1

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) **SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION** 

**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 cop y 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 section 1 . Specify the review t ype of the collectio n (new, revision, extension, reinstatement with change, reinstatement without change) . If revised, briefl y specify the changes. If a rulemaking is involved, make note of the sections or changed sections, if applicable. The Office of Postsecondary Education is requesting reinstatement of this previously approved application which will be needed for the upcoming FY 2015 Minority Science and Engineering Improvement Program (MSEIP) competition that is anticipated to take pla ce in spring of 2015. The previous application expired June 30, 2014. The authorizing statute for this program, Title III, Part E, Subpart 1, Sections 350 - 365 of the Higher Education Act of 1965, as amended, and the governing regulations (34 CFR Part 63 7) , require the collection of this information to determine the applicant’s eligibility. Link to applicable Legislation & Regulations : http://www2.ed.gov/programs/iduesmsi/legislation.h tml Minor changes to the application have been made since OMB’s last review and approval of the form. The dates and minor edits to the language were made to ensure accuracy and clarity. These clarifications do not require additional data from the applica nt. The collection of the information requested on the proposed application form is necessary to allow 2 - year and 4 -

year, public and private, nonprofit institutions of higher education; nonprofit science - oriented organizations; and professional scientific soci eties to apply for grant funds under MSEIP.

1 Please limit pasted text to no longer than 3 paragraphs.2

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) 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. Applications for grants under the Minority Science and Engineering Improvement Program are submitted electronically using the Grants.gov Apply site (Grants.gov). The information collected is gathered electronically through Grants.gov for the Department of Education for the purpose of obtaining programmatic and budgetary information needed to evaluate applications and to make funding decisions based on the authorizing statute and the published selection criteria. This collection will be conducted annually, based on availability of funding for new grants under Title III , Part E, of the Higher Education Act (HEA) of 1965, as amended . Notably, w ithout the collection of this information, the Department cannot properly screen applicants that apply for MSEIP grants under Title III, and therefore, cannot award new grants for which Congress has appropriated funds under these programs. The program staff and peer reviewers will use the information to evaluate applications and make funding decisions. 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 respon ses, and the basis for the decision of adopting this means of collection. Also describe an y consideration given to using technology

to reduce burden. The Office of Postsecondary Education is committed to the reduction of paperwork . Electronic submissio n has reduced the burden for both the applicants and Department staff as it streamlines the application preparation, submission, and review process . Collection of information involves the use of electronic submission of responses via Grants.gov. 4. D escribe efforts to identify duplication. Show specificall y wh y an y similar information already available cannot be used or modified for use for the purposes described in Item 2 above. The information submitted in each application is unique to each respondent. Moreover, the information changes annually. No other existing information collection can serve the purposes described in item 2. 5. If the collection of information impacts small businesses or other small entities, describe any methods use d 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 i ndependently owned and operated and is not dominant in its field; or (3) a small government jurisdiction,3

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) which is a government of a city , count y, town, township, school district, or special district with a population of less than 50,000. Not applicable

– small businesses or other small entities would not be impacted by this collection. 6. 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. This application will be used by those applicants that desire to apply for new awards under MSEIP. If this information is not collected, grants cannot be awarded in accordance with the guidelines outlined in the Title III, Part E legislation. If the collection were not conducted annually, appropriated funds could not be spent. 7. Explain any

special circumstances that would cause an information collection to be conducted in a manner:
 requiring respondents to report inform ation 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 docum ent;
 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 than 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 pledge, or that unnecessaril y i mpedes 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.4

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) There are no special circumstances that would require the collection to be conducted as outlined above in question 7. 8. As applicable, state that the Department has published the 60 and 30 Federal Register notices as required b y 5 CFR 1320.8(d), soliciting comments on the information collection prior to submissio n to OMB. Summarize public comments received in response to that notice and describe actions taken b y 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. Consul tation 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 circumst ances that may preclude consultation in a specific situation. These circumstances should be explained. A 30 day notice for public comment will be published in the Federal Register. Program staff will respond to any questions or comments resulting from the publication of the information collection in the Federal Register as required by 5 CFR 1320.8(d). 9. Explain any

decision to provide any

pay ment or gift to respondents, other than remuneration of contractors or grantees with meaningful justification . No gifts or payments will be provided to respondents. 10. Describe an y 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 c ollected, a Privacy Act statement should be included on the instrument. Please provide a citation for the Sy stems of Record Notice and the date a Privacy Impact Assessment was completed as indicated on the I C Data Form . A confidentiality statement with a l egal citation that authorizes the pledge of confidentiality should be provided. 2 If the collection is subject to the Privacy Act, the Privacy

Act statement is deemed sufficient with respect to confidentiality . I f there is no expectation of confidentiality , simply state that the Department make s no pledge about the confidentiall y of the data. 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 Re cords 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 P ersonally Identifiable Information)5

