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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

Notice: Recommendations by the Office of the General Counsel and the Office of the Inspector General resulted in 

changing references from “Food Stamps” to Supplemental Nutrition Assistance Program (SNAP) and making the 

certification statements consistent in the FAFSA and SAR. The changes were intended to provide clarification and do 

not affect burden in any way.

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.

Public Law 89-329, Sections 401-495, the Higher Education Act of 1965, as amended (HEA), mandates that the 

Secretary of Education “...shall produce, distribute, and process free of charge common financial reporting forms as 

described in this subsection to be used for application and reapplication to determine the need and eligibility of a 

student for financial assistance...”. 

The determination of need and eligibility are for the following Title IV, HEA, federal student financial assistance 

programs: the Federal Pell Grant Program; the Campus-Based programs (Federal Supplemental Educational 

Opportunity Grant (FSEOG), Federal Work-Study (FWS), and the Federal Perkins Loan Program); the William D. 

Ford Federal Direct Loan Program; the Teacher Education Assistance for College and Higher Education (TEACH) 

Grant; and the Iraq and Afghanistan Service Grant.

Federal Student Aid, an office of the U.S. Department of Education (hereafter “the Department”), subsequently 

developed an application process to collect and process the data necessary to determine a student’s eligibility to 

receive Title IV, HEA program assistance. The application process involves an applicant’s submission of the Free 

Application for Federal Student Aid (FAFSA). After submission and processing of the FAFSA, an applicant receives a 

Student Aid Report (SAR), which is a summary of the processed data they submitted on the FAFSA. The applicant 

reviews the SAR, and, if necessary, will make corrections or updates to their submitted FAFSA data. 

The specific questions that applicants are asked to answer in the application process are described separately in the 

Data Elements Justification document. The document lists all the data elements and explains the purpose and use of 

each in the application. In addition to calculation of financial need for the various Title IV programs, the FAFSA also 

collects data that allows for a determination of a student’s eligibility for state and school financial aid programs. If 

these data elements were not collected, the Department would be unable to make a determination of financial need 

and subsequently would be unable to award any Title IV, HEA program assistance, as mandated by the HEA. A 

majority of states would also be greatly hindered in their calculation of state aid to students. 

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 purpose of the application is to collect personal and financial data from current or prospective students in order 

to perform a need analysis as described in Part F of the HEA. The application is available in both English and 

Spanish and the main options for completing a FAFSA include (more specific application options are described in 

Question 12):

 

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Please limit pasted text to no longer than 3 paragraphs.
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

1) FAFSA on the Web (FOTW) submissions – Applicants can complete the online version of the FAFSA which 

offers a customized experience; 

2) Financial Aid Administrator submissions – On behalf of the applicant, this option describes the electronic 

submission of a FAFSA by a designated third party (e.g., the Department’s FAA Access system or a 

postsecondary institution’s mainframe computer); 

3) Paper submissions – Applicants can complete and submit the paper version or the PDF version of the FAFSA; 

these versions must be mailed to the Department for processing; or

As required by Section 483 of the HEA, for students that have previously submitted a FAFSA, there is a Renewal 

FAFSA that retains certain static data and the applicant only needs to update information that has changed since the 

previous FAFSA submission. The Renewal FAFSA is offered within FOTW and to applicants who submit with the 

assistance of a financial aid administrator.

The information an applicant is required to provide on the FAFSA varies based upon the need analysis formula that is 

being utilized. There are three need analysis formulas, the first is for dependent students (this formula also requires 

parental data), the second is for independent students without dependents other than a spouse, and the third formula 

is for independent students with dependents other than a spouse. 

After the application is completed, the student submits the form to the Department and the data is processed by the 

Department’s Central Processing System (CPS). The need analysis results in an expected family contribution (EFC), 

which is an index used by postsecondary educational institutions when determining the types and amounts of both 

federal and non-federal financial aid students will receive. The EFC is calculated in accordance with the statutory 

formula in Part F of the HEA and is intended to indicate a student’s ability (and for dependent applicants, his or her 

family's ability) to contribute toward the student's cost of attending a postsecondary educational institution. The 

following components are considered in the need analysis formula to determine the EFC:

1) The available income of (A) the independent student and (if married) the independent student's spouse, or 

(B) the dependent student and the dependent student's parents; 

2) The number of dependents in the family of the student;

3) The number of dependents in the family of the student (excluding the parents) who are enrolled or accepted 

for enrollment, on at least a half-time basis, in a degree, certificate, or other program leading to a 

recognized educational credential at an institution of higher education that is an eligible institution in 

accordance with the provisions of Section 102 of the HEA and for whom the family may reasonably be 

expected to contribute to their postsecondary education;

4) The net assets of (A) the independent student and (if married) the independent student’s spouse, or (B) the 

dependent student and the dependent student's parents;

5) The marital status of the student;

6) The age of the older parent, in the case of a dependent student; and 

7) Any additional expenses incurred (A) in the case of a dependent student, when both parents of the student 

are employed or when the family is headed by a single parent who is employed, or (B) in the case of an 

independent student, when the student is married and the student's spouse is employed or when the 

employed student qualifies as a surviving spouse or as a head of household under Title 26, Subtitle A, 

Chapter 1, Subchapter A, Part I, Section 2 of the Internal Revenue Code of 1986.

