Title I, Part A, Grants to LEAs

1

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT RENEWAL FOR

TITLE I, PART A, GRANTS TO LOCAL EDUCATIONAL AGENCIES

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. Title I, Part A (Title I) of the Elementary and Secondary Education Act of 1965 (ESEA), as 

amended by the No Child Left Behind Act of 2001 (NCLB), and its regulations contain several 

existing provisions that require State educational agencies (SEAs), local educational agencies 

(LEAs), and schools to collect and disseminate information. The Paperwork Reduction Act 

(PRA) covers these activities, which are currently approved by OMB under control number 

1810-0581 through July 2015. 

The information collection requirements in the statute and final regulations include: Sections 

1111(h)(1) and 1111(h)(2) of the ESEA; and 34 C.F.R. §§ 200.6, 200.6, 200.11, 200.19, 200.26, 

200.27, 200.29, 200.30, 200.31, 200.33, 200.34, 200.36, 200.37, 200.38, 200.39. 200.41, 200.42, 

200.43, 200.45, 200.46, 200.47, 200.48, 200.49, 200.50, 200.51, 200.52, 200.53, 200.57, 200.61, 

200.63, 200.70, 200.71, 200.72, 200.73, 200.74, 200.75, and 200.91. The relevant paragraphs of 

these regulatory provisions are specified in the table below.

In addition, in 2011 the U.S. Department of Education (ED) invited each SEA to request 

flexibility on behalf of itself, its LEAs, and schools, in order to better focus on improving student 

academic achievement and increasing the quality of instruction (ESEA flexibility). The 

opportunity for SEAs to request ESEA flexibility also included activities covered by the PRA. 

Those information collection activities consisted of the information an SEA must develop and 

submit to ED to request this flexibility, information that an SEA provided in an Accountability

Addendum, and the information an SEA that receives ESEA flexibility must annually report to 

ED (reporting). 

Approvals of SEA ESEA flexibility requests have occurred in several iterations: Window 1, for 

which SEAs submitted requests in November 2011; Window 2, for which SEAs submitted 

requests in February 2012; Window 3, for which SEAs submitted requests in September 2012; 

and Window 4, for which SEAs submitted requests in spring 2013. Generally, ED approved the 

requests of SEAs that requested flexibility in Windows 1 and 2 through the end of the 2013–

2014 school year. ED is now inviting the 35 Window 1 and Window 2 SEAs to request a twoyear extension of the waivers granted through ESEA flexibility, through the end of the 2015—

2016 school year. An SEA that requests an extension of ESEA flexibility must submit an 

updated ESEA flexibility request describing how it will continue to meet the requirements of 

ESEA flexibility. 

The purpose of this submission is to obtain emergency approval for the resubmission activities 

covered by the PRA. These activities include an SEA’s addressing each of the required items 

described in the ESEA flexibility renewal guidance (included in this package), providing 
Title I, Part A, Grants to LEAs

2

narrative responses within its currently approved ESEA flexibility request and attaching any new 

documentation or evidence where appropriate, and submitting the amended request to ED. In 

addition, an SEA must submit a completed ESEA flexibility renewal request form indicating 

where changes have been made in its ESEA flexibility request. The SEA may also choose, but is 

not required, to amend its request to make changes necessary to improve implementation going 

forward or to reflect more accurately implementation activities that have already occurred.

Copies of the relevant ESEA flexibility documents are attached. 

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. SEAs, LEAs, and schools collect and disseminate the information to carry out the abovereferenced reporting requirements of Title I of the ESEA. The information is used to facilitate 

compliance with statutory and regulatory requirements and to provide information to school 

communities (including parents), LEAs, SEAs and ED regarding activities required under Title I 

of the ESEA. With respect to ESEA flexibility, peer reviewers and ED staff evaluated each 

SEA’s flexibility request to inform the Secretary’s determination of whether to approve an 

SEA’s request. Similarly, ED will use the information obtained during the renewal process to 

determine whether to extend an SEA’s ESEA flexibility waivers. 

 

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. The regulations do not require or preclude LEAs and SEAs from using information 

technology to reduce burden. In addition, as was the case with ESEA flexibility requests, ESEA 

flexibility renewal requests may be submitted to ED electronically or in hard copy. In an effort 

to reduce administrative burdens, ED indicates in the ESEA flexibility renewal guidance that 

electronic submission is the strongly preferred method.

