1

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable)
**SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION**  **Student Assistance General Provision**

**– Subpart I** 

**– Immigration Status Confirmation**  **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 hard cop y of the appropriate section of each statute and regulation mandating or authorizing the collection of information , or you may provide a valid URL link or paste the applicable section 1

. Specify the review t ype of the collection (new, revision, extension, reinstatement with change, reinstatement without change) . If revised, brie fl y specify the changes. If a rulemaking is involved, make note of the sections or changed sections, if applicable. This request is for approval of an extension of the reporting requirements currentl y in the Student Assistance General Provisions, 34 CFR 668, Subpart I . This subpart governs the Immigration

- Status Confirmation, as authorized by section 484(g) of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C. 1091). The regulations can be reviewed at 34 CFR 668, Subpart I

. This collection updates the usage b y individuals and schools. This is necessary to determine eligibi lity

to receive program benefits and to prevent fraud and abuse of program funds. The regulations in § 668.133 identify when an institution must have a student produce documentation that supports their status as an eligible noncitizen as provided by the U.S. Department of Homeland Security ’s (DHS) office of Citizenship and Immigration Services (USCIS) and when it must request DHS secondary confirmation of such eligibility through the use of the G

- 845 form . This is required if the student’s Title IV output document indicates that confirmation is needed or when confirmation is provided by DHS
- USCI S, but the institution has conflicting information about the student’s status

. The regulations in § 668.134 require an institution to have written policies and procedures for requesting proof from students and getting confirmation of eligibility for Title IV funds . The regulations also specify that the institution provide in writing to each student required to undergo secondary confirmation a clear explanation of the documents that must be submitted for eligibility confirmation as well as a clear explanation of the student’s responsibilities including deadlines and consequences of failin g to complete the required actions.

1 Please limit pasted text to no longer than 3 paragraphs.2

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) The regulations in § 668.135 require an institution to have procedures for completing the manual secondary

confirmation of eligibility for Title IV funds for eligible noncitizens that did not have their eligibility dete rmined through the automated confirmation process. While the regulation discusses the completion of the G

- 845, the burden estimate here is limited to the copying of the supporting documents to be submitted with the G

- 845. It does not include the burden a ssessment already calculated b y DHS USCI S. 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. Requiring institutions to have processes for the collection and confirmation of th is student information enables the Secretary to determine if a noncitizen applicant for Title IV , HEA benefits is an eligible student as defined in section 484(a)(5) of the H EA. The ability to make this determination reduces the potential for fraud and abuse in the Title IV , HEA programs caused by ineligible aliens receiving Federal student financial assistance. By

reducing the potential for fraud and abuse, the Secretary is better able to safeguard Federal student financial aid dollars for the intended purpose of providing educational opportunities to U.S. citizens or noncitizens with Title IV, HEA eligible immigration credentials. 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 adop ting this means of collection. Also describe any consideration given to using technology

to reduce burden. The Secretary

uses an automated data matching s ystem in conjunction with the Department of Homeland Security ’s (DHS) office of Citizenship and Imm igration Services (USCIS) to electronically confirm the eligible noncitizen status of a noncitizen applicant for Title IV, HEA benefits . The data matching s ys tem is operated in full compliance with the Computer Matching and Privacy Protection Act of 1988 (CMPPA), as amended in order to prevent fraud and abuse. As required b y the CMPPA, applicants with immigration statuses that are not confirmed as eligible noncitizens by the data matching s ys tem are not presumed to be ineligible and are instead, subject t o a secondary automated confirmation process within USCI S. In those limited cases where confirmation is not achieved after the automated secondary confirmation, the noncitizen applicant is subject to a manual secondary confirmation process requiring the i nstitution to request written confirmation from USCI S through the submission of a G

- 845 Form (as provided b y USCI S), along with copies of the student’s immigration status documentation that has been already provided to the institution by the applicant. Th e elements of this additional process (except for the completion and submission of the G

845 form, which is approved under OMB 16 15
- 0 101 through the U.S. D epartment of Homeland Securit y) , which we refer to as manual secondary confirmation, constitutes the information collection for which we are requesting continued approval.3

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) 4. Describe efforts to identify duplication. Show specificall y wh y an y similar information already available cannot be used or modified for use for the purposes described in Item 2 a bove. There is no duplication of records or similar information already available for use b y institutions. 5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden. A small entity may be (1) a small business which is deemed to be one that is independently owned and operated and that is not dominant in its field of operation; (2) a small organization that is any not
- for

