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[ICR No. 2032.01] 1855-NEW - Office of Innovation and Improvement Grantee Viewpoint 

Survey

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

[ICR No. 2032.01] 1855-NEW - Office of Innovation and Improvement Grantee Viewpoint 

Survey 

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 copy 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. Please limit pasted text to no longer than 3 

pages. Specify the review type of the collection (new, revision, extension, 

reinstatement with change, reinstatement without change). If revised, briefly specify 

the changes. If a rulemaking is involved, make note of the sections or changed 

sections, if applicable.

The purpose of the Office of Innovation and Improvement (OII) Grantee Satisfaction 

Survey is to appraise grantees of their satisfaction in regards to OII products and services 

and to learn ways in which the organization can improve service to external customers. 

The survey would collect information on satisfaction regarding current technical 

assistance resources and services that the organization offers and provide grantees with 

an opportunity to provide feedback on resources and services that would improve their 

fiduciary responsibilities. 

Fifteen of OII’s grant programs will participate in the survey including the Charter 

Schools Program, Investing In Innovation, Promise Neighborhoods, School Leadership 

Program, Supporting Effective Educator Development, Transition to Teaching, Magnet 

Schools Assistance Program, Full Service Community Schools, Ready to Learn 

Television Program, Teacher Quality Programs, Arts in Education Model Development 

and Dissemination, and Professional Development for Arts Educators. 

The Office of Innovation and Improvement is seeking approval for a new electronic 

collection for the OII Grantee Satisfaction Survey. 

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 survey would collect information on satisfaction regarding current technical 

assistance resources and services that the organization offers and provide grantees with 

an opportunity to provide feedback on resources and services that would improve their 

fiduciary responsibilities. 
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The information collected for the survey will be used to determine customer satisfaction 

with current programs and services, make modifications to current services, including 

technical assistance, and determine the need for modifications to reporting requirements 

and/or dates.

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.

Survey participants would be required to complete the survey using Survey Monkey or 

Adobe LiveCycle, both of which have an electronic submission process. We are 

currently in the process of determining which product would be easiest, most convenient 

product for the customer and the most cost-effective for the government.

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 Question 2 above.

The information supplied by the applicant is not in any other data collection, and is 

unique to each program and the particular grantee. 

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 notfor-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, 

county, town, township, school district, or special district with a population of less 

than 50,000.

Small businesses are not impacted by this data 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 organization does not currently have a mechanism for evaluating the needs and 

satisfaction of current grantees. Without the customer service survey, it will be difficult 
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for the organization to make continuous improvement in the area of customer service 

without input from grantees across various programs. 

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 require the collection to be conducted any of the 

manners listed above.

8. As applicable, state that the Department has published the 60 and 30 Federal 

Register notices as 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.
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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 will publish a 60-and 30-day Federal Register Notice seeking public 

comment. 

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

remuneration of contractors or grantees with meaningful justification.

No gifts or payments will be made to respondents.

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

the assurance in statute, regulation, or agency 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 Systems of Record Notice and the 

date a Privacy Impact Assessment was completed as indicated on the ICRAS’ Part 2 

IC form. A confidentiality statement with a legal citation that authorizes the pledge 

of confidentiality should be provided. 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 Identifiable Information). If the collection is 

subject to the Privacy Act, the Privacy Act statement is deemed sufficient with 

respect to confidentiality. If there is no expectation of confidentiality, simply state 

that the Department makes no pledge about the confidentially of the data.

No assurance of confidentiality is provided. 

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.
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There is no question of sensitive nature in this collection of information. 

12. Provide estimates of the hour burden of the collection of information. The 

statement should:

 Indicate the number of respondents by affected public type (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 type: recordkeeping, 

reporting or third party disclosure. All narrative should be included in Question

12. 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. (The table should at minimum include 

Respondent types, Number of Respondents and Responses, Hours/Response, and 

Total Hours)

 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 Question 14.

The estimated respondent cost for the survey is based on 1 hour per survey submission. 

The figure of 1 hour is based on our own experience and that of the contractor that helped 

us develop a survey that would take respondents no more than 30 minutes to complete.

We estimate respondent cost at an average of $25 per hour so that the average cost per 

application would be $25 x 1 hour = $25.

The estimated data burden for the survey is 1 hour x 1 survey = 1 hour.

The reporting and recordkeeping hour burden for this clearance would affect 

approximately 200 grantee/point of contracts. We are expecting a total annual response 

rate of 200 responses with 100% of the responses collected electronically. This survey

should take respondents one hour to complete for a total of 200 annual burden hours. 
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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 Questions 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 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.

Also, these estimates should not include the hourly costs (i.e., the monetization of 

the hours) captured above in Question 12.

Total Annualized Capital/Startup Cost:

Total Annual Costs (O&M): 

Total Annualized Costs Requested:

There would be no start-up costs for the respondents to take this survey. It would be 

created using either survey monkey or Abode Live Cycle, which the government would 

absorb the cost of using those programs and analyzing the data.

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 
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[ICR No. 2032.01] 1855-NEW - Office of Innovation and Improvement Grantee Viewpoint 

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collection of information. Agencies also may aggregate cost estimates from 

Questions 12, 13, and 14 in a single table.

Estimated annualized Federal cost: $12,169.02

OII Personnel:

1 person @ $50.92/hour x 80 hours: $4073.60

Data Analysis and Written Report: 

Draft analysis ($6,558.96) + Final Analysis ($1,536.46): $8095.42

15. Explain the reasons for any 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 materially changes a collection of information and generally 

are result of new statute or an agency action (e.g., changing a form, revising 

regulations, redefining the respondent universe, etc.). Burden changes should be 

disaggregated by type of change (i.e., adjustment, program change due to new 

statute, and/or program change due to agency discretion), type of collection (new, 

revision, extension, reinstatement with change, reinstatement without change) and 

include totals for changes in burden hours, responses and costs (if applicable).

This is a new collection, so there are no 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. 

There is no plan for publication.

17. 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.

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

information collection, explain the reasons that display would be inappropriate.
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The expiration date will be displayed on the information collection.

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

of Paperwork Reduction Act.

Items F, I, & K were not applicable to the Certification for Paperwork Reduction Act 

Submission.