The need analysis formula used to determine an EFC changes in order to simplify the application for families who 

meet specific conditions. The HEA specifies a Simplified Needs Test (SNT) for calculating the EFC for families who 

meet the requirements of Section 479 of the HEA. The SNT applies to families who have adjusted gross incomes less 

than $50,000 per year, and who meet at least one of the following eligibility requirements:

1) As defined in Section 479(b)(1) of the HEA, have filed or are eligible to file a form 1040A or 1040EZ; or 

2) The independent student, independent student’s spouse, or the dependent student's parent(s) received 

benefits in the last 24 months from any of the following federal means-tested benefit programs: 

Supplemental Security Income (SSI), Supplemental Nutrition Assistance Program (SNAP) (formerly the Food 

Stamp Program), Free or Reduced Price Lunch, Temporary Assistance for Needy Families (TANF), and 

Special Supplemental Nutrition Program for Women, Infants, and Children (WIC); or

3) The independent student, independent student’s spouse, or the dependent student's parent(s) is a dislocated 

worker.

All assets are excluded from consideration when calculating the EFC for families who meet the SNT requirements 

resulting in a Simplified Needs Analysis that utilizes the following six components:
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

1) Adjusted gross income;

2) Federal taxes paid;

3) Untaxed income and benefits;

4) The number of family members; 

5) The number of family members (excluding the parents) in postsecondary education; and

6) An allowance (A) for federal and other taxes, as defined in Section 475(c)(2) of the HEA for parents and 

dependent students and in Section 477(b)(2) of the HEA for independent students with dependents, or (B) for 

federal and local income taxes, as defined in Section 476(b)(2) of the HEA for independent students without 

dependents.

In addition to the Simplified Needs Analysis, there is another circumstance where the need analysis formula to 

determine an EFC is modified. Section 479(c) of the HEA further simplifies the application by establishing an 

Automatic Zero (Auto Zero) formula permitting the automatic determination of an EFC of zero for families within a 

certain income threshold, and who file or are eligible to file the Internal Revenue Service (IRS) forms 1040A or

1040EZ or who received benefits from one of the federal means-tested benefit programs described above, or for 

those who meet the dislocated worker criteria. The College Cost Reduction and Access Act of 2007 (P.L. 110-84)

indexed the income threshold to be updated annually according to increases in the Consumer Price Index (CPI). For 

the 2013-2014 application cycle the income threshold will be $24,000 for the Auto Zero formula.

The Auto Zero formula excludes other income and all assets for the purpose of calculating an EFC. Independent 

students with no dependents other than a spouse are not eligible to receive an automatic zero EFC determination.

Once the CPS processes the applicant’s data using the appropriate need analysis formula, the Department sends an 

Institutional Student Information Record (ISIR) electronically to the postsecondary institutions the applicant listed on the 

FAFSA. An ISIR is also sent to the State grant agencies (based on the applicant’s state of legal residence), as well as 

the states where the institutions the applicant listed on his or her FAFSA are located.

The Department notifies the applicant by sending a Student Aid Report (SAR) in the language the applicant used to 

submit the FAFSA. Similar to the ISIR, the SAR will contain the results of the processed application, including the 

student’s EFC, a transcript of the information that the student originally reported on the FAFSA, and other relevant 

information (e.g., the applicant’s financial aid history from the Department’s National Student Loan Data System 

(NSLDS)). There are three versions of the SAR that an applicant may receive; a paper SAR, a paper SAR 

Acknowledgment, or an eSAR. 

1) The paper SAR is a full summary that is mailed to applicants who filed a paper FAFSA and who did not 

provide an e-mail address. A paper SAR is also mailed to applicants whose records were rejected due to 

critical errors during processing.

2) The SAR Acknowledgment is a condensed paper SAR that is mailed to applicants who applied electronically,

but did not provide an e-mail address and do not meet the criteria for a full SAR. 

3) The eSAR is an online version of the SAR that is available on FOTW to all applicants with a PIN. 

Notifications for the eSAR are sent to students who applied electronically or by paper and provided an email address. These notifications are sent by e-mail and include a secure hyperlink that takes the user to 

the FOTW site.

Applicants are expected to review the information on their SAR and, if necessary, correct errors in the reported 

information, verify the responses if so requested, and supply any missing information. Specifically, there are several 

ways that an applicant can correct, update or provide additional information:

1) FOTW – Any applicant who has a Federal Student Aid PIN (FSA PIN) – regardless of how they originally 

applied – may correct any of the data on the FAFSA, except the applicant’s Social Security Number (SSN), 

by using the corrections functionality on the FOTW site.

2) Paper SAR – Applicants who receive or request a paper SAR can make hand-written corrections or additions 

directly on the paper SAR and mail it back to the Department. Corrections to the applicant’s SSN can be 

made using the paper SAR. Note that although the paper SAR can be used to make changes, the SAR 

Acknowledgment and the eSAR cannot be used for corrections.

3) FAA Access - With the applicant’s permission, an institution can use FAA Access to correct the FAFSA.

4) Electronic Other – With the applicant’s permission, corrections can be made via the postsecondary 

institution’s third-party servicer, a postsecondary institution’s mainframe computer, or a postsecondary 

institution’s proprietary software for the student. 
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

5) Federal Student Aid Information Center (FSAIC) – FSAIC has the ability to assist applicants with a limited 

amount of changes. Any applicant, who has their Data Release Number (DRN), can make changes to the 

postsecondary institutions listed on their FAFSA or change their address by calling FSAIC.

An applicant who corrects and/or updates (as defined in 34 CFR 668.55) their FAFSA resubmits the information to 

the Department. The Department, in turn, processes the changed information and sends the applicant a revised SAR. 

For most applicants the application process is now concluded, as the Department has processed the most accurate and 

complete information for use in the need analysis formula and the postsecondary institution is able to determine 

eligibility and award aid.

Regulations, however, established a verification process (as defined in 34 CFR 668, Subpart E) that requires some 

applicants to provide documentation to the postsecondary institution to confirm the information reported on the 

FAFSA. These procedures “...govern[s] the verification by institutions of information submitted by applicants for 

student financial assistance in connection with the calculation of their expected family contributions (EFC).” 

