State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 1

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION 

State and LEA Record Keeping and Reporting Requirements under Part B of the IDEA

A. Justification

Q1. Explain the circumstances that make the collection of information necessary. Identify any 

legal or administrative requirements that necessitate the collection. Attach a copy of the 

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

information.

A1. OMB Information Collection 1820-0600 reflects the provisions in the Act and the Part B 

regulations requiring States and/or local educational agencies (LEAs) to collect and maintain 

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

to the public. However, such information or data are not reported to the Secretary. The 

following table describes the information under Part B of the Individuals with Disabilities 

Education Act (IDEA) to be collected or maintained and the legal requirement for each 

collection. 

Required Collection Statutory Authority Regulatory Authority

LEA consultation with private school 

representatives. Each LEA must 

provide to private school officials a 

written explanation of the reasons why 

the LEA chose not to provide services 

directly or through a contract and the 

LEA must obtain a written affirmation 

signed by the representatives of 

participating private schools that timely

and meaningful consultation has 

occurred and forward the 

documentation of the consultation 

process to the State educational agency

(SEA)

20 U.S.C. 

1412(a)(10)(A)(iii) and 

(iv)

§§300.134 and 300.135

Private school complaint of 

noncompliance with consultation 

requirements. A private school official 

may submit a complaint to the SEA that 

the LEA did not engage in consultation 

that was meaningful and timely, or did 

not give due consideration to the views 

of the private school official. 

20 U.S.C. 

1412(a)(10)(A)(v)

§300.136

Number of children with disabilities 

enrolled in private schools by their 

parents. Each LEA must maintain in its 

records and annually provide to the 

20 U.S.C. 

1412(a)(10)(A)(i)(V)

§300.132
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 2

Required Collection Statutory Authority Regulatory Authority

SEA the number of children enrolled in 

private schools by their parents that are 

evaluated by the LEA to determine 

whether they are children with 

disabilities under IDEA, the number of 

children determined to be children with 

disabilities under IDEA, and the 

number of children receiving special 

education and related services in 

accordance with 20 U.S.C. 

1412(a)(10)(A). 

State plan for high cost fund. Any State 

educational agency (SEA), not later 

than 90 days after the State chooses to 

reserves funds under 20 U.S.C. 

1411(e)(3)(C)(ii) shall annually review, 

and amend as necessary, a State plan for 

the high cost fund.

20 U.S.C. 

1411(e)(3)(C)(ii)

§300.704

Free and low-cost legal services. Each 

public agency shall inform the parent of 

any free or low-cost legal and other 

relevant services available in the area if 

the parent requests the information or 

the parent or agency requests a hearing 

under this part. 

20 U.S.C. 1415(b)(6) §300.507

Early intervening services annual 

report. Each LEA that develops and 

maintains coordinated, early intervening 

services is required to annually report to 

the SEA on the number of children 

serviced through early intervening 

services and the number of children 

who subsequently receive special 

education and related services under 

Part B of the Act during the preceding 

two year period.

20 U.S.C. 1413(f)(4) §300.226

List of hearing officers and mediators. 

Each State receiving funds under Part B 

must maintain a list of individuals who 

are qualified mediators and 

knowledgeable in laws and regulations 

relating to the provision of special 

20 U.S.C.1415(e)(2)(C) §300.506 and 300.511
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 3

Required Collection Statutory Authority Regulatory Authority

education and related services. Each 

public agency must maintain a list of 

individuals who serve as hearing 

officers, along with the qualifications of 

each of these individuals. (This 

information was included in previous 

OMB Collection 1820-0509)

State complaint procedures. Each SEA 

participating in the program funded 

under Part B must adopt written 

procedures for receiving and resolving 

complaints alleging that the State 

(grantee) or a sub grantee is violating a 

Part B statutory or regulatory

requirement. (This information was 

included in former OMB Collection 

0599)

20 U.S.C. 1221 e-3 §§300.151-300.153

LEA application under Part B, and 

report of early intervening services. 

