81 FR 52814 - Agency Information Collection Activities: Proposed Collection; Comments Request-Third Access Participation Eligibility and Certification Study Series (APEC III)

DEPARTMENT OF AGRICULTURE
Food and Nutrition Service

Federal Register Volume 81, Issue 154 (August 10, 2016)

Page Range		52814-52819
FR Document		2016-18983

In accordance with the Paperwork Reduction Act of 1995, this notice invites the general public and other public agencies to comment on this proposed information collection. This is a reinstatement, with change, of a previously approved collection for which approval has expired (OMB Number 0584-0530, Expiration Date: 08/31/2015); for the Third Access Participation Eligibility and Certification Study Series (APEC III).

Federal Register, Volume 81 Issue 154 (Wednesday, August 10, 2016)

[Federal Register Volume 81, Number 154 (Wednesday, August 10, 2016)]
[Notices]
[Pages 52814-52819]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-18983]


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DEPARTMENT OF AGRICULTURE

Food and Nutrition Service


Agency Information Collection Activities: Proposed Collection; 
Comments Request--Third Access Participation Eligibility and 
Certification Study Series (APEC III)

AGENCY: Food and Nutrition Service (FNS), USDA.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Paperwork Reduction Act of 1995, this 
notice invites the general public and other public agencies to comment 
on this proposed information collection. This is a reinstatement, with 
change, of a previously approved collection for which approval has 
expired (OMB Number 0584-0530, Expiration Date: 08/31/2015); for the 
Third Access Participation Eligibility and Certification Study Series 
(APEC III).

DATES: Written comments must be received on or before October 11, 2016.

ADDRESSES: Comments are invited on: (a) Whether the proposed collection 
of information is necessary for the proper performance of the functions 
of the agency, including whether the information shall have practical 
utility; (b) the accuracy of the agency's estimate of the burden of the 
proposed collection of information, including the validity of the 
methodology and assumptions that were used; (c) ways to enhance the 
quality, utility, and clarity of the information to be collected; and 
(d) ways to minimize the burden of the collection of information on 
those who are to respond, including use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology.
    Comments may be sent to: Devin Wallace-Williams, Ph.D., Food and 
Nutrition Service, U.S. Department of Agriculture, 3101 Park Center 
Drive, Alexandria, VA 22302. Comments may also be submitted via fax to 
the attention of Devin Wallace-Williams, Ph.D. at 703-305-2576 or via 
email to [email protected]. Comments will also be 
accepted through the Federal eRulemaking Portal. Go to http://www.regulations.gov, and follow the online instructions for submitting 
comments electronically.
    All written comments will be open for public inspection at the 
office of the Food and Nutrition Service during regular business hours 
(8:30 a.m. to 5:00 p.m. Eastern Standard Time Monday through Friday) at 
3101 Park Center Drive, Alexandria, Virginia 22302.
    All responses to this notice will be summarized and included in the 
request for Office of Management and Budget approval. All comments will 
be a matter of public record.

FOR FURTHER INFORMATION CONTACT: Requests for additional information or 
copies of this information collection should be directed to Devin 
Wallace-Williams, Ph.D. at 703-457-6791.

SUPPLEMENTARY INFORMATION: 
    Title: Third Access, Participation, Eligibility, and Certification 
Study Series (APEC III).
    Form Number: Not applicable.
    OMB Number: 0584-0530.
    Expiration Date: Not Yet Determined.
    Type of Request: Reinstatement, with change, of a previously 
approved collection for which approval has expired.
    Abstract: The purpose of this third study on Access, Participation, 
Eligibility, and Certification (APEC III) is to provide the Food and 
Nutrition Service (FNS) with key information on the annual error rates 
and erroneous payments for the National School Lunch Program (NSLP) and 
School Breakfast Program (SBP) in school year (SY) 2017-2018. In 
addition, APEC III will identify School Food Authority (SFA), school, 
and student/household characteristics that may be related to error 
rates, and identify strategies and actionable guidance for reducing 
errors. Specifically, the four study objectives are:
     Objective 1: Generate a national estimate of the annual 
amount of erroneous payments based on School Year 2017-2018 by 
replicating the APEC methodology.
     Objective 2: Provide a robust examination of the 
relationship of student (household), school, and SFA characteristics to 
error rates.
     Objective 3: Conduct a sub-study on the differences in 
error rates among SFAs using different implementation strategies in 
their school meals programs.
     Objective 4: Perform qualitative analyses examining the 
reasons for erroneous payments.
    Consistent with APEC methodology, APEC III will collect data to 
address the study objectives using a multistage-clustered sample 
design, which will include:
     A nationally representative sample of SFAs in the 
contiguous 48 states and the District of Columbia;
     A stratified sample of schools within each SFA (i.e. 
sampling from SFAs with Community Eligibility Provision (CEP) schools 
and from SFAs without CEP schools independently to ensure proportional 
representation in the final sample); and
     A random sample of students (households) within each 
sampled school that applied for free and reduced-price meals (including 
denied applicants), were categorically eligible for free meals, or were 
directly certified for free meals.
    APEC III will collect data via in-person visits to SFAs, schools, 
and

