1 SUPPORTING STATEMENT 1. ID ENTIFICATION OF THE INFORMATION COLLECTION (a) TI TL E OF THE INFORMATION COLLECTION Exchange Network Grants Progress Report s (Renewal) ICR 2207.0 4 , OMB Control Number 2025
- 0006, EPA
- HQ
- OEI
- 2006
- 0037 (b) SHORT CHARACTERIZATION The E nvironmental Protection Agency ’s (EPA) Office of Environmental Information (OEI) provides funding to EPA’s Exchange Network partners ( states , territories , and federally recognized Indian tribes ) to support the development of the E nvironmental Information E xchange Network (EIEN)
. As a stipulation of the award, recipients are required to submit semi
- annual and final progress reports. EPA also requires recipients to submit a quality assurance report within 90 day s of award. Since 2006, EPA has used standard forms for these reports. (c) OMB Terms of Clearance For the prior ICR 2207.03, OMB provided the following Terms of Clearance:

“ This collection is approved through November, 2011. The agency is reminded that there is a government
- wide effort to standardize grantee performance reporting, and that they should adopt the standard Performance Progress Report (PPR). ” EPA consulted with the Department of Health and Human Services (HHS) concerning the standard Performance Progress Report (PPR) and found that the standard PPR does not meet EPA’ s Office of Environmental Information program
- specific reporting requirements. EPA’s current Progress Reporting Form requires reporting of specific outputs, outcomes and environmental results that are not included in the standard PPR. Additionally , the standard PPR requires the reporting of information that EPA is not interested in collecting. The consultation with HHS made clear that there is no way to work with the standard PPR to have it meet our program - speci fic program reporting requirements. Adding EPA’s program
- specific reporting requirements to the standard PPR would result in a more burdensome form. Consequently , EPA determined that it is in the best interest of the Exchange Network grant program, and i ts ability to provide adequate oversight, to keep the current Semi
- Annual Progress Reporting form. 2. NEED FOR AND USE OF THE COLLECTION (a) AUTHORITY/NEED FOR THE COLLECTION2

The authorit y to gather progress performance and quality assurance information for assistantship programs is derived from 40 CFR Part 31, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and L ocal Go vernments. ” Section 31.40, Monitoring and reporting program performance, states: “(1) Grantees shall submit annual performance reports unless the awarding agency

requires quarterl y or semi
- annual reports. However, performance reports will not be require d more frequentl y than quarterl y. Annual reports shall be due 90 day s after the grant ye ar, quarterly or semi
- annual reports shall be due 30 day s after the reporting period. The final performance report will be due 90 day s after the expiration or terminat ion of grant support. If a justified request is submitted by a grantee, the Federal agency may extend the due date for any performance report . Additionally , requirements for unnecessary performance reports may be waived b y the Federal agency
. (2) Perfo rmance reports will contain, for each grant, brief information on the following: (i) A comparison of actual accomplishments to the objectives established for the period. Where the output of the project can be quantified , a computation of the cost per unit of output may be required if that information will be useful. (ii) The reasons for slippage if established objectives were not met . (iii) Additional pertinent information including, when appropriate, anal ys is and explanation of cost overruns or high unit costs.” Section 31.45 Quality

Assurance, states: “ If the grantee's project involves environmentall y related measurements or data generation, the grantee shall develop and implement quality

assurance practices consisting of policies, procedures, specifications , standards, and documentation sufficient to pr oduce data of quality adequate to meet project objectives and to minimize loss of data due to out
- of
- control conditions or malfunctions. ” OEI needs these reports to ensure that grants are making progress consistent with their work plans and that grantees have the policies, procedures, specifications , standards, and documentation to produce data of sufficient quality to meet project objectives
. (b) PRACTI CAL UTILITY/USERS OF THE DATA The information provided on Semi
- Annual Report F orms will be used b y the Regional Grant Coordinators to monitor grant project development and performance. The reports will be attached to the applicable grantee’s file in the Integrated Grants Management Database. The3

same reporting form will also be use d as the final progress r eport, and will be used to rate performance for future grant awards. The Quality