LEAs and eligible state agencies must 

submit a plan to the SEA that provides 

assurances that the LEA meets specified 

requirements for assistance under Part 

B and the regulations and, if applicable, 

annually report to the SEA on the 

number of students served under 20 

U.S.C. 1413(f) and the number of 

students served under 20 U.S.C.20 

1413(f) who subsequently receive 

special education and related services in 

Part B during the preceding 2-year 

period, if the LEA develops and 

maintains coordinated, early intervening 

services under 20 U.S.C. 1413(f). 

(Note: This incorporates information 

from the information collection in the 

NPRM titled Early Intervening Services 

Annual Report). Included in this 

collection is the requirement that a 

parent of a child with a disability must 

be provided a copy of the procedural 

safeguard notice only one time a year 

(except one shall be provided upon 

20 U.S.C. 1413(f)

20 U.S.C. 1415(d)

§§300.201-300.213, 

§300.224, §300.226, 

and §300.504.
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 4

Required Collection Statutory Authority Regulatory Authority

referral or request for an evaluation, 

filing a due process complaint, or upon 

request). 

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. The information is used by SEAs and LEAs and is not collected by the U.S. Department of 

Education.

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. Local educational agencies (LEAs) and State educational agencies (SEAs) are encouraged to 

use computer technology when feasible and cost effective. We estimate that approximately

70% of the information gathered through this collection will be collected electronically. 

There are no technical or legal obstacles to reducing the burden to LEAs and SEAs.

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

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

above.

A4. Duplication of this collection does not exist.

Q5. If the collection of information impacts small businesses or other small entities (Item 5 of 

OMB Form 83-I), describe any methods used to minimize burden.

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

Q6. Describe the consequences to Federal program or policy activities if the collection is not 

conducted or is conducted less frequently, as well as any technical or legal obstacles to 

reducing burden.

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

information necessary to carry out the requirements of the law.

Q7. Explain any special circumstances that would cause an information collection to be 

conducted in a manner:

 requiring respondents to report information to the agency more often than quarterly;

 requiring respondents to prepare a written response to a collection of information in 

fewer than 30 days after receipt of it;

 requiring respondents to submit more than an original and two copies of any document;

 requiring respondents to retain records, other than health, medical, government contract, 

grant-in-aid, or tax records for more than three years;
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 5

 in connection with a statistical survey, that is not designed to produce valid and reliable 

results that can be generalized to the universe of study;

 requiring the use of a statistical data classification that has not been reviewed and 

approved by OMB;

 that includes a pledge of confidentiality that is not supported by authority established in 

statute or regulation, that is not supported by disclosure and data security policies that 

are consistent with the pledge, or which unnecessarily impedes sharing of data with 

other agencies for compatible confidential use; or

 requiring respondents to submit proprietary trade secrets, or other confidential 

information unless the agency can demonstrate that it has instituted procedures to protect 

the information’s confidentiality to the extent permitted by law.

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

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

Q8. If applicable, provide a copy and identify the date and page number of CFR 1320.8(d), 

soliciting comments on the information collection prior to submission to OMB. Summarize 

public comments received in response to that notice and describe actions taken by the 

agency in response to these comments. Specifically address comments received on cost and 

hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the 

availability of data, frequency of collection, the clarity of instruction and record keeping, 

disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, 

or reported.

Consultation with representatives of those from whom information is to be obtained or those 

who must compile records should occur at least once every 3 years—even if the collection 

of information activity is the same as in prior periods. There may be circumstances that may

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

A8. The public, including representatives of those entities that must collect the required 

information, will have the opportunity to provide comment when 1820-0600 is released for 

public comment. OSERS will respond to comments received.

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

of contractors or grantees.

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

payment or gift to respondents.

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

assurance in statute, regulations, or agency policy.

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

respondents.

Q11. Provide additional justification for any questions of a sensitive nature, such as sexual 

behavior and attitudes, religious beliefs, and other matters that are commonly considered 

private. This justification should include the reasons why the agency considers the 

questions necessary the specific uses to be made of the information, the explanation to be 
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 6

given to persons from whom the information is requested, and any steps to be taken to 

obtain their consent.

A11. There are no questions of a sensitive nature.

