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SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

SECTION 427 GENERAL EDUCATION PROVISIONS 

ACT REQUIREMENT FOR GRANT APPLICATIONS

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 copy of the appropriate section of each statute and regulation mandating or 

authorizing the collection of information.

On October 20, 1994, the Improving America’s Schools Act, Public Law 103-382 (The Act),

became law. The Act added a provision to the General Education Provisions Act (GEPA). 

Section 427 of GEPA requires an applicant for assistance under Department programs to 

develop and describe in the grant application the steps it proposes to take to ensure 

equitable access to, and equitable participation in, its proposed project for students, 

teachers, and other program beneficiaries with special needs. The current GEPA Section 

427 guidance for discretionary grant applications and formula grant applications has 

approval through March 31, 2014 we are requesting an extension of this approval.

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.

The information collected under this provision will be used by Department staff in 

awarding new grants and in providing technical assistance to grantees in the 

implementation of their grant programs. In reviewing applications for new grants, 

Department staff will look to see whether applicants have provided a description of 

barriers that impede access to the Department-funded programs and steps they would take 

to overcome these barriers. Department staff will also use the information during the grant 

period in providing technical assistance to applicants in the implementation of their 

projects. In addition, as part of the review this year, Department staff will also evaluate

the information gathered to determine whether further guidance or technical assistance is 

needed by applicants concerning this requirement.

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 of using information technology to reduce burden.
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If any program has enabled an application to be submitted electronically or in electronic 

form, information provided in response to the GEPA Section 427 requirement may be 

submitted in the same manner. Also, applicants have discretion in determining how to 

provide information in response to this requirement. For example, an applicant may 

choose to use technology available to it that would reduce burden in responding to this 

requirement. There are no legal obstacles to reducing burden.

4. 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.

The GEPA Section 427 requirement does not represent a duplication of information 

collection. The provision is not intended to duplicate the requirements in civil rights 

statutes, but rather to ensure that applicants for Federal funds address equity concerns in 

the planning and development of their proposed Federal projects that may affect the ability 

of certain potential beneficiaries to fully participate in a proposed project. Applicants have 

discretion in how to respond to this requirement and can explain if information that is 

responsive to this requirement is provided in their applications in response to a related 

topic.

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

8b of IC Data Part 2), describe any methods used to minimize burden.

The collection of information in response to the GEPA Section 427 requirement does not 

have a significant impact on a substantial number of small businesses or other small 

entities.

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.

The Department of Education would not be in compliance with the requirements of Public 

Law 103-382 if the information is not collected. An applicant for new grant funds is 

required to provide this information in order to receive funding under any applicable 

program.

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;
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 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 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.

The information will not be collected in a manner inconsistent with the general information 

collection guidelines in 5 CFR 1320.5, there are no special circumstances. 

8. If applicable, provide a copy and identify the date and page number of publication in 

the Federal Register of the agency’s notice, 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 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.
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The Department of Education published the appropriate Federal Register Notices in a 60-

day and a 30-day notice there were no public comments. 

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

remuneration of contractors or grantees.

There will be no payment or gift to respondents.

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

the assurance in statute, regulation, or agency policy.

No assurance of confidentiality is provided specifically for the information collected for

compliance with the GEPA Section 427 provision. 

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 information, the 

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

steps to be taken to obtain their consent.

The GEPA Section 427 provision does not require the respondent to provide information of 

a sensitive nature.

12. 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 16 of 

IC Data Part 1.
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 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 not be included in Item 14.

The estimated burden of this collection of information will range from 1-3 hours with an 

average of 1.5 hours. The respondents have been given broad guidelines in fulfilling this 

information collection and some applicants may not have to collect any information to 

respond to this requirement. 

The previous respondent number from 2010 included approximately 17,928 new

discretionary grant respondents and 8,208 formula grant respondents for 26,136. In FY 

2012, the number of new grant respondents was 16,594 respondents. The total number of 

respondents for FY 2013 is estimated at 5,373 new discretionary grant respondents and 

7,023 for new formula grant respondents for a total of 12,396 new grant respondents. This 

calculates to 12,396 x 1.5 Hours = 18,594. We expect this number to remain the same or 

increase FY 2014-2016.

Similarly, the annualized cost to respondents would be minimal because the information 

collected in response to this requirement concerns participation data that should be readily 

accessible to the respondent. In addition, because an applicant has discretion in 

determining how to respond to the requirement, the amount of time necessary to prepare 

the response will vary from applicant to applicant. We estimate that, on average, each 

response will require a local education agency program specialist or agency grant specialist 

at $25.30/hour 1.5 hours to complete. ($25.30 an hour X 1.5 Hours = $37.95).

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 record storage facilities.
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 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.

Total Annualized Capital/Startup Cost : $ .00

Total Annual Costs (O&M) : .00

____________________

Total Annualized Costs Requested : $ .00

There are no costs to respondents beyond those described under number 12.

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.

The annualized cost to the Federal Government will be minimal and will vary from program to 

program. An applicant has discretion in determining which barriers to access to, and 

participation in, its project need be addressed in response to the GEPA Section 427 requirements. 

Thus, the grade level of the Department employee reviewing the response will vary and the 

number of hours it would take for the review will vary. We estimate that, on average, for each 

response a GS-11 will review the information collected for .5 hours. We estimate the annualized 

cost to the Federal Government of responding to this requirement as $185,506.14: $29.93 an 

hour X .5 hour X 12,396 (estimated number of new discretionary and formula applications). 

15. Explain the reasons for any program changes or adjustments to #16f of the IC Data 

Part 1 Form.

The total number of respondents has increased from 21,922 to 26,136 accounting for the 

adjustment of 6,371 Burden Hours.
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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.

No plans exist to publish the results of this information collection.

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.

The Department will display the expiration date on the GEPA Section 427 document.

18. Explain each exception to the certification statement identified in the Certification of 

Paperwork Reduction Act.

There are no exceptions to the certification statement.