1

Attachment B

SUPPORTING STATEMENT FOR INFORMATION COLLECTION 

REQUEST NUMBER 0938.18 (2030-0020)

1. Identification of the Information Collection

1(a). Title of the Information Collection. “GENERAL ADMINISTRATIVE 

REQUIREMENTS FOR ASSISTANCE PROGRAMS”

1(b). Short Characterization/Abstract. This is a request for a renewal of an existing 

Information Collection Request (ICR) due to expire on April 30, 2012. This ICR 

authorizes the collection of information under EPA’s General Regulation for Assistance 

Programs that establishes the minimum management requirements for all recipients of 

EPA grants or cooperative agreements (assistance agreements). 40 CFR Part 30, “Grants 

and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit

Organizations,” establishes the management requirements for institutions of higher 

education, hospitals, and other non-profit organizations, as well as procurement 

requirements for non-governmental recipients. 40 CFR Part 31, “Uniform Administrative 

Requirements for Grants and Cooperative Agreements to State and Local Governments,” 

includes the management requirements for States, local governments, and Indian Tribal 

governments. These regulations include only those provisions mandated by statute, 

required by Office of Management and Budget (OMB) Circulars, or added by EPA to 

ensure sound and effective financial assistance management. This renewal request also 

incorporates reporting and audit requirements associated with assistance programs funded 

under the American Recovery and Reinvestment Act (ARRA) of 2009.

In addition, under Executive Orders 11625, 12138, and 12432, EPA is required to 

promote and report on programs to assist minority and women-owned enterprises. Under 

P.L. 101-507 and P.L. 102-389, EPA is required to set aside funds for socially and 

disadvantaged individuals/firms under the Small Business Act, 15 U.S.C. 537(a) (5) and 

(6). This ICR combines all of these requirements under OMB Control Number 2030-

0020. EPA award officials will use the information required by these regulations to make 

assistance awards, to make assistance payments, and to verify that the recipient is using 

Federal funds appropriately to comply with Federal requirements.

This request renews the “General Administrative Requirements for Assistance Programs” 

ICR by consolidating and updating the information contained in the following ICRs 

previously approved by OMB: 

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.11 (base ICR) - requested approval for collection of information under 

EPA’s assistance programs.
2

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.12 (amendment ICR) - requested approval of EPA Form 6600-01, “EPA 

Administrative and Financial Onsite Review Questionnaire.” 

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.13 (amendment ICR) - eliminated EPA Form 5700-53 and adjusted the 

burden hours under the ICR accordingly.

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.14 (amendment ICR) - requested approval of nonsubstantive modifications 

to existing EPA Form 4700-4, “Preaward Compliance Review Report for All 

Applicants and Recipients Requesting Federal Financial Assistance.” 

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.15 (amendment ICR) - requested approval of nonsubstantive modifications 

to existing EPA Form 4700-4, “Preaward Compliance Review Report for All 

Applicants and Recipients Requesting Federal Financial Assistance.”

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.16 (amendment ICR) – eliminated NCER Form 3212, “Itemized Budget for 

EPA STAR Grant Applications” and requested approval of EPA Form 6600-06, 

“Certification Regarding Lobbying.” 

 “General Administrative Requirements for Assistance Programs” ICR Number 

0938.17 (amendment ICR) – increased burden estimates by incorporating the

following program areas under which grants were funded for the ARRA

(previously approved under Emergency ICR Number 2351.01):

o Diesel Emissions Reduction Act

o Superfund Cooperative Agreement

o Leaking Underground Storage Tank Enforcement and Cleanup Program

o Other assistance programs involving ARRA funds, including the 

Wastewater Treatment Construction Program, Water Quality Management 

Planning (Sections 205(j)(1) & 604(b)), and Clean Water Tribal Set-Aside 

Program

In approving the “General Administrative Requirements for Assistance Programs” ICR 

Number 0938.11, OMB issued terms of clearance. Each term is enumerated below in 

bold, followed by EPA’s response explaining how it was addressed. 

1) “EPA Administrative Capability Questionnaire” Form. While EPA may retain 

question 2a and ask applicants to identify affiliated organizations, EPA should 

seriously explore performing validations of the information via reports from Dunn 

and Bradstreet on all affiliations of the applicant. This validation could be a onetime check on new applicants, and repeated when/if EPA wishes to recheck.
3

EPA response: EPA thanks OMB for the suggestion to validate applicants’ affiliations 

using Dunn and Bradstreet reports. EPA has carefully evaluated this option and found 

that obtaining Dunn and Bradstreet data and performing the validations would be too 

expensive given the resources available to the Agency. In addition, EPA notes that Dunn 

and Bradstreet may issue different numbers to the affiliates and subsidiaries of an 

organization. Because of this, it can be difficult to determine affiliations among grant 

applicants based on Dunn and Bradstreet data. Therefore, EPA has retained its current 

practice of asking applicants to complete question 2a on each questionnaire submitted.

2) EPA Form 5700-53 “Lobbying and Litigation Certification for Grants and 

Cooperative Agreements” is approved only until this data collection is no longer 

required under statute or applicable appropriations requirements. If EPA 

determines that this data collection is no longer required by applicants, the Agency 

should submit a change worksheet (Form 83-C) consistent with OMB guidelines.

EPA response: EPA Form 5700-53 is necessary to certify that federal funds have not been 

used to engage in the lobbying of the Federal Government or in litigation against the United 

States. 

3) EPA “Lobbying Cost Certificate for Indirect Costs” Form. This new data 

collection has been approved for use by EPA until the standard, government-wide 

data collection is completed. EPA should integrate its current indirect cost rate 

efforts with the interagency team currently working on standard indirect cost rate 

guidance that will be used government-wide, in order to ensure that EPA’s needs 

are considered in the government-wide guidance.

EPA response: EPA thanks OMB for its suggestion to integrate our current indirect cost 

rate efforts with the interagency team’s activities. EPA notes, however, that no 

substantial movement toward establishing a standard, government-wide data collection 

has been made. Therefore, EPA will continue to use the EPA form.

4) NCER Form 3212, “Itemized Budget for EPA STAR Grant Applications.” This 

data collection has been approved for use by EPA until the SF-424A “Budget 

Information” has been updated and incorporated into the Grants.gov forms library 

for grant application use government-wide. EPA is advised to participate in the 

Grants.gov Standard Forms team to ensure EPA’s needs are considered in the SF424A update.

EPA response: NCER Form 3212 has been eliminated. EPA has reflected elimination of 

the form in this ICR.

2. Need For and Use of the Collection

2(a). Need/Authority for the Collection. This ICR is necessary because of the 

information collection and reporting requirements included in EPA regulations at 40 CFR 

Parts 30 and 31. These regulations implement OMB Circulars A-21, A-87, A-102, A110, A-122, and A-133. These regulations set forth the pre-award, post-award, and after-
4

the-grant requirements. This information is needed by EPA project officers, grant 

specialists, and finance officials to manage/oversee recipient programmatic and financial 

performance under all EPA assistance agreements.

Without the data compiled by the use of the forms, it would be impossible for EPA to 

manage any of its Federal assistance programs. Rational, fair grant awards would be 

extremely difficult to make, and financial and technical managerial information would 

not be available to judge the status of grant efforts. Lessening the frequency of data 

collection would have similar negative impacts.

2(b). Practical Utility/Users of the Data. The pre-award information is used to qualify

and select grant/cooperative agreement applicants for funding. The post-award 

information is used to meet the statutory and regulatory requirements and monitor 

recipient performance. The after-the-grant information is used to meet reporting and 

recordkeeping requirements and to close out awards. The information is necessary to 

ensure minimum fiscal control and accountability for EPA funds and to deter waste, 

fraud, and abuse.

3. Non Duplication, Consultations, and Other Collection Criteria

3(a). Non Duplication. There is no other source for this information. 

3(b). Public Notice Required Prior to ICR Submission to OMB. A notice was published 

on page 64942 of the October 19, 2011, Federal Register, announcing that EPA was 

beginning to prepare this ICR. One comment was received in response to the notice, but 

it was not substantive and therefore did not require a formal response.

 

3(c). Consultations. We have received continuous feedback from recipients on this 

information collection. Administering EPA grants requires constant recipient contact 

(e.g. written, telephone, face to face, etc.). The EPA Office of Grants and Debarment 

(OGD) is both sensitive and responsive to recipient concerns involving burden, 

duplication, availability of data, clarity of instructions, etc., and revises EPA grant forms 

and collection methods in an effort to address recipient concerns and streamline their 

activities. 