Applications are selected for verification either by the CPS or by the postsecondary institution. A postsecondary 

institution must verify all applications the CPS selects for verification. For students selected for verification, they must 

complete the verification process with the postsecondary institution, and then the postsecondary institution can award 

aid once any final changes are submitted to the CPS for processing. 

In conclusion, the above narrative provides an overview of the application process that exists to determine an 

applicant’s eligibility for Title IV, HEA program assistance. Since Title IV, HEA funds should only be awarded to 

eligible students and the amounts awarded should reflect the actual need of the applicant and family, the awarding 

of aid by the financial aid office at the postsecondary institution does not occur until the applicant has completed the 

entire application process – initial submission, review, corrections and/or verification, if necessary. The entire 

application process allows the Department to capture the most complete and accurate information for use in the need 

analysis formula and reduces the possibility that an applicant could receive Title IV, HEA funds they are not eligible 

to receive.

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.

Over time, the Department has made several process improvements that have utilized technology advancements. The 

following describes some components of the application process that have incorporated such advancements.

FAFSA on the Web

Section 483(a)(3) of the HEA mandates that, “The Secretary shall produce, distribute, and process forms in electronic 

format...”. Subsequently, the Department developed FOTW in 1998. FOTW has grown to be the primary entry 

point for tens of millions of students who apply for Federal, State and institutional financial aid. The Department 

endeavors to improve FOTW continually to further simplify the application experience for students and families. The 

following describes the benefits of using FOTW:

 

 Applications submitted through FOTW are processed much faster than the paper or PDF versions of the 

FAFSA.

 Applicants that have previously applied for aid benefit by completing the Renewal FAFSA, which retains 

certain static data. Of the static data elements, only information that has changed since the previous FAFSA 

submission needs to be updated and the new data added.

 Applicants that need to correct or provide missing information can do so easily by returning to FOTW.

 FOTW offers skip-logic and assumption-logic that creates a customized, smart application experience based 

on an applicant’s personal data and previous answers.

 Applicants who use FOTW benefit from web edits that ensure all required fields are completed and all 

data conflicts are resolved prior to application submission, which makes for a reduced application rejection 

rate during processing. (Approximately 13% of paper FAFSAs and 3% of electronic FAFSAs are rejected 

due to errors or other anomalies. These percentages are for non-signature rejects only.)

 FOTW is a safe and secure Web site that uses standard commercial encryption protocols that determine the 

highest encryption level the browser will support. 
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

 In compliance with the Americans with Disabilities Act, FOTW is 508 compliant and accessible to visually 

impaired applicants.

In addition to the stated benefits of using FOTW, improvements made in January 2011 demonstrate a continued 

commitment by the Department to identify opportunities that will assist applicants in the process. In conjunction with a 

technology upgrade, the application site deployed new features including a redesigned homepage and more 

dynamic and personalized navigation. In addition, simplified functionality for users that need to correct or update 

their FAFSA data using FAFSA Corrections was implemented. FOTW also expanded the offering of the IRS Data 

Retrieval Tool to more users by offering the Tool earlier in the application cycle and offering the Tool in FAFSA 

Corrections. The Tool significantly simplifies the completion of the FAFSA for many applicants by allowing the 

applicant and their parents, if parental information is required, to access and transfer directly from the Internal 

Revenue Service (IRS) the IRS tax information required to complete the FAFSA. The Tool saves time and increases the 

accuracy of the data submitted.

In January 2012, further enhancements were made to FOTW and the Tool to continue to simplify the user experience. 

System logic that determines to whom the Tool should display was improved so that applicants and their parents are 

encouraged to use the Tool when eligible, but not offered the Tool otherwise. The Tool display logic is based on the 

likelihood that complete and accurate tax data is available to the applicant. For example, the new logic does not 

enable the Tool for a married applicant filing separately or for an applicant who filed an amended tax return since 

this information would not be adequate to calculate an accurate EFC. The Tool also helps to maximize the re-use of 

information that has already been collected from the public by the IRS. As discussed later in #15, the estimated time 

an applicant spends preparing, completing and submitting the application for 2013-2014 is projected to decrease. 

The Tool saves preparation and completion time and also increases the accuracy of the data submitted.

Messaging was also added to FOTW to explain the intent of the legal guardianship question to applicants who 

indicate they are or were in a legal guardianship situation. Additionally, in an effort to expedite the application 

process, a more robust federal school code search and selection capability was implemented in 2012. Similar 

enhancements were also extended to the high school search function.

FSA PIN

The FSA PIN is a 4-digit number used in combination with a SSN, name, and date of birth for authentication and 

identification purposes, and allows access to an individual’s personal information on Department Web sites, such as 

FOTW. Students and parents can each apply for their own FSA PIN. The FSA PIN can also be used as an electronic 

signature. Since the submission of the FAFSA requires the applicant’s signature and the parent’s signature if the 

applicant is a dependent student and parental information is provided, the FSA PIN facilitates an easier application 

experience, eliminating the need for a paper signature submission. In addition, the FSA PIN can be used each year 

to access the Renewal FAFSA and to access FAFSA data and make corrections or updates.

Customer Service – FSAIC

In addition to the assistance provided by FSAIC when handling inquiries about the financial aid process and questions 

about the application, FSAIC offers technological features that have simplified the application experience for many 

applicants.

 FAFSA on the Phone (FOTP) – FSAIC began offering FOTP as an alternative to filing the FAFSA using FOTW 

or mailing in a paper FAFSA. Students and families can simply call FSAIC and file by phone. This option is 

intended for applicants who have limited or no Internet access and who may be facing pressing deadlines. 

