State and LEA Record Keeping and Reporting Require ments under Part B

OM B No. 1820

- 0600 Page 1 **SUPPORTING STATEMENT FOR PAPERWORK REDUCT**  **ION 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. I dentify an y le gal or administrative requirements that necessitate the collection. Attach a cop y of the appropriate section of each statute and regulation mandating or authorizing the collection of information.
A1. OMB Information Collection 1820

- 0600 reflects the provis ions 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 inform ation 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 C ollection**  **Statutory Authority Regulatory Authority**  LEA consultation with private school representatives . Each LEA must provide to private school officials a written explanation of the reasons wh y the LEA chose not to provide services directly or through a contract and the LEA must obtain a written affirmation signed b y 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 th at 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 annuall y provide to the 20 U.S.C. 1412(a)(10)(A)(i)(V) §300.132State and LEA Record Keeping and Reporting Require ments under Part B

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**Required C ollection**  **Statutory Authority Regulatory Authority**  SEA the number of children enrolled in private schools b y their parents that are evaluated b y the LEA to determine whether they

are children with disabilities under IDEA, the number of children determined to be ch ildren 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 a gency

(SEA), not later than 90 day s 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 lega l 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 earl y intervening services and the numb er of children who subsequently

receive special education and related services under Part B of the Act during the preceding two y ear period. 20 U.S.C. 1413(f)(4) §300.226

List of hearing officers and mediators

. Each State receiving funds under Part B

mus t 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 300.511State and LEA Record Keeping and Reporting Require ments under Part B

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**Required C ollection**  **Statutory Authority Regulatory Authority**  education and related services. Each public agency

must maintain a list of individuals who serve as hearing officer s, 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 unde r 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

- ye ar 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 cop y of the procedural safeguard notice onl y 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 Require ments under Part B

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**Required C ollection**  **Statutory Authority Regulatory Authority**  referral or request for an e valuation, filing a due process complaint, or upon request).

Q2. Indicate how, b y whom, and for what purpose the information is to be used. Except for a new colle ction, 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 adoptin g 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 effe ctive. We estimate that approximately 70% of the information gathered through this collection will be collected electronicall y. There are no technical or legal obstacles to reducing the burden to LEAs and SEAs. Q4. Describe efforts to identify duplicatio n. Show specificall y wh y an y similar information alread y 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 business es or other small entities (Item 5 of OMB Form 83

- I), describe an y 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 frequentl y, as well as an y 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 quarterl y;

 requiring respondents to prepare a written response to a collection of information in fewer than 30 day s 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 y ears;State and LEA Record Keeping and Reporting Require ments under Part B

OM B 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 b y 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 pl edge, 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 institut ed 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 di scretion 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 an d 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 an y), 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 y ears

— 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 s hould 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

pay ment 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 pay ment or gift to respondents. Q10

. Describe an y assurance of confidentialit y 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. Prov ide additional justification for an y 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 beState and LEA Record Keeping and Reporting Require ments under Part B

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- 0600 Page 6 given to persons from whom the information is requested, and an y steps to be taken to obtain their consent.
A11. There are no questions of a sensitive nature. Q1 2. 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, a gencies should not conduct special survey s 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 widel y becaus e 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 appr oval 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, identif

yi ng 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, F requency , 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 s chool officials and obtain a written affirmation signed b y 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 $888,900State and LEA Record Keeping and Reporting Require ments under Part B

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Collection Respondents,

F requency , Burden Total

Annual Burden Hours Cost Burden

Estimate Total Cost
There are 57 SEA recordkeepers who receive the documentation from each L EA. It is estimated that, on the average for all SEAs, it takes recordke epers 24 hours per ye ar 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 compla int 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 for

ward 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 L EA respondents x 10 ( hrs) = 142,290 SEA burden: 57 SEA respondents x 143,430 143,430 x $25 $3,585,750State and LEA Record Keeping and Reporting Require ments under Part B

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Collection Respondents,

F requency , 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 th e 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 L EA respondents x .5 (hrs.) 6,500 6,500 x $25 $162,500

Early intervening services annual report. There are an estimated 5,691 L EA 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 L EA respondents x 22 (hrs) 125,202 125,202 x $25 $3,130,050State and LEA Record Keeping and Reporting Require ments under Part B

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Collection Respondents,

F requency , 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/L EA respondents x 3 (hrs) 42,858 42,858 x $25 $1,071,450

Sta te 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 = 1,71 0 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 annuall y processing modifications to an LEA plan for Part B funds and reporting. 14,229 L EA 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 L EA 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 Require ments under Part B

OM B No. 1820

- 0600 Page 10 Q13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collec tion 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 s ys tem 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 collectin g information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

 If cost estimates are expected to vary widel y, agencies should present ranges of cost burdens and explain the reas ons 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 pr e
- OMB submission public comment process and use existing economic or regulatory impact anal ys is 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 an y other expense that would not have been incurred without this collection of in formation. 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 analy

tical 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 analy tical techniques will be used.State and LEA Record Keeping and Reporting Require ments under Part B

OM B No. 1820

- 0600 Page 11 Q17. If seeking appro val 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 disp lay

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 except ions 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.