Frequent applicant and recipient feedback and informal consultations have been a 

significant part of EPA grant forms evaluation. These contacts have been particularly 

useful in developing burden estimates. However, the bulk of recipient burden involves 

completing Federal Standard Forms (e.g., SF 424). All of the basic information 

requirements under these regulations have already been subject to considerable comment 

by recipients through OMB’s revisions to Circular A-102.

This ICR is requesting clearance for a number of EPA grant forms. They are used by

respondents on a regular basis and made publicly available in several different locations 

(e.g., various web sites) in both electronic and hardcopy format. 
5

3(d). Effects of Less Frequent Collection. No less frequent collection is possible in 

accordance with OMB requirements.

3(e). General Guidelines. In 1996, the regulations of Part 30 were revised to reflect 

“plain English.” EPA has continued to use plain English since then. As a result, EPA’s 

grant regulations and other documents are easier to understand by all organizations, large 

and small. The information collection is consistent with 5 CFR 1320.5(d)(2).

3(f). Confidentiality. No pledge of confidentiality is given for applicant responses.

3(g). Sensitive Questions. No sensitive information is collected under this ICR. 

4. The Respondents and the Information Requested

4(a). Respondents/SIC Codes. The primary recipients of EPA grants are State and local 

governments, Indian Tribes, educational institutions, and not-for-profit institutions. The 

information requested is used to make awards, pay recipients, and collect information on 

how Federal funds are being spent.

Standard Industrial Classification Codes for respondents include 8211, 8221, 8399, and 

919. The corresponding North American Industry Classification System (NAICS) Codes 

for respondents include 61111, 61131, 813212, 813219, 813311, 813312, 813319 and 

92119.

4(b)(i). Information Requested - Data Items, Including Record Keeping Requirements.

The following identifies the application forms and non-form reporting requirements 

contained in this regulation. A detailed justification for each reporting requirement 

immediately follows. Burden estimates are summarized in Exhibit A.

(1) EPA Form 6600-09, “EPA Administrative Capability Questionnaire,” is completed by

non-profit organizations seeking EPA grant awards of more than $200,000 and under 

certain special conditions (e.g., high-risk recipients and to other applicants below these 

thresholds in special circumstances). Based on the information provided, EPA assesses 

the adequacy of an applicant’s administrative and financial management systems (i.e., 

administrative capability) and determines whether to award the grant. Applicants that 

provide information that demonstrates that they are administratively and financially 

capable are “certified” for the next four years. The questionnaire is necessary because it 

assists organizations identify potential system weaknesses and compliance problems and 

correct them before grant award. This helps applicants avoid potential EPA corrective 

actions (e.g., freezing grant funds), which could place their project in jeopardy.

In 2004, we conducted 267 post-award administrative reviews of recipients, which 

resulted in 127 or 48% reviews with findings. In response to concerns about EPA’s 

oversight of non-profit recipients raised in Congressional Hearings and by the 

Government Accountability Office, as well as EPA’s Office of Inspector General, EPA 
6

prepared the Administrative Capability Questionnaire to be used in the pre-award review 

process. 

In January 2005, EPA conducted two pilot tests of the questionnaire. The tests were 

designed to evaluate whether the questionnaire would provide information to enable the 

Agency to effectively evaluate the ability of prospective applicants to comply with 

applicable EPA and OMB requirements. Based on the completed questionnaires, EPA 

identified a total of eight weaknesses in the two organizations in the pilot tests. These 

weaknesses included deficiencies in administrative/accounting procedures (e.g., 

withdrawal/payment of funds, determination of allowable costs), property/procurement 

procedures (e.g., lack of an established written policy for procurements), and 

personnel/travel procedures (e.g., missing code of conduct and fringe benefit policy). 

From the pilot tests, EPA has concluded that the questionnaire provides information that 

is needed by the Agency to evaluate prospective applicants so that 

weaknesses/deficiencies are corrected before grants are awarded.

Because of the success of the pilots, EPA has continued to use the questionnaire. EPA 

has used the form to evaluate more than 250 organizations, resulting in more than 300 

weaknesses/deficiencies identified. 

We estimate that the form will impose 4 burden hours on the applicant and 3 burden 

hours on EPA. 

(2) EPA Form 4700-4, “Preaward Compliance Review Report for All Applicants and 

Recipients Requesting Federal Financial Assistance,” is used to collect information that 

enables EPA to determine whether applicants are developing projects, programs, and 

activities on a non-discriminatory basis. We estimate that this form will impose 0.5 

burden hours on the applicant and 0 burden hours on EPA. 

(3) EPA Form 5700-54, “Key Contacts Form,” and EPA Form 5700-55, “Key Contacts Form 

for Multiple Principal Investigators.” These forms are used to collect contact information 

for individuals responsible for various aspects of the proposed work, including authorized 

representative, payee, administrative contact, and investigators. A recipient must 

complete either form as applicable. We estimate that a form imposes 0.5 burden hours on 

the applicant and 0 burden hours on EPA.

(4) EPA Form 5770-2, “Fellowship Application,” is the basic application form for 

individuals seeking fellowships and requires information on the applicant’s educational 

and work experience background. We estimate that this form imposes 3 burden hours on 

the applicant and 3 burden hours on EPA.

(5) EPA Form 5770-3, “Fellowship Facilities and Commitment Statement,” requires 

information about the institution that will sponsor the fellowship applicant, the sponsor’s 

summarized plans for the applicant’s training, and the institution’s commitment to 

provide that training. We estimate that this form imposes 1 burden hour on the applicant 

and 1 burden hour on EPA.
7

(6) EPA Form 5770-5, “Agency Fellowship Certification,” is used by applicants who are 

current or prospective employees of a regional, State, or local environmental pollution 

control or regulatory agency. The form asks the agency director or designee for the kind 

of help (financial, leave of absence, etc.) the agency will be providing the applicant if he 

receives an EPA fellowship. We estimate that this form imposes 0.5 burden hours on the 

applicant and 0.5 burden hours on EPA.

(7) EPA Form 5770-7, “EPA Fellowship Activation Notice,” is used by EPA to inform 

EPA’s Regional Services Staff to begin payment on the fellowship award. We estimate 

that this form imposes 0.5 burden hours on the recipient and 0.5 burden hours on EPA.

(8) EPA Form 5770-8, “Fellowship Agreement,” contains the terms of the fellowship 

agreement, and is used by the applicant to formally accept an EPA fellowship. We 

estimate that this form imposes 1 burden hour on the recipient and 1 burden hour on 

EPA.

(9) EPA Form 5770-9, “Completion of Studies Notice,” is used to officially terminate the 

fellowship. The form requires the recipient to provide EPA with two reprints of any

publication work done under the fellowship, when available, and asks for constructive 

criticism from the recipient or his sponsor on EPA’s fellowship program. We estimate 

that this form imposes 1 burden hour on the recipient and 1 burden hour on EPA.

(10) EPA Form 6600-01, “EPA Administrative and Financial Onsite Review Questionnaire,”

requests information about an organization’s administrative and financial policies, 

procedures, accounting and management of EPA assistance agreements.. EPA uses the 

information to determine if recipients are in compliance with government-wide and EPAspecific rules, regulations and guidelines promulgated in the various OMB Circulars, 

Code of Federal Regulations, and Agency directives. Additionally, it is reviewed to 

determine if recipients have good business practices, such as consistently applied policies 

and procedures that safeguard the management and use of Federal funds. The form 

provides the Agency with information needed to conduct and complete its statistical 

analyses and evaluation of recipients. The information is collected on a statistically

determined and random basis spread over the various types of organizations receiving 

funds from EPA. We estimate that the form imposes 30 burden hours on the recipient 

and 40 burden hours on EPA. 

(11) EPA Form 6600-06, “Certification Regarding Lobbying,” is completed by grant 

applicants and contains certifications about the use of Federal appropriated funds in 

connection with lobbying, as specified. The form is used by EPA to confirm that no 

funds have been used for lobbying activities and, if applicable, to direct the recipient to 

complete Standard Form-LLL, Disclosure Form to Report Lobbying.” We estimate that 

this form imposes 0.25 burden hours on the recipient and 0.03 burden hours on EPA.