Although it is not a widely utilized service, it provides a valuable service to students who need the 

personalized assistance. 

 Live Help – Live Help is a secure online chat session where applicant questions are answered. FSAIC 

reported 1.46 million Live Help inquiries in 2011. Given the steady growth of this form of communication, 

the Department conducted a usability study of FSAIC’s Live Help capability to evaluate customer usage and 

identify areas for future improvement. Based on the results of that study, the Web chat capability was 

substantially upgraded in 2012. These changes should facilitate use of this inquiry channel and improve the 

applicant experience.

Image and Data Capture (IDC)
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

The Department has maintained the IDC document management system. The system scans images, captures data, and 

sends the data for processing to the CPS. The IDC utilizes optical character recognition (OCR) to electronically 

recognize and capture typed or hand-written data from the paper FAFSA, PDF FAFSA and SAR. Use of this 

technology results in the automation of data entry tasks, thus reducing the processing time for applicants. 

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.

The FAFSA collection requirements do not contain any duplication of data elements. Because legislation requires that 

the FAFSA be completed annually by applicants, returning applicants encounter similar questions in subsequent years. 

To reduce that burden, the Renewal FAFSA is available and reuses much of the data previously submitted. Required 

responses on the Renewal FAFSA are limited to income and asset questions likely to change from year to year.

The review and corrections segment of the application process does not duplicate the process of initial data 

collection. Reviewing and correcting the application is also fundamental to the application experience because it 

creates an opportunity to obtain the most accurate applicant information. 

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.

The collection of eligibility information for the awarding of student aid does not impact small businesses. 

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.

If the application process was not completed and data elements not collected, the Department would be unable to 

make an accurate determination of financial need and subsequently award any Title IV, HEA program assistance, as 

mandated. In addition, the HEA requires annual determination of the applicant’s need for Title IV, HEA program 

assistance. If the data were collected less frequently, the Department would be in violation of the law. Although an 

applicant must reapply and receive a new need analysis for every year that student aid is requested, use of the 

Renewal FAFSA, as described previously, reduces the amount of new data that a student must provide. 

As a part of the annual application process, the corrections component provides an opportunity for the applicant to 

make corrections. The corrections component is crucial in assuring that comprehensive, accurate data is used to 

calculate the applicant’s EFC and overall financial aid eligibility. If the Department were unable to request 

verification or correction of submitted data, the EFC could be calculated using questionable or erroneous data. In 

addition, errors discovered as a result of multiple federal database matches (e.g., SSA, Department of Homeland 

Security (DHS), Veteran Affairs, etc.) could not be corrected. The result would be countless incomplete or inaccurate

FAFSA applications and, potentially, millions of incorrect eligibility determinations resulting in the loss of taxpayer 

dollars by awarding Title IV, HEA program assistance based on erroneous applicant data.

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-inaid, 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;
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

 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.

The application does not invoke special circumstances, as described in the Paperwork Reduction Act submission 

instructions.

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 the 60-day Federal Register notice inviting public comments in Vol. 77, page 48970, on 

August 15, 2012. We received comments from 23 individuals or organizations and have addressed them in a 

separate document entitled FSA Application Comments Tracking Summary.

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 for the completion and/or submission of the application.

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.

The confidentiality of the data collected is discussed in the Routine Uses section of the System of Records Notice for 

the Federal Student Aid Application File (18-11-01), published in 64 FR 30159–30161 (June 4, 1999), as corrected 

by, 64 FR 72407 (December 27, 1999), as corrected by, 65 FR 11294 (March 2, 2000), as corrected by 66 FR 

18758 (April 11, 2001), and as corrected by, 74 FR 68802-68808 (December 29, 2009).

 

2

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: (04899) 1845-0001 Revised: 06/25/2012

A section on privacy, printed on page 10 of the paper FAFSA and linked from the homepage of FOTW, informs the 

student that postsecondary educational institutions and State financial aid agencies to which the student requests his 

or her data be sent will have access to the data, and that the grant agencies in the applicant’s state of legal 

residence will receive certain information even if the student does not provide consent pursuant to section 483(a) of 

the HEA. Privacy Act information is repeated on the paper SAR and accessible at all times from FOTW. In addition, 

agencies such as law enforcement agencies, the Office of Management and Budget (OMB), the Department of Justice 

(DOJ), the Government Accountability Office (GAO), Congress, and other entities have access to the data. No other 

individuals have access to this information without the express written consent of the applicant. 

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.

Except for question 23 (have you been convicted for the possession or sale of illegal drugs for an offense that 

occurred while you were receiving federal student aid) and questions 24 and 25 (what is your parents’ level of 

education), the FAFSA does not contain questions of a sensitive nature beyond those needed to obtain the information 

necessary to complete the need analysis and calculate an EFC. 

Question 23 is used to determine a student’s eligibility for Title IV assistance in accordance with section 484(r) of the 

HEA. Questions 24 and 25 are often used to determine whether an applicant is a first-generation college student 

and may be used by State grant agencies, scholarship programs, institutions, and the TRIO programs, which often 

give special consideration to first-generation college students. 

The FAFSA instructions inform applicants that their response to question 23 may affect their eligibility for Federal 

student aid. Other FAFSA instructions inform applicants that their response to questions 24 and 25 do not affect their 

eligibility for Federal student aid. 

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.

 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.