Assurance Report Form will be used to ensure grantees will use quality assurance measures outlined in the grant’s administrative terms and conditions
. 3. NON DUPLICATION, CONSUL TAT IONS, AND OTHER COLLECTION CRI TERIA (a) NONDUPLICATION The informati on a grantee provides in their semi
- annual progress r eport is unique to each project. Information concerning the status of goals, outcomes and outputs for each project is not available from an y other source. (b) PUBLIC NOTICE The notice for this collection renewal was published in the Federal Register on June 28, 2011 (76 FR 37811)
. We have not received an y public comments from the notice. (c) CONSUL TAT ION S For this I CR action, we consulted with the EIEN’s ten Regional Grant Coordinators (RGC). The R GC’ s are EPA employees, one in each of the EPA’s ten regions, who s pecialize in environmental i nformation. The Regional Grant Coordinators have determined that the current form s are working well and consequently no change to the form s should be made. (d) EFFECTS OF LESS FREQUENT COLLECTION EIEN grants are usually

awarded for two
- year project periods. The Quality Assurance Form would be completed only once , no more than three mo nths after the award is made. As a stipulation of the EIEN grant award, a progress report is completed every six months and a final report is submitted no later than three months after project completion. Less frequent reporting cou ld result in project mismanagement. For some Project Officers with many grants to manage, the semi
- annual progress report is the best opportunity to ensure the project is on schedule to meet its goals. (e) GENERAL GUIDELINES Both the Semi
- Annual Progress Report Form and the Quality Assurance Form covered in this I CR adhere to OMB general guidelines. (f) CONFIDENTIALITY No pledge of confidentiality is given for grantee responses in either the Semi
- Annual Progress Report Form or the Quality Assurance Form
.4

(g) SENSI TIVE QUESTIONS No sensitive question s are asked on either the Semi
- Annual Progress Report Forms or Quality Assurance Forms. 4. THE RESPONDENTS AND THE INFORMATION REQUESTED (a) RESPONDENTS/SI C CODES Our respondents are generally employees of state, tribal, or territorial environmental government offices. For instance, the current grants awarded to the state of North Carolina are managed b y an employee of the North Carolina Department of Natural Resources. According to the 2002 NAI CS codes available at www.naics.com , our respondents would fall into one of three categories: 921150 American Indian and Alaska Native Tribal Governments 921190 Other General Government Support 924120 Administrations of Conservation Programs (b) IN FORMAT ION REQUESTED Please see attachments for sp ecific data elements (Exhibits A and B ). FY 2011 guidance for quality

assurance p lans are described in the FY 2011 Exchange Network Solicitation Notice, Appendix E which states: “ that each applicant who receives an award will be required to submit a Quality Assurance Project Plan (QAPP) that is tailored to the activities in his/her particular proposal within a specified period of time after the award is issued as a programmatic condition of the Assistance Agreement ”
. (c) RESPONDENT ACTIVITIES As previously

stated, grantees are already required to report progress semi
- annuall y on their projects. EIEN grantees have been submitting semi
- annual progress report s and final reports to EPA Regional Offices since the National Environmental Information Exchange Network (N EI EN ) grant program began in 2002. EPA implemented the requirement to submit the Quality

Assurance Form for new N EI EN grants beginning in 2006, but the measures for quali ty a ssurance in a grantees’ project have been explained in the N EIEN Solicitation Notice since 2002. According to the 1995 Paperwork Reduction Act ( PRA ) definition of burden §3502, the only time and effort that the forms required from grantees are: (A) Reviewing instructions; (E) Completing and reviewing the collection of information; and (F) Transmitting through email.
5. IN FORMAT ION COLLECTED5

(a) AGENCY ACTIVITIES Once the semi
- annual report and quality a ssurance report are received b y the RGC, they are attached to the grant’s file in the Integrated Grants Management S ys tem (IGMS) database. Itis simultaneously

emailed to the national grant manager at Headquarters who may use the information to report grant status. (b) COLLECTION METHODOLOGY This information collection is form
- related. The Semi
- annual P rogress Report Form and the Quality

