SUPPORTING STATEMENT FOR CLEARANCE OF ANNUAL NEGLECTED OR 

DELINQUENT ANNUAL REPORT (ED FORM 4376) 

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 copy 

of the appropriate section of each statute and regulation mandating or authorizing the 

collection of information.

Overview

The U.S. Department of Education (ED) is requesting a three-year extension of the 

attached ED Form 4376 – Annual Report of Children in Institutions for Neglected or 

Delinquent Children, Adult Correctional Institutions, and Community Day Programs 

for Neglected and Delinquent Children. Approval of this form is needed in order to 

continue the on-going collection of data used to allocate funds authorized by Title I, 

Part A and Part D, Subparts 1 and 2 of the Elementary and Secondary Education Act 

(ESEA) of 1965, as amended for school years (SYs) 2015-16 and beyond. Congress 

appropriated approximately $14.4 billion for these programs for fiscal year 2014. The 

ESEA is available at: http://www2.ed.gov/policy/elsec/leg/esea02/index.html.

Part A of Title I provides formula grants to local educational agencies (LEAs) to 

improve the teaching and learning of at-risk students in high-poverty schools. Part D, 

Subpart 1 provides formula grants to State agencies that operate educational programs 

for children in institutions for neglected or delinquent (N or D) children, community

day programs for N or D children, and adult correctional institutions.

Title I, Part A and Part D, Subpart 1 establish two statutory formulas for allocating 

funds to (1) LEAs and (2) State agencies responsible for providing a free public 

education to N or D children:

 

Title I, Part A Grants to LEAs

ESEA, Title I, Part A requires the Department of Education (ED) to determine LEA 

allocations. In calculating LEA allocations, ED must use annually collected data on the 

number of children living in locally operated institutions for N or D children.1 These 

counts are based on October caseload data from the preceding fiscal year, which are to 

be submitted by January 15 of each year. 

ESEA also requires ED to obtain separate counts of children in local institutions for 

 

1

Section 1124(c)(B) of ESEA defines children in local N or D institutions as those not 

in N or D institutions operated by the United States or counted in State institutions 

for purposes of the Title I, Part D, Subpart 1 State Agency Neglected and Delinquent

program. Section 1432(4) further defines “institution for neglected children” and 

“institution for delinquent children and youth.” 
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neglected children and children in local institutions for delinquent children because of 

the requirements for the Local Agency Program in Part D, Subpart 2 of Title I. 

Under Subpart 2 of Part D, State educational agencies (SEAs) retain funds generated by

children living in local delinquent institutions and adult correctional facilities under the 

Title I, Part A formula in order to make subgrants to LEAs with high numbers or 

percentages of such children and youth. 

Part D, Subpart 1, State Agency N or D Program

Under Part D, Subpart 1, ED must allocate funds to States using data on the number of 

children and youth under 21 years of age enrolled in the educational programs of Stateoperated or supported in institutions for N or D children, community day programs for 

N or D children, or adult correctional institutions. In order to be counted, section 

1412(a) of the statute requires that children counted in the Part D, Subpart 1 allocation 

formula be enrolled in an educational program for at least--

 20 hours per week if in an institution for N or D children or a community day 

program for N or D children; or

 15 hours per week if in an adult correctional institution.

Section 1412(a)(2)(B) of ESEA further requires that the enrollment count be adjusted to 

reflect the relative length of an agency's annual educational program. 

The attached form is designed to collect the data needed to calculate Title I LEA Grant 

allocations, distribute State Agency N or D funds, and to determine the amount States 

must retain for the Subpart 2 program. Part I of the form collects data by LEA on the 

number of children in local institutions for neglected children and in locally operated 

institutions for delinquent children or adult correctional facilities. Part II of the form

collects the data needed to allocate State agency N or D funds to States. Both parts are 

unchanged from the previously approved data collection report form.

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.

ED will use the data from Part I of ED form 4376 to determine school district 

allocations for the Title I, Part A LEA Grant program and the amount of funds an SEA 

must retain for purposes of the Title I, Part D, Subpart 2 Local Agency program for atrisk children. ED will use Part II of the ED form 4376 to collect the adjusted count of 

children enrolled in the educational programs of State-operated or supported 

institutions for N or D children, community day programs for N or D children, or adult 

correctional institutions to determine State allocations for the Title I, Part D, Subpart 1 
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State Agency N or D program. 

ED will send ED form 4376 out to each SEA, including the those of the District of 

Columbia and Puerto Rico. The SEA will collect the information needed to complete 

the report from the State and local institutions within the State in a manner it chooses 

and report the formula data to ED using this form and certify its accuracy and 

completeness. We expect that all 52 respondents will reply because the data collected 

will generate Federal funds. 

ED has used the information collected through ED Form 4376 to determine LEA 

allocations for the Title I, Part A program, State allocations for the Title I, Part D, 

Subpart 1 State Agency N or D program, and the amount States must retain for the Title 

I, Part D, Subpart 2 Local Agency program for at-risk children. 

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 of using information technology to reduce burden.

As in the past, ED will continue to make the attached report form available 

electronically to each State. To help States complete Part I of ED form 4376, which 

asks for the local N or D information on an LEA basis, we will continue to provide 

electronically to each State a template that contains the names of the LEAs in that State 

and a space to enter the data. We will also provide States with an electronic version of 

Part II of ED form 4376, which they can use to provide information needed for the 

State Agency N or D program. We encourage States to submit the report information to 

us electronically, followed by a signed certification page.