The estimates included are the result of the Department’s efforts to determine the public’s burden as it relates to the 

application process for Federal student aid. The Applicant Burden Model (ABM), measures applicant burden through 

an assessment of the activities each applicant conducts in conjunction with other applicant characteristics and in terms 

of burden, the average applicant’s experience. Key determinants of the ABM include:

 The total number of applicants that will potentially apply for federal student aid;

 How the applicant chooses to complete and submit the FAFSA (e.g., by paper or electronically via FOTW);
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

 How the applicant chooses to submit any corrections and/or updates (e.g., the paper SAR or electronically 

via FOTW Corrections);

 The type of SAR document the applicant receives (eSAR, SAR acknowledgment, or paper SAR);

 The formula applied to determine the applicant’s EFC (full need analysis formula, Simplified Needs Test or 

Automatic Zero); and

 The average amount of time involved in preparing to complete the application.

The ABM is largely driven by the number of potential applicants for the application cycle. The total application 

projection for 2013-2014 is based upon two factors - estimates of the total enrollment in all degree-granting 

institutions and the percentage change in FAFSA submissions for the last completed or almost completed application 

cycle. The ABM is also based on the application options available to students and parents. The Department accounts 

for each application component based on Web trending tools, survey information, and other Department data 

sources. 

The 2013-2014 application projections are estimated based on one response per FAFSA submitted. The projections 

account for two factors, which include college enrollment projections and FAFSA submission rates for the previously 

completed cycle. The Projections of Education Statistics prepared by the U.S. Department of Education, National 

Center for Education Statistics (NCES), Integrated Postsecondary Education Data System provides estimates of the 

total enrollment in all degree-granting institutions, as shown in Table 1.

Table 1. Enrollment projections for 2013 from NCES Projections of Education Statistics to 2020

[in thousands]

Year Enrollment Projections

2011 20,688

2012 20,727

2013 20,948

2014 21,320

2015 21,651

2016 21,968

2017 22,251

2018 22,546

2019 22,821

2020 23,016

In prior years, the enrollment projections used were based on the “high alternative projections” as calculated by 

NCES. The high alternatives projections were used to account for the difference in the number of students who may 

apply for aid and the number of students who may actually enroll in college. The high alternative projections were 

used in conjunction with the percentage change in FAFSA submissions for the last completed application cycle. 

For 2013-2014, we will modify our approach because NCES no longer provides “high alternative projections” and 

instead provides a general projection of college enrollment, reflected in the values in Table 1. After a review of 

prior year projections, the Department will utilize a fixed 15 percent to calculate a “high alternative” for future 

years, and will use that in conjunction with the percentage change in FAFSA submissions, which for 2011-2012 was 4 

percent. Based on these factors, the Department estimates that 25,053,809 total applicants will submit a FAFSA for 

2013-2014; an increase of 347,945 applicants from the 2012-13 projections.

Once the applicant volume is projected, we determine overall estimated burden and overall cost by examining each 

FAFSA completion method. The completion method reflects how applicants choose to complete and submit the FAFSA, 

and indicates the needs analysis formula the applicant was presented with when they completed the FAFSA. Each 

completion method is assigned an individual burden estimate to reflect the average time an applicant will spend to 

complete and submit a FAFSA and/or correction. For 2013-2014 estimates, we determined that since the 2011-12 

cycle offers more complete data set than the 2012-13 cycle (17 months versus 5 months), usage data from the 2011-

2012 application cycle accurately reflects overall usage of each completion method. It should also be noted that the 

Department determined that recordkeeping would not be documented as a component of the burden estimate. Since 

the Department retains, for the applicant, summaries of the data submitted and a history of their changes, the need 

for an applicant to retain a set of records is optional. 
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

The components that were included in the individual burden estimate include information from Web trending tools 

and user perception data from surveys and this allowed us to estimate the individual burden for each completion 

method. The individual burden estimate includes the following:

1) Preparation – Average time it takes to review instructions and gather the documents necessary to complete 

the FAFSA (e.g., paper FAFSA, copies of W-2 Forms, Student/Spouse and/or Parent’s Federal Income Tax 

Returns, bank statements); 

2) Completion – Average time it takes for data entry (paper or electronic), referencing instructions, or 

accessing on-line help or calling customer service;

3) Submission – Average time it takes to review the Certification Statement, apply signatures, make copies of 

paper forms or print electronic outputs, and if necessary, obtain postage and mail.

As a result, Table 2 details the initial submission behavior (completion method) and provides the total burden for 

submission of the FAFSA; along with associated costs by type of application. Table 3 details the corrections behavior 

by type of corrections submitted and allows us to calculate the burden associated with each correction method; 

associated costs by type of correction are also provided. It is important to highlight the decrease of 695,961 

corrections projected for the 2013-14. Table 4 shows the total number of SARs distributed as a result of the initial 

submission of the FAFSA and any corrections made. This table also identifies the type of SARs distributed and 

provides associated cost for each.

Lastly, Table 5 summarizes the overall total burden and overall total costs for the 2013-2014 Federal Student Aid 

Application. The total estimated burden for the 2013-2014 Federal Student Aid Application is 25,959,853 hours. 

Table 5 also summarizes the annual cost burden to complete the application process, which is $190,224.76. This cost 

is attributed to the individual postage cost of 44 cents that would be required of applicants who choose to submit a 

paper FAFSA (Table 2) or a paper SAR (Table 3).

Table 2. Initial Submission of FAFSA 

Type of Application Filed

Type of 

FAFSA 

Applicant

(Independent 

or Dependent)

Percent

Estimated 

Number of 

Applicants

(Volume)

Estimated 

Individual 

Applicant 

Burden

(Hours)

Estimated 

Individual 

Applicant Cost

(Dollars) 

Total 

Burden 

for All 

Applicants

(Hours)

Total Cost for All 

Applicants 

(Dollars)

FAFSA on the Web (FOTW)

FOTW (IC 1) Overall Usage 43.25%

The online version of the FAFSA 

that offers applicants a

customized experience.

