Document ID: EPA-HQ-OITA-2023-0383-0003
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2023-12-04T05:00Z

EPA ICR SUPPORTING STATEMENTS GUIDANCE
Contents	
ICR SUPPORTING STATEMENT  -  PART A	2
ABSTRACT	2
1.	NEED AND AUTHORITY FOR THE COLLECTION	2
2.	PRACTICAL UTILITY/USERS OF THE DATA	2
3.	USE OF TECHNOLOGY	3
4.	EFFORTS TO IDENTIFY DUPLICATION	3
5.	MINIMIZING BURDEN ON SMALL ENTITIES	4
6.	EFFECTS OF LESS FREQUENT COLLECTION	4
7.	GENERAL GUIDELINES	4
8.	PUBLIC COMMENT AND CONSULTATIONS	4
8a. PUBLIC COMMENT	4
8b. CONSULTATIONS	5
9.	PAYMENTS OR GIFTS TO RESPONDENTS	6
10.	PROVISIONS FOR PROTECTION OF INFORMATION	6
11.	JUSTIFICATION FOR SENSITIVE QUESTIONS	7
12.	ESTIMATE OF RESPONDENT BURDEN HOURS & LABOR COSTS	7
12a.  Respondents/NAICS Codes	7
12b. Information Requested	8
12c. Respondent Activities	8
12d. Respondent Hour and Labor Burden	8
13. RESPONDENT ANNUAL COST (NON-LABOR)	9
14.	AGENCY (EPA) BURDEN ESTIMATES	9
15.	CHANGE IN BURDEN	10
16.	PUBLICATION OF DATA	11
17.	DISPLAY OF OMB CONTROL NUMBER EXPIRATION DATE ON INSTRUMENTS	11
18. CERTIFICATION STATEMENT	11
APPENDIX A: Combined ETEP and GAP Work Plan Template	12

                     ICR SUPPORTING STATEMENT  -  PART A

Combined EPA-Tribal Environmental Plan (ETEP) and Indian Environmental General Assistance Program (GAP) Work Plan Template (New)

EPA-HQ-OITA-2023-0383

ABSTRACT

EPA is developing a template to assist grantees and EPA with the creation of combined EPA-Tribal Environmental Plans (ETEPs) and Indian Environmental General Assistance Program (GAP) work plans. This template will provide a streamlined way to identify and report information that is already outlined in the 2022 GAP Guidance, 40 40CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act, and is already being reported on.  In the 2022 GAP Guidance, section 2.3, the American Indian Environmental Office (AIEO) commits to providing templates to assist Tribes considering a streamlined format.  The template itself does not introduce any new requirements, nor does it limit the information that applicants may submit.

 NEED AND AUTHORITY FOR THE COLLECTION

This information is already being reported on and collected through the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act. The template itself does not introduce any new requirements; it reduces redundancy by compiling the data from EPA-Tribal Environmental Plans (ETEPs) and GAP work plans together into one streamlined document.
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For the Indian Environmental General Assistance Program (GAP) grants, grantees provide EPA with a variety of information as outlined in the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act.  This proposed template itself does not introduce any new requirements on what is already required to be submitted by grantees. 

 PRACTICAL UTILITY/USERS OF THE DATA

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This information is already being collected and used by the Agency.  This document is combining an EPA-Tribal Environmental Plan (ETEP) and an Indian Environmental General Assistance Program (GAP) Work Plan.  

This information is already being collected and used by GAP recipients and EPA.  This document is combining an EPA-Tribal Environmental Plan (ETEP) and an Indian Environmental General Assistance Program (GAP) Work Plan.  

An ETEP, as introduced in the 2013 GAP Guidance and continued in the 2022 GAP Guidance, is a joint plan outlining how each Tribe and EPA intends to work together to address shared environmental priorities.  Building upon recommendations from the Office of Inspector General (OIG), as well as being an essential performance management evaluation tool, an ETEP is a planning and communication tool for the Tribe and EPA that provides a road map for decision-making and a basis for understanding changes in capacity development with GAP resources.  There are three required components to an ETEP: 1) EPA Regulated Entities 2) Tribal Environmental Priorities, and 3) EPA Program Priorities, including Direct Implementation.  For the EPA Regulated Entities section, EPA Regional Offices should provide the Tribe with a draft inventory of federally regulated entities in Indian country.  Tribes may include other entities of interest, if desired.  For the Tribal Environmental Priorities section, Tribes/recipients should include a short description of each priority area the recipient plans to address with GAP funds, capacity indicators the recipient intends to pursue that is associated with that priority, anticipated timeline for completing the capacity indicator, long-term program development goals, and requested assistance.  For the EPA Program Priorities section, including Direct Implementation, EPA Regional offices should identify EPA program priorities, as well as identify EPA's direct implementation responsibilities for each Tribe, if applicable.  The information in this section may be beneficial to Tribes to identify where they may wish to seek assumption of federal laws or meaningfully participate in partnership with EPA.

