ED ICS Tracking and OMB Number: (XXXX) 1820

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1 **OMB 83 -**  **1 PA PERWORK REDUCTION A** **CT SUPPORTING STA** 

**TEMENT A.**  **Justification 1.**  **Explain the circumstances that make the collection of information necessary**  **. Identify**

**any legal or administrative requirements that**  **necessitate the collection. A ttach 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 (the act), by Public Laws 93

- 516, 95

- 602, 98

- 221, 99

- 506, 100

- 630, 102

- 569, 103

- 73, and 105

- 220 ( T he Workforce Investment Act of 1998 ( WIA ) ) requires each state agency designated to administer the State Vocational Rehabilitation (VR) Services Program and the State Supported Employment (SE) Services Program to submit a State Plan for VR services and a S tate Plan supplement for SE services. The approved VR State Plan and SE supplement form the basis upon which a state participates in programs under Title I and Title VI, Part B of the Act and receives federal funds. The VR State Plan and its SE suppleme nt are also affected by the general requirements for all State Plans under the Education Department General Administrative Regulations in 34 CFR Parts 76, 77, 78, 79, 80, 81, 82, and 85, regarding such issues as civil rights, administration of rights, and certification of authority to submit the State Plan and official signatures. There is no reporting burden in the VR State Plan or its SE supplement that is not required by the Act itself. The implementing regulations for these programs do not impose an y State Plan reporting burden beyond that required by the Act. Since the previous OMB approval of the VR State Plan and its SE supplement, the Rehabilitation Services Administration (RSA) revised the form so that it is consistent with changes made to the VR program implementing regulations published January 17, 2001. All State Plan provisions, namel y assurances and/or attachments that had been previously required solely by regulation have been deleted. The deletion of these regulatory State Plan requirem ents is designed to reduce administrative burden on the states to better focus resources on the employment needs and choices of individuals with disabilities, particularly individuals with significant disabilities. This deletion of the regulatory

- based State Plan requirements is also intended to more closely align the VR State Plan requirements with other W IA partner programs.ED ICS Tracking and OMB Number: (XXXX) 1820

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2 **2. Indicate how**  **, by whom, and for w**  **hat purpose the information is to be used.**  **Except for a new collection, indicate the actual us**  **e the agency has made of**  **the information received from the current collection.** An approved VR State Plan and SE supplement is a condition for the receipt of federal funds under Title I and Title VI, Part B of the a ct. If a state does not submit an app rovable State Plan and supplement, federal funds to the state for operating its VR and its SE programs would be interrupted. Prior to the passage of W IA, the VR State Plan and its SE supplement were submitted for a three

year period, with certain attachme nts amended annually. States now only need to submit a VR State Plan and SE supplement once , and update it under limited circumstances as prescribed in the Act. The VR State Plan and its SE supplement are key instruments for RSA's assessment of a state VR agency's effectiveness in meeting annual performance goals and priorities and compliance with the provisions of the Act. **3. Describe w**  **hether, and to w hat extent, the collection of information**  **involves the use of automated, electronic, mechanical, or ot her**  **technological collection techniques or other forms of information technology**  **, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. A** **lso, describe any**  **consideration of using informat ion technology**  **to reduce burden.** Beginning in FY 2009, states have been able to submit their State Plan s through the RSA website located at http://rsa.ed.gov

. In FY 2011, all 80 VR agencies submitted their FY 2012 Stat e Plans through the RSA website. In addition, states that are not able to transmit their plans using the website can also make their submissions to RSA either electronically using e

- mail or on CD

- ROM, or in hardcopy. See pages 3 and 4 of the Guidance for Development and Submittal of the State Plan for Vocational Rehabilitation Services and the State Plan Supplement for Supported Employment Services for further guidance regarding methods of submission

. It should be further noted that VR agencies frequentl y maintain electronic case service records and often u s e automated systems to track the progression of service delivery for applicants and individuals eligible for VR services , thereby further reducing the burden associated with the collection of data and information required to be su bmitted through the State Plans

. **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.** ED ICS Tracking and OMB Number: (XXXX) 1820

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3 The information contained in the VR State Plan and its SE supplement is not available in any other format or from any other source. **5. If the collection of information impacts small businesses or other small**  **entities (Part II item 8 of new** **OMB Form 83 -**  **I )**  **, describe any methods used**  **to minimize burden.** This collection of information has no impact on small businesses or other small entities. **6. Describe the consequence to Federal program or policy**  **activities if the collection is not conducted or is co**  **nducted less frequently , as well as any**  **technical or legal obstacles to reducing burden.** Title I , Part B, and Title VI, Part B , of the a ct require submission of a VR State P lan and an SE supplement. The a ct is very prescriptive with respect to the conten t of the Plan and supplement. As already indicated, the State Plan and supplement need to be submitted only once with annual revisions, as necessary, in order for states to continue to receive federal VR and SE funds. Reviewing State Plan materials is th e Department's primary method for determining whether state VR agencies are conforming to the requirements of the a ct and meeting stated performance goals and priorities. The State Plan and its supplement are in effect the legal assurance from the state V R agency that it will operate and administer the VR services and SE programs in accorda nce with the provisions of the a ct and implementing regulations, as a condition for the receipt of federal funds under Title I, Part B , and Title VI , Part B , of the a ct. The a ct also requires annual monitoring of certain State Plan provisions as well as periodic on