Dependent 40% 4,334,309 1.11 $ - 4,811,083 $ - 

Independent 60% 6,501,463 0.72 $ - 4,681,053 $ - 

Subtotals 10,835,772 9,492,136 $ - 

FOTW - Renewal (IC 2) Overall Usage 40.75%

The online version within FOTW 

for applicants who have 

previously completed the 

FAFSA.

Dependent 44% 4,492,148 0.92 $ - 4,132,776 $ - 

Independent 56% 5,717,279 0.56 $ - 3,201,676 $ - 

Subtotals 10,209,427 7,334,452 $ - 

FOTW - EZ (IC 3) Overall Usage 6.50%

The online version within FOTW 

for applicants who qualify for 

the Simplified Needs Test (SNT) 

or Automatic Zero (Auto Zero) 

needs analysis formulas.

Dependent 31% 504,834 1.03 $ - 519,979 $ - 

Independent 69% 1,123,664 0.68 $ - 764,092 $ - 

Subtotals 1,628,498 1,284,071 $ - 

FOTW - EZ Renewal (IC 4) Overall Usage 6.10%

The online version within FOTW 

for applicants who have 

previously completed the FAFSA 

Dependent 33% 504,333 0.78 $ - 393,380 $ - 

Independent 67% 1,023,949 0.51 $ - 522,214 $ - 
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Type of Application Filed

Type of 

FAFSA 

Applicant

(Independent 

or Dependent)

Percent

Estimated 

Number of 

Applicants

(Volume)

Estimated 

Individual 

Applicant 

Burden

(Hours)

Estimated 

Individual 

Applicant Cost

(Dollars) 

Total 

Burden 

for All 

Applicants

(Hours)

Total Cost for All 

Applicants 

(Dollars)

and who qualify for the 

Simplified Needs Test (SNT) or 

Automatic Zero (Auto Zero) 

needs analysis formulas.

Subtotals 1,528,282 915,594 $ - 

FOTP - FAFSA on the Phone

(IC 5)

Overall Usage 0.008%

FSAIC customer service 

representatives assist applicants 

by filing the FAFSA on their 

behalf through FOTW.

Dependent 21% 395 0.99 $ - 391 $ - 

Independent 79% 1,484 0.64 $ - 950 $ - 

Subtotals 1,879 1,341 $ - 

FOTW - FAFSA on the Phone 

EZ (IC 6)

Overall Usage 0.003%

FSAIC customer service 

representatives assist applicants 

by filing the FAFSA on their 

behalf through FOTW

Dependent 26% 163 0.89 $ - 145 $ - 

Independent 74% 463 0.58 $ - 269 $ - 

Subtotals 626 414 $ - 

School Entry

FAA Access (IC 7) Overall Usage 1%

With the FAFSA filer’s 

permission, an institution can use 

FAA Access to submit the FAFSA

Dependent 23% 34,574 1.36 $ - 47,021 $ - 

Independent 77% 115,749 0.97 $ - 112,277 $ - 

Subtotals 150,323 159,298 $ - 

FAA Access - Renewal (IC 8) Overall Usage 0.40%

With the FAFSA filer’s 

permission, an institution can use 

FAA Access to submit the 

Renewal FAFSA for an 

applicant

Dependent 25% 25,054 1.17 $ - 29,313 $ - 

Independent 75% 75,161 0.81 $ - 60,880 $ - 

Subtotals 100,215 90,193 $ - 

FAA Access - EZ (IC 9) Overall Usage 0.50%

With the FAFSA filer’s 

permission, an institution can use 

FAA Access to submit the 

Renewal FAFSA for an 

applicant

Dependent 34% 42,591 1.28 $ - 54,516 $ - 

Independent 66% 82,678 0.93 $ - 76,891 $ - 

Subtotals 125,269 131,407 $ - 

FAA Access - EZ Renewal (IC 

10)

Overall Usage 0.25%

With the FAFSA filer’s 

permission, an institution can use 

FAA Access to submit the 

Renewal FAFSA for an 

applicant

Dependent 37% 23,175 1.03 $ - 23,870 $ - 

Independent 63% 39,460 0.76 $ - 29,990 $ - 

Subtotals 62,635 53,860 $ - 

Electronic Other (IC 11) Overall Usage 1.25%

"Electronic Other Original" 

refers to the submission of 

FAFSA data using the Electronic 

Data Exchange (EDE) process. 

With the FAFSA filer’s 

permission, a FAFSA can be 

submitted via: a school’s third 

party servicer, a school’s 

mainframe computer, or a 

school’s proprietary software.

Dependent 24% 75,162 1.21 $ - 90,946 $ - 

Independent 76% 238,011 0.87 $ - 207,070 $ - 

Subtotals 313,173 298,016 $ - 

Paper Submissions
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Type of Application Filed

Type of 

FAFSA 

Applicant

(Independent 

or Dependent)

Percent

Estimated 

Number of 

Applicants

(Volume)

Estimated 

Individual 

Applicant 

Burden

(Hours)

Estimated 

Individual 

Applicant Cost

(Dollars) 

Total 

Burden 

for All 

Applicants

(Hours)

Total Cost for All 

Applicants 

(Dollars)

PDF FAFSA or Paper FAFSA

(IC 12)

Overall Usage 0.39%

The paper version of the FAFSA 

printed by the Department and 

provided for applicants who 

are unable to access the 

Internet or the online version of 

the printed FAFSA for 

applicants who can access the 

Internet but are unable to 

complete the form using FOTW.

