Att_SupportingStatementLINCSPDmappingA

OMB No. 1800-xxxx:

Expires xx/xx/2008

OMB Clearance for LINCS Professional Development Mapping Survey

Supporting Statement A

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

Background for Collection of Data: Since the mid 1990s, the Literacy Information and Communication System, commonly referred to as LINCS, has served as the backbone of the National Institute for Literacy's (the Institute) dissemination system, providing information on a wide variety of literacy relevant topics, issues, and resources. These resources were intended to assist adult education practitioners in their work, by providing high-quality resources, research and instructional materials. Adult education is defined as those programs that provide adult basic education, adult secondary education, GED preparation, adult English as a Second Language, or family literacy services. Part of LINCS was a system of Regional Technology Centers that worked with individual states in building technology capacity and using LINCS resources in teaching and learning in adult education classrooms.

The Institute is in a new phase of its LINCS work, as authorized by the Workforce Investment Act, Section 242(c) 20 USC 9252, which focuses the current Regional Resource Centers on disseminating the Institute’s resources and trainings, as part of the new grant project that was funded in FY 2005-2006 (CFDA 84.257T). LINCS is the primary means through which the Institute reaches its target audience and fulfills requirements under the AEFLA to provide a “national electronic database of information t hat disseminates information to the broadest possible audience within the literacy and basic skills field.” The Institute wants to be more systematic in fulfilling the needs of practitioners as they seek to improve their programs and instructional practices. In order to know how our resources and training can fit into the existing professional development that practitioners receive, information needs to be gathered from both states and the individual practitioners.

The Regional Resource Centers are conducting this survey of customers within the adult education field in order to improve the services of the Institute. We are seeking to gather information about existing practices, approaches, and delivery systems for the professional development of adult education practitioners and volunteers in each state. The Professional Development Mapping instrument surveys state-level staff about what professional development opportunities are provided for practitioners. In order to know how the Institute’s resources and training can fit into the existing professional development activities that states offer, we need to gather data from state adult basic education offices, volunteer literacy offices, professional associations, and other supporting agencies in all 50 states, plus the District of Columbia and Puerto Rico.

A second survey, the LINCS Needs Assessment Survey (submitted and approved as a separate package), will gather information about the continuing and new professional development needs of adult education practitioners throughout the country. The information obtained from both surveys will inform the dissemination and training plans for the Regional Resource Centers for the next two years.

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 LINCS Regional Resource Centers will map the existing professional development systems for adult education in each state on behalf of the National Institute for Literacy. This mapping will profile the structure, delivery systems, and needs of the professional development offices and organizations in each region with particular emphasis in gathering information on the awareness and use of scientifically-based and other high quality research and materials. The mapping survey will be administered after the LINCS Needs Assessment Survey. Both the LINCS Needs Assessment Survey and the LINCS Professional Development Instrument will contribute to developing a comprehensive dissemination plan.

Data from the surveys will be entered into a centralized database. The data collected will give an overview of existing professional development activities in adult education for all 50 states, including federally and state-funded systems as well as nonprofit systems. Information collected will give us insights on how the dissemination of Institute-produced materials and training can be improved and to identify areas where the Institute might want to develop additional materials and trainings. The Regional Resource Centers will use the data to develop a regional dissemination plan that will include how to best disseminate and present Institute-sponsored resources and training in partnership with the state organizations.

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.

The survey will be administered over the web and responses will be recorded in a database. Any surveys completed by hand will be entered into the database by Regional Resource Center staff. The Regional Resource Center staff will conduct follow-up telephone calls to solicit additional responses or information.

The web-based portion of the survey will be written using Cold Fusion and Microsoft Access. Survey participants will be e-mailed the URL (website address) of the survey, a common username and a default password. Technical support for help with usernames, passwords, and general survey functionality will be provided via e-mail and telephone.

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.

Neither the National Adult Education Professional Development Consortium, nor ProLiteracy America (two national organizations), have conducted a mapping of professional development systems; and there is no information available online about other organizations that could have conducted a similar assessment.

5. 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.

State-level staff will be surveyed for the mapping; therefore, there should not be a burden on small adult education programs or small businesses. Administering the survey through the web reduces the burden and costs associated with filling out and mailing a paper survey instrument. The Institute intends to reach practitioners within adult education programs with the LINCS Needs Assessment Survey instrument.

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 is anticipated to be a one-time data collection. If this survey is not conducted, the Institute will not be able to address the needs of practitioners and state partners in a meaningful way.

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 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.

No special circumstances of data collection are anticipated.

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.

The staff of the three Regional Resource Centers participated in the development of the mapping survey; they will also be involved in its implementation. No outside consultants were used in the development, although a sample of an informal professional development mapping survey was furnished by World Education/National Center for Study of Adult Learning and Literacy.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

There will be no payments or gifts provided to respondents for completing this survey.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

Responses to this data collection will be used only for statistical purposes. The reports prepared for this study will summarize findings across the sample and will not associate responses with a specific district or individual. We will not provide information that identifies you or your district to anyone outside the study team, except as required by law.

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 survey does not include any questions 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 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 not be included in Item 14.

The web-based surveys will be distributed to state adult basic education offices, volunteer literacy offices, professional associations, and other supporting agencies in each state. Surveying and reaching out to state-level staff would yield an estimated total sample of between 50–100 respondents. A maximum of 100 people will be reached to respond to the survey (approximately two per state.) Based on responses from an average of 1.6 staff from each state, we anticipate receiving approximately 83 completed surveys for analysis. The burden for respondents is estimated at 45 minutes per survey for a total of 63 annual hours and a total cost burden of approximately $3,150 (based on an average wage rate of $50/hour for state staff.) It is anticipated that we will reach one State Education Adult Education Office and one professional organization or one major state association in each state, including DC and Puerto Rico.

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.

• 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: $ 0

Total Annual Costs (O&M): $ 0 ___________________

Total Annualized Costs Requested: $ 0

There are no capital, start-up, or operating costs to individuals or organizations for participation in the survey. No equipment, printing, or postage charges will be incurred.

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 total cost to the federal government of the LINCS Professional Development mapping project is $77,000. This includes federal staff salaries and expenses of approximately $2,000 and contract costs to the federal government of approximately $75,000 ($25,000 per Regional Resource Center). Included in the cost estimate are staff time, mapping development, technical requirements and set-up and communication costs associated with the management, data collection, analysis, and reporting for which clearance is requested.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

This is a new collection.

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.

Activity Date

Data Collection begins Six-eight weeks after OMB approval

Data Collection complete Twelve weeks after data collection begins

Data Analysis complete Five weeks after data collection ends

Preliminary reports Three weeks after analysis completed

Dissemination draft plans Six weeks after analysis completed

Final Dissemination plans Three weeks after draft submitted

Final Reports Two weeks after final dissemination plans submitted

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 expiration date for OMB approval of the information collection will be displayed on the data collection instrument and materials. No special exception to this request is requested.

18. 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 certification statement identified in the Certification for Paperwork Reduction Act Submissions of OMB Form 83-I.

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