Assurance form are the same form s used for the last three y ears . Beginning with grants awarded in FY 2008, EPA requires, through the administrative terms and conditions, the recipients to enter data on line via EPA’s Central Data Exchange (CDX) s ys tem which replaces the current paper report and email ing it to their RGC
. For those grant s awarde d prior to FY 2008 , the award recipient has the option of submitt ing semi
- annual progress reports to the EPA Regional Project Officer electronically (i.e., through CDX) or in Microsoft Word , email ed to their RGC. These progress reports must be submitted within one month of the end of the each reporting period. The first reporting period is from the award issuance date to March 31, 2012 , and the first report will be due to the EPA Regional Project Officer on Apri l 30, 2012 . Subsequent reports will be due every six months thereafter, until the project is completed. The RGC will upload the forms in I GMS, a L otus Notes database that has been used b y the EPA since 2000. To reduce burden, EPA ask s that grantees not re - write their entire semi
- annual progress report , but simply add their recent outcomes, outputs and modified dates into their semi
- annual progress report from the previous six months. Recipients of all new grants must submit the quality assurance repor

t Form via email within 90
- say s of receiving the award. (c) SMALL ENT ITY FLEXIBILITY There are no small entities affected because the respondents are states. (d) COLLECTION SCHEDUL E **Table 1** FORM SCHEDULE Q ua lity Assurance R eport Form Due to RGC 90 day s after award of grant Semi
- Annual Progress Report Form Due to RGC April 30 (Oct. 1
- Mar. 31 period) Due to RGC October 31 (Apr. 1

– Sept. 30 period)
6. BURDEN ESTIMATE AND COST OF COLLECTI ON (a) ESTIMATING RESPONDENT BURDEN6

The estimated hours for completing each form includes time for reviewing instructions, completing information and transmitting through email. **Table 2** Form Estimated Hours Frequency per

Year Total Burden

Hours Semi
- Annual Progress Reporting Form 1.5 2 3 Quality Assurance R eport ing Form 1 1 1 Total 4 (b ) RESPONDENT UNIVERSE AND BURDEN At the beginning of fiscal year 2011 , EPA estimate s 300 grantees will be responding to the Semi
- Annual Progress Report Form. That number is derived from an esti mate of the rolling number of “active grants.” The number of active grants fluctuates throughout the year as projects are completed and grants are officiall y awarded and closed. Every N EI EN grant is awarded for a two - ye ar project period. Approximately half of the grantees from any giv en y ear request extensions for their projects for an additional ye ar. Using these exceptions and including the grants that EPA awarded in FY 2011 , we estimate 300 respondents at an y one time. The Quality

Assurance Form will be completed once by award re cipients . These respondents are not unique; they are the same respondents who will submit Semi
- annual Progress Report Forms after the first six months of their projects. EPA’s burden estimate per year is based on the government’s fiscal year. In one fi scal ye ar, a respond ent who receives an award in 2011 will complete one quality a ssurance report and two semi
- annual progress r eport s . Total Number of Responses : Semi
- Annual Progress Report F orms : 300 Respondents x 2 per year = 600 Quality Assurance Report Form: 56 Respondents x 1 per year = 56 Total = 656 Total Burden: Semi
- Annual Progress Report F orms : 300 respondents x 3 hours = 900 Quality Assurance Report Form: 56 respondents x 1 = 56 Total = 956 (c) ESTIMAT ING RESPONDENT COST Respondent costs consist only of labor. There are no capital, operating and maintenance, or annualizing capital costs incurred b y this information collection.7

Respondent Wage Rate: $30.07 1 x 1.30 = $39.09 Quality Assurance Report Form: 56 Respondents x 1 hour x $39.09 = $2,189 Semi
- Annual Progress Report Form: 300 Respondents x 1.5 hours x 2 per y ear x $39.09 = $35,181 Table 3 summarizes respondent costs. **Table 3** Cost Semi Annual Quality Assurance Labor Cost $ 35,181 $ 2, 189 Capital/Start
- up Cost $0 $0 Operating and Maintenance $0 $0 Annualizing Capital $0 $0 Total Costs $ 35,181 $ 2, 189

1 $30.07 represents the average wage rate of several occupations expected to apply for grants or fellowships. 1.30 represents a 30% rate for benefits. This figure is derived from Tab le 1. Civilian Workers, by Major Occupation Group; Management, Professional, and Related
- found in the Bureau of Labor Statistics New Release, “Employer Costs for Employee Compensation