(12) EPA Form 6600-08, “Lobbying Cost Certificate for Indirect Costs/Certificate of Indirect 

Costs for State and Local Governments.” The “Lobbying Cost Certificate for Indirect 
8

Costs” portion is completed by non-profit grant recipients and contains the certification 

required by OMB Circular A-122. The form is used by EPA to ensure compliance with 

the requirements and standards on lobbying costs in OMB Circular A-122. The 

“Certificate of Indirect Costs for State and Local Governments” portion is completed by

state, local, and tribal grant recipients and contains the certification required by OMB 

Circular A-87. The form is used by EPA to ensure compliance with the requirements and 

standards on lobbying costs in OMB Circular A-87. We estimate that this form will 

impose 0.25 burden hours on the recipient and 10 minutes of burden on EPA.

(13) NCER Form 5, “Current and Pending Support,” is used by EPA’s National Center for 

Environmental Research to determine whether the principal investigator has available 

capability to handle the additional workload proposed by EPA under the grant. We 

estimate that this form will impose 0.5 burden hours on the applicant and 0.25 burden 

hours on EPA.

(14) SF-270, “Request for Advance or Reimbursement.” This is the standard form prescribed 

by OMB Circular A-102 for recipients to use to request advances or reimbursement on all 

non-construction programs when the advance payment or reimbursement methods are 

used. We estimate that this form will impose 1 burden hour on the recipient and 1.5 

burden hours on EPA.

(15) SF-271, “Outlay Report and Request for Reimbursement for Construction Programs.” 

This is the standard form prescribed by OMB Circular A-102 for recipients of a 

construction grant to request reimbursements. We estimate that this form imposes 1 

burden hour on recipients and 0.5 burden hours on EPA.

(16) SF-424, “Application for Federal Assistance,” is used by States, local governments, and 

Federally recognized Indian Tribal governments to apply for Federal financial assistance. 

SF-424 requires basic information about the applicant (name, address, telephone number, 

type of applicant, etc.), including a list of sources of proposed funding and a description 

of the proposed project. Supplemental information is provided in SF-424A, “Budget 

Information - Non-Construction Programs,” SF-424B, “Assurances - Non-Construction 

Programs,” SF-424C, “Budget Information - Construction Programs,” and/or SF-424D, 

“Assurances - Construction Programs,” as applicable.

We estimate that, collectively, these forms will impose 4 burden hours on the recipient 

and 5 burden hours on EPA. 

(17) The SF-LLL, “Disclosure of Lobbying Activities,” is used by applicants to disclose 

lobbying activities that have been secured to influence the outcome of a Federal action 

(e.g., contract, grant, cooperative agreement, etc.). We estimate that this form will 

impose 10 minutes of burden on the recipient and 0 burden hours on EPA.

(18) SF 425, “Federal Financial Report,” is used by applicants to submit reports on their 

grant’s financial progress. We estimate that this form will impose 1.5 burden hours on 

the recipient and 1.5 burden hours on EPA.
9

(19) SF 425A, “Federal Financial Report Attachment,” is used by applicants for reporting on 

cash management activity for multiple grants. We estimate that this form will impose 0.5 

burden hour on the recipient and 0.5 burden hours on EPA.

(20) SF 428, “Tangible Personal Property,” is used by recipients to report on tangible personal 

property (equipment and supplies) when required by a Federal financial assistance award. 

We estimate that this form will impose 2.75 burden hours on the recipient and 2.75

burden hours on EPA.

(21) SF 429, “Real Property Status Report,” is used by recipients of Federal financial 

assistance to report real property status or to request agency instructions on real property 

that was/will be provided as Government Furnished Property (GFP) or acquired (i.e. 

purchased or constructed) in whole or in part under a Federal financial assistance award. 

We estimate that this form will impose 4 burden hours on the recipient and 4 burden 

hours on EPA.

(22) SF SAC, “Data Collection Form for Single Audits,” requires non-federal entities that 

expend $500,000 or more in a year in federal awards to conduct an audit in accordance 

with OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit 

Organizations.” We estimate that this form will impose 59 hours of burden for large 

auditees (i.e., auditees most likely to administer a large number of Federal awards), 17 

hours for all other auditees, and 21.2 burden hours on EPA. 

(23) Research Performance Progress Report, is used by Office of Research and Development 

grantees to submit interim progress reports. We estimate that this form will impose 6

burden hours on the recipient and 2 burden hours on EPA. See Subsection “Justification 

for EPA Modifications of RPPR Instructions” below for information on how this for was 

revised to accommodate EPA reporting requirements. 

(24) SF 3881, “ACH Vendor/Miscellaneous Payment Enrollment Form,” is completed by

grant recipients to enable the U.S. Treasury Department to transmit payment data, by

electronic means, to vendor's financial institution. We estimate that this form will impose 

0.25 burden hours on the recipient and 1 burden hour on EPA. 

(25) EPA Form 190-F-05-001, “Fellowship Stipend Payment Enrollment Form,” is completed 

by fellowship recipients to enable the Treasury Department to transmit payment data, by 

electronic means, to vendor's financial institution. We estimate that this form will impose 

0.5 burden hours on the recipient and 0.5 burden hours on EPA. 

(26) EPA Form 190-F-04-001, “EPA Payment Request,” is used to request payment from 

EPA for Assistance Agreements or grants. We estimate that this form will impose 0.25

burden hours on the recipient and 0.5 burden hours on EPA. 

(27) EPA Form 5700-53, “Lobbying and Litigation Certification for Grants and Cooperative 

Agreements,” is completed at project completion to certify that funds have not been used to 
10

engage in the lobbying of the Federal Government or in litigation against the United States. We 

estimate that this form will impose 5 minutes of burden on the recipient and 5 minutes of 

burden on EPA. 

(28) EPA Form 5700-52A, “MBE/WBE Utilization Under Federal Grants and Cooperative 

Agreements,” is completed by recipients of Federal grants, cooperative agreements, or 

other Federal financial assistance which involve procurement of supplies, equipment, 

construction or services to accomplish Federal assistance programs. We estimate that 

this form will impose 1.5 burden hours on the recipient and 1.5 burden hours on EPA. 

Reporting and Recordkeeping Requirements

(1) SECTIONS 30.50, 30.52, and 31.42 require recipients to establish an official record file 

for each assistance award to track how the recipient uses the project funds, to account for 

property purchased under the award or used as part of any in-kind contributions, to 

maintain time records, and to document compliance with applicable statutes and 

regulations (40 CFR Part 7). We estimate that this requirement imposes 5 burden hours 

on the recipient and 1 burden hour on EPA. 

EPA project officers may use an evaluation instrument to perform reviews that pertain to 

programmatic components of assistance agreements. This type of evaluation focuses on 

reviewing information that can help assess recipients’ activities and progress toward 

meeting the goals and objectives outlined in the assistance agreements. Programmatic 

reviews also ensure that the work to be performed under the agreement is on schedule, 

within budget, and consistent with the agreements’ relevant programmatic regulation 

and/or programmatic terms and conditions. For those who do complete these reviews, we

estimate 1 burden hour on the recipient and 1 burden hour on EPA.

The extent of the information gathered and reviewed through this type of instrument will 

vary according to the size and scope of each agreement. Complex agreements that 

involve large financial grants and entail extensive staffing and complex tasks will require 

a greater degree of review and evaluation. Regardless of the size or complexity of the 

assistance agreement, the review instrument creates a framework that allows EPA to 

ensure the sound and effective management of assistance agreements.

(2) SECTIONS 30.51 and 31.40 require recipients to submit interim and final progress 

reports, if required. EPA uses the interim progress reports to determine progress in 

relation to the approved schedule and project milestones during the project. The final 

progress report summarizes all of the work on the project and the extent to which the 

recipient has met the project’s objectives. We estimate that this requirement imposes a 

total of 6.5 burden hours on the recipient and 4 burden hours on EPA.

(3) The reporting and record requirements burden estimates of Sections 30.25 through 

31.36(h) (below) are not listed in Exhibit A due to low frequency of applicability and /or 

minimal response burden to applicants and recipients of EPA grants.
11

(4) SECTIONS 30.25 and 31.32 require recipients to obtain the award officials approval 

before purchasing property or equipment with a unit acquisition cost of $5,000 or more.