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

 Indicate the number of respondents, frequency of response, annual hour burden, and an 

explanation of how the burden was estimated. Unless directed to do so, agencies should 

not conduct special surveys to obtain information on which to base hour burden 

estimates. Consultation with a sample (fewer than 10) of potential respondents is 

desirable. If the hour burden on respondents is expected to vary widely because of 

differences in activity, size, or complexity, show the range of estimated hour burden, and 

explain the reasons for the variance. Generally, estimates should not include burden 

hours for customary and usual business practices.

 If this request for approval covers more than one form, provide separate hour burden 

estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

 Provide estimates of annualized cost to respondents of the hour burdens for collections 

of information, identifying and using appropriate wage rate categories. The cost of 

contracting out or paying outside parties for information collection activities should not 

be included here. Instead, this cost should be included in Item 14.

A12.

Collection

Respondents, 

Frequency, Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate Total Cost

LEA consultation with private 

school representatives. It is 

estimated that approximately

2,849 LEA recordkeepers will 

be required to provide written 

explanations to private school 

officials and obtain a written 

affirmation signed by the 

representatives of participating 

private schools and forward the 

documentation of the 

consultation process to the 

State educational agency

(SEA). It is estimated that it 

will take, on average, each 

LEA approximately 12 hours 

per year to obtain a written 

affirmation and forward 

documentation to the SEA. 

(2,849 LEAs x 12 

hrs) + (57 SEA x 

24 hrs)

35,556 35,556 x $25 $888,900
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 7

Collection

Respondents, 

Frequency, Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate Total Cost

There are 57 SEA 

recordkeepers who receive the 

documentation from each LEA. 

It is estimated that, on the 

average for all SEAs, it takes 

recordkeepers 24 hours per 

year to maintain the records.

Private school complaint of 

noncompliance with 

consultation process. 

Approximately 200 private 

school officials are estimated 

to annually choose to file a 

complaint with SEAs that 

LEAs did not engage in 

consultation that was 

meaningful and timely, or did 

not give due consideration to 

the views of the private school 

officials and 30 private school 

officials will choose to file a 

complaint with the Secretary. 

It is estimated that on average 

each of 40 SEAs will render a 

decision for 5 complaints and 

will be required to submit 

documentation to the Secretary

for 1 complaint. 

Approximately 200 LEAs 

across 40 States will be 

required to forward 

documentation to SEAs 

regarding complaints.

Private school 

burden: (200 

private school 

respondents x 2hrs) 

+ (30 private 

school respondents 

x 2hrs) = 460

SEA burden: (40 

SEA respondents x 

5 complaints x 20 

hrs) + (40 SEA 

respondents x 2hrs) 

= 4,080

LEA burden: 200 

LEA respondents x 

4hrs = 800

5,320 5,320 x $25 $133,000

Number of children with 

disabilities enrolled in private 

schools by their parents. There 

are 14,229 LEA respondents 

who are required to maintain a 

record of the number of 

LEA burden: 

14,229 LEA 

respondents x 10 

(hrs) = 142,290

SEA burden: 57 

SEA respondents x 

143,430 143,430 x $25 $3,585,750
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 8

Collection

Respondents, 

Frequency, Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate Total Cost

children evaluated, the number 

of children determined to be 

children with disabilities, and 

the number of children served 

under 20 U.S.C. 

1412(a)(10)(A). There are 57 

SEA respondents who receive 

the records from each LEA.

20 (hrs) = 1,140

State plan for high cost fund. 

It is anticipated that 

approximately 40 States will 

choose to maintain a high cost 

fund necessitating a State plan 

for the high cost fund. It is 

estimated that it will take each 

State an average of 40 hours to 

annually review and amend 40 

State plans which equals an 

estimated total of 1,600 total 

burden hours.

40 SEA 

respondents x 40 

(hrs) 

1,600 1,600 x $25 $40,000

Free and low-cost legal 

services. There are 

approximately 13,000 due 

process hearings requested 

annually through LEAs. The 

data burden is expected to 

require an average of 30 

minutes per hearing request to 

inform parents of the 

availability of low-cost legal

services. 

13,000 LEA 

respondents x .5 

(hrs.)

