1 **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 infor mation 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 section 1**  **. 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 not e 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 amend ed. 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 man agement, and fiscal stability and to increase their self

- sufficiency

. In formation is collected under authority of Section 501 of the Higher Education Act of 1965 (P.L . 39

- 329) as amended b y 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 l apse 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.

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

**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 o**  **f 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 de cisions 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 propo sed 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 infor mation 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. Sh ow 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 not**   ** for** **- profit enterprise that is independently owned and operated and is not dominant**  **in its field; or (3) a small government jur isdiction, 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.3

**6. Descri be 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 annuall y, based on availability of funding for new grants under Title V, Part A and Part C. I f 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 t o 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** 

 **re quiring 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 O**  **MB. Summarize public comments received in response to that notice and describe actions taken by the** 4

**agency in response to these comments. Specifically address comments received on cost and hour burden.**  **Describe efforts to consult with persons outside th e 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 wit**  **h 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 pay

me nts 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. 2**  **If 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 a**  **nd 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**

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 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 Persona lly Identifiable Information)5

**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 inf**  **ormation. 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 e**  **xpected 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 practi**  **ces.**

 **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, Re**  **spondent 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 ( 10 0 personnel X 10 hours X $15 per hour) $ 15,000 **Total estimated costs to respondents $1**  **72 ,**  **5 00** 6

**13. Prov** **ide 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 c**  **osts 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 sto rage 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 esti**  **mate. 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 rulemaki**  **ng 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 assoc iated 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 est** **im ates 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 ot her expense that would not have been incurred without this** 7

**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 Proce ss (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 cop y) $ 30 Peer Review Planning and Coordination (30 day s 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 Analy ses and Evaluation (30 day s X 5 staff X $280 per day) $ 42,000 Monitoring of Grants (160 d ay s 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 adjustmen**  **ts. 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 f**  **rom 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**  **disagg regated 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 c hanges 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. F**  **or 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 dat**  **es of the collection of information, completion of report, publication dates, and other actions.**  Results of the collected information will not be published.8

**17. If seeking approval to not display the expiration date for OMB approval of the**  **information co llection, 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.