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. There is no duplication in the regulations or as a result of ESEA flexibility. 

Q5. If the collection of information impacts small businesses or other small entities (Item 8b of 

IC Data Part 2), describe any methods used to minimize burden.

A5. Small businesses have not been impacted by this data collection nor will the changes impact 

them. The only small entities affected by the regulations are small LEAs. Moreover, because 

SEAs are responsible for ensuring that the LEAs follow the statute and regulations, small LEAs 

will receive instructions and guidance from their SEA on exactly how to implement the 

requirements. This important SEA responsibility helps to minimize the burden on small LEAs. 

Concerning ESEA flexibility, all LEAs that receive Title I, Part A funds, including small LEAs, 
Title I, Part A, Grants to LEAs

3

have the opportunity to benefit from their SEA’s applying for this flexibility. In sum, there is 

minimal burden on individual LEAs. 

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.

A6. If the information collection is not continued, SEAs, LEAs, and schools will not have 

information necessary to carry out the applicable requirements of Title I of the ESEA. 

Moreover, many of the innovations and reforms currently underway in many States and districts 

were not anticipated when NCLB was enacted. While NCLB helped SEAs and LEAs shine a 

bright light on the achievement gap and increased accountability for groups of high-need 

students, it inadvertently encouraged some States to set low academic standards, failed to 

recognize or reward growth in student learning, and did little to elevate the teaching profession 

or recognize the most effective teachers. Instead of fostering progress and accelerating academic 

improvement, many NCLB requirements have unintentionally become barriers to State and local 

implementation of forward-looking reforms designed to raise academic achievement. 

Consequently, many States have petitioned ED for relief from the requirements of current law. 

One of the Secretary’s highest priorities is to help ensure that Federal laws and policies can 

support these reforms and not hinder State and local innovation aimed at increasing the quality of 

instruction and improving student academic achievement.

For these reasons, ED offered each SEA the opportunity to request flexibility on behalf of itself, 

its LEAs, and its schools, in order to better focus on improving student learning and increasing 

the quality of instruction, and is now offering SEAs the opportunity to extend this flexibility. ED 

needs regular clearance of this information collection package to continue this important process.

Q7. Explain any special circumstance 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.
Title I, Part A, Grants to LEAs

4

A7. This collection is consistent with 5 CFR 1320(d)(2).

Q8. 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 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 those 

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 preclude 

consultation in a specific situation. These circumstances should be explained.

A8. ED is providing a public comment period through the emergency notice. In addition, as ED 

will be seeking regular approval of the information collection activities associated with the 

ESEA flexibility extension requests, the public will have the opportunity to comment during the 

60-day period for the regular approval. This information collection is consistent with the 

statutory requirements that govern the waiver of a statutory or regulatory requirement under Title 

I, Part A of the ESEA. 

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

renumeration of contractors or grantees.

A9. Neither the regulations nor ESEA flexibility require gifts or payments to be made to 

respondents. 

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

assurance in statute, regulations, or agency policy.

A10. Neither the regulations nor ESEA flexibility require an assurance of confidentiality.

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. Neither the regulations nor ESEA flexibility require questions of sensitive nature in this 

collection of information.

Q12. Provide estimates of the hour burden of the collection of information. The statement 

should:
Title I, Part A, Grants to LEAs

5

 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 16 of IC Data Part 1

 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. Estimated hour burden for the collection of information. 

The ESEA flexibility renewal process will change ED’s burden hour estimates for this collection 

that was approved in 2012. To estimate the revised burden, ED factored the ESEA flexibility

renewal process for the Window 1 and Window 2 SEAs into the currently approved burden, 

which ED expects to be less burdensome than the initial request process. The estimated burden

is reduced from 4,712,193 hours in the currently approved collection to 4,707,785 hours. At this 

time ED is not proposing to modify any other estimates in this collection, except to account for 

the 40 SEAs that already have approved requests. The following tabular summaries provide 

details on the updated estimated burden for SEAs, LEAs, and schools.
Title I, Part A, Grants to LEAs

