### 1 **SUPPORTING STA**

**TEMENT FOR PA**  **PERWORK REDUCTION A CT SUBMISSION**  **Office of the Secretary (OS) Information Collection**  **OMB Control # 1894 -**  **0006 Generic A** **pplication Package**
**A. Justification**  1. Explain the circumstances that make the coll ection 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 O rganizations, 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 num erous ED di scretionary grant programs use to provide to applicants the forms and information needed to apply for new grants under those grant program competitions. The EDGAR selection procedures and criteria have been amended since the last time this generic applicat ion package ICR was approved, so changes have been made to this supporting statement to reflect the updated regulations. See: 34 CFR 75.209 as revised, 78 FR 49338, at 49353, August 13, 2013. The Department will use this Generic Application package for d iscretionary grant programs that: (1) Use the standard ED or Federal
-wide grant applications forms that have been cleared separately through OMB under the terms of this generic clearance as approved by OMB and (2) use selection criteria from the Education Department General Administrative Regulations (EDGAR); selection criteria that reflect statutory or regulatory

provisions that have been developed under 34 CFR 75.209, or a combination of EDGAR, statutory

or regulatory

criteria or other provisions, as auth orized under 34 CFR 75.200 and 75.209. The use of the standard ED grant application forms and the use of EDGAR and/or criteria developed under §§75.200 and 75.209 promotes the 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 Special Educatio n 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 application s, 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 individu al discretionary

grant applications for inclusion under this process as long as they use EDGAR selection criteria , criteria developed under 34 CFR 75.200 and 75.209 (based on statutory and regulatory provisions) , in addition to standard forms. No grant ap plications 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 competition published in the Federal Register and the information provided about the program in the discretionary grant application packages. Notices of priority a nd 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

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application notice and/or applicatio n packages may include background information on the program and grant competition, priorities, statutory and regulatory developed under EDGAR, EDGAR selection criteria or combinations of these criteria

. To obtain OMB approval for a new generic grant app lication not included as part of this Master Plan submission, ED submits the request via the OMB83C (change worksheet) process in ROCIS with the individual added burden hours added to the cumulative total already approved. In addition, a copy of the draf t application notice (“Notice Inviting Applications ” ) and any associated notice of priorities are 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 curren t collection. A listing of the standard ED or Federal
-wide grant application forms and relevant EDGAR selection procedures are attached. These application components are necessary to standardize grant applications and to ensure that the information requi red to process and review them effectively and to make funding decisions is submitted by applicants. The amendments to EDGAR also improved the Department’s ability to focus selection criteria on statutory and regulatory

provisions while still m aintaining the standardization offered by

the EDGAR criteria. 

### 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 technol ogy, 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 20 10 , approximately 85 % of ED’s discreti onary grant applications were received electronically either through Grants.gov or e
-Application. In FY 20 11 and beyond, ED expects that the number of applications submitted via Grants.gov will continue to increase. 

### 4. Describe efforts to identify du plication. 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 based on the existi ng program statute or regulations encourages ED program offices to utilize standard forms and criteria based on provisions that the public has already had the opportunity

to comment on previously and elim inates the need to develop and clear program
- specifi c 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 mi nim um by

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

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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 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. In virtually all cases, the competition for each program is conducted only once a year. 

### 7. Explain any special c ircumstances 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 i n 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 an d 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 unnecessaril y 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 t he information’s confidentiality to the extent permitted by law. Th e information collections made under this generic clearance would not im plicate any of the standards listed in this question 7, and would 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 informa tion collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by

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the agency in response to these comments. Specifically address comments received on cost and hour burden.  Describe ef

forts 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, d isclosed, 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 p eriods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.
A 60 day notice published on July 3, 2014 (79 FR 38017). No public comments were received. A 30 day notice was publishe d. 

### 9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees. There are no pay me nts or gifts to respondents other than the remuneration of grantees



### . 10. Describe any assurance of confident iality 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 q uestions 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 u ses 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 o f 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 surve ys 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

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widely because of differences in activity, size, or c omplexity, 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 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 cat egories. 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 Appl ication 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 pack age are 44 7 ,089 hours with a respondent total of 9,8 61

. Estimates of Annual Cost Burden to Respondents for this Information Collection : $4 6

. 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 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, an d 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 cos ts 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 es timates 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 bu rden 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 informatio n collection, as appropriate.

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 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 c ollection, (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 : $ .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 (18 00 funded grants X 4 hours x $4 6.64 per hour (GS
- 12 hourly rate [fully
- loaded])........$ 335,808 Review by

outsi de 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 o r 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. Wewill m onitor the number of competitions that rely on the EDGAR se lection procedures and criteria over the course of time that this ICR is approved and involve OMB as new programs are added to the list of those that rely on this generic ICR. There is some possibility that more program offices will be able to use the EDG AR selection procedures and criteria than in the past due to the recent amendments to 34 CFR 75.209, which we expect would make using the EDGAR procedures and criteria available to more program competitions.


### 16. For collections of information whose res ults 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, co mpletion of report, publication dates, and other actions.

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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.


### 18. Explain each exception to the certification sta tement 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 Employ ing Statistical Methods** 
Not applicable, this collection does not employ statistical methods.