[[Page 52815]]

households to measure certification, aggregation, and meal claiming 
errors. Data collection will include (a) abstraction from income 
eligibility applications, categorical eligibility records and CEP 
records for determining the identified student percentage (ISP); (b) 
abstraction of meal count and claiming records from SFAs, schools and 
FNS administrative data; (c) an SFA director survey; (d) school meal 
observations; and (e) household surveys. Abstraction of income 
eligibility data and household surveys will take place three times 
during the study year to ensure coverage of applicants from different 
times during the year. APEC III data collection will also include 
qualitative data collection to help better understand the factors that 
contribute to errors, including an SFA director interview, a cafeteria 
manager interview and in-depth interviews with select households. 
Finally, administrative meal participation data (data on the number of 
meals served and claimed for sampled students) will be collected as 
well.
    To measure certification error in non-CEP schools due to 
administrative errors, APEC III will independently determine 
certification status based on abstracted application data to assess 
errors in the SFA determination of certification status. To measure 
certification error in non-CEP schools due to household reporting 
errors, APEC III will independently determine certification status 
based on household survey data. This independent determination will be 
compared to certification status based on data reported on the 
application. To measure meal claiming errors, APEC III will conduct 
observations of a sample of meals served to students to confirm that 
meals claimed for reimbursement meet the meal pattern requirements. To 
measure aggregation error APEC III will abstract meal count and 
claiming records from different sources (school, SFA, State) for a 
target month, and identify discrepancies in data reported at each stage 
of the meal counting and claiming process. The following describes the 
types of error:

1. Certification errors

     Certification errors occur when students are certified for 
levels of benefits for which they are not eligible. Specifically, the 
student is certified for the wrong meal eligibility category.
     Because each meal eligibility category is reimbursed at 
different rates, an error in certification results in an incorrect 
level of benefit being paid to the SFA--either an overpayment or 
underpayment.
     Certification error may result from administrative error 
on the part of the SFA during application review or it can result from 
a household reporting error.
     Certification errors contribute the largest share to the 
total erroneous payments.

2. Meal claiming errors

     Meal claiming errors occur when there is an improper 
classification of meal reimbursement status based on meal components 
served.
     In schools operating with offer versus serve, including 
all high schools, the student may select fewer meal components/food 
items and still have a reimbursable meal (provided all components are 
offered to the student).
     In schools that are not operating under ``offer versus 
serve,'' a complete meal must contain all meal components required 
under the breakfast or lunch meal patterns.

