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ICRAS Tracking and OMB Number: 1840-0745

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT 

SUBMISSION

APPLICATION FOR GRANTS UNDER THE HISPANIC-SERVING 

INSTITUTIONS PROGRAM

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.

Collection of the information is necessary so that the Secretary of Education can carry

out the Hispanic-Serving Institutions program under Title V, Part A of the Higher 

Education Act of 1965, as amended. The information will be used in the evaluation 

process to determine whether proposed activities are consistent with legislated 

activities and to determine the dollar share of the Congressional appropriation to be 

awarded to successful applicants. The purpose of the Hispanic-Serving Institutions 

program is to assist eligible Hispanic-Serving Institutions to expand their capacity to 

service Hispanic and low-income students by enabling the institutions to improve 

their academic quality, institutional management, and fiscal stability and to increase 

their self-sufficiency.

Information is collected under authority of Section 501 of the Higher Education Act 

of 1965 (P.L. 39-329) as amended by the Higher Education Opportunity Act of 2008 

(P.L. 110-315), the Education Department General Administrative Regulations 

(EDGAR) 34 CFR parts 74, 75, 77, 79, 81, 82, 84, 85, 86, 97, 98, and 99, and the 

regulations for this program in 34 CFR part 606. Applicable regulations may be 

found on the program web site. This discretionary grant falls under the Streamlined 

Clearance Process for Discretionary Grant Information Collections, 1890-0001.

The current HSI Program application package was allowed to lapse due to the 

proposed funding status of the program. According to the more recent budget 

request, there is a strong possibility of funds being available to support a new grant 

competition.

The reinstatement information collection is necessary to the awarding of appropriated 

funds and reduces the burden for both the applicants and Department staff.

 

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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. 

This collection of information is gathered electronically by the Department 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. 

Failure to collect this information would prevent the awarding of appropriated funds 

because essential information would not be available for evaluating the applicant’s 

proposed project with authorizing legislation and program regulations.

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. 

The Office of Postsecondary Education is committed to the reduction of paperwork 

and has been collecting this information electronically since 2000. Electronic 

submission has reduced the burden for both the applicants and Department staff. 

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 information submitted in each application is unique to each respondent. 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 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 notfor-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.

Not applicable – small businesses or other small entities would not be impacted by

this collection.
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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.

This collection is conducted annually, based on availability of funding for new grants 

under Title V, Part A and Part C. 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 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 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;

 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.

There are no special circumstances as outlined in #7 of the 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 
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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.

A 30-day Federal Register notice for public comment will be published. 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 payment 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 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 Department’s disclosure policies adhere to the provisions of the Privacy Act.

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 

 

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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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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 information collection.

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.

Estimated hour burden of this collection of information is 55 hours. We estimate 100 

respondents. Applications will be submitted annually.

Estimated cost to respondents:

Professionals

(100 personnel X 45 hours X $35 per hour) $157,500

Clerical

(100 personnel X 10 hours X $15 per hour) $ 15,000

Total estimated costs to respondents $172,500
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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.)

 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 : 

The cost to respondents is shown in item 12 above. There is no start-up cost for this 

collection.

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 
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collection of information. Agencies also may aggregate cost estimates from Items 

12, 13, and 14 in a single table.

Estimated annual cost to the Federal Government:

Development and Approval Process

(2 staff X 75 hours X $37 per hour) $ 5,550

Printing

(100 applications X $3 per app) $ 300

Mailing

(40 applications X $.75 per copy) $ 30

Peer Review Planning and Coordination

(30 days X 4 staff X $280 per day) $ 33,600

Peer Review (Stipends and Training)

(55 peer reviewers X $1,000) $ 55,000

(30 alternates peer reviewers X $100) $ 3,000

Analyses and Evaluation

(30 days X 5 staff X $280 per day) $ 42,000

Monitoring of Grants

(160 days X 5 staff X $280 per day) $224,000

World Wide Web Preparation for Posting

(4 hours X 1 staff X $35 per hour) $ 140

Total estimated cost to the Federal Government $ 363,620

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).

Program changes or adjustments are the result of the discontinuation of the previous 

collection. The number of respondents will not change. The number of burden hours 

will not change. 

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.

Results of the collected information will not be published.
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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.

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.

There are no exceptions to the certification statement.

B. Collections of Information Employing Statistical Methods 

This collection of information does not employ statistical methods.