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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

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 

section1. 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.

Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP), created in 

the Higher Education Amendments of 1998 (Title IV, Section 404A-404H), is designed to raise 

educational expectations and strengthen preparation for college for low-income middle grade and 

secondary school students through competitively awarded grants to state projects and local 

partnerships. Grantees (states and local partnerships) provide services including tutoring, 

mentoring, academic enrichment, student and family support, dissemination of information to 

students and their parents about postsecondary education and options for financing college, and 

financial assistance.

The regulations governing the Gaining Early Awareness and Readiness for Undergraduate 

Programs are 34 CFR Part 694. The Education Department General Administrative Regulations 

(EDGAR) requires grantees to submit a final performance report - see 34 CFR Part 74.71 and 34 

CFR 80.50 (http://www2.ed.gov/programs/gearup/legislation.html). 

This Financial Status and Program Performance Final Report is prepared and submitted by

GEAR UP grant recipients within 90 days from the end of their 6 or 7-year grant performance 

periods. The information collected in the Final Report allows the Department of Education (ED) 

to determine if a GEAR UP grant project is ready to be closed in “good standing” or needs to 

remain open for further departmental post award action. Each grantee’s Final Report must 

communicate or substantiate that the goals of the GEAR UP grant program were achieved. This 

report is a means for grantees to share the overall experience of their projects and document the 

achievements and concerns, and describe the effect of their projects on participants being served; 

project barriers/”lessons learned” and successes/major accomplishments; and evidence of 

sustainability.

The Final Report is used by the Department to determine whether recipients of discretionary

grants have made substantial progress towards meeting the objective of their respective projects, 

as outlined in their grant applications and/or subsequent work plans. In addition, the final report 

enables the Department of Education to evaluate each grant project’s fiscal operations for the 

 

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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

entire grant performance period, and compare total expenditures relative to federal funds 

awarded, and actual cost-share/matching relative to the total amount in the approved grant 

application. 

Furthermore, the GEAR UP Final Report is used to collect data addressing the performance of 

the program on a national level and thereby includes the information for the Department to use 

when reporting the program implementation, student outcomes, and other required data on the 

GEAR UP GPRA (Government Performance and Results Act of 1993) performance indicators.

According to 34 CFR Part 694, there is a small increase in burden because the Final Performance 

Report now requires grantees awarded in 2011 who requested 7 years of GEAR UP funding to 

report on 7 years instead of 6 years of award activity. The 7th year reporting will describe funds 

spent to follow GEAR UP students into the first year of postsecondary education while also 

reporting on the students to be served who are also still enrolled in a GEAR UP high school. 

However, there is a decrease in the overall hours and costs because GEAR UP will have fewer 

grantees respond to the Final Performance Report Request.

The current Financial Status and Program Performance Final Report for the GEAR UP Program 

(OMB No. 1840-0782) will expire on June 30, 2014. This submission requests that the revised 

report be approved for use for an additional three years.

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 Final Report is completed by each GEAR UP grantee within 90 days after his/her 6 or 7-

year grant performance period terminates. The Department will use the data collection to ensure 

compliance with the performance goals and program requirements of GEAR UP.

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.

The Final Report has been converted to a computer-based application. The data collection can 

now be submitted, signed, filed, completed and conducted electronically through a website 

developed for ED by Computer Business Methods, Inc., at the following address: 

https://opeweb.ed.gov/gearupfpr/codes/guf_login.cfm. 

Grantees access the report by entering their unique ID and password. They can save their report 

by sections and submit the report to ED once completed. There are also edit checks on the 

number of students served and automatic totaling of budget information to avoid typographical 
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

and computational errors. These changes prevent submission of incomplete and erroneous 

reports. 

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.

GEAR UP’s Final Report is the primary method to collect the overall programmatic and fiscal 

information from the entire performance period of a project grant, and thereby serves as a GEAR 

UP grantee’s culminating report. The Final Report collects data on the total federal expenditures 

and in-kind and matching contributions for each individual year of the project grant. The report 

serves as the recipients’ means to communicate the overall accomplishments of their projects to 

determine the impact on the beneficiaries (primarily students), and to display clear evidence of 

making substantial progress toward achieving the program goals and meeting their proposed 

project objectives. Furthermore, the Final Report is GEAR UP’s primary method to collect and 

analyze data on the high school graduation and immediate postsecondary education enrollment 

rates of the students served by the GEAR UP program. 

Since the information submitted is specific to the GEAR UP program, there is no duplication. 

There is no other data collection instrument available that is critical to meet the purposes 

described in Items 1 and 2 above.

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, county, town, township, school 

district, or special district with a population of less than 50,000.

We continue to anticipate that no small entities will be required to complete this final 

performance report. The collection of this information has no impact on small businesses or 

other small entities.

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.