3. Aggregation errors

     Aggregation errors occur in the process of counting, 
consolidating, and claiming the number of meals served in a given month 
(by claiming category--free, reduced priced, or paid)
     This occurs in the transmission of meal count and claim 
data between school, SFA, State and USDA for reimbursement.
    The sample will include schools participating in the CEP and non-
CEP schools. In summary, CEP allows school districts, individual 
schools, or groups of schools to offer breakfasts and lunches at no 
charge to all students if at least 40 percent of their students are 
``Identified Students''--that is, approved for free meals without an 
application based on participation in programs such as the Supplemental 
Nutrition Assistance Program (SNAP) or Temporary Assistance for Needy 
Families (TANF). In CEP, all meals are free to students. However, the 
percentage of meals claimed at the free and paid reimbursement level is 
determined by the Identified Student Percentage (ISP). Thus, the 
procedures for measuring certification errors in CEP will be focused on 
independently verifying the ISP and the claiming percentages for free 
and paid meals.
    The analysis plan includes four components: Calculating error and 
erroneous payment estimates, comparisons to APEC I and APEC II 
estimates, quantitative and qualitative analyses to identify factors 
associated with errors, and developing an error forecasting model. The 
calculation of estimates from APEC III will include the incidence of 
error, the total dollar amount of error and the dollar based error 
rate. The comparisons to prior APEC studies will include tests for 
significant changes over time. The quantitative and qualitative 
analyses will examine the sources and causes of errors with a focus on 
identifying potential policy options for reducing errors. Finally, the 
estimation modeling will provide both State and National models for 
estimating errors using econometric forecasting and Bayesian 
approaches, and small area estimation models (for State level 
estimates).
    Affected Public: Individuals/Households, State, Local, or Tribal 
Government, and Businesses and Other for Profit and Not for Profit 
Organizations. Respondent groups identified include: (1) Child 
Nutrition (CN) State agencies, (2) School Food Authorities (SFAs), (3) 
Schools (both CEP schools and non-CEP schools), and (4) parents/
guardians of sampled students that are either certified to receive a 
free or reduced price meal or who applied for but were denied benefits 
in School Year (SY) 2017-18.
    Estimated Number of Respondents: The total estimated number of 
respondents is 9,456. This includes 7,606 responding program 
participants, (b) 1,824 non-responding program participants, and (c) 26 
program non-participants. The responding program participants include: 
44 State CN agency administrators; 44 State CN data managers; 275 
directors at SFAs; 275 staff at SFAs; 275 data managers at SFAs; 625 
school principals; 625 school staff; 625 school cafeteria managers; and 
4,818 parents or guardians of sampled students. The number of SFA 
Directors, Cafeteria Managers and parents or guardians that will also 
complete the qualitative in-depth interviews are included in the 
counts. Non-responding program participants include: 62 directors at 
SFAs, 156 school principals, and 1,606 parents or guardians of sampled 
students. Program non-participants, as part of cognitive pretesting, 
include: 9 SFA Director Survey Pre-test participants; 3 SFA Director 
In-Depth Interview Pre-test participants; 2 Cafeteria Manager In-Depth 
Interview Pre-test participants; 9 Household Survey Pre-test 
participants; and 3 Household In-Depth Interview Pre-test participants.
    Estimated Frequency of Responses per Respondent: The estimated 
frequency of response across the entire collection is 6.25. For the 
respondents, the estimated frequency of response is estimated at 7.01 
annually, while the frequency for non-respondents is estimated at 3.09 
annually. Administrators at State CN agencies will be contacted up to 
two times: (1) Initial study contact and (2) a one-time data request 
for meal count

[[Page 52816]]

and claiming data submitted by the sampled SFAs for the SY 2017-2018. 
Data managers at the State CN agencies will be expected to provide a 
response to the one-time data request.
    The SFAs (SFA directors, staff at the SFAs, and/or data managers at 
the SFA) will be contacted up to eight times for: (1) Study 
notification and request for the verification of administrative data 
(2) to complete a telephone pre-visit interview; (3) an on-site visit 
to abstract records; (4) a telephone contact to ask for any additional 
income eligibility applications for new students enrolled during phase 
2 of data collection; (5) a telephone contact to ask for any additional 
income eligibility applications for new students enrolled during phase 
3 of data collection; (6) a request for administrative data submitted 
to the State CN agency; (7) a request to complete a web-based SFA 
Director Survey; and (8) a telephone contact with a sub-set of 60 SFA 
Directors that complete the SFA Director Survey to complete a 
qualitative in-depth interview.
    Schools (principals, staff, and/or cafeteria managers) will be 
contacted up to three times for: (1) Study notification; (2) to 
complete a pre-visit telephone interview to help prepare for the in-
person data collection visit; and (3) an onsite data collection visit 
to abstract meal count and claiming records, conduct observations of 
meal service and to complete a brief interview with the cafeteria 
manager.
    Parents or guardians of sampled households will be contacted up to 
three occasions for: (1) Recruitment; (2) to complete a one time in-
person household survey; and (3) to complete an in-depth phone 
interview (with a subset of 60 households that completed the Household 
Survey).
    There will be approximately 62 non-responding SFAs, 156 non-
responding schools, and 1,606 non-responding households. The burden for 
non-respondents is outlined in the table that follows, and includes the 
time to review introductory materials and respond to the follow up 
contact call, as well as data collection activities.
    Program non-participants are contacted only once for the pretesting 
of survey instruments.
    Estimated Total Annual Responses: The total estimated number of 
responses for data collection is 59,133. This includes 53,505 for 
respondents and 5,628 for non-respondents.
    Estimated Time per Response: The estimated time per response is 
14.76 minutes (0.246 hours) for respondents, and 2.94 minutes (0.049 
hours) for non-respondents. The estimated time of response across the 
entire collection is 13.62 minutes (0.227 hours). The estimated time of 
response varies from 1 minute to four hours depending on respondent 
group, as shown in the table below.
    Estimated Total Annual Burden on Respondents: The total public 
reporting burden for this collection of information is estimated at 
13,445 hours (annually). The estimated burden for each type of 
respondent is given in the table below.