6

Burden in Hours and Dollars

Title I Regulations Burden Hours/Cost for SEAs

Citation Description

# of 

respondents

Average # 

of Hours 

per 

Respondent Total Hours

Total Cost 

(Total Hours x 

$30.00)

Section 

1111(h)(1)

Prepare and 

disseminate State 

report card

52 370 19,240 $577,200

200.6(b)(4)(i)(C) Report number of 

recently arrived 

LEP students 

who are not 

assessed on the 

State's 

reading/language 

arts assessment

52 1 52 $1,560

200.6(a)(4) Report number 

and percentage 

of students with 

disabilities taking 

assessments 

described in the 

regulations

52 1 52 $1,560

200.45 SEA must notify 

LEA of its 

decision within 30 

days of receiving 

a request to 

waive the 

supplemental 

service 

requirement

9 10 90 $2,700

200. 47(a)(1) (ii) Annual notice to 

potential 

supplemental 

services 

providers

9 16 144 $4,320

200.47 (a)(3) Maintain updated 

list of approved 

providers

9 100 900 $27,000

200.47(a)(4) Develop, 

implement and 

publicly report on 

standards and 

techniques for 

monitoring the 

quality and 

effectiveness of 

the services 

offered by each 

approved 

provider

9 240 2,160 $64,800
Title I, Part A, Grants to LEAs

7

Title I Regulations Burden Hours/Cost for SEAs

200.57 Revise, as 

appropriate, plan 

to ensure that all 

teachers of core 

academic 

subjects are 

highly qualified.

9 80 720 $21,600

200.11(c) Add NAEP data 

to SEA report 

cards and 

developing tool 

for parents to 

compare NAEP 

and State 

assessment data

52 24 1,248 $37,440

200.19 (b)(1) Beginning with 

report cards 

providing 

assessment 

results for SY 

2010-11, 

calculate the fouryear adjusted 

cohort graduation 

rate, and, if 

option is selected 

by the State, the 

extended-year 

adjusted cohort 

graduation rate

52 286 14,872 $446,160

200.39(c)(2) Post the

information listed 

in §200.39(c)(1) 

for LEAs that do 

not operate their 

own Web site

9 5 45 $1,350

200.47(a)(1)(ii)(B) Posting on the 

SEA’s Web site 

an amount equal 

to 20 percent of 

each LEA’s Part 

A allocation and 

the per-pupil 

amount available 

for SES 

9 2 18 $540

200.47(a)(3)(ii) Indicate on the 

list those 

providers able to 

serve students 

with disabilities or 

limited English 

proficient 

students

9 2 18 $540
Title I, Part A, Grants to LEAs

8

Title I Regulations Burden Hours/Cost for SEAs

200.47(a)(4)(iii) Develop, 

implement and 

publicly report on 

standards and 

techniques for 

monitoring LEAs’ 

implementation of 

the SES 

requirements

9 40 360 $10,800

200.48(d)(3) Review of LEAs' 

records 

9 33 297 $8,910

200.48(d)(4) Review LEA 

request to use 

unexpended 

funds

9 28 252 $7,560

ESEA flexibility Obtain and 

submit LEA 

comments

52 24 1,248 $37,440

ESEA flexibility Develop and 

submit initial 

flexibility request

and respond to 

ED’s questions

about request

12 240 2,880 $86,400

ESEA flexibility Update ESEA 

flexibility request 

and respond to 

ED's questions

during renewal 

process

35 180 6,300 $189,000

ESEA flexibility Submit ESEA 

flexibility renewal 

form

35 16 560 $16,800

ESEA flexibility Amend 

Accountability 

Workbook and 

submit 

amendments to 

approved 

flexibility request, 

as appropriate

52 80 4,160 $124,800
Title I, Part A, Grants to LEAs

9

Title I Regulations Burden Hours/Cost for SEAs

ESEA flexibility Reporting 52 80 4,160 $124,800

Total 59,776 $1,793,280

Title I Regulations Burden Hours/Cost for LEAs

Citation Description

# of 

respondents

Average # of 

Hours per 

Respondent

Total 

Hours

Total Cost (Total 

Hours x $25.00)

Section 1111(h)(2) Prepare and disseminate 

LEA report card

13087 16 209,392 $5,234,800 

200.34, 200.43 Prepare, and make 

arrangements to 

implement, a restructuring 

plan for schools that do not 

meet AYP after one full 

year in corrective action 

179 800 143,200 $3,580,000 

200.36, 200.37, 

200.38 and 200.46

Notify parents when 

schools are identified for 

improvement, corrective 

action, or restructuring; 

publish and disseminate 

information on any action 

taken by the school and 

LEA to address the 

problems that lead to such 

identification.