We estimate that this requirement applies to about 20% of the non-construction assistance 

recipients, and that this requirement imposes 3 burden hours on those recipients and 2 

burden hours on EPA.

(5) SECTIONS 30.30-37 and 31.32 require recipients to comply with specific property 

management standards. The recipient is required to keep accurate records and carry out a 

physical inventory of property and reconcile the results, at least every two years. We 

estimate that this requirement imposes 3 burden hours on the recipient and 2 burden 

hours on EPA.

(6) SECTIONS 30.33 and 31.32 contain the requirements on how recipients are to manage 

Federally-owned property. We estimate that this requirement affects only 1% of the 

projects, and imposes 2 burden hours on those recipients and 2 burden hours on EPA.

(7) SECTION 30.36 requires recipients to submit invention reports after completion of each 

project. 

(8) SECTIONS 30.4 and 31.6 contain the requirements recipients must follow to request a 

deviation from an EPA regulation. Only 5% of all recipients request deviations. We 

estimate that a deviation imposes 8 burden hours on the recipient and 8 burden hours on 

EPA.

(9) SECTIONS 30.63 and 40 CFR 31 Subpart F contain the procedures the recipient must 

follow to appeal an assistance agreement dispute between the recipient and the award 

official. We estimate that this requirement imposes 16 burden hours on the recipient and 

16 burden hours on EPA. Less than 1% of EPA grant awards result in disputes.

(10) SECTIONS 30.40-48 and 31.36 contain the procurement requirements recipients must 

follow. We estimate that this requirement imposes 0.5 burden hours on the recipient and 

0.5 burden hours on EPA.

(11) SECTION 31.11 requires recipients to follow 40 CFR Part 29, which implements 

Executive Order 12372, “Intergovernmental Review of Federal Programs,” revokes OMB 

Circular A-95, and establishes new procedures for intergovernmental reviews. OMB has 

determined that the new requirements are not subject to the reporting burden clearance 

process.

(12) SECTION 31.36(h) contains the bonding and reporting requirements recipients must 

follow. We estimate that this requirement imposes 0.5 burden hours on the recipient and 

1 burden hour on EPA.
12

Information Collection under the Recovery and Reinvestment Act of 2009

In 2009, EPA submitted a request for emergency clearance to collect information under 

the American Recovery and Reinvestment Act (ARRA) of 2009 (ICR Number 2351.01). 

The purposes of the ARRA are to preserve and create jobs and promote economic 

recovery, assist those most impacted by the recession, provide investments needed to 

increase economic efficiency as specified, invest in transportation, environmental 

protection, and other infrastructure that will provide long-term economic benefits, and 

stabilize State and local government budgets, in order to minimize and avoid reductions 

in essential services and counterproductive State and local tax increases. The ARRA

authorizes the President and Federal departments and agencies to manage and expend the 

funds made available in the ARRA so as to achieve its stated purposes, including 

commencing expenditures and activities as quickly as possible consistent with prudent 

management. Title VII of the Act appropriates funding for six EPA programs. 

While all funds under the ARRA have been appropriated, the reporting and audit 

requirements associated with the ARRA are being incorporated under this renewal 

request for the existing General Administrative Requirements for Assistance Agreements 

Programs ICR (Number 0938.18).

 Recipients of Federal funding are required to report specified information to the 

Federal agency providing the award 10 days after the end of each calendar 

quarter, as provided by Section 2.9 of the Implementing Guidance. These reports 

must include, for example, the following additional data fields:

 Detailed list of all projects or activities for which recovery funds were 

expended or obligated, including:

 Rationale of the activity

 Number of jobs retained

 Number of jobs created

 Certifications at the state/local level

 Quarterly completion status

 Detailed information on any subcontracts or subgrants awarded by the 

recipient, as specified, including:

 Rationale of the activity

 Number of jobs retained

 Number of jobs created

 Contract/subgrant start/end date

EPA is implementing this requirement by asking recipients to submit quarterly 

progress reports. Recipients are required to submit progress reports to EPA under 

existing 40 CFR 30.51 or 31.40.

 Agencies are encouraged to undertake additional steps, beyond standard practice, 

to mitigate the unique implementation risks associated with ARRA funding, as 
13

provided in Section 5.3 of Implementing Guidance. Among other things, 

agencies should initiate additional measures, as applicable, to address higher risk 

areas (e.g., audits and investigations of ARRA funds occurring to identify

wasteful spending and minimize waste, fraud and abuse). Certain recipients may

be asked to participate in such audits or investigations of their programs.

 Under Section 2.6 of Implementing Guidance, agencies are responsible for predissemination review of all information that will appear on Recovery.gov, and 

must ensure all reporting related to ARRA funding is complete and accurate and 

complies with the agency’s Information Quality Act guidelines. Section 6.3 of 

the Implementing Guidance requires agencies to monitor to ensure that quality

assurance procedures established for contracts are implemented. Certain 

recipients may be asked to provide information on their quality assurance/quality

control procedures, to characterize their data quality, and to assess the implication 

of their data quality on the interpretation and use of performance information 

reported to EPA.

Reporting Activities by ARRA Program Area

(1) Diesel Emissions Reduction Act. Appropriated funds provide loans to state and 

local governments for projects that reduce diesel emissions, benefiting public 

health and reducing global warming. EPA estimates that 17 recipients will submit 

progress reports to EPA under their agreement. 

(2) Superfund Cooperative Agreements. Appropriated funds clean up hazardous and 

toxic Superfund sites. EPA estimates that 5 recipients will submit progress

reports to EPA under their existing agreement. 

(3) Leaking Underground Storage Tank Enforcement and Cleanup Program. 

Appropriated funds are used to enforce and cleanup petroleum leaks from 

underground storage tanks. EPA estimates that 13 recipients will submit progress

reports to EPA under their agreement. 

(4) Other Assistance Programs Involving ARRA Funds. Includes appropriated funds 

under other assistance programs involving ARRA funds, including the 

Wastewater Treatment Construction Program, Water Quality Management 

Planning (Sections 205(j)(1) & 604(b)), and Clean Water Tribal Set-Aside 

Program. EPA estimates that 30 recipients will submit progress reports to EPA 

under their agreements for other assistance programs involving ARRA funds. 

Justification for EPA Modifications of RPPR Instructions
14

Effective with publication of notice in Federal Register Volume 75, Number 8, agencies 

can utilize a uniform format for reporting performance progress on Federally-funded 

research projects. The Research Performance Progress Report (RPPR) directly benefits 

award recipients by making it easier for them to administer Federal grant and cooperative 

agreement programs through standardization of the types of information required in 

interim performance reports—thereby reducing their administrative effort and costs. The 

RPPR also makes it easier to compare the outputs and outcomes of research programs 

across the government. EPA has modified the RPPR instructions to provide Agencyspecific context and to better direct recipients to the type of information required for 

progress reporting. The justification for modifications to the RPPR form are outlined 

below. 

(1) Page 2: “Include a comparison of actual accomplishments with the goals and objectives 

described in the work plan.”

Justification: Per EPA’s current Environmental Results Order (Order 5700.7), EPA’s 

award official must include in assistance agreements a term and condition on recipient 

performance reporting specifying that the recipient must include, among other things, a 

comparison of actual accomplishments with the anticipated outputs/outcomes specified in 

the assistance agreement work plan. This is also consistent with 2 CFR 215.51.

(2) Page 2: “If EPA determines that the recipient has not made sufficient progress toward 

completing its research, EPA may terminate the assistance agreement. Sufficient 

progress is demonstrated by the grantee meeting the milestones described in the research 

plan to the maximum extent practicable, while taking into account any extenuating 

factors that may have delayed progress.”

Justification: EPA Policy 2520-03-P1, Responsibilities for Reviewing Unliquidated 

Obligations, requires EPA Offices to include a term and condition on all assistance 

agreements establishing clear progress expectations. The language we have inserted here 

references ORD’s relevant term and condition, approved by EPA’s Office of Grants and 

Debarment, which requires recipients to describe progress toward meeting milestones 

identified in their work plans.

(3) Page 2: “and 5) associated quality assurance and quality control (QA/QC) functions and 

findings.

 Briefly describe the results of QA/QC activities performed during this reporting 

period including: Status of quality system implementation; results of internal quality 

reviews/assessments; problems identified that could adversely affect the quality of the 

work performed under the agreement; corrective actions implemented; and significant 

revisions to quality documentation.”