     Dated: August 2, 2016.
Yvette S. Jackson,
Acting Administrator, Food and Nutrition Service.
 BILLING CODE 3410-30-P

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[FR Doc. 2016-18983 Filed 8-9-16; 8:45 am]
 BILLING CODE 3410-30-C

52814 Federal Register / Vol. 81, No. 154 / Wednesday, August 10, 2016 / Notices

3 years. The recordkeeping burden has Estimated Number of Responses per recordkeeping burden for OMB No.
not changed. Respondent: 13.58. 0584–0081, is 17.28 hours. The current
Affected Public: State agencies that Estimated Total Annual Responses: burden inventory for this collection is
administer SNAP. 719.74 rounded up to 720. 5,187 hours. This decrease is a result
Estimated Hours per Response: .024. merging the reporting burden to OMB#
Estimated Number of Respondents: Estimated Total Annual Burden on 0584–0594 collection. See the table
53. Respondents: This revised annual below for estimated total annual burden.

Time per Annual
Number of Frequency of Total annual
Affected public Forms response recordkeeping
recordkeepers response records (hours) hours

State Agencies .................... FNS–388 ............................ 53 11.32 600 .024 14.4
FNS–388A .......................... 53 2.26 120 .024 2.88

Record-keeping Burden ...... ............................................. 53 13.58 720 0.024 17.28

Dated: July 12, 2016. mechanical, or other technological payments for the National School Lunch
Audrey Rowe, collection techniques or other forms of Program (NSLP) and School Breakfast
Administrator, Food and Nutrition Service. information technology. Program (SBP) in school year (SY)
[FR Doc. 2016–18972 Filed 8–9–16; 8:45 am] Comments may be sent to: Devin 2017–2018. In addition, APEC III will
BILLING CODE 3410–30–P Wallace-Williams, Ph.D., Food and identify School Food Authority (SFA),
Nutrition Service, U.S. Department of school, and student/household
Agriculture, 3101 Park Center Drive, characteristics that may be related to
DEPARTMENT OF AGRICULTURE Alexandria, VA 22302. Comments may error rates, and identify strategies and
also be submitted via fax to the attention actionable guidance for reducing errors.
Food and Nutrition Service of Devin Wallace-Williams, Ph.D. at Specifically, the four study objectives
703–305–2576 or via email to are:
Agency Information Collection Devin.Wallace-Williams@fns.usda.gov. • Objective 1: Generate a national
Activities: Proposed Collection; Comments will also be accepted through estimate of the annual amount of
Comments Request—Third Access the Federal eRulemaking Portal. Go to erroneous payments based on School
Participation Eligibility and http://www.regulations.gov, and follow Year 2017–2018 by replicating the APEC
Certification Study Series (APEC III) the online instructions for submitting methodology.
AGENCY: Food and Nutrition Service comments electronically. • Objective 2: Provide a robust
(FNS), USDA. All written comments will be open for examination of the relationship of
public inspection at the office of the student (household), school, and SFA
ACTION: Notice.
Food and Nutrition Service during characteristics to error rates.
SUMMARY: In accordance with the regular business hours (8:30 a.m. to 5:00 • Objective 3: Conduct a sub-study on
Paperwork Reduction Act of 1995, this p.m. Eastern Standard Time Monday the differences in error rates among
notice invites the general public and through Friday) at 3101 Park Center SFAs using different implementation
other public agencies to comment on Drive, Alexandria, Virginia 22302. strategies in their school meals
this proposed information collection. All responses to this notice will be programs.
This is a reinstatement, with change, of summarized and included in the request • Objective 4: Perform qualitative
a previously approved collection for for Office of Management and Budget analyses examining the reasons for
which approval has expired (OMB approval. All comments will be a matter erroneous payments.
Number 0584–0530, Expiration Date: Consistent with APEC methodology,
of public record.
08/31/2015); for the Third Access APEC III will collect data to address the
FOR FURTHER INFORMATION CONTACT: study objectives using a multistage–
Participation Eligibility and Requests for additional information or
Certification Study Series (APEC III). clustered sample design, which will
copies of this information collection include:
DATES: Written comments must be should be directed to Devin Wallace- • A nationally representative sample
received on or before October 11, 2016. Williams, Ph.D. at 703–457–6791. of SFAs in the contiguous 48 states and
ADDRESSES: Comments are invited on: SUPPLEMENTARY INFORMATION: the District of Columbia;
(a) Whether the proposed collection of Title: Third Access, Participation, • A stratified sample of schools
information is necessary for the proper Eligibility, and Certification Study within each SFA (i.e. sampling from
performance of the functions of the Series (APEC III). SFAs with Community Eligibility
agency, including whether the Form Number: Not applicable. Provision (CEP) schools and from SFAs
information shall have practical utility; OMB Number: 0584–0530. without CEP schools independently to
(b) the accuracy of the agency’s estimate Expiration Date: Not Yet Determined. ensure proportional representation in
of the burden of the proposed collection Type of Request: Reinstatement, with the final sample); and
of information, including the validity of change, of a previously approved • A random sample of students
the methodology and assumptions that collection for which approval has (households) within each sampled
mstockstill on DSK3G9T082PROD with NOTICES