A work plan, as detailed in 40 CFR § 35.507, lists all the mandatory requirements that need to be included to issue and manage a grant, including, but not limited to, estimated years and estimated funding amounts of reach work plan component, work plan commitments for each work plan component, along with a time frame for accomplishment, a performance evaluation process and reporting schedule, role and responsibilities of the recipient and EPA in carrying out the work plan commitments, etc.  

This proposed template combines an ETEP and GAP work plan into one streamlined and clear document, in an effort to reduce administrative burden and create nationally consistent data and submissions.  

Also, as stated in section 2.3 of the 2022 GAP Guidance, "AIEO [American Indian Environmental Office] strongly encourages a combined GAP work plan and ETEP to streamline required planning, reporting and information sharing, and will provide templates to assist recipients considering this format."

 USE OF TECHNOLOGY

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The template will be in a Microsoft Word, or similar, format.

The template will be in a Microsoft Word, or similar, format, and therefore will have the ability for grantees to use this document with or without access to the internet.  The document will have locked cells that cannot be changed, with open ended cells for grantees to enter information directly into the document.   

 EFFORTS TO IDENTIFY DUPLICATION

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The information in this template is already being requested, and reported on, from grantees. 

The information in this template is already being requested, and reported on, from grantees.  EPA anticipates that this document will significantly reduce administrative burden for both grantees and EPA, as all required information from several sources is streamlined into one document. 

 MINIMIZING BURDEN ON SMALL ENTITIES

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GAP provides grants to Federally Recognized Tribes and intertribal consortia.   

Since one definition of a "small entity," or "small governmental jurisdiction," may include "Indian Tribes," this section is applicable to the proposed template. 

GAP is a grant opportunity for federally recognized Tribal governments and intertribal consortia.  The purpose of GAP is for recipients to plan, develop, and establish the capacity to implement programs administered by the EPA, develop and implement solid and hazardous waste programs for Indian lands. In 2018, Congress gave tribes the authority to provide collection, transportation, backhaul, and disposal services for solid waste and recovered materials using GAP funds.  Additionally, GAP authorizes EPA to provide technical assistance to Tribes and intertribal consortia in the development of multimedia programs to address environmental issues.

The information being collected in this template is already mandatory reporting information for grantees, regardless of the size of the federally recognized Tribe.  

 EFFECTS OF LESS FREQUENT COLLECTION

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This information is already required to be reported. 
 
 This information is already required to be reported on from grantees.  Lack of reporting on this mandatory information may result in the grantee losing funding and being unable to remain eligible for their grant.  
 
 GENERAL GUIDELINES

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There are no special circumstances.

There are no special circumstances.  The collection of information is conducted in a manner consistent with the guidelines in 5 CFR 1320.5(d)(2)
                                       
 PUBLIC COMMENT AND CONSULTATIONS

     8a. PUBLIC COMMENT

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If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the Agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the Agency in response to these comments. Specifically address comments received on cost and hour burden.
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In compliance with the PRA, any agency developing an ICR must solicit public comments for a 60-day period prior to submitting the ICR to OMB.  These comments, which are used partly to determine realistic burden estimates for respondents, must be considered when completing the ICR that is submitted to OMB. To address this section in supporting statements released with a renewal ICR's first Federal Register notice (announcing the 60-day comment period), use the following, or similar, language: 

In compliance with the Paperwork Reduction Act of 1995, EPA will solicit public comments on this renewal ICR through a notice in the Federal Register.

In the final ICR's supporting statement, include in this section the full citation for the 60-day Federal Register notice, the date the Federal Register notice was published, and a specific statement as to whether any comments were received.  A copy of the Federal Register notice must be submitted to OMB along with the Supporting Statement.

If comments were received, provide a summary of the comments along with an explanation of what response the Agency took in response to the comments.  Note that you are not obligated to use commenter's input, but if you do not, you must include an explanation why the Agency chose the path it did. If the Agency received especially useful or well-informed comments from the public, those comments may be included in an Appendix.  If only non-substantive/off-topic comments were received, you can report that "No substantive comments were received during the public comment period."
For rule-related ICRs, the publication of the preamble to the proposed rule, which solicits public comment on the ICR, serves as the 60-day notice. In this section, for the proposed rule ICR, indicate that the Agency is soliciting comments via publication of the proposed rule, which will be considered while preparing the final rule and the associated ICR.  In this section, for the final rule, describe comments received and the Agency's response as described above.

     8b. CONSULTATIONS

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EPA received input from three Tribal/public contacts with current Indian Environmental General