Justification: Federal Regulations (40 CFR Part 30) require recipients of funds for work 

involving environmental data comply with the American National Standard ANSI E4-

2004, "Specifications and Guidelines for Quality Systems for Environmental Data 
15

Collection and Environmental Technology Programs." (ANSI E4). EPA’s Quality 

Policies (CIO 2016.0 and CIO 2105.0) require EPA organizations funding extramural 

work to ensure conformance to ANSI E4. In order to monitor on-going grantee 

compliance, we need recipients to include this information in their progress reports.

(4) Page 3: “List any products, or outputs resulting from the project during the reporting 

period. The term “output” means an environmental activity, effort, and/or associated 

work products related to an environmental goal or objective, that will be produced or 

provided over a period of time or by a specified date. Outputs may be quantitative or 

qualitative but must be measurable during an assistance agreement funding period.”

Justification: EPA’s current Environmental Results Order (Order 5700.7) establishes 

policy requiring program offices, to the maximum extent practicable, to ensure that 

outputs and outcomes are appropriately addressed in assistance agreement performance 

reports. 

(5) Page 3: “Provide links to publications, where available. The publication list should be 

cumulative of previous Annual Reports.”

Justification: This is a clarification provided in our instructions. EPA provides links to 

publications and othe products of our assistance agreements on our web site, therefore we 

are relaying our preference in how we want to receive the information.

(6) Page 5: “Include a discussion of the project’s outcomes. The term “outcome” means the 

results, effect, or consequence that will occur from the activit(ies) discussed above that is 

related to an environmental, behavioral or health-related objective.”

Justification: EPA’s current Environmental Results Order (Order 5700.7) establishes 

policy requiring program offices, to the maximum extent practicable, to ensure that 

outputs and outcomes are appropriately addressed in assistance agreement performance 

reports.

(7) Page 5: “How does the research add to the understanding of or solutions for 

environmental problems or is otherwise of benefit to the environment and human 

health?”

Justification: This is clarifying language to describe what an impact means specifically 

for environmental research. 

(8) Page 7: “Please also address the following:

 relevance to the Agency’s mission;

 potential practical applications

 Users of the information generated from your research (e.g., state, local government; 

Academic institutions; Non-profit institutions); and

 Whether research findings have had a direct impact on a community.”
16

Justification: This is clarifying language to describe what an impact means specifically 

for environmental research.

(9) Page 7: “If the goals of the project have not changed from the original application, state 

this.”

Justification: This is a clarification that we want recipients to explicitly state if there 

have been no changes, instead of answering N/A, to avoid any ambiguity.

(10) Page 7: “Describe problems or delays encountered during the reporting period which may

materially impair the ability to meet the results (outputs/outcomes) specified in the 

application and the actions or plans to resolve them.”

Justification: Justification: Per EPA’s current Environmental Results Order (Order 

5700.7), EPA’s award official must include in assistance agreements a term and condition 

on recipient performance reporting specifying that the recipient must notify EPA of 

problems, delays, or adverse conditions which materially impair the ability to meet the 

outputs/outcomes specified in the assistance agreement work plan.

(11) Page 8: “Include a discussion of any absence or changes of key personnel involved in the 

project.”

Justification: This language provides clarification to also include changes in key

personnel if such changes were a cause of any delays.

(12) Page 8: “Discuss expenditures to date along with a comparison of the percentage of the 

project completed to the project schedule and an explanation of any costs which are 

higher than originally estimated.”

Justification: This language is consistent with 2 CFR Part 215.51(d)(3).

4(b)(ii). Information Requested – Respondent Activities.

Grants.gov, originally called the E-Grants Initiative, was a mandate of the President’s 

Fiscal Year 2002 Management Agenda, which directed agencies to “...allow applicants 

for Federal Grants to apply for and ultimately manage grant funds online through a 

common Web site, simplifying grants management and eliminating redundancies.”

Grants.gov implements the requirement in the Federal Financial Assistance Management 

Improvement Act, Public Law 106-107, to develop a simple, unified source to 

electronically find, apply, and manage grant opportunities. Grants.gov is the central 

Federal electronic portal created in response to the Act. 

Grants.gov Apply allows an applicant to download a proposal/application package from 

Grants.gov and complete the package offline based on agency instructions. The 

proposal/application package of forms generally includes a standard set of core data 
17

elements based on the updated version of the SF-424. After an applicant completes the 

required proposal/application package of forms, they can be submitted electronically to 

Grants.gov, which transmits the proposal/application to the funding agency.

The Office of Grants and Debarment has constructed a Grants.gov Application Database 

(EAPPLY) that receives the proposal/application data and stores them for program 

retrieval or review. As proposals/applications are selected for funding, the data will 

migrate to the associated Integrated Grants Management System (IGMS) database for 

eventual award.

EPA encourages use of Grants.gov for all competitive grants.

5. The Information Collected – Agency Activities, Collection Methodology, and 

Information Management

5(a). Agency Activities. These data collection forms are reviewed periodically to 

identify and eliminate duplication in reporting requirements. Similar information is 

simply not available elsewhere.

These reports are reviewed in accordance with the requirements of 40 CFR Parts 30 and 

31. The Agency also conducts periodic on-site reviews to ensure recipient compliance 

with applicable requirements. 

5(b). Collection Methodology and Management. Most of the information will be 

collected using standardized reports and appropriate recordkeeping. This information is 

entered into IGMS, the Agency’s database for tracking the status of grant/cooperative 

actions.

5(c). Small Entity Flexibility. EPA believes the reporting requirements discussed in this 

ICR do not place an unreasonable burden on small entities; the estimated burdens cannot 

be further reduced for small entities. EPA needs the information requested to make award 

decisions, properly manage assistance agreements, maintain records, and monitor 

performance. This requested information may, in some cases, be dependent on the type of 

entity (e.g., state agency, non-profit organization, individual, etc.) but is not dependent on 

an entity’s relative size. EPA takes active steps to minimize the burden on small entities 

in the form of guidance materials and electronic forms. In most cases, the requirements 

do not impose a large burden on small entities because the information required is simple 

and straightforward.

5(d). Collection Schedule. Specific schedules for the collection of the data forms are 

outlined in grant solicitation notices for pre-award application forms and in the grant 

terms and conditions for post-award forms. 
18

6. Estimating the Burden and Cost of the Collection

6(a). Estimating Respondent Burden. An estimation of the burden hours per requirement 

is included in Exhibit A.

Type of Information Number of 

Respondents

Competed Grants

Unsuccessful 

Applications 3,758

Awards 1,359

Not Competed Grant Awards 1,634

Active ARRA Grant Awards 65

Fellowship Awards 1,575

TOTAL 8,391

6(b)(i). Estimating Respondent Costs – Estimating Labor Costs. 

EPA estimates that 80% of burden hours for respondents will be used by the applicant 

and the remaining 20% will be used by secretarial/clerical staff.

Therefore: Applicant Wage Rate:1 $43.96 x 1.43 = $62.86.

Secretarial/Clerical Wage Rate:2 $17.50 x 1.43 = $25.03.

 

6(b)(ii). Estimating Respondent Costs – Estimating Capital and Operations and 

Maintenance Costs. Start-up costs for EPA grant applications and associated forms are 

minimal and are part of customary and usual recipient business expenses. There are no 

capital costs related to EPA grant applications and related reporting requirements. 

6(b)(iii). Estimating Respondent Costs – Capital/Start-up Operating and Maintenance 

Costs. There are no capital costs related to EPA grant applications and related reporting 

requirements. Therefore, total start-up and capital costs are zero (0). There are no O&M 

costs required.

6(b)(iv). Estimating Respondent Costs – Annualizing Capital Costs. Not applicable.

 

1

$43.96 represents the average wage rate of several occupations expected to apply for grants or fellowships. This 

information is derived from Bureau of Labor Statistics; Occupational Employment and Wages, May 2010. Costs 

were then updated to current levels. Cost data available at: http://www.bls.gov/oes/current/oes_stru.htm (accessed 

1/12/2012). 1.43 represents a 43% rate for benefits. This figure is derived from the Bureau of Labor Statistics’ 

“Table 1. Civilian Workers, by Major Occupation Group; Management, Professional, and Related,” Employer Costs 

for Employee Compensation – September 2011.”