were used; (c) ways to enhance the expired. school that applied for free and
quality, utility, and clarity of the Abstract: The purpose of this third reduced-price meals (including denied
information to be collected; and (d) study on Access, Participation, applicants), were categorically eligible
ways to minimize the burden of the Eligibility, and Certification (APEC III) for free meals, or were directly certified
collection of information on those who is to provide the Food and Nutrition for free meals.
are to respond, including use of Service (FNS) with key information on APEC III will collect data via in-
appropriate automated, electronic, the annual error rates and erroneous person visits to SFAs, schools, and

VerDate Sep<11>2014 17:34 Aug 09, 2016 Jkt 238001 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\10AUN1.SGM 10AUN1

$52816 Federal Register / Vol. 81, No. 154 / Wednesday, August 10, 2016 / Notices and claiming data submitted by the to three times for: (1) Study notification; Estimated Total Annual Responses: sampled SFAs for the SY 2017–2018. (2) to complete a pre-visit telephone The total estimated number of responses Data managers at the State CN agencies interview to help prepare for the in- for data collection is 59,133. This will be expected to provide a response person data collection visit; and (3) an includes 53,505 for respondents and to the one-time data request. onsite data collection visit to abstract 5,628 for non-respondents. The SFAs (SFA directors, staff at the meal count and claiming records, SFAs, and/or data managers at the SFA) Estimated Time per Response: The conduct observations of meal service will be contacted up to eight times for: estimated time per response is 14.76 and to complete a brief interview with (1) Study notification and request for the cafeteria manager. minutes (0.246 hours) for respondents, the verification of administrative data and 2.94 minutes (0.049 hours) for non- Parents or guardians of sampled respondents. The estimated time of (2) to complete a telephone pre-visit households will be contacted up to interview; (3) an on-site visit to abstract response across the entire collection is three occasions for: (1) Recruitment; (2) records; (4) a telephone contact to ask 13.62 minutes (0.227 hours). The to complete a one time in-person for any additional income eligibility estimated time of response varies from household survey; and (3) to complete applications for new students enrolled an in-depth phone interview (with a 1 minute to four hours depending on during phase 2 of data collection; (5) a subset of 60 households that completed respondent group, as shown in the table telephone contact to ask for any the Household Survey). below. additional income eligibility Estimated Total Annual Burden on applications for new students enrolled There will be approximately 62 non- responding SFAs, 156 non-responding Respondents: The total public reporting during phase 3 of data collection; (6) a schools, and 1,606 non-responding burden for this collection of information request for administrative data submitted to the State CN agency; (7) a households. The burden for non- is estimated at 13,445 hours (annually). request to complete a web-based SFA respondents is outlined in the table that The estimated burden for each type of Director Survey; and (8) a telephone follows, and includes the time to review respondent is given in the table below. contact with a sub-set of 60 SFA introductory materials and respond to Dated: August 2, 2016. Directors that complete the SFA the follow up contact call, as well as Yvette S. Jackson, Director Survey to complete a data collection activities. Acting Administrator, Food and Nutrition qualitative in-depth interview. Program non-participants are Service. Schools (principals, staff, and/or contacted only once for the pretesting of BILLING CODE 3410–30–P cafeteria managers) will be contacted up survey instruments. mstockstill on DSK3G9T082PROD with NOTICES VerDate Sep<11>2014 17:34 Aug 09, 2016 Jkt 238001 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\10AUN1.SGM 10AUN1$

Document Created: 2016-08-10 01:59:15
Document Modified: 2016-08-10 01:59:15

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice.
Dates		08/31/2015); for the Third Access Participation Eligibility and Certification Study Series (APEC III).
Contact		Requests for additional information or copies of this information collection should be directed to Devin Wallace-Williams, Ph.D. at 703-457-6791.
FR Citation		81 FR 52814

81 FR 52814 - Agency Information Collection Activities: Proposed Collection; Comments Request-Third Access Participation Eligibility and Certification Study Series (APEC III)

DEPARTMENT OF AGRICULTUREFood and Nutrition Service

Federal Register Volume 81, Issue 154 (August 10, 2016)

DEPARTMENT OF AGRICULTURE
Food and Nutrition Service