Dependent 39% 38,107 2.04 $ 0.44 77,738 $ 16,767.08 

Independent 61% 59,603 1.71 $ 0.44 101,921 $ 26,225.32 

Subtotals 97,710 179,659 $ 42,992.40 

Total Applicants (Responses) 25,053,809

Applicant Burden (Hours) 19,940,441

Applicant Cost (Dollars) $42,992.40

Table 3. Correcting Submitted FAFSA Information 

Type of Correction

Type of 

FAFSA 

Respondent 

by Filing 

Option

(Independent 

or 

Dependent)

Percent

Estimated 

Number of 

Corrections 

Received

(Volume)

Estimated 

Individual 

Burden

(Hours)

Estimated 

Individual 

Applicant Cost

(Dollars) 

Total Burden 

for All 

Respondents

(Hours)

Total Cost for 

All 

Applicants 

(Dollars)

FOTW - Corrections (IC 13) Overall Usage 42%

Any applicant who has a 

Federal Student Aid PIN (FSA 

PIN) – regardless of how they 

originally applied – may 

correct using Corrections with 

FOTW.

Dependent 51% 4,504,836 .17 $ - 765,822 $ - 

Independent 49% 4,390,970 0.13 $ - 570,826 $ - 

Electronic Other - Corrections

(IC 14)

Overall Usage 29%

With the applicant's 

permission, corrections can be 

made via: a school’s third 

party servicer, a school’s 

mainframe computer, FAA 

Access or a school’s 

proprietary software.

Dependents & 

Independents

6,149,407 0.17 $ - 1,045,399 $ - 

Paper SAR (IC 15) Overall Usage 2%

Applicants can write 

corrections directly on the 

paper SAR and mail for 

processing.

Dependents & 

Independents

334,619 0.34 $ 0.44 113,770 $147,232.36 

FAA Access - Corrections (IC 

16)

Overall Usage 12%

With the FAFSA filer’s 

permission, an institution can 

use FAA Access to correct the 

FAFSA.

Dependents & 

Independents

2,470,706 0.17 $ - 420,020 $ - 

Internal Department 

Corrections (IC 17)

Overall Usage 14%
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Type of Correction

Type of 

FAFSA 

Respondent 

by Filing 

Option

(Independent 

or 

Dependent)

Percent

Estimated 

Number of 

Corrections 

Received

(Volume)

Estimated 

Individual 

Burden

(Hours)

Estimated 

Individual 

Applicant Cost

(Dollars) 

Total Burden 

for All 

Respondents

(Hours)

Total Cost for 

All 

Applicants 

(Dollars)

The Department will submit an 

applicant's record for systemgenerated corrections. There is 

no burden to the applicants 

under this correction type.

Dependents & 

Independents

2,895,819 0.00 $ - 0 $ - 

FSAIC Corrections (IC 18) Overall Usage 1%

Any applicant, who has their 

Data Release Number (DRN), 

can make changes to the 

postsecondary institutions listed 

on their FAFSA or change their 

address by calling FSAIC.

Dependents & 

Independents

298,842 0.05 $ - 14,942 $ - 

Total Corrections (Responses) 21,045,199

Applicant Burden (Hours) 2,930,779

Applicant Cost (Dollars) $147,232.36

Table 4. Reviewing FAFSA Information – Student Aid Report Distribution

Type of SAR Sent

Type of FAFSA 

Respondent by 

Filing Option

(Independent or 

Dependent)

Documents 

Sent

(Volume)

Estimated 

Individual 

Burden

(Hours)

Estimated 

Individual 

Applicant 

Cost

(Dollars) 

Total Burden 

for All 

Applicants

(Hours)

Total Cost 

for All 

Applicants 

(Dollars)

SAR Electronic (eSAR) (IC 19) Distribution 90%

PDF version of the SAR for 

applicants who applied 

electronically or by paper and 

provided an e-mail address.

Dependents & 

Independents

41,489,108 0.05 $ - 2,074,455 $ - 

SAR Acknowledgment (IC 20) Distribution 5%

Condensed paper SAR that is 

mailed to applicants who applied 

electronically but did not provide 

an e-mail address.

Dependents & 

Independents

2,304,950 0.10 $ - 230,495 $ - 

Paper SAR (IC 15) Distribution 5%

Full paper summary that is mailed 

to applicants who filed a paper 

FAFSA and who did not provide an 

e-mail address and to applicants 

whose records were rejected due 

to critical errors during processing.

Dependents & 

Independents

2,304,950 0.34 $ - 783,683 $ - 

Total SARs Distributed 46,099,008

Applicant Burden (Hours) 3,088,633

Applicant Cost (Dollars) $0.00
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Table 5. Total Burden and Total Costs for 2013-2014 Federal Student Aid Application

Application Process Responses Burden (Hours) Cost (Dollars)

Initial Submission 25,053,809 19,940,441 $42,992.40 

Corrections 21,045,199 2,930,779 $147,232.36 

SAR Review 0 3,088,633 $0.00 

Total Annual Responses 46,099,008

Total Burden for All Applicants 25,959,853

Total Cost for All Applicants $190,224.76 

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 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 Item 12

Total Annualized Capital/Startup Cost : 

Total Annual Costs (O&M) : 

____________________

Total Annualized Costs Requested : 

Other than the costs shown in Items 12 and 14, there is no annual cost burden to respondents or record keepers.

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.