2

 $17.50 represents the average hourly wage rate of two administrative/clerical positions. This information is 

derived from Bureau of Labor Statistics; Occupational Employment and Wages, May 2010. Costs were then 

updated to current levels. Cost data available at: http://www.bls.gov/oes/current/oes_stru.htm (accessed 1/12/2012). 

1.43 represents a 43% rate for benefits. This figure is derived from the Bureau of Labor Statistics’ “Table 1. 

Civilian Workers, by Major Occupation Group; Management, Professional, and Related,” Employer Costs for 

Employee Compensation – September 2011.”
19

6(c). Estimating Agency Burden and Cost. The total annual burden hours for EPA is 

estimated to be 170,326. 170,326 hours divided by 8,391 respondents = 20 hours per 

respondent for EPA.

Thus: 8,391 respondents x 20 hours x $48.833 = $8,194,651 (labor costs).

6(d). Estimating the Respondent Universe and Total Burden and Costs

The total annual burden hours for recipients is estimated to be 205,365. 205,365 hours 

divided by 8,391 respondents = 24 hours per respondent.

EPA estimates that 80% of these 24 hours will be used by the applicant (19 hours) and 

the remaining 20% by secretarial/clerical staff (5 hours).

Thus: 8,391 respondents x 19 hours x $62.86 = $10,021,706 and

8,391 respondents x 5 hours x $25.03 = $1,050,134. 

Total: $11,071,840 (labor costs).

6(e). Bottom Line Burden Hours and Cost Tables.

Burden Hours Cost

Respondents 205,365 $11,071,840

EPA 170,326 $8,194,651

 

6(f) Reasons for Change in Burden. The overall respondent burden has increased from 

the previous ICR by 90,834 hours (i.e., from 114,531 hours to 205,365 hours). This 

change occurred for several reasons. Initially, EPA carefully reviewed the set of grant 

and fellowship forms covered in this ICR. Based on this review, EPA deleted nine 

existing forms and added eleven new forms. These program changes are outlined in the 

table below.

The details and justification for the forms that were added is included in Section 4 of this 

ICR. 

 

3 Office of Personnel Management; 2012 General Schedule (GS) Base (Hourly Rate) for GS 11, Step 9 ($30.52). 

Available at: http://www.opm.gov/oca/12tables/pdf/gs_h.pdf. This was fully burdened (x 60%), yielding a wage 

rate of $48.83.
20

Program Changes

Total 

Respondent

Hours

Deleted Forms

40 CFR 30.50 and 52 and 31.42 Completion of desk review protocol (the 

requirements of this form are included under EPA Form 6600-01, “EPA 

Administrative and Financial Onsite Review Questionnaire”) 

-190

40 CFR 30.50 and 52 and 31.42 Completion of onsite protocol (the requirements 

of this form are included under EPA Form 6600-01, “EPA Administrative and 

Financial Onsite Review Questionnaire”)

-680

40 CFR 30.22 and 31.21 Establish separate bank account - ACH Payment System 

(the requirements of this form are covered under SF 3881, "ACH 

Vendor/Miscellaneous Payment Enrollment Form;” EPA Form 190-F-05-001, 

"Fellowship Stipend Payment Enrollment Form;” and EPA Form 190-F-04-001, 

"US EPA Payment Request")

-802

40 CFR 30.33 and 31.32 Report on Federally-owned property (the requirements of 

this form are included under the new SF 429, “Real Property Status Report”) -684

40 CFR 30.21 and 31.20 Maintain financial management system (these 

requirements are covered under existing financial reporting elements) -6,834

Meet OMB Circular A-133 Audit Requirements (these requirements are included 

under SF SAC, "Data Collection Form for Single Audits") -950

EPA Form 5770-4, “Fellowship Applicant Qualifications Inquiry” (this form is no 

longer used by the Environmental Education Division’s National Network for 

Environmental Management Studies Fellowship Program)

-2,967

SfF-269, “Financial Status Report” (the requirements are replaced by SF 425, 

“Federal Financial Report”) -3,417

SF-272, “Federal Cash Transactions Report” (ACH Payment System) - Family of 

Forms (the requirements of this form are included under SF 425, “Federal 

Financial Report”)

-840

Subtotal Deleted Forms -17,364

Added Forms

SF 425, "Federal Financial Report 8,979

SF-425A "Federal Financial Report Attachment" 571

SF-428 "Tangible Personal Property" 8,231

SF-429 "Real Property Status Report" 120

SF-SAC, "Data Collection Form for Single Audits" 4,282

Research Performance Progress Report 4,800

SF 3881, "ACH Vendor/Miscellaneous Payment Enrollment Form" 748

EPA Form 190-F-05-001, "Fellowship Stipend Payment Enrollment Form 50

EPA Form 190-F-04-001, "US EPA Payment Request" 17,958

EPA Form 5700-53," Lobbying and Litigation Certificate" 249

EPA Form 5700-52A, "MBE/WBE Utilization Under Federal Grants" 9,000

Subtotal Added Forms 54,988

Subtotal: Program Changes 37,624

In addition to reviewing the set of grant and fellowship forms included under the ICR, 

EPA reviewed the burden assumptions in the ICR to ensure that they reflect the Agency’s 
21

current experiences under its grant programs. Based on this review, EPA made 

significant adjustments in the number of respondents, the annual submissions per 

respondent, and the burden hours for completion for all of its grant forms. This renewal 

request also incorporates reporting and audit requirements associated with assistance 

programs funded under ARRA. These adjustment changes are outlined in the table 

below. Additional details about the revised estimates are included in Exhibit A.

Adjustment Changes

Total 

Respondent 

Hours

Change 

from 2009 

ICR

EPA Form 6600-09, "EPA Administrative Capability 

Questionnaire" 200 -600

EPA Form 4700-4, “Preaward Compliance Review Report for 

All Applicants and Recipients Requesting Federal Financial 

Assistance”

3,376 1,667

EPA Form 5700-54, “Key Contacts Form” and EPA Form 5700-

55, “Key Contacts Form for Multiple Principal Investigators” 3,376 1,667

EPA Form 5770-2, “Fellowship Application” 4,725 1,758

EPA Form 5770-3, “Fellowship Facilities and Commitment 

Statement” 1,575 586

EPA Form 5770-5, “Agency Fellowship Certification” 788 293

EPA Form 5770-7, “EPA Fellowship Activation Notice” 75 -1

EPA Form 5770-8, “Fellowship Agreement” 150 -2

EPA Form 5770-9, “Completion of Studies Notice” 150 -2

EPA Form 6600-06, “Certification Regarding Lobbying” 1,688 734

EPA Form 6600-08, "Lobbying Cost Certificate for Indirect 

Costs/Certificate of Indirect Costs for State and Local 

Governments"

108 -517

NCER Form 5, “Current and Pending Support” 446 -204

SF-270, “Request for Advance or Reimbursement” 11,972 10,072

SF-271, “Outlay Report and Request for Reimbursement for 

Construction Programs” 600 -160

SF-424, “Application for Federal Assistance” (including SF424A, SF-424B, SF-424C, and SF-424D) 27,004 11,740

SF-LLL, “Disclosure of Lobbying Activities” 5 -157

40 CFR 30.50 and 52 and 31.42 Keep records 14,965 -2,120

40 CFR 30.50 and 52 and 31.42 Completion of project officer 

protocol 376 91

40 CFR 30.51 and 31.40 Submit progress reports 72,800 28,366

Subtotal: Adjustments 53,211

The net effect of these program changes and adjustments is an increase of 90,834 hours 

from the previous ICR.
22

6(g). Burden Statement. The annual public reporting and recordkeeping burden for this 

collection of information is estimated to average 24 hours per respondent. Burden means 

the total time, effort, or financial resources expended by persons to generate, maintain, 

retain, or disclose or provide information to or for a Federal agency. This includes the 

time needed to review instructions; develop, acquire, install, and utilize technology and 

systems for the purposes of collecting, validating, and verifying information, processing 

and maintaining information, and disclosing and providing information; adjust the 

existing ways to comply with any previously applicable instructions and requirements; 

train personnel to be able to respond to a collection of information; search data sources; 

complete and review the collection of information; and transmit or otherwise disclose the 

information. 