 

4. 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.

Title I requires that specific data on the number of N or D children in State and locally 

operated institutions be used in the allocation formula. There are no similar data on 

children in institutions for N or D children available from other sources that could be 

modified to meet the requirements of the Title I statutory formula. 
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5. 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.

There is no impact on small businesses. Of the 1,599 LEAs in which counts of N or D 

children were reported for fiscal year 2013 allocations, 1,439 would be considered 

small LEAs because they have a total population of less than 50,000. The impact with

regard to burden on these LEAs, however, is minimal because the SEA works directly 

with the institution(s) located within the LEA to obtain the information needed for this 

report. 

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 these data were not collected annually, the data requirements in the statutory formula 

could not be met.

7. 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.

This collection complies with 5 CFR 1320.5.

8. If applicable, provide a copy and identify the date and page number of publication in 
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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.

ED published the applicable 60-day Federal Register notice requesting public comment

and the required 30-day Federal Register notice; receiving no public comments during 

the 60-day comment period. 

ED has previously contacted the staffs within the Office of Family Assistance, Family

Support Administration within the Department of Health and Human Services and the 

Department of Justice concerning the availability of data on N or D children. Neither 

agency has data meeting the statutory requirements that could be used to allocate Title I 

funds. In past years, data collected by ED on the number of children in State and local 

institutions for N or D children have been provided to the Council on Juvenile Justice 

and Delinquency Prevention because there were no other sources of data available at 

the national level on this population.

ED has collected formula data on N or D children since Title I was first authorized in 

1965. The requirement for collecting data on N or D children and the instructions for 

reporting such data are discussed at national meetings with Title I State coordinators 

held annually. ED has apprised all of the Title I State coordinators of the need to 

continue collecting October case load data on the number of N or D children in locally

operated institutions by LEA and data on the number of N or D children enrolled in 

educational programs operated by State agencies in order to determine Title I 

allocations for SYs 2015-16 and beyond.

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

remuneration of contractors or grantees.

No payment is provided to respondents to complete the form.
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10. Describe any assurance of confidentiality provided to respondents and the basis for 

the assurance in statute, regulations, or agency policy.

None. The data collected are not considered confidential. These are summary data 

aggregated at either the State or LEA level and have no names or means of 

identification associated with them. 

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. 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.

The purpose of the report is to gather information for purposes of determining formula 

allocations, and it does not ask questions of a sensitive nature or that are considered 

private.

12. Provide estimates of the hour burden of the collection of information.

The total time needed for the 52 States to collect and process these data for 

approximately 3,200 programs operated for neglected and delinquent children would 

total 4,360 hours.

In examining data from the school year 2012-2013 annual performance report on 

programs for the education of children and youth who are neglected, delinquent, or at 

risk of educational failure, ED noted that the number of projects operating programs 

for this population has declined from 3,500 to approximately 3,200. Consequently, 

ED is reducing its hourly burden estimate by 204 hours from the previous collection of 

information. 

Nationally, the total burden hours of 4,360 hours divided by the 3,252 respondents 

supports the average burden for each respondent of 1.34 hours. This takes into 

consideration the time required by the institution to collect its count and complete its 

submission to the SEA, for the SEA to collect the information from all the institutions 

within the State, and for the SEA to prepare ED form 4376 to submit to ED. The 

estimate also incorporates any additional time States may need to input LEA data that 

is submitted to ED. The estimated annual cost to the 3,252 respondents is $119,920. 

(See appendix that shows how the burden hours and cost estimates are derived.) 
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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.)

Not applicable because there are no start-up costs.

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 annual cost to the Federal government is estimated to be $7,200. This assumes a 

GS-14’s working for about 120 hours to distribute ED form 4376, review and enter the 

data received for purposes of the Title I allocations, and follow-up with States 

concerning questions about the data submitted prior to calculating the allocations. 

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

Part 1 Form.

There is an adjustment decrease in the respondent burden from the N or D report form

that OMB approved in 2011, due to the decrease in the number of programs providing 

services to this population. There is an adjustment decrease of -300 respondents and -

204 annual burden hours. 

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.

There will be no publication of these data. ED’s Budget Service, Office of Elementary

and Secondary Education (Student Achievement and School Accountability) and 

National Center for Education Statistics use these data to determine the annual Title I, 

LEA Grant, State Agency N or D, and Local Agency program allocations.

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 be displayed on ED form 4376.

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

Paperwork Reduction Act.
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There are no exceptions to the certification statement.

B. Collection of Information Employing Statistical Methods

The collection of these data does not employ statistical methods.
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APPENDIX

ESTIMATE OF HOURS

State and local level

No. of programs nationally 3,200

X Time needed to collect data at the institution 0.68 hours

2,176 person hours

State level estimate

No. of States 52

X Time to process data at State level 42 hours

2,184

Total respondent hours (local) 2,176 hours

X Cost rate $25

 $54,400

Total respondent hours (State) 2,184 hours

X Cost rate $30

 $65,520

Total cost= 

$119,920

($54,400+$65,520) 

Average burden hours per respondent

Person hours required nationally for 

institutions and States to provide counts

4,360

÷ Number of respondents 3,252

= Average burden hours per respondent 1.34 hours

Federal Level

Person hours 120 hours

X Cost rate $60

 $7,200