1

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised 12/2/2013

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.

Title 34 of the Code of Federal Regulations part 462 establishes procedures the Secretary uses 

when considering the suitability of tests for use in the National Reporting System (NRS) for 

adult education. The regulations1further the Department's implementation of section 212 of the 

Adult Education and Family Literacy Act (AEFLA), which establishes “a comprehensive 

performance accountability system . . . to assess the effectiveness of eligible agencies in 

achieving continuous improvement of adult education and literacy activities funded under this 

title...” 20 U.S.C. section 9212(a). These regulations also include procedures that States and 

local eligible providers would follow when using suitable tests.

The regulations: a) describe the Department’s review process for identifying tests suitable for 

identifying educational functioning levels and measuring educational gain (§§462.10 and 

462.12); (b) delineate the information test publishers would include in an application requesting 

the Secretary to determine the suitability of such tests (§462.11); (c) identify the criteria and 

specific information the Department would use to determine the suitability of tests (§462.13); (d) 

offer test publishers an annual opportunity to submit for review additional tests as long as an 

application for review is filed with the Department by October 1 of each year (§462.10); and, (e) 

establish a seven-year period during which a test determined as suitable, unless substantially

changed by the publisher, would remain suitable (§462.14). 

The AEFLA makes accountability for results a central focus of the law. It sets out performance 

accountability requirements for States and local programs that measure program effectiveness on 

the basis of student academic achievement and other outcomes. In order to help States to validly

 

1 These regulations can be found at the following link: http://www.gpo.gov/fdsys/granule/CFR2011-title34-vol3/CFR-2011-title34-vol3-part462/content-detail.html
2

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

demonstrate and accurately report their annual improvements in literacy skill levels and other 

core indicators of performance, the Department established--after extensive consultation with 

State directors of adult education, representatives from volunteer provider agencies, directors of 

local adult education programs, and experts on accountability systems--a National Reporting 

System for Adult Education. The NRS standardizes the measurement of the core indicators 

across States and establishes procedures for collecting and reporting student outcome data to 

enhance its validity and reliability. 

The AEFLA establishes three core indicators that must be used to assess State performance:

• Demonstrated improvement in the literacy skill levels in reading, writing and 

speaking English, numeracy, problem-solving, English language acquisition, and 

other literacy skills (educational gain);

• Placement in, retention in, or completion of postsecondary education, training, 

unsubsidized employment, or career advancement; and

• Receipt of a secondary school diploma or a recognized equivalent. 

Educational gain, the key outcome measure in the NRS, describes students’ improvement in 

literacy skills during instruction. States are required to have their local programs assess gain by

administering standardized pre-post assessments to students, following valid administration 

procedures (e.g., use an appropriate assessment, use different forms of the test for pre- and posttesting). The NRS Guidelines allows states to select the assessments most appropriate for their 

state, which may be published standardized tests or performance-based assessments. If the state 

uses performance-based assessments, NRS guidelines require the assessment to have 

standardized procedures and scoring rubrics that meet accepted psychometric standards.

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 information collected will be used by the Secretary to determine the suitability of 

assessments submitted by test publishers for measuring educational gain. The suitability of the 

assessment will be determined by evaluating the information submitted by publishers against the 

published review criteria of 34 CFR 462. Only assessments determined suitable by the Secretary

can be used by state and local adult education programs funded under AEFLA to measure and 

report educational gain under the NRS. To data this information has been used by the 

Department to review tests submitted by publishers to determine the suitability of each test to 

measure and report adult learner’s educational gain under the National Reporting System for 

adult education. 

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.

Test publishers submit their applications by mail or in person.
3

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

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 to be collected by the Secretary is not available from any other source 

and the collection of information will not duplicate any existing collection efforts.

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.

The information collected will not impact 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.

Accountability for performance is a cornerstone of AEFLA. In establishing a 

performance accountability system for adult education, Congress wanted not only to 

assess the effectiveness of State performance in measuring educational outcomes but also 

to help States continuously improve their performance and to optimize the return on the 

investment of Federal funds. Educational gain is the cornerstone performance measure 

for the federally funded adult education program. To provide standardized and 

comparable performance data within and among State and local programs, the 

assessments being used must validly and reliably measure the content areas of interest 

and report those gains using the standard definition of educational gain contained in the 

NRS.