To comment on the Agency’s need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, 

including the use of automated collection techniques, EPA has established a public 

docket for this ICR under Docket ID No. EPA-HQ-OARM-2011-0795, which is 

available for public viewing at the Office of Environmental Information Docket in the 

EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. 

to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number 

for the Reading Room is (202) 566-1744, and the telephone number for the Office of 

Environmental Information Docket is (202) 566-1752. An electronic version of the 

public docket is available online at www.regulations.gov. Use www.regulations.gov to 

submit or view public comments, access the index listing of the contents of the public 

docket, and to access those documents in the public docket that are available 

electronically. Once in the system, select “search,” then key in the docket ID number 

identified above. 
A-1

EXHIBIT A

ANNUAL ESTIMATE OF EPA ASSISTANCE AGREEMENT AWARDS

Type of Information Number of 

Respondents

Completed Grants

Unsuccessful 

Applications 3,758

Awards 1,359

Not Competed Grant Awards 1,634

Active ARRA Grant Awards 65

Fellowship Awards 1,575

TOTAL 8,391

The above estimates were used to determine the number of actions per year for each of the 

following reporting requirements.

BURDEN HOURS PER REPORTING REQUIREMENT

NOTES: Column D = A x B x C

Column F = A x B x E

Burden estimates for analyzing, processing, and maintaining EPA grant forms were derived from 

EPA employees directly responsible for day-to-day grant operations. Employee estimates were 

obtained shortly after forms were approved for use and have been modified to reflect our grant 

processing streamlining efforts.

Reporting and recordkeeping requirement burden estimates for Sections 30.25 through 33.211 of 

40 CFR are not listed in Exhibit A due to the low frequency or applicability and/or minimal 

response burden to applicants and recipients of EPA grants.
A-2

Information Collection 

Requirement

A B C D E F

Actions per 

Year

Submissions per 

Agreement

Burden Hours 

per Action

Total Burden 

Hours for 

Recipients

Burden Hours 

for EPA

Total Burden 

Hours for EPA

EPA Form 6600-09, "EPA 

Administrative Capability 

Questionnaire"

50 1 4 200 3 150

EPA Form 4700-4, “Preaward 

Compliance Review Report for 

All Applicants and Recipients 

Requesting Federal Financial 

Assistance”

6,751 1 0.5 3,376 0 0

EPA Form 5700-54, “Key 

Contacts Form” and EPA Form 

5700-55, “Key Contacts Form 

for Multiple Principal 

Investigators”

6,751 1 0.5 3,376 0 0

EPA Form 5770-2, “Fellowship 

Application” 1,575 1 3 4,725 3 4,725

EPA Form 5770-3, “Fellowship 

Facilities and Commitment 

Statement” 

1,575 1 1 1,575 1 1,575

EPA Form 5770-5, “Agency 

Fellowship Certification” 1,575 1 0.5 788 0.5 788

EPA Form 5770-7, “EPA 

Fellowship Activation Notice” 150 1 0.5 75 0.5 75

EPA Form 5770-8, “Fellowship 

Agreement” 150 1 1 150 1 150

EPA Form 5770-9, “EPA 

Completion of Studies Notice” 150 1 1 150 1 150

EPA Form 6600-01, “EPA 

Administrative and Financial 

Onsite Review Questionnaire”

200 1 30 6,000 40 8,000

EPA Form 6600-06, 

“Certification Regarding 

Lobbying”

6,751 1 0.25 1,688 0.03 203

EPA Form 6600-08, "Lobbying 

Cost Certificate for Indirect 

Costs/Certificate of Indirect 

Costs for State and Local 

Governments"

430 1 0.25 108 0.17 73

NCER Form 5, “Current and 

Pending Support” 892 1 0.5 446 0.25 223

SF-270, “Request for Advance 

or Reimbursement” 2,993 4 1 11,972 1.5 17,958

SF-271, “Outlay Report and 

Request for Reimbursement for 

Construction Programs” 

150 4 1 600 0.5 300

SF-424, “Application for Federal 

Assistance” (including SF-424A, 

SF-424B, SF-424C, and SF6,751 1 4 27,004 5 33,755
A-3

Information Collection 

Requirement

A B C D E F

Actions per 

Year

Submissions per 

Agreement

Burden Hours 

per Action

Total Burden 

Hours for 

Recipients

Burden Hours 

for EPA

Total Burden 

Hours for EPA

424D)

SF-LLL, “Disclosure of 

Lobbying Activities” 30 1 0.17 5 0 0

40 CFR 30.50 and 52 and 31.42 

Keep records 2,993 1 5 14,965 1 2,993

40 CFR 30.50 and 52 and 31.42 

Completion of project officer 

protocol

376 1 1 376 1 376

40 CFR 30.51 and 31.40 Submit 

progress reports 2,800 4 6.5 72,800 4 44,800

SF 425, "Federal Financial 

Report 2,993 2 1.5 8,979 1.5 8,979

SF-425A "Federal Financial 

Report Attachment" 1,141 1 0.5 571 0.5 571

SF-428 "Tangible Personal 

Property" 2,993 1 2.75 8,231 2.75 8,231

SF-429 "Real Property Status 

Report" 30 1 4 120 4 120

SF-SAC, "Data Collection Form 

for Single Audits" 202 1 21.2 4,282 21.2 4,282

Research Performance Progress 

Report 200 4 6 4,800 2 1,600

SF 3881, "ACH 

Vendor/Miscellaneous Payment 

Enrollment Form"

2,993 1 0.25 748 1 2,993

EPA Form 190-F-05-001, 

"Fellowship Stipend Payment 

Enrollment Form

100 1 0.5 50 0.5 50

EPA Form 190-F-04-001, "US 

EPA Payment Request" 2,993 12 0.5 17,958 0.5 17,958

EPA Form 5700-53," Lobbying 

and Litigation Certificate" 2,993 1 0.08 249 0.08 249

EPA Form 5700-52A," 

MBE/WBE Utilization Under 

Federal Grants"

3,600 1.67 1.5 9,000 1.5 9,000
B-1

EXHIBIT B

EPA GRANT FORMS

Forms covered in this ICR include:

 EPA Form 6600-09, “EPA Administrative Capability Questionnaire”

 EPA Form 4700-4, “Preaward Compliance Review Report for All Applicants and 

Recipients Requesting Federal Financial Assistance” 

 EPA Form 5700-54, “Key Contacts Form,” and EPA Form 5700-55, “Key

Contacts Form for Multiple Principal Investigators” 

 EPA Form 5770-2, “Fellowship Application” 

 EPA Form 5770-3, “Fellowship Facilities and Commitment Statement” 

 EPA Form 5770-5, “Agency Fellowship Certification” 

 EPA Form 5770-7, “EPA Fellowship Activation Notice” 

 EPA Form 5770-8, “Fellowship Agreement” 

 EPA Form 5770-9, “Completion of Studies Notice” 

 EPA Form 6600-01, “EPA Administrative and Financial Onsite Review 

Questionnaire” 

 EPA Form 6600-06, “Certification Regarding Lobbying”

 EPA Form 6600-08, “Lobbying Cost Certificate for Indirect Costs/ Certificate of 

Indirect Costs for State and Local Governments”

 NCER Form 5, “Current and Pending Support”

 SF-270, “Request for Advance or Reimbursement” 

 SF-271, “Outlay Report and Request for Reimbursement for Construction 

Programs” 

 SF-424, “Application for Federal Assistance”

 SF-424A, “Budget Information - Non-Construction Programs”
B-2

 SF-424B, “Assurances - Non-Construction Programs”

 SF-424C, “Budget Information - Construction Programs”

 SF-424D, “Assurances - Construction Programs”

 SF-LLL, “Disclosure of Lobbying Activities”

 SF 425, “Federal Financial Report” 

 SF 425A, “Federal Financial Report Attachment” 

 SF 428, “Tangible Personal Property” 

 SF 429, “Real Property Status Report” 

 SF SAC, “Data Collection Form for Single Audits” 

 Research Performance Progress Report

 SF 3881, “ACH Vendor/Miscellaneous Payment Enrollment Form”

 EPA Form 190-F-05-001, “Fellowship Stipend Payment Enrollment Form” 

 EPA Form 190-F-04-001, “EPA Payment Request” 

 5700-53, “Lobbying and Litigation Certification for Grants and Cooperative 

Agreements” 