- profit enterprise that is independently owned and operated and is not dominant in its field; or (3) a small government jurisdiction, which is a government of a city , count y, town, township, school district, or special district with a population of less than 50,000. The information collected does not involve small bus iness entities. 6. Describe the consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequentl y, as well as an y technical or legal obstacles to reducing burden. If this information is not collected or is collected less frequently , the potential for fraud and abuse increases. Also, section 484(g)(1) provides that the Secretary will verify applicant claims of citizenship or eligible noncitizen status prior to awarding grants, loans or work assistance under Title IV of the HEA. The provision precludes the Secretary from employing any

procedure that does not verify U.S. citizenship or eligible immigration status of all applicants for Title IV, HEA benefits. 7. Explain any

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

 requiring respondents to report information to the agency more often than quarterl y;  requiring respondents to prepare a written response to a collection of information in fewer than 30 day s 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 b y 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 unnecessaril y i mpedes sharing of data with other agencies for compatible confidential use; or4

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable)

 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 confidenti ality to the extent permitted by law. Under 34 CFR 668.135, an institution that receives immigration status documents from a student with an immigration status that was not confirmed using the USCI S/ED data match or the automated secondary confirmation pr ocess is required to request written confirmation from the USCI S within 10 business day s. No institution is required to submit more than the original completed G

- 845 Form and one copy of any USCIS immigration status document(s). No institution is require d to retain immigration status records for more than three ye ars after the end of the award ye ar for which the Title IV, HEA aid was awarded and disbursed. This information collection does not include a statistical survey or use of a statistical data classification. This information collection does not include a pledge of confidentiality that is not supported by authorit y established in statute or regulation, is not supported by disclosure and date securit y policies consistent with the pledge, or whic h impedes sharing of data with other agencies. This information collection does not require respondents to submit proprietary trade secrets or other confidential information. 8. As applicable, state that the Department has published the 60 and 30 Federal Register notices as required b y 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 b y 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

o f collection, the clarity

of instruction and record keeping, disclosure, or reporting format (if an y), 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 circumstance s should be explained. This information collection is not in conjunction with negotiated rulemaking. Consultations with the USCI S are conducted approximately twice yearl y and more often if needed

– these consultations are useful in addressing interagency processing problems and in discussing how new technologies can be employed to perform these functions more efficientl y.5

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) Automated secondary

confirmation as provided by USCI S has significantly

reduced the percentage of non

- matches that lead to the require d data collections and submission of the G

845 Form to USCI S. There were no comments received during the 60 day comment period. This filing is for the 30 day comment period. 9. Explain any

decision to provide any

pay ment or gift to respondents, other than remuneration of contractors or grantees with meaningful justification

. There is no pay

ment or gift to respondents. 10. Describe an y assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agenc y policy

. If personally identifiable information (PII) is being collected, a Privacy Act statement should be included on the instrument. Please provide a citation for the Sy stems of Record Notice and the date a Privacy Impact Assessment was completed as in dicated on the I C Data Form . A confidentiality statement with a legal citation that authorizes the pledge of confidentiality should be provided. 2 If the collection is subject to the Privacy Act, the Privacy

Act statement is deemed sufficient with respect t o confidentiality . I f there is no expectation of confidentiality , simply state that the Department make s no pledge about the confidentiall y of the data. These requirements do not prescribe an y assurance of confidentiality to institutions except as required under the provisions of the CMPPA. 11. Provide additional justification for an y 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 wh y 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 an y steps to be taken to obtain their consent. These regulations do not include an y 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 by affected public ty

pe (federal government, individuals or households, private sector

– businesses or other for

- profit, private sector

– not
- for

- profit institutions, farms, state, local or tribal governments) , frequency of response, annual hour burden, and an explanation of how the burden was estimated, including identification of burden t ype: recordkeeping, reporting or third party disclosure. All narrative should be included in item 12. Unless directed to do so, agencies should not conduct special survey s to obtain informatio n on which to base hour burden estimates.

2 Requests for this information are in accordance with the following ED and OMB policies: Privacy Act of 1974, OMB Circular A

- 108

– Privacy Act Implementation

– Guidelines and Responsibilities, OMB Circular A

- 130 Appendix I

– Federal Agency Responsibilities for Maintaining Records About Individuals, OMB M

- 03
- 22

– OMB Guidance for Implementing the Privacy Provisions of the E

- Government Act of 2002, OMB M

- 06
- 15

– Safeguarding Personally Identifiable Information, OM:6

- 104

– Privacy Act of 1974 (Collection, Use and Protection of Personally I dentifiable Information)6

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) 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 ran ge 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 e stimates for each form and aggregate the hour burdens in the ROCI S IC Burden Analy sis Table

. (The table should at minimum include Respondent types, IC activity , Respondent and Responses, Hours/Response, and Total Hours)

 Provide estimates of annualized co st 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. Total Current Inventory :