983 8 7,864 $196,600 

200.52 Develop or revise 

improvement plan if 

identified for improvement.

79 800 63,200 $1,580,000 

200.61(a) Notify parents that they 

can request information 

about the professional 

qualifications of their 

child’s classroom teacher.

13087 10 130,870 $3,271,750 
Title I, Part A, Grants to LEAs

10

Title I Regulations Burden Hours/Cost for LEAs

200.63(c)(1) Maintain records on 

consultation with private 

school officials.

13087 6 78,522 $1,963,050 

200.11(c) Adding NAEP data to LEA 

report cards

13628 24 327,072 $8,176,800 

200.19(b)(1)(ii)(B)(1) Documentation that a 

student has transferred out 

– that the student has 

enrolled in another school 

or other educational 

program that culminates in 

the award of a regular high 

school diploma 

13628 50 681,400 $17,035,000 

200.37(b)(5)(ii)(C) Providing notice to parents 

that their children are 

eligible for SES and 

describing the benefits of 

SES

379 12 4,548 $113,700 

200.39(c)(1) Provide information on 

public school choice and 

SES

983 25 24,575 $614,375 

200.48(d)(3) Maintain records that the 

criteria are met and meet 

requirements for informing 

SEA

737 12 8,844 $221,100 

200.48(d)(4) Apply to SEA to use 

unexpended funds

28 12 336 $8,400 

Total 1,679,823 $41,995,575

Title I Regulations Burden Hours/Cost for Schools

Citation Description # of respondents

Average # of Hours 

per Respondent Total Hours

Total Cost 

(Total Hours x 

$25.00)

200.26, 

200.27

Conduct needs 

assessment/Develop 

comprehensive schoolwide 

plan

680 1,000 544,000 $13,600,000

200.29(d)(2) Maintain records 

demonstrating that it 

addresses the intents and 

purposes of each Federal 

program included.

37,039 6 177,786 $4,444,650
Title I, Part A, Grants to LEAs

11

Title I Regulations Burden Hours/Cost for Schools

200.39, 

200.41, 

200.42/ESEA 

flexibility, as 

appropriate

Newly identified schools 

develop school 

improvement plan; or, as 

appropriate, focus and 

priority schools not 

previously identified for 

improvement under section 

1116 of ESEA plan for 

interventions consistent 

with ESEA flexibility.

2,340 960 2,246,400 $56,160,000

Total 2,968,186 $74,204,650
Title I, Part A, Grants to LEAs

12

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 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 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.

A13. Not applicable. 

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. Estimated annualized Federal cost: 

 The cost to the Federal government would be to review selected data related to Title I that 

each State submits to EDFacts.

Two people, GS-13, four hours, X 52 SEAs = 416 hours X 34.34 per hour=$14,285.

 For ESEA flexibility, there are costs for peer reviewers and ED staff to review State 
Title I, Part A, Grants to LEAs

13

requests for this flexibility and for ED staff to review reported data on the 

implementation of these waivers and key principles. We estimate a cost of $1.2 million

for those activities.

Total cost = $1,214,285
Title I, Part A, Grants to LEAs

14

 

Q15. Explain the reasons for any program changes or adjustments to #16f of the IC Data Part 1 

Form.

A15. This is a program change, with a reduction in burden hours. The change in burden hours is 

due primarily to the upcoming ESEA flexibility renewal process. 

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. The collection of information does not require publication of the information or use of 

complex analytical techniques. The needs assessment and service delivery plan need to be 

implemented at least once during the current period of authorization for ESEA. The program 

evaluation needs to be implemented biennially during the current period of authorization for 

ESEA. 

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. No request is being made to not display the expiration date for OMB approval of the 

information collection. 

Q18. Explain each exception to the certification statement identified in the Certification of 

Paperwork Reduction Act.

A18. There were no proposed exceptions to the certifications.

B. Collections of Information Employing Statistical Methods

The regulations do not require that statistical methodology be employed.