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SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

Office of the Secretary (OS) Information Collection 

OMB. Control # 1894-0006 

Generic Application Package

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 U.S. Department of Education (ED) supports a wide range of discretionary grant programs through 

grants to eligible applicants including State Education Agencies, Local Education Agencies, Indian Tribal 

Governments, Institutions of Higher Education, Non-Profit Organizations, Faith-Based Organizations, 

Businesses, Hospitals and Individuals. Discretionary grants are awarded on the basis of competitively

reviewed applications, and ED is requesting an extension for the Generic Application Package that 

numerous ED discretionary grant programs use to provide to applicants the forms and information needed 

to apply for new grants under those grant program competitions. 

The Department will use this Generic Application package for discretionary grant programs that: 1) use 

the standard ED or Federal-wide grant applications forms that have been cleared separately through OMB 

and 2) use selection criteria from the Education Department General Administrative Regulations 

(EDGAR); statutory selection criteria or a combination of EDGAR and statutory selection criteria 

authorized under EDGAR, 34 CFR 75.200. The use of the standard ED grant application forms and 

EDGAR and/or statutory selection criteria promote standardization and streamlining of ED discretionary

grant application packages. This request reflects a burden estimate for grant competitions from several 

program offices including: Office of Elementary and Secondary Education, Office of Innovation and 

Improvement, Office of English Language Acquisition, Office of Safe and Drug Free Schools, Office of 

Special Education and Rehabilitative Services, Office of Postsecondary Education and the Institute of 

Education Sciences. 

Since December 2001 approval by OMB, the 1894-0006 Generic Grant Application is the most 

streamlined ED process for discretionary grant applications, including new or existing discretionary grants. 

There are no required public comment periods for new individual grant applications since the Master Plan 

IC request provides the public opportunity to comment. Program offices may submit any new individual 

discretionary grant applications for inclusion under this process as long as they use EDGAR selection 

criteria or statutory criteria, in addition to standard forms. No grant applications containing program 

specific information fits under this process; otherwise, ED must use the 1894-0001. 

Differences in any new individual grant application packages added under the Generic Application 

Package collection after this Master Plan request is approved would be reflected in the official application 

notices for each program published in the Federal Register and the information provided about the 

program in the discretionary grant application packages. Notices of priority and official application notices 

are cleared through the Department’s Division of Regulatory Service in the Office of General Counsel and 

public comment is sought when required. The information contained in the official application notice 

and/or application packages may include background information on the program and grant competition, 

priorities, and statutory selection criteria and/or EDGAR selection criteria. 

To obtain OMB approval for a new generic grant application not included as part of this Master Plan 

submission, ED submits the request via the OMB83C (change worksheet) process in ROCIS with the 
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individual added burden hours added to the cumulative total already approved. In addition, a copy of the 

draft closing date notice or notice of priorities is submitted with this request. Based on the original 

OMB/ED agreement, the clearance time for a new generic grant submission is 10 days at OMB. (Note 

that ED suggests using this language as the Terms of Clearance.)

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.

A listing of the standard ED or Federal-wide grant application forms and EDGAR selection criteria are 

attached. These application components are necessary to standardize grant applications and to ensure 

that the information required to process and review them effectively and to make funding decisions is 

submitted by applicants.

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 FY 2010, approximately 85% of ED’s discretionary grant applications were received electronically either 

through Grants.gov or e-Application. In FY 2011 and beyond, ED expects that the number of applications 

submitted via Grants.gov will continue to increase. 

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.

This information collection is intended to serve as a generic application package for use by numerous 

discretionary grant programs from across the Department’s grantmaking offices. Use of the standard ED 

or Federal-wide grant application forms and selection criteria that is already established in the 

Department’s EDGAR regulations or in the individual program’s statute encourages ED program offices to 

utilize standard forms and criteria that the public has already had the opportunity to comment on 

previously and eliminates the need to develop and clear program-specific forms and regulatory selection 

criteria.

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.

Under EDGAR regulations, all requirements for small entities are minimized. The burden is kept to a 

minimum by requesting that applicants provide only information required by statute and EDGAR. 

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.
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The administration, determination and distribution of program funds could not be accomplished if the 

information was collected less frequently. The frequency of the application is mandated by the respective 

legislation and program regulations and the availability of ED funding for new grant competitions. 

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.

This information will not be collected in a manner inconsistent with the general information collection 

guidelines in 5 CFR 1320.5. 

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 
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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.

The Department published both the 60 and 30-day Federal Register Notices inviting public comment and 

received none.

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

remuneration of contractors or grantees.

There are no payments or gifts to respondents other than the remuneration of grantees.

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

the assurance in statute, regulation, or agency policy.

There are no assurances of confidentiality provided to respondents using this information collection.

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.

There are 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.
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 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.

The listing of the individual programs that will use the Generic Application Package and their respective 

burden hours are shown in the supplementary section document entitled, “Discretionary Grant Programs 

Using the Generic Application Package.” The total burden hours for all ED programs using the generic 

application package are 447,089 hours with a respondent total of 9,861.

Estimates of Annual Cost Burden to Respondents for this Information Collection:

$46.64/per hour (fully-loaded GS-12 equivalent hourly rate) X 447,089 total burden hours = $20,852,230

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 startup 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.
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Total Annualized Capital/Startup Cost : $ .00

Total Annual Costs (O&M) : .00

____________________

Total Annualized Costs Requested : $ .00

There are no other respondent costs beyond those provided under item 12.

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.

Review by program staff 

(1800 funded grants X 4 hours x $46.64 per hour (GS-12 hourly rate [fully-loaded])........$335,808

Review by outside reviewers...........................................................................$7,767,115

[Based on historical cost data from previous competitions and cost estimates for future 

competitions.]

Total..........................................................................................................$8,102,923

15. Explain the reasons for any program changes or adjustments reported in Items 13 

or 14 of the OMB Form 83-I.

This is an extension of a previously approved information collection request. There are no changes in 

burden or responses.

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 Department of Education does not publish this data or use statistical methods in 

this collection of information.

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.

OMB approval of this information collection with both the OMB Control Number and Expiration Date will be 

displayed.
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18. Explain each exception to the certification statement identified in Item 20, 

“Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

There are no exceptions to the Certification Statement.

B. Collection of Information Employing Statistical Methods

Not applicable, this collection does not employ statistical methods.