SUPPORTING STATEMENT

A. JUSTIFICATION

Q1. Explain the circumstances that make the collection of information necessary. Identify any 

legal or administrative requirements that necessitate the collection. Attached is a copy of the 

appropriate section of each statute and regulation mandating or authorizing the collection of 

information.

Section 9521(a) of the Elementary and Secondary Education Act of 1965, as amended (ESEA)

provides that a local educational agency (LEA) may receive funds under Title I, Part A and other 

ESEA “covered programs” for any fiscal year only if the State educational agency (SEA) finds 

that either the combined fiscal effort per student or the aggregate expenditures of the LEA and 

the State with respect to the provision of free public education by the LEA for the preceding 

fiscal year was not less than 90 percent of the combined fiscal effort or aggregate expenditures 

for the second preceding fiscal year. This provision is the maintenance of effort (MOE) 

requirements for LEAs under the ESEA.

If an LEA fails to meet the MOE requirement, under section 9521(b) of the ESEA, the SEA must 

reduce the amount of funds allocated under the programs covered by the MOE requirement in 

any fiscal year in the exact proportion by which the LEA fails to maintain effort by falling below 

90 percent of either the combined fiscal effort per student or aggregate expenditures. In reducing 

an LEA’s allocation because it failed to meet the MOE requirement, the SEA uses the measure 

most favorable to the LEA.

Section 9521(c) gives the U.S. Department of Education (ED) the authority to waive the ESEA's 

MOE requirement for an LEA if it would be equitable to grant the waiver due to an exceptional 

or uncontrollable circumstance such as a natural disaster or a precipitous decline in the LEA's 

financial resources. Once an MOE waiver is granted, the reduction required by section 9521(b) 

does not occur for that year.

To review MOE waiver requests, ED relies primarily on expenditure, revenue, and other data 

relevant to an LEA’s request provided by the SEA. To assist SEAs with submitting this 

information, ED developed an MOE waiver form as part of the 2009 Title I, Part A Waiver 

Guidance, which covered a range of waivers that ED invited at that time.

The purpose of this collection is to renew approval for the MOE waiver form. ED believes that 

the proposed form, which is slightly modified from the currently approved version, will enable 

an SEA to provide the information needed in an efficient manner. The SEA may need to obtain 

information from its LEAs, and this collection includes burden at the SEA and LEA levels. 

Q2. 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.

ED will use the information provided in the form to decide whether to grant an MOE waiver.
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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 adopting this means of collection. Also describe any consideration of using 

information technology to reduce burden.

ED plans to continue to make this form available on its website. 

Q4. 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.

There is no duplication in the collection. 

Q5. If the collection of information impacts small businesses or other small entities (Item 5 of 

OMB Form 83-I), describe any methods used to minimize burden.

The form is designed for an SEA to provide information for all of its LEAs, including small 

LEAs.

Q6. 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.

If the collection is not conducted, it would be more difficult for ED to obtain the information it 

needs to review an LEA’s MOE waiver requests for programs covered under this requirement. 

Consequently, it would be more likely that an SEA would be required to reduce the LEA’s 

allocations for those programs, even if the LEA’s circumstances warranted the granting of a 

waiver. 

Q7. Explain any special circumstance 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 that 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
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 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.

This collection is consistent with 5 CFR 1320.5. 

Q8. 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 those 

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 preclude 

consultation in a specific situation. These circumstances should be explained.

The Department is providing the public with an opportunity to comment during the 60-day

period for this collection. This information requested is consistent with the statutory

requirements that govern the granting of an MOE waiver under section 9521(c) of the ESEA.

Q9. Explain any decision to provide any payment or gift to respondents, other than 

renumeration of contractors or grantees.

No payments or gifts to respondents have been made.

Q10. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulations, or agency policy.

There is no assurance of confidentiality.

Q11. 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. 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 be given to persons 

from whom the information is requested, and any steps to be taken to obtain their consent.

There are no questions of a sensitive nature.

Q12. Provide estimates of the hour burden of the collection of information. The statement 

should:
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 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 13 of OMB Form 83-I.

 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.

ED’s estimate of the burden hours per SEA and LEA remains the same as what was approved for

the current collection. At the SEA level, ED estimates that the 52 SEAs would need an average 

of 80 hours to complete the form, for a total of 4,160 hours and a total cost of $124,800. 

With respect to LEAs, in the current collection approved in 2010, ED estimated that up to 300 

LEAs a year may request MOE waivers. The actual number has been smaller. As a result, we 

are basing our estimate on 150 LEAs a year, for a total of 1,200 hours and a total cost of 

$30,000. 

Entity Number Hours/Response Total Hours Cost/Hour Total Cost

SEA 52 80 4,160 $30 $124,800

LEA 150 8 1,200 $25 $30,000

Totals: 202 5,360 $154,800

In total, ED estimates 5,360 hours a year and a cost of $154,800.

Q13. 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 
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as purchasing computers and software; monitoring, sampling, drilling and testing 

equipment; and 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.

There are no costs that (a) meet the criteria for inclusion under this item and (b) have not been 

addressed in either item #12 or #14.

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 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 Federal costs will involve reviewing the MOE waiver requests. We estimate a yearly cost of 

$6,190 to review and respond to the requests. This estimate is based on responding to 52 SEAs 

to indicate the decisions on 150 LEA requests, and it assumes two hours for each response by an 

individual at $45.99 per hour and one-half hour for each response by an individual at $54.10 per 

hour. 

Q15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of 

the OMB Form 83-I.

The change to Item 14 from the previously approved collection is primarily due to the reduced 

scope of the collection to only MOE waivers. The previous collection also included other 

waivers that ED invited in 2009 that pertained specifically to Title I, Part A of the ESEA and the 

American Recovery and Reinvestment Act. We are only renewing the collection for the MOE 

waiver request form. Therefore, the burden associated with this collection decreases by 24,280 

hours.

Q16. 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.
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There are no plans to publish the results of this data collection.

Q17. If seeking approval to not display the expiration date for OMB approval of the information 

collection, explain the reasons that display would be inappropriate.

No request is being made to not display the expiration date for OMB approval of the information 

collection.

Q18. Explain each exception to the certification statement identified in Item 20, "Certification 

for Paperwork Reduction Act Submissions," of OMB Form 83-I.

There are no exceptions to the referenced certification statement.

B. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS 

This information collection does not employ statistical methods.