In accordance with EDGAR, 34 CFR §74.71 (institutions of higher education) and §80.50 (state 

and local governments), and other ED Discretionary Grants policies, a final program 

performance and financial status report must be submitted by each recipient within 90 calendar 

days after the date of completion of the grant’s performance period, which is 6 or 7 years for 

GEAR UP state and partnership grants. 
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

The data collection from this Final Report is obtained only during this post-award liquidation 

period of project grants, during the initial 90-day period after their federal funding from GEAR 

UP has terminated (i.e., after the performance period end date).

The Department of Education cannot close out a grant award unless it determines that all of the 

required work of the grant has been completed. The final program performance and financial 

status report serves to provide such evidence, and convey the extent to which a grant recipient (a) 

achieved the overall goals of the GEAR UP grant program; (b) implemented the proposed (as 

indicated in the approved proposal or subsequent work plan) services/activities, met the project’s 

supporting objectives, and reported information that demonstrates successful achievement of 

expected grant project outcomes; and (c) with respect to fiscal operations, expended all of the 

federal funds obligated, and contributed the proposed in-kind and financial resources (costshare/matching) over the life of the grant.

It is critical for GEAR UP grantees to submit their Final Reports in a timely manner so that the 

Department can determine if a grant project is ready to be closed in “good standing” or needs to 

remain open for further departmental post award action. If the grant recipient’s report has not 

been received or the information in the report does not demonstrate successful achievement of 

expected outcomes, an ED staff person must follow up with the particular recipient. It must be 

determined in the follow-up if an oversight occurred, or if the recipient did not meet the grant 

project’s proposed objectives, and/or if the recipient complied with the GEAR UP program 

requirements and reporting responsibilities (once a grant project ends). 

If the recipient doesn’t respond to the ED staff person’s follow up efforts by submitting a final 

report that reflects compliance with the applicable Department regulations and all other terms 

and conditions of the grant award, and/or making substantial progress in achieving the overall 

program goals and project objectives, then the ED official must issue a noncompliance letter to 

the grant recipient.

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;
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

 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 associated with this data collection. This information 

collection will be conducted in a manner consistent with established guidelines.

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.

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.

We will publish the appropriate 60 and 30 day Federal Register Notices to allow for 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 payment or gifts are provided to respondents.
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

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 IC Data Form. A confidentiality statement 

with a legal citation that authorizes the pledge of confidentiality should be provided.2If 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.

Final Report data will not be confidential. The report does not collect data in which individual 

students can be identified.

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.

The questions are not 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 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 item 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.

 

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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)
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

 If this request for approval covers more than one form, provide separate hour 

burden estimates for each form and aggregate the hour burdens in the ROCIS

IC Burden Analysis Table. (The table should at minimum include Respondent 

types, IC activity, Respondent 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 Item 14.

Number of 

Respondents

Frequency of 

Response

Hours of 

Burden

Total Burden 

Hours

125 One time 45 5625

Number of 

Respondents

Frequency of 

Response

Hours of 

Burden

Total Burden 

Hours

Wage Rate Total Cost

125 One time 45 5625 $30/hour $168,750

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 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.
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

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 : $ .00

Total Annual Costs (O&M) : .00

Total Annualized Costs Requested : $ .00

The only costs would be for customary and usual business practices.

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.

Activities/Task Cost Hours Number 

of 

Reports

Total Cost to

Fed. Govt.

Final Report 

Revisions/Form Design 

once every 3 years

$45/hr 40 $1,800

Securing OMB approval 

once every 3 years

$45/hr 40 $1,800

GEAR UP staff reviewing 

Final Reports

$45/hr 4 hrs/FPR 125 $22,500

Technical assistance to 

grantees (pre and post Final 

Report)

$45/hr 4 hrs/FPR 125 $22,500

GEAR UP staff processing 

Final Reports in G5 

$45/hr 30 hours $1,350

Preparing and Issuing 

Notifications of Final 

Closeout to grantees and 

certifying/ authorizing 

representatives

$45/hr 20 hours $900

Totals $50,850
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EDICS Tracking and OMB Number: (04518) 1840-0782 Revised: 01/2014

RIN Number: XXXX-XXXX (if applicable)

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).

According to 34 CFR Part 694, there is a small increase in burden because the Final Performance 

Report now requires grantees awarded in 2011 who requested 7 years of GEAR UP funding to 

report on 7 years instead of 6 years of award activity. The 7th year reporting will describe funds 

spent to follow GEAR UP students into the first year of postsecondary education while also 

reporting on the students to be served who are also still enrolled in a GEAR UP high school. 

However, there is a decrease in the overall hours and costs from the previous OMB clearance 

because the number of respondents decreased by 84. The current burden hour estimate is based 

on 125 respondents.

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 U.S. Department of Education does not plan to publish any information from this 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 U.S. Department of Education will display the expiration date for the OMB approval for this 

data collection.

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

Paperwork Reduction Act.

No exceptions are being requested for this information collection.