6,500 6,500 x $25 $162,500

Early intervening services 

annual report. There are an 

estimated 5,691 LEA that will 

be required to collect this data 

and it is estimated that it will 

take each LEA 22 hours to 

gather the data needed and 

prepare information to report to 

5,691 LEA 

respondents x 22 

(hrs)

125,202 125,202 x $25 $3,130,050
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 9

Collection

Respondents, 

Frequency, Burden

Total 

Annual 

Burden 

Hours

Cost Burden 

Estimate Total Cost

the SEA. 

List of hearing officers and 

mediators (previous OMB 

1820-0509). There are 57 

State level record keepers who 

must maintain a list of 

mediators and approximately

14,229 public agencies. It is 

estimated to take 

approximately three hours 

annually for record keepers to 

update and maintain the lists. 

14,286 SEA/LEA 

respondents x 3 

(hrs) 

42,858 42,858 x $25 $1,071,450

State complaint procedures 

(previous OMB 1820-0599). 

Each of 57 SEAs process, on 

average, 30 complaints 

annually. It takes an average 

of about 24 hours for a State 

educational agency to issue a 

written decision to a complaint.

57 SEA 

respondents x 30 = 

1,710 x 24 hrs.

41,040 41,040 x $25 $1,026,000

LEA application under Part B

(previous OMB 1820-0600). It

is estimated that each of 14,229 

respondents will expend a total 

of 2 hours annually processing 

modifications to an LEA plan 

for Part B funds and reporting. 

14,229 LEA 

respondents x 2 

(hrs) 

28,458 28,458 x $25 $711,450

Procedural Safeguard Notice. 

It is estimated that each of 

14,229 respondents will 

expend a total of 3 hours 

annually generating and 

providing procedural safeguard 

notices to parents of children 

with disabilities.

14,229 LEA 

respondents x 3 

(hrs)

42,687 42,687 x $25 $1,067,175

TOTAL BURDEN 79,194 472,651 11,816,275
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 10

Q13. Provide an estimate of the total annual cost burden to respondents or record keepers 

resulting from the collection of information. (Do not include the cost of any hour burden 

shown in Items 12 and 14.)

 The cost estimate should be split into two components: (a) a total capital and start-up 

cost component (annualized over its expected useful life); and (b) a total operation and 

maintenance and purchase of services component. The estimates should take into 

account costs associated with generating, maintaining, and disclosing or providing the 

information. Include descriptions of methods used to estimate major cost factors 

including system and technology acquisition, expected useful life of capital equipment, 

the discount rates(s), and the time period over which costs will be incurred. Capital and 

start-up costs include, among other items, preparations for collecting information such as 

purchasing computers and software; monitoring, sampling, drilling and testing 

equipment; and record storage facilities.

 If cost estimates are expected to vary widely, agencies should present ranges of cost 

burdens and explain the reasons for the variance. The cost of contracting out 

information collection services should be a part of this cost burden estimate. In 

developing cost burden estimates, agencies may consult with a sample of respondents 

(fewer than 10), utilize the 60-day pre-OMB submission public comment process and 

use existing economic or regulatory impact analysis associated with the rulemaking 

containing the information collection, as appropriate.

 Generally, estimates should not include purchases of equipment or services, or portions 

thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with 

requirements not associated with the information collection, (3) for reasons other than to 

provide information or keep records for the government or (4) as part of customary and 

usual business or private practices.

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

above.

Q14. Provide estimates of annualized cost to the Federal government. Also, provide a description 

of the method used to estimate cost, which should include quantification of hours, 

operational expenses (such as equipment, overhead, printing, and support staff), and any 

other expense that would not have been incurred without this collection of information. 

Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a single table.

A14. There is no cost to the Federal government.

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

the OMB Form 83-I. 

A15. No program changes or adjustments were reported in Items 13 or 14.

Q16. For collections of information whose results will be published, outline plans for tabulation 

and publication. Address any complex analytical techniques that will be used. Provide the 

time schedule for the entire project, including beginning and ending dates of the collection 

of information, completion of report, publication dates, and other actions.

A16. No complex analytical techniques will be used.
State and LEA Record Keeping and Reporting Requirements under Part B

OMB No. 1820-0600 Page 11

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

collection, explain the reasons that display would be inappropriate.

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

to not display the expiration data for OMB approval.

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

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

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

Paperwork Reduction Act Submissions.”

B. Collections of Information Employing Statistical Methods

This collection does not employ statistical methods.