– March 2011.”8

(d) ESTIMATING AGENCY BURDEN AND COST To estimate the cost and burden to the RGC’s, EPA assumed that each recipient would submit three reports per y ear ( quality assurance report and two semi
- annual r eports) and that th e re are 300 active grants in any single y ear. The total number of hours that all of EPA’s RGC’s review and submit both fo rms is 450 hours per year. The 450 hours per y ear cost the agency $ 21,636 . Table 4 summarizes EPA’s burden and cost
. **Table 4** E ach RGC has approximately 30 active grants. 30 To r eview and upload one form take .5 hours. .5 Each grantee owes the RGC three forms per ye ar .5 x 3 x 1.5 RGCs total hours 45 10 RGCs x 10 **Total RG C**  **Hours for all g rants**  **450** RGC hourly

rate, fully

b urdened* $ 48.08 x 48.08 **Total costs to 10 RGC for review and submit $** **21,636**

***** The 2011 average hourly rate for General Schedule (GS) 1 3, Step 1 ($ 34.3 4 ) was used to estimate burden costs for the EPA. This was also fully burdened (x 40 %), yielding a wage rate of $48.08 (e) BOTTOM LINE BURDEN HOURS AND COSTS **Table 5** Total annual r esponses = 656 Total bur den hours for respondents = 956 * hours Tota l burden hours for EPA = 450 hours Total respondent cost = $ 37,370 dollars Total EPA cost = $ 21,636 dollars *Not all respondents complete every activity, every year
. (f) RE ASONS FOR CHANGE IN BURDEN There is an increase of 223 hours for this I CR renewal. This increase is a result of an increase in the number of respondents. There is no change in burden per respondent or response . Additionally , there is no change in the level of effort estimate for EPA. Total EPA cost, however, has increased due to increases in employee salaries since approval of the first ICR in 2006
. (g) BURDEN STATEMENT Burden means the total time, effort, or financial resources expended b y 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 technology9

and sy stems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing way s to comply with an y previously

applicable in structions 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. An agency may not conduct or spo nsor, and a person is not required to respond to, a collection of information unless it display s a currently

valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15. The burden for th e Semi
- Annual Progress R eport Form is based on time for reviewing instructions, collecting the information, and entering it on
- line or preparing and ema iling a Word document. For the Semi
- Annual Progress Report Form, the respondent burden is 1.5 hours. Re spondents complete the form twice a ye ar, thus the total annual burden is 3 hours. For the Quality Assurance Report Form, the annual respondent burden is 1 hour. 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 I CR under Docket ID Number EPA
- HQ
- OEI
- 2006
- 0037 , which is available for online viewin g at www.regulations.gov , or in person viewing at the Office of Environmental Information Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334 , 1301 Constitution Avenue, NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday

through Friday , excluding legal holiday s. The telephone number for the Reading Room is (202) 566
- 1744, and the telephon e number for the Office of Environmental Information Docket is (202) 566
- 1752. An electronic version of the public docket is available at www.regulations.gov. This site can be used 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 . When in the sy stem, select “search,” then key in the Docket ID Number identified above. Also, you can send comments to the Office of Informatio n and Regulatory

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number EPA
HQ
- OEI
- 2006
- 0037 and OMB Control Number 2025
- 0006 in an y correspondence.Exhibit A OMB No. 2025
- 0006 Expires xx/xx/xxxx

1 

### U.S. ENVIRONMENTAL PROTECTION AGENCY **Exchange Network Grant Program Progress Reporting Form for Use by Recipients of Assistance Agreements**  Please Check: 

## □ Semi
- annual report 

## □ Final Report **Instructions: This form is for Exchange Network Grant recipients to report their progress. Recipients should send these** 

**to their regional grant project officer for spring reports by April 30 for the period**  **October 1**  **- March**  **31 .**  **Fall reports are**  **due to the regional project officer by October 31 for the period April 1**  **- September 30** 

**. Recipient Information:**  **Agency Name: EPA Grant Number** 

**– Program Code, Number, and Amendment Number (e.g., OS** 

**– 12345678** 

**– 0):**  **For grants awarded before 2006 Exchange Network Grant Category (i.e., One Stop, Readiness, Implementation, or Challenge):**  **Project Manager: Name:**  **Phone: Email:**  **Funding Year: Aw**  **ard Amount: Expenditures during**  **this reporting period: Funds Remaining:**  **Reporting Period (starting and ending dates, mm/dd/yyyy):**  **Date Report Submitted (mm/dd/yyyy): EPA Project Officer to Whom Report is Submitted:**  **Name: EPA Region/Program:**  **Focus:**OMB No. 2025
- 0006 Expires xx/xx/xxxx