- site monitoring to determine the extent to which states implement the assurances that they make in the State Plans and supplement s . The information provided to the Department by the state VR agencies in their State Plans is critical to these monitoring efforts and determining complianc e with the requirements of the a ct, and meeting stated performance goals and priorities. **7. Explain any** 

**special circumstance that w**  **ould cause an information collection to be conducted in a manner:** 

**o requiring respondents to report information to the**  **agency more often than quarterly**  **;**
**o requiring respondents to prepare a w**  **ritten response to**ED ICS Tracking and OMB Number: (XXXX) 1820

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4 **a collection of information in fe wer than 30 day** **s after receipt of it;** 

**o requiring respondents to submit more than an original**  **and tw o copies of any**  **document;**

**o requiring respondents to retain records, other than**  **health, medical, government contract, grant -**  **in -** **aid, or tax records fo**  **r more than three y ears;** 
**o in connection w**  **ith a statistical survey , that is not**  **designed to produce valid and reliable results that can be generalized to the universe of study**  **;**
**o requiring the use of a statistical data classification**  **that has not been r eview**  **ed and approved by OMB;** 

**o 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 w ith the**  **pledge, or w hich**  **unnecessarily impedes sharing of data**  **with other agencies for compatible confidential use; or**

**o requiring respondents to submit proprietary**  **trade secret, 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 the collection of information to be conducted along the lines discussed in the bulleted items above. **8. If applicable, provi**  **de 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.** ED ICS Tracking and OMB Number: (XXXX) 1820

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5 **Describe efforts to consult w ith persons out**  **- side the agency**  **to obtain their view**  **s on the av ailability**  **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 w**  **hom inf ormation is to be obtained or**  **those w ho must compile records should occur at least once every**  **3 y ears**  **- 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.** RSA obtained input from the VR agencies concerning the current version of the State Plan, including the hours estimated to develop it and submit it through the RSA website , when it was approved by O MB in FY 2009. Since that time, RSA has regularly received feedback from VR agencies and its staff concerning the online submission process begun in FY 2009 and has made adjustments to the online system based on this input. In addition, RSA routinely cons ults with the Council of State Administrators of Vocational Rehabilitation (CSAVR) regarding the collection of information, such as that represented by the State Plan. Specifically, RSA staff participate in meetings of the CSAVR Management Services Committee to discuss, among other matters, the various information and data collection instruments used to manage the VR and SE programs. During the meetings held in Fall 2011 and Spring 2012, the Committee did not recommend any changes to the State Plan form o r the online system. In addition, a 60

- day and a 30

- day notice will be published in the Federal Register to solicit public comment. **9. Explain any** 

**decision to provide any pay**  **ment or gift to respondents, other than remuneration of contractors or grantees.**  There is no 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** 
**.** Based upon the provisions of 34 CFR 361.38, the state VR agency or, as appropriate, the designated state VR unit, must maintain policies and procedures on the protection, use, and release of personal information consistent with the provisions of Section 101(a)(6)(A) of the Act. Confidentiality is further assured sin ce all information collected within the State Plan is aggregated data.ED ICS Tracking and OMB Number: (XXXX) 1820

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6 **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. This justification should include the**  **reasons w hy** 

**the agency**

**considers the questions necessary ; the specific**  **uses to be made of the information, the explanation to be given to persons from w**  **hom the information is requested, and any steps to be ta**  **ken to obtain their consent.**  There are no questions of a sensitive nature in the information collection connected with the VR State Plan or its SE supplement. **12. Provide estimates of the hour burden of the collection of information. The**  **statement sho uld:** 

**o indicate the number of respondents, frequency**  **of response, annual hour burden, and an explanation of how** **the burden w as estimated.**  **Unless directed to do so, agencies should not conduct special survey** **s to obtain information on w hich to base hour**  **burden estimates. Consultation w**  **ith a sample (few er than ten) 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 bu**  **rden and explain the reasons for the variance. Generally**  **, estimates should not include burden hours for customary**  **and usual business practices.**