The projected cost to the federal government to produce, process, and distribute the application and related 

application products or materials is $79,733,134. The projections include the costs associated with the Department’s 

CPS and other costs like printing, mailing and customer service. See the following Table for cost details.
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Table 6. Annual Costs

Projected Costs

Category 1 – Front End Business Integration (FEBI) per Applicant Services:

This category is the primary delivery area performed under the FEBI contract under the 

tiered per applicant pricing structure. It consists of system development and 

maintenance of the FEBI Information Technology (IT) products and the primary 

operational programs: Central Processing Systems (CPS) mainframe software and 

systems, develop the paper application and other paper products related to eligibility, 

status reports, ongoing support of existing software and hardware, management of 

volume peaks, cooperation with multiple contractors, Personal Identification Number 

(PIN) database, Managing Printing of CPS mailing, Federal Student Aid Information 

Center (FSAIC), Editorial Services, CPS/ Student Aid Information Gateway (SAIG) Help 

desk & Customer Communications, Image and Data Capture (IDC), E-mail, Print, and 

other Operational Services including Conference Support, Participation Management 

(PM) Operations, Form Support (FAFSA Forms and PM Enrollment Forms,) and Federal 

Student Aid Training.

$74,489,804 

Category 2 - Other FEBI Programs and Products: 

COD Ancillary Services

Printing, mailing, imaging, and storing paper promissory notes.

$2,508,314 

School Products 

Providing schools with the EDExpress suite of software products to participate in 

Electronic Data Exchange

$536,225 

Postage

Mailing SARs and SAR Acknowledgments, PIN mailers and PIN reject letters, Renewal 

Application reminder letters and follow-up letters, subsequent application letters and 

IRS income follow-up notification letters. 

$2,198,791 

Total Projected Annual Cost $79,733,134 

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).

The Department is reporting a net burden reduction of 3,398,000 hours, attributed to both a program change and 

an adjustment.

As stated in Question 3, the program change is the Department’s continued efforts to simplify FOTW, which is utilized 

by the majority of applicants who apply for aid. Simplification of the application is demonstrated by: 1) the 

average completion times for initial submissions and; 2) fewer corrections being made to the application.

The projected average completion time for initial submissions has decreased by 11 minutes for 2013-14. In data 

reported in the 2012-2013 supporting statement, first-time filers using FOTW took approximately 1.30 hours (78 

minutes) to submit an application. The projected average completion time for 2013-2014 is 1.11 hours (67 minutes), 

reducing burden for initial submissions by 11 minutes.

Corrections are also projected to decrease by 695,961 responses for 2013-14. Fewer corrections mean that more 

comprehensive and accurate data was captured in the initial submission of the application.

Updated completion times were calculated for each component and have been used to estimate the burden in Table 

7, excluding the change in the applicant volume. The results demonstrate that the burden for all applicants would 

have decreased by almost -12.8 percent or 3,758,702 hours, if the application volume had remained constant.
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

Table 7. Applicant Burden Change using 2013-2014 Burden Estimates

2012-2013 2013-2014* Change % Change Burden Disposition

*Accounting only for change in applicant burden; does not include change in 

applicants.

Total Applicants 24,705,864 24,705,864 0 0.00%

Total Applicant Burden 29,357,853 25,599,151 -3,758,702 -12.8%

Program Change.

The Department’s simplification 

efforts have caused a decrease in 

burden.

If the Department had not simplified the application process, thus reducing the time required to complete the FAFSA,

the new burden estimates would only need to account for the change in applicants. The increase in applicants 

expected would result in an increase in burden of approximately 360,702 hours. Table 8 reflects the adjustment to 

the overall burden caused by the change in applicants, while excluding the change in applicant burden.

Table 8. Applicant Burden Change using 2013-2014 Applicant Volume

2012-2013 2013-2014* Change % Change Burden Disposition

*Accounting for change in applicants; does not include change in applicant burden.

Total Applicants 24,705,864 25,053,809 +347,945 +1.41%

Total Applicant Burden 29,357,853 25,959,853 -3,398,000 -11.6%

Adjustment.

The increase in applicants accounts 

for an increase in burden.

Accounting for both the increase in total applicants and the decrease in individual applicant burden, the net change is

an overall decrease of almost 12 percent or 3,398,000 hours. Table 9 shows the net burden change and total cost 

for applicants. The change in total annual responses is also listed in the Table. Total annual responses include the 

original FAFSA submission and corrections.

Table 9. Net Burden Change

2012-2013 2013-2014 Change % Change Burden Disposition

Accounting for change in applicant burden and change in applicants.

Total Applicants 24,705,864 25,053,809 +347,945 +1.41%

Net decrease in burden.

The 1.41% increase in applicants is 

offset by the results of the 

simplification changes implemented 

by the Department. This has resulted 

in an overall decrease in burden of 

11.6% or 3,398,000 hours.

Total Applicant Burden 29,357,853 25,959,853 -3,398,000 -11.6%

Total Annual 

Responses 46,447,024 46,099,008 -348,016 -.75%

Cost for All Applicants $234,804.24 $190,224.76 $44,579.48 -18.99%

The Department takes pride in the continued efforts to simplify the FAFSA submission process and the continued 

decrease in burden associated with the application process, even as the Department serves more students each year. 

The results confirm the significant improvements that have been made to the application process. The Department 

believes that these changes will lead to more students completing the FAFSA and will assist more students with their 

pursuit of postsecondary education.
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EDICS Tracking and OMB Number: (04899) 1845-0001 Revised: 06/25/2012

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 results of the collected information will not be published for tabulation or publication.

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 expiration date for OMB approval will not be included on the 2013-2014 paper or PDF FAFSA for design 

reasons, although the OMB control number is displayed. The term of approval and use of the form is apparent in the 

first-page instructions that inform applicants to send in the form from January 1, 2013 through June 30, 2014.

The expiration date for OMB approval will not be included on the 2013-2014 paper SAR for design reasons, 

although the OMB control number is displayed. The term of approval is apparent in the paper and electronic 

versions of the application which would have to be submitted in order to generate a SAR.

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

Reduction Act.

Exceptions to the certification requirement are not requested for this information collection.