# of Respondents # of Responses Burden Hours 77 , 375 143 , 332 17 , 917 Revised Inventory : Of the 9 26 , 582 applications from noncitizen applicants processed in the 201 3
- 201 4 award ye ar, 131 , 248 were not confirmed using the data matches (automatic primary or automatic secondary) and required additional information to confirm Title IV eligibility

. Of the 131 , 248 applications, 117,265 would require the financial aid administrat or to send a completed G

- 845 to DHS for secondary confirmation of eligibility

. The 117,265 are reduced by 25% to 87,949, as an estimated number of students who will begin enrollment and therefore utilize the Title IV programs is 75% of non

- confirmed appli cants. The 25% or 29,316 possible Title IV eligible applicants either dropped out of the application process or were not subject to manual secondary confirmation because of the regulatory provisions in 34 CFR 668.133(b) that exempt respondents from this requireme nt if such confirmation was successfully used to confirm a student’s eligible noncitizen status in the previous award ye ar. Revised Inventory

– by

affected entity # of Respondents # of Responses X Hours/ = Burden Response Hours Individu als: 87 , 949 87 , 949 .08 hours = 7 , 036 (5 minutes) For
- profit institution:

2 , 151 30 , 701
. 17 hours = 5 , 2197

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) (1 0 min.) Not
- for

- profit institution:

1 , 811 25 , 848
. 17 hours = 4 , 394 (10 min.) State, local or Tribal entities

2,200 31 , 400
. 17 hours = 5 , 338 (1 0 min.) Total Revised Inventory

# of Respondents # of Responses Burden Hours 94 , 111 175 , 898 21 , 987 Difference from previous to proposed new inventory

# of Re spondents # of Responses Burden Hours 16,736 32 , 566 4 , 070 These figures do not include the USCI S calculated burden of 5 minutes for the completion and submission of the G

- 845 for OMB # 1615

- 0101. The annual cost burden attributable to institutional staff is as follows: $ 6
. 21 respondent salary

cost ($ 36.55 /hr. x 15 min) X 21 , 9 87 estimated annual frequency = $ 136 ,5 39 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 s ys tem 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 co sts 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 expecte d to vary widel y, 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, age ncies 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 anal ys is associated with the rulemaking containing the information collection, as ap propriate.8

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable)

 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. Also, these estimates should not include the hourly costs (i.e., the monetization of the hours) captured above in Item 12 Total Annualized Capital/Startup Cost: 0 Total Annual Costs (O&M) : $ 0.4 9 Postage + $ 0. 75 Photocopying and student interview X 21 , 987 Estimated annual frequency Total Annualized Costs Requested: =$ 27,264 estimated cost to respondents 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. ED’s CPS Processing Costs

9 26 , 582 Records sent to DHS X $0.01 Processing cost per record = $9, 266 Application processing ED’s Correction Processing Costs

11 7 , 265 No match records X 0.25 Percent returning as corrections X .084 Cost per record for history correction reprocessing = $2, 466 History

correction reprocessing Cost to ED $9, 266 Application processing

+ $2, 466 History

correction reprocessing + $1 1 ,1 1 0 Leased phone lines + $ 50 , 217 ED administration costs = $ 73 , 059 Estimated total annual cost to ED Total estimated cost to government is $ 73 , 059
. 15. Explain the reasons for an y program changes or adjustments. Generally, adjustments in burden result from re

- estimating burden and/or from economic phenomenon outside of an agency ’ s control (e.g., correcting a burden estimate or an organic increase in the size of the reporting universe). Program changes result from a deliberate action that materiall y changes a9

OMB Number: 1845

- 0052 Revised: 2 / 3 /201 5 RIN Number: XXXX

- XXXX (if applicable) collection of information and generally are result of new statute or an a gency action (e.g., changing a form, revising regulations, redefining the respondent universe, etc.). Burden changes should be disaggregated by t ype of change (i.e., adjustment, program change due to new statute, and/or program change due to agency discret ion) , ty

pe of collection (new, revision, extension, reinstatement with change, reinstatement without change) and include totals for changes in burden hours , responses and cost s (if applicable)

. This is a request for an extension of OMB information collection number 1845

- 0052. There is an increase of 4,070 burden hours due to an increase in the number of respondents who need to present documentation to the school to be included with the G

- 845 form to complete the confirmation of eligibility to receive Titl e IV assistance. There has not been an y change to the regulatory

language requiring this activity

. 16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analy

tical technique s 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. There are no plans to publish the results of this in formation collection. 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 Department of Education is not seeking approval not display the expiration date for OMB approval. 18. Explain each exception to the certification statement identified in the Certification of Paperwork Reduction Act. The Department of Education is not seeking an exception to the certification for Paperwork Reduction Act submissions.