 5700-52A, “MBE/WBE Utilization Under Federal Grants and Cooperative 

Agreements” 
C-1

EXHIBIT C 

ENVIRONMENTAL PROTECTION AGENCY 

FINANCIAL ASSISTANCE PROGRAMS—CATALOG OF 

FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER AND TITLE

Office of Administration and Resources Management (OARM)

66.508 Senior Environmental Employment Program

66.518 State Senior Environmental Employment Program

Office of Air Radiation (OAR)

66.001 Air Pollution Control Program Support

66.032 State Indoor Radon Grants 

66.033 Ozone Transport Commission

66.034 Surveys, Studies, Research, Investigations, Demonstrations and Special Purpose 

Activities Relating to the Clean Air Act

66.037 Internships, Training and Workshops for the Office of Air and Radiation

66.038 Training, Investigations, and Special Purpose Activities of Federally-Recognized 

Indian Tribes Consistent With the Clean Air Act (CAA), Tribal Sovereignty and 

the Protection and Management of Air Quality

66.039 National Clean Diesel Emissions Reduction Program

66.040 State Clean Diesel Grant Program

66.041 Climate Showcase Communities Grant Program

66.042 Temporally Integrated Monitoring of Ecosystems (TIME) and Long-Term 

Monitoring (LTM) Program

Office of Chemical Safety and Pollution Prevention (OCSPP)

66.707 TSCA Title IV State Lead Grants Certification of Lead-Based Paint Professionals

66.708 Pollution Prevention Grant Program

66.714 Regional Agricultural IPM Grants

66.715 Lead Educational Outreach and Baseline Assessment of Tribal Children’s 

Exposure and Risks Associated With Lead

66.716 Research, Development, Monitoring, Public Education, Training, Demonstrations, 

and Studies

66.717 Source Reduction Assistance

66.718 National Community-Based Lead Outreach and Training Grant Program

Office of the Chief Financial Officer (OCFO)

66.202 Congressionally Mandated Projects

66.203 Environmental Finance Center Grants

Office of Enforcement and Compliance Assurance (OECA)
C-2

66.305 Compliance Assistance Support for Services to the Regulated Community and 

Other Assistance Providers

66.309 Surveys, Studies, Investigations, Training and Special Purpose Activities Relating 

to Environmental Justice

66.310 Capacity Building Grants and Cooperative Agreements for Compliance 

Assurance and Enforcement Activities in Indian Country and Other Tribal Areas

66.313 International Compliance and Enforcement Projects

66.604 Environmental Justice Small Grants Program

66.700 Consolidated Pesticide Enforcement Cooperative Agreements

66.701 Toxic Substances Compliance Monitoring Cooperative Agreements

66.709 Multi-Media Capacity Building Grants for States and Tribes

Office of Environmental Information (OEI)

66.608 Environmental Information Exchange Network Grant Program and Related 

Assistance

66.612 Survey, Studies, Investigations, Training Demonstrations and Educational 

Outreach Related to Environmental Information and the Release of Toxic 

Chemicals

Office of International and Tribal Affairs (OITA)

66.473 Direct Implementation Tribal Cooperative Agreements

66.926 Indian Environmental General Assistance Program (GAP)

66.931 International Financial Assistance Projects Sponsored by the Office of 

International and Tribal Affairs 

Office of Research and Development (ORD)

66.509 Science to Achieve Results (STAR) Research Program

66.510 Surveys, Studies, Investigations and Special Purpose Grants within the Office of 

Research and Development

66.511 Office of Research and Development Consolidated 

Research/Training/Fellowships

66.513 Greater Research Opportunities (GRO) Fellowships For Undergraduate 

Environmental Study

66.514 Science to Achieve Results (STAR) Fellowship Program

66.515 Greater Research Opportunities (GRO) Research Program

66.516 P3 Award: National Student Design Competition for Sustainability

66.517 Regional Applied Research Efforts (RARE)

Office of Solid Waste and Emergency Response (OSWER)

66.801 Hazardous Waste Management State Program Support

66.802 Superfund State, Political Subdivision, and Indian Tribe Site-Specific Cooperative 

Agreements
C-3

66.804 Underground Storage Tank Prevention, Detection and Compliance Program

66.805 Leaking Underground Storage Tank Trust Fund Corrective Action Program

66.806 Superfund Technical Assistance Grants (TAG) for Community Groups at 

National Priority List (NPL) Sites

66.808 Solid Waste Management Assistance Grants

66.809 Superfund State and Indian Tribe Core Program Cooperative Agreements

66.810 Chemical Emergency Preparedness and Prevention (CEPP) Technical Assistance 

Grants Program

66.812 Hazardous Waste Management Grant Program for Tribes

66.813 Alternative or Innovative Treatment Technology Research, Demonstration, 

Training and Hazardous Substance Research Grants

66.814 Brownfields Training, Research and Technical Assistance Grants and Cooperative 

Agreements

66.815 Environmental Workforce Development and Job Training Cooperative 

Agreements

66.816 Headquarter and Regional Underground Storage Tanks Program

66.817 State and Tribal Response Program Grants

66.818 Brownfields Assessment and Cleanup Cooperative Agreements

Office of Administration (OA)

66.605 Performance Partnership Grants

66.609 Protection of Children from Environmental Health Risks

66.610 Surveys, Studies, Investigations and Special Purpose Grants within the Office of 

the Administrator

66.611 Environmental Policy and Innovation Grants

66.940 Environmental Policy and State Sustainability Grants

66.950 National Environmental Education Training Program

66.951 Environmental Education Grants

66.952 National Network for Environmental Management Studies Fellowship Program

66.953 Building Capacity to Implement EPA National Guidelines for School 

Environmental Health Programs

Office of Water (OW)

66.305 Community Action for a Renewed Environment Program

66.418 Construction Grants for Wastewater Treatment Works

66.419 Water Pollution Control State, Interstate, and Tribal Program Support

66.424 Surveys, Studies, Investigations, Demonstrations, and Training Grants - Section 

1442 of the Safe Drinking Water Act

66.432 State Public Water System Supervision

66.433 State Underground Water Source Protection

66.436 Surveys, Studies, Investigations, Demonstrations, and Training Grants and 

Cooperative Agreements - Section 104(b)(3) of the Clean Water Act

66.437 Long Island Sound Program

66.439 Targeted Watersheds Grants
C-4

66.440 Urban Waters Small Grants

66.454 Water Quality Management Planning

66.456 National Estuary Program

66.458 Capitalization Grants for Clean Water State Revolving Funds

66.460 Nonpoint Source Implementation Grants

66.461 Regional Wetland Program Development Grants

66.462 National Wetland Program Development Grants and Five-Star Restoration 

Training Grant

66.463 Water Quality Cooperative Agreements

66.466 Chesapeake Bay Program

66.467 Wastewater Operator Training Grant Program

66.468 Capitalization Grants for Drinking Water State Revolving Funds

66.469 Great Lakes Program

66.471 State Grants to Reimburse Operators of Small Water Systems for Training and 

Certification Costs

66.472 Beach Monitoring and Notification Program Implementation Grants

66.474 Water Protection Grants to the States

66.475 Gulf of Mexico Program

66.478 Water Security Training and Technical Assistance and Water Security Initiative 

Contamination Warning System Pilots

66.479 Wetland Program Grants - State/Tribal Environmental Outcome Wetland 

Demonstration Program

66.480 Assessment and Watershed Protection Program Grants

66.481 Lake Champlain Basin Program

Region 1

66.110 Healthy Communities Grant Program

Region 3

66.050 Potomac Highlands Implementation Grants

66.113 Region 3 Environmental Priority Projects

Region 4

66.127 Southeastern U.S. Regional Targeted Watershed Initiative

Region 6

66.124 Coastal Wetlands Planning Protection and Restoration Act

66.125 Lake Pontchartrain Basin Restoration Program (PRP)

Region 9

66.126 The San Francisco Bay Water Quality Improvement Fund
C-5

66.600 Environmental Protection Consolidated Grants for the Insular Areas - Program 

Support

Region 10

66.119 West Coast Estuaries Initiative

66.120 Puget Sound Watershed Management Assistance

66.121 Puget Sound Protection and Restoration: Tribal Implementation Assistance 

Program

66.122 Puget Sound Action Agenda Outreach, Education and Stewardship Support 

Program

66.123 Puget Sound Action Agenda: Technical Investigations and Implementation 

Assistance Program