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) The Department’s disclosure policies adhere to the provisions of the Privacy Act and n o assurances of confidentiality are provided . 11. Provide 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. The justification should include the reasons wh y the agency considers the questions ne cessary , 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. Questions of a sensitive nature are not included in this informatio n collection. 12. Provide estimates of the hour burden of the collection of information. The statement should:
 Indicate the number of respondents by affected public ty

pe (federal government, individuals or households, private sector

– businesses or oth er 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 survey s to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 1 0) of potential respondents is desirable. If the hour burden on respondents is expected to vary widel y because of differences in activity , size, or complexity , show the range of estimated hour burden, and explain the reasons for the variance. Generall y, 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 ROCI S IC Burden Analy s is 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. Estimated burden hours for this collection of information are 40 hours per respondent and we estimate 200 respondents. Therefore, we expect a n estimated total of 8000 burden hours per annual submission.6

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) We expect approximately 180 responses from public institutions and approximately 20 responses from private institutions. We estimate the cost per respondent for the burden to be $8,385. We estimate the cost for 180 applicants from public institutions to be approximately $1,509,300.00 and the cost from pr ivate institutions to be approximately $167,700.00. The estimates provided are based on past experiences with the use of the form.

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 majo r cost factors including s ys tem 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 col lecting 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 widel y, 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 (fewe r than 10), utilize the 60 - day

pre - 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. 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) :

____________________7

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) Total Annualized Costs Requested : The total for the capital and start- up cost components for this information collection is zero. This information collection will not require the purchase of any capital equipment and will not create any 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. **Cost to the Federal Government** A prof essional staff to develop clearance package (Program Manager) GS - 14 employee: 60 hrs. @$40 per hr. $2400 Overhead cost related to facilities, administration, and other indirect cost s plus accrual of leave and fringe benefits $2,400 x @ 50% salary $1200 Application printing ( 50 copies x $1/copy) $50 Application mailing (5 copies X $.40/item mailed) $2 Other Department staff to review and approve the request: GS - 15 employee (Director) and GS - 14 employee (Team Leader) for final review and approval GS - 15 e mployee: 10 hours @ $60 per hr.($600) + GS - 14 employee 10 hours @$40 per hr ($400)+ (Overhead cost: $1,000 x 50% = $500) $1500

Field Readers ( 9 0 @ $1,100) $ 99 ,000 Forms and Web - site development costs $4,000 Processing applications by staff (12 staff x 40 hrs. x $30 per hr. = $14,400)+ (Overhead cost: $14,400 x 50% = $7,200) $21,600 Contractor logistical support for workshops, application processing, field reading and slate preparation $30,000 Staff time for conducting supervised review ( 3 weeks x 3 control reviews, and 11 panel chairpersons) (12 staff x 120 hrs. = 1,440 hrs. x $30 per hr. = $43,200)+ (Overhead cost: 50%(43,200) = $21,600 ) $64,800

Staff time for generating slate (3 staff x $30 x 40 hrs. = $3,600)+ $5,4008

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) (Overhead cost: $3,600 x 50% = $1,800) Staff time to review and approve funding recommendation (1 staff x 4 hrs. per grant award x 33 awards) (33 awards x 4 hrs. per award x $30 per hr. = $3,960)+ (Overhead cost: $3,960 x 50% = $1,980) $ 5,940

Staff time to gene rate, approve, and issue grant awards (6 hrs. per award x 33 awards = 198/12 = 16.5 hr/person 12 staff x $30 x 16.5 hrs. = $5,940)+ (Overhead cost: $5,940x 50% = $ 2,970 ) $8,910

Annual Monitoring Cost (10 hrs. per award x 33 awards = 330/12 = 27.5 hrs. per person) (12 staff x $30 = 360 x 27.5 hrs. = $9,900) **+** Overhead cost: (9,900x 50% = $4,950) $14,850

**Total Annual Government Estimated**  **Cost $2**  **59 ,652**  15. Explain the reasons for an y 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 material ly 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 t ype of change (i.e., adju stment, program change due to new statute, and/or program change due to agency discretion) , ty

pe of collection (new, revision, extension, reinstatement with change, reinstatement without change) and include totals for changes in burden hours , responses and cost s (if applicable) . This is a reinstatement of a previously approved collection. Therefore, all burden is new. 16. 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.9

EDICS Tra cking and OMB Number: (XXXX) XXXX - XXXX Revised: XX/XX/XXXX RIN Number: XXXX - XXXX (if applicable) Results of the collected informa tion will not be published. 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. Not applicable. This report will display the expiration date for the OMB approval of the information collection. 18. Explain each exception to the certification statement identified in the Certification of Paperwork Reduction Act. Not applicable. There are no exceptions to the certification statement.