Without identifying suitable tests, the Department cannot assure the validity and 

reliability of the data being reported on the key performance indicator of educational gain 

and any standardization and comparability of this measure is lost. Additionally, states are 

required to use the educational gain measure along with the other core performance 

measures to evaluate the effectiveness of their local programs and use those evaluations 

to make funding decisions. Without valid and reliable assessments to measure 

educational gain, states must make funding decisions based on unreliable data on how 

well local programs are performing on the educational gain measure.

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;
4

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

 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.

Test publisher applications may include proprietary information. The agency has procedures in 

place to protect the confidentiality of this information.

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.

The Department published a 60-and-30-day public comment period in the Federal 

Register. 

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

remuneration of contractors or grantees with meaningful justification.

There are no payments or gifts to respondents.
5

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

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.

The Department will assure that proprietary information submitted by a publisher in the 

process of complying with information collection will not be shared or published outside 

the review process. No personally identifiable information (PII) is being collected.

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.

There are no questions of a sensitive nature in this application.

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.

The number of test publishers that may want to expand their markets in the field of 

adult education, it is anticipated that fewer tests will be submitted in the 2014 – 2016 
6

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

period than were submitted in prior three-year periods. This is because many existing 

vendors have already received agency approval for use of their assessments until 

2017. These vendors will not need to submit new applications during the 2014-2016 

period. While thirteen tests were submitted for review during the first review period 

conducted by the Secretary, we anticipate that 5 tests per year will submitted for 

review during the 2014-2016 period. Therefore we estimate the total annual reporting 

burden for this collection to be 200 hours (5 responses x 40 hours per response).

Program 

Year

Estimated 

Number of 

Responses

Type of Staff Estimated 

Number of 

Burden House 

Per Response

Total Annual 

Estimated 

Number of 

Burden Hours

2014 5 Professional

Clerical

TOTAL

30

10

40 

150

50

2015 5 Professional

Clerical

TOTAL

30

10

40 

150

50

2016 5 Professional

Clerical

TOTAL

30

10

40

150

50

TOTAL

Burden

15 600

 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.
7

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

The estimated annual cost to compile and organize this information is estimated at 

$10,000 for the initial application (150 professional hours @ $60 hr = $9,000 plus 50 

clerical hours @ $20 hr = $1,000.)

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 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: 0

Total Annual Costs (O&M): 0

Total Annualized Costs Requested: 0

The total for the capital and start-up cost components for this information collection is zero. 

This information collection will not require the purchase of any capital equipment nor create any 

startup costs. The information requested is routinely generated by publishers to meet the 

professional standards for assessment development and are therefore a part of their normal 

business costs. The cost of subsequent collections will vary based on the number of publishers 

submitting test information.
8

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

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 

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

Year Total Cost

2014 $134,000

2015 $134,000

2016 $134,000

The cost estimate reflected in the table above is based on the cost estimate for the contractor 

support through which experts review the applications submitted by publishers to determine their 

suitability for use in the NRS accountability program. This is the primary cost to the Federal 

government associated with this data collection.

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).

There are no program changes or adjustments to this data collection. 

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. 

The information collected will not be published. It is to be used for an internal review to 

determine the suitability of assessments developed by publishers to measure educational 

gain under the requirements of the authorizing legislation (AEFLA).

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.

In September of each year, the agency intends to publish a notice inviting publishers to 

submit applications to have their assessments reviewed to determine their suitability for 
9

[ICR No. 1238.05] 1830-0567 - Measuring Educational Gain in the National Reporting 

System for Adult Education Revised: 12/2/2013

use in the NRS. The agency, with the assistance of a panel of experts, intends to review 

all applications in the months following their submission. The agency intends to publish 

a notice announcing each assessment that has been approved for use in the summer or fall 

of the year following the publication of the notice inviting publishers to submit their 

applications.

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

information collection, explain the reasons that display would be inappropriate.

OVAE is not seeking exemption.

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

of Paperwork Reduction Act.