2 **P rogress Report Instructions:**  1. List major goals and each goal’s outputs as described in the work plan. 2. In the “Scheduled Date” column enter the dates from the grant work plan 3. In the “Completion Date” column enter the date each output completed as of the period covered by this report 4. In the Outcomes column, briefly outline how the goal or output will enhance the recipient’s ability to carry out its missi on or result in other benefits. 5. Use **bold type** for the outputs or outcomes you achieved during the current reporting period. 6. Insert more rows if you need them by using the tab key in the last cell of the last row. **EXAMPLE Goals**  **Outputs Scheduled**  **Date Com** 

**pletion date**  **List Outcomes for Each Goal, and, if they differ,**

**each Output** 1. Begin flowing ambient air quality data through the Exchange Network. 1. Develop XML schema by. . mm/yyyy mm/yyyy Enhanced environmental decision

- making due to more timely access to ambient air quality data. 2. Initiate first test data flow by mm/yyyy mm/yyyy
**Goals Outputs**  **Scheduled Date**  **Com**

**pletion date**  **List Outcomes for Each Goal, and, if they differ,**

**each Output**OMB No. 2025
- 0006 Expires xx/xx/xxxx

EPA Form 5300
- 26 3 **Comments** Instructions: If you have had any problems during the current period please report them here. In accordance with 40 C.F.R. §30.51(f) and 40 C.F.R. §31.40(d), a recipient of an EPA assistance agreement must notify EPA of any problems, delays, or adverse conditions that wil l materially impair the recipient’s ability to achieve the outputs/outc omes specified in the assistance agreement work plan. **Current problems during this reporting period: Describe any actions your organization has taken or plans to take to resolve the problem:** 

**If you need help from EPA you may request it here:** 

**Other comments:**
**Definitions**  **Project/Program Goal:** A major objective or endpoint identified in the assistance agreement work plan. A work plan may include one or more project/program goals. Use the goals as described in the assistance agreement work pl an.  **Output:** A product, service, or implementation target that will be produced or achieved during the project/program. Outputs may be qualitative or quantitative , but they must be measurable during the assistance agreement funding period
.  **Outcome:** Changes or benefits resulting from the successful achievement of the project/program activities and outputs. Outcomes may be environmental, behavioral, health
- related, or programmatic in nature, but they must be quantitative
. Outcomes may not necessarily be achievable within the assistance agreement funding period, and they can be described as short
- term, intermediate, or long
- term: 1) short

- term

– changes in learning, knowledge, attitudes, or skills; 2) intermediate

– changes in behavior, practices, or decisio ns; or 3) long

- term

– changes in environmental, human health, or other conditions. **Paperwork Reduction Act (PRA) Burden Statement:** The public reporting and recordkeeping burden for this collection of information is estimated to average ninety minutes per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and an y suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.Exhibit B OMB No. 2025
- 0006 Expires xx/xx/xxxx

EPA Form 5300
- 27 1 **U.S. ENVIRONMENTAL PROTECTION AGENCY Quality Assurance Reporting Form**  **for Use by Recipients of Assistance Agreements Recipient Organization:**  **Name: Address:**  **EPA Award Number: Project/Program Period(starting and ending dates, mm/**  **dd/yyyy):**

**Activity Group:** (check all that apply) □ Infrastructure Development

□ Data Exchange, Anal ysis and Integration □ Planning, Mentoring, and Training □ Challenge **Goal Task**  **Output Outcome**  **Quality Assurance Measures**

**Instructions: -**  **Please submit electronically to exchangenetwork @epa.gov within 90 days of award.** 

**- For Quality Assurance Measures, please refer to Solicitation Notice Appendix D: Quality Assurance Guidelines.** 

**- For Goals, please refer to goals outlined in your assistance agreement work**  **plan. Paperwork** 

**Reduction Act (PRA) Burden Statement:** The public reporting and recordkeeping burden for this collection of information is estimated to average one hour per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washingto n, D.C. 20460. I

nclude the OMB control number in any correspondence. Do not send the completed form to this address.