**o If this request for approval covers more than one form, provide**  **separate hour burden estimates for each fo rm and aggregate the**  **hour burdens in item 16 of new** **OMB Form 83 -**  **I**
**. o**  **Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identify**  **ing and using appropriate w**  **age rate categories. The cost of contracting out or**  **pay ing outside parties for information collection activities should not**  **be included here. Instead, this cost should be included in item 14.** T he 80 VR agencies administering the VR and SE programs each submit the State Plan and Supplement annuall y. The estimated hours required by each to develop and submit the plan to RSA was reduced from 90 to 25 hours (the amount in the current OMB inventory) due to the streamlining of the plan content as a result of amendments to the act and implementing regul ations , described in more detail in the Supporting Statement associated with the extension of prior versions of the StateED ICS Tracking and OMB Number: (XXXX) 1820

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7 Plan, and the use of the online reporting system begun in FY 2009. Consequently, the total hours required by the 80 agencies to devel op and submit the State Plans is estimated to be 2,000. In addition, the time required by the VR agencies associated with the record keeping through which they obtain the information and data needed for inclusion in the State Plan was affected by changes to the implementing regulations focus ing on the reduction and/or elimination of duplicative and unimportant service record content elements. On an annual basis, approximately 1.5 million individuals are either applicants for or eligible for VR and SE serv ices. A record of service is required for each individual and documents the major decision points in the provision of VR and/or SE services to assist the individual to achieve an employment outcome. W ithin the context of federal requirements that do not replicate normal accountability documentation that would exist even if there were no federal requirements, it is estimated that the average time spent in recordkeeping on an annual basis approximates 40 minutes per service record , for a total of 1,000,000 hours

. Combining the annual reporting and recordkeeping estimates, the estimated aggregate annual burden approximates 1,002,000 hours. (1) Number of state agencies submitting State Plans: 80 (2) Total burden hours: 1,002,000 (3) State hourly rate of salary: $22.00 (4) Total State cost: $22,044,000

**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 show n in items 12 and**  **14.)**

**o The cost estimate should be split into tw**  **o components: (a) the 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 sh**  **ould take into account costs associated w**  **ith generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to**  **estimate major cost factors including sy stem and technology**  **acquisition, expected useful life of cap ital equipment, the discount** ED ICS Tracking and OMB Number: (XXXX) 1820

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8 **rate(s), and the time period over w hich costs w**  **ill be incurred. Capital and start**  **- up costs include, among other items, preparations**  **for collecting information such as purchasing computers and softw**  **are; monitoring, sampling, dr illing and testing equipment; and**  **record storage facilities:**

**o 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 purchasing of contracting out information**  **collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may**  **consult w ith a**  **sample of respondents (few er than 10), utilize the 60**  **- day**  **pre -**  **OMB submission public comment process and use existing econom**  **ic or regulatory** 

**impact analy sis associated with the rulemaking**  **containing the information collection, as appropriate.**

**o 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 w ith 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**
**.** No burden has been imposed by a total capital and start

- up cost component or by a total operation and maintenance and purchase of services component. **14. Provide estimates of annualized cost to the Federal government. A** **lso, provide a description o**  **f the method used to estimate cost, w hich should**  **include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any**  **other expense that w ould**  **not have been incurred w ithout this collection of informatio**  **n. A gencies**  **also may**

**aggregate cost estimates from items 12, 13, and 14 in a single table.**  (1) Review of 80 State Plans estimated at 4 hours per plan = 320 hours (This estimate does not indicate time needed by RSA for negotiations.) (2) Fed eral hour ly rate of salary: $49 .00 (3) Total federal cost: 320 hours for review x $ 49 .00 = $ 15 , 680 .00ED ICS Tracking and OMB Number: (XXXX) 1820

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9 **15. Explain the reasons for any**  **program changes or adjustments reported in item 16 of the new** **OMB Form 83 -**  **I**
**.** No adjustments were made to the hou rs or costs associated with the develop ment and submission of the State Plans by the VR agencies, or to the time and costs connected with their review and approval by RSA staff, reflected in the current OMB inventory.

**16. For collections of information w**  **hose result s will be published, outline**  **plans for tabulation and publication. A ddress any**  **complex analy tical**  **techniques that w ill be used. Provide the time schedule for the entire**  **project, including beginning and ending dates of the collection of information, comple**  **tion of report, publication dates, and other actions.** RSA publishes the approved State Plans on its website annually in accordance with the following schedule.

 Submission of State Plans by VR Agencies

– July 1 st

 Plans reviewed , revised as necessary and materials prepared for approval

- September 10 th

 All State Plans a pproved and published on RSA website

- September 30 th **17. If seeking approval to not display**  **the expiration date for OMB approval of the information collection, explain the reason that dis**  **play would be**  **inappropriate.** RSA is not seeking a pproval to not display the expiration date for OMB approval of the information collection. **18. Explain each exception to the certification statement identified in,**  **"Certification for Paperw ork Reduction**  **Ac t Submissions.”**  There are no exceptions to the certification statement. **B. Collection of Information Employ**  **ing Statistical Methods** The VR State Plan is a legal document and does not require the use of any statistical methods in obtaining information

.