State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 1

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION 

State Lead Agency Record Keeping and Reporting Requirements under Part C of the 

Individuals with Disabilities Education Act (IDEA)

A. Justification

Q1. Explain the circumstances that make the collection 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.

A1. OMB Information Collection 1820-0682 has been created to reflect the requirements in Part 

C of the IDEA in 20 U.S.C.1431-1443 and the final Part C regulations. These regulations

require the 56 State lead agencies (LAs) that receive Part C funds to collect and maintain 

information or data and, in some cases, report information or data to other public agencies or 

to the public. These record-keeping requirements are not new and do not require reporting 

to the Secretary. The following table describes the information under Part C to be collected 

or maintained and identifies the legal requirement for each collection. These required listed 

collections are consolidated into 1820-0682.

Required Collection Statutory Authority Regulatory Authority

Free and low-cost legal services. Each 

LA that adopts Part B due process 

procedures for Part C must inform the 

parent of any free or low-cost legal and 

other relevant services available in the 

area if the parent requests the 

information or the parent or EIS 

provider files a due process complaint 

under §303.440.

20 U.S.C. 1439(a) §303.430(d)(2)

§303.440(b)

List of mediators. Each LA must 

maintain a list of individuals who are 

qualified mediators and knowledgeable 

in laws and regulations relating to the 

provision of early intervention services. 

20 U.S.C. 

1415(e)(2)(C) and 

1439(a)(8)

§303.431(b)(2)(i)

List of hearing officers. Each LA that 

adopts Part B due process procedures 

for Part C must maintain a list of 

persons who serve as hearing officers, 

along with a statement of the 

qualifications of each of the persons.

20 U.S.C. 1439(a) §§303.430(d)(2); 

303.443(c)(3)

State complaint procedures. Each LA 

must adopt written procedures for 

20 U.S.C. 1439(a); 20 §§303.430(c); 303.432 
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 2

Required Collection Statutory Authority Regulatory Authority

receiving and resolving complaints filed 

by any party that alleges that the LA or 

an EIS provider has violated a

requirement of Part C of the Act or of 

the regulations in Part 303.

U.S.C. 1435(a)(10) through 303.434

Written notification for the use of public 

benefits or insurance.

Notification

Each of the 56 State LAs must develop 

a written notification. It takes an 

average of about 10 hours to draft the 

notice.

20 U.S.C. 1432(4)(B), 

1435(a)(10)(B), 

1439(a)(2), and 1440.

§303.520(a)

Q2. 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.

A2. These records are used by Part C Stat Lead Agencies ensure that all Part C information 

responsibilities and processes are documented an conducted in a manner consistent with the 

requirement of IDEA Part C.

Q3. 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 of using 

information technology to reduce burden.

A3. State lead agencies are encouraged to use computer technology when feasible and cost 

effective. We estimate that approximately 70% of the information gathered through this 

collection will be collected electronically. There are no technical or legal obstacles to 

reducing the burden to State lead agencies.

Q4. Describe efforts to identify duplication. Show specifically why any similar information 

already available cannot be used or modified for use of the purposes described in Item 2 

above.

A4. Duplication of this collection does not exist.

Q5. 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.

A5. This collection does not involve small businesses or entities.

Q6. 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.
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 3

A6. If the information collection under these final regulations is not conducted, State lead 

agencies will not have information necessary to carry out the requirements of the law.

Q7. 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 that 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 which 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.

A7. This section is not applicable. No data or information is submitted to the U.S. Department 

of Education. Information collection methods and timing is at the discretion of the State 

lead agencies.

Q8. If applicable, provide a copy and identify the date and page number of the Federal Register 

notice under 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.

A8. Information Collection 1820-0682 was placed in the Federal Register for a 60-and 30-day

FRN comment period. 

Q9. Explain any decision to provide any payment or gift to respondents, other than remuneration

of contractors or grantees.
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 4

A9. This item is not applicable. There is no assurance. There was no decision to provide any 

payment or gift to respondents.

Q10. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulations, or agency policy.

A10. This section is not applicable. There is no assurance of confidentiality provided to 

respondents.

Q11. 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. This 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.

A11. There are no questions of a sensitive nature.

Q12. Provide estimates of the hour burden of 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 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 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 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.

A12.

Collection Respondents, 

Frequency, 

Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate 

Total Cost

Free and low-cost legal 

services. 

Reporting

Each Part C LA in FFY 2006 

received an average of 

approximately XX complaints. 

45 State due 

process complaints

x .5 (hrs.)

22.5 22.5 x $22 $495
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 5

Collection Respondents, 

Frequency, 

Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate 

Total Cost

In FFY 2005, 15 LAs or 27% 

of States adopted Part B due 

process procedures for Part C 

and thus would have had to 

provide parents with this list of 

free and low cost services. The 

data burden is expected to 

require an average of 30 

minutes per hearing request to

inform parents of the 

availability of low-cost legal 

services.

List of mediators. 

Reporting

There are 56 State- level record 

keepers who must maintain a 

list of mediators. It is 

estimated to take 

approximately three hours 

annually for record keepers to 

update and maintain the lists. 

56 State LA record 

keepers x 3 (hrs) 

168 168 x $22 $3,696

List of hearing officers. 

Reporting

Approximately 15 States have 

adopted Part B due process 

procedures for Part C. The 

LAs in these States must 

maintain a list of individuals 

who serve as hearing officers, 

along with the qualifications of 

each of the individuals. It is 

estimated to take 

approximately three hours 

annually for record keepers to 

update and maintain the lists.

15 State LA record 

keepers x 3 (hrs)

45 45 x $22 $990
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 6

Collection Respondents, 

Frequency, 

Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate 

Total Cost

State complaint procedures. 

Reporting, Record keeping, 

third party disclosure

Each of the 56 State LAs 

process, on average, 3 

complaints annually. It takes 

an average of about 24 hours 

for a State LA to issue a 

written decision to a complaint.

56 LA respondents 

x 3 complaints = 

168 x 24 hrs.

4032 4032 x $22 $88,704

Written notification for the use 

of public benefits or insurance.

Notification

Each of the 56 State LAs must

develop a written notification. 

It takes an average of about 10 

hours to draft the notice.

56 LA respondents 

x 10 (hrs)

560 560 x $38 $21,280

TOTAL BURDEN 4,827.5 $115,165

Q13. 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 system and technology acquisition, expected useful life of capital equipment, 

the discount rates(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 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 
State and EIS Record Keeping and Reporting Requirements under Part C

OMB No. 1820-0682 Page 7

(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.

A13. It is not likely that a public agency will incur costs other than those described in item 12 

above.

Q14. 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.

A14. There is no cost to the Federal government.

Q15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of 

the OMB Form 83-I. 

A15. The change burden change is a result of new collections of information contained in the final 

rule for IDEA part C.

Q16. 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.

A16. No complex analytical techniques will be used.

Q17. If seeking approval to not display the expiration date for OMB approval of the information 

collection, explain the reasons that display would be inappropriate.

A17. This section is not applicable, since this is a recordkeeping requirement. There is no request 

to not display the expiration data for OMB approval.

Q18. Explain each exception to the certification statement identified in Item 19, “Certification for 

Paperwork Reduction Act Submissions,” of OMB Form 83-I.

A18. This section is not applicable. There are no exceptions to item 19 of the “Certification for 

Paperwork Reduction Act Submissions.”

B. Collections of Information Employing Statistical Methods

This collection does not employ statistical methods.