Neglected, Delinquent, or At-Risk

Title I, Part F --------------------Comprehensive School Reform

Title II, Part A -------------------Teacher and Principal Training and Recruiting Fund

Title II, Part D -------------------Enhancing Education Through Technology.

Title III, Part A ------------------English Language Acquisition, Language Enhancement,

 and Academic Achievement

Title IV, Part A ----------------- Safe and Drug-Free Schools and Communities

Title IV, Part B ------------------21st Century Community Learning Centers

Title V, Part A -------------------Innovative Programs 

Title VI, Part B, subpart 2: ---Rural and Low-Income School Program.

Title VI, Section 6111---------State Assessments Program

Title VI, Section 6112---------Enhanced Assessment Instruments

This submission seeks OMB approval for an extension of the Consolidated State 

Application which is scheduled to expire November 2014. The Consolidated State 

Application will continue to be the tool used for states to apply for program funds. 

The Department of Education is seeking an extension of information collection request; 

while the entire Consolidated Application is submitted for extended clearance, all States 

have submitted initial an application related to each of the current requirements of ESEA

contained in this collection. ED will not require any State to complete and submit an 

entire Consolidated Application. However, since the Consolidated State Application is 

the basis for ongoing review of State performance, as States modify their respective 
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program goals, performance targets and strategies, they are required to submit 

amendments to their existing application in accordance with EDGAR section 76.140 

through 76.142.

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 Department will use the information from the consolidated State application as the basis 

for approving funding under the covered ESEA, as amended programs (in which the State 

participates). The Department also will use the performance targets, baseline data, and other 

related information in the consolidated application to continue to assess the degree of 

progress States make over time in achieving ESEA goals. As with previous collections, the 

information in this collection will allow the Department to continue to monitor effectiveness 

of the use of program funds, and provide grantees with technical assistance.

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 given to using 

technology to reduce burden.

This information collection will make the application package available to States in an 

electronic format. Where applicable, States may include html references, electronic files, or 

other existing documentation to comply with the requirements listed in the application. 

4. Describe efforts to identify duplication. Show specifically why any similar information already 

available cannot be used or modified for use for the purposes described in Item 2 above.

The consolidated application collection is based on an effort to avoid duplication. If States 

submit consolidated applications, they will not be required to submit individual program 

applications for the programs covered in the consolidated application. Secondly, the 

Department plans to consult with States and local education technology experts in data 

collection to ensure (among other things) that States are required to submit only that data not 

available through other sources.

5. If the collection of information impacts small businesses or other small entities, describe any 

methods used to minimize burden.

Neither small businesses nor small entities are affected by this collection.

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 statute requires States to submit an application under ESEA programs funded through the 

Department. The statute also permits States at their discretion to submit a consolidated 

application. This collection will ensure the information provided by States in the 
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consolidated application is the minimum required by the Department to fulfill its fiduciary 

responsibility.

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 that 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 apply to this 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.

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.
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The Department published a 60-and 30-day Federal Register Notice and received no public comments 

during the 60-day comment period. 

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

contractors or grantees.

No payment 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.

There is no assurance of confidentiality provided to respondents.

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 collection does not ask 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 16 of IC Data Part 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.

The total burden estimate for this collection is 2,400 hours. We estimate that 

approximately 30 SEAs will request to make changes or updates to their consolidated state 

applications, and that for each of those SEAs it will take approximately 40 hours to collect 

the information needed to support the change request, approximately 39.5 hours to make 

the changes necessary in the application, and approximately 0.5 hours to obtain the 

necessary signatures and mail the application. 

Primary costs to respondents fall into the following categories: collection of information, 

preparation of application, and mailing application. Based on an estimate of 30 forms 
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submitted for amendments to the Consolidated State Application, costs to respondents are 

estimated to be the following for each submission. Costs for collecting information and 

preparing application are calculated at a GS 13/1 rate. Costs for mailing the application are 

calculated at a GS 6/1 rate.

Activity

Number of 

Respondents

(SEAs)

Estimated 

Hours per 

Respondent

Total Estimated 

Hours for all 

Respondents

Cost Per 

Hour

Subtotal of Hours 

x Cost

Collecting 

Information 30 40 1200 $33.84 $40,608.00

Preparing 

Application 30 39.5 1185 $33.84 $40,100.40

Mailing

Application 30 .5 15 $14.43 $216.45

TOTAL 30 80 2400 $80,924.85

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 acquiring and 

maintaining 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 preOMB 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 : 
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Total Annual Costs (O&M) : 

____________________

Total Annualized Costs Requested : 

This information collection does not require the use of capital, start-up, operation and 

maintenance, or purchase costs. 

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.

There are no additional estimated annual Federal costs associated with this collection. Review of 

amendments to the consolidated state application is part of routine operations.

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

Form.

There are no program changes or adjustments. 

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.

Results of this information collection will not be published.

17. If seeking approval to not display the expiration date for OMB approval of the information 

collection, explain the reasons that display would be inappropriate.

The information collection will display the expiration date for OMB approval.

18. Explain each exception to the certification statement identified in the Certification of 

Paperwork Reduction Act.

There are no exceptions to the certification statement.

B. Collections of Information Employing Statistical Methods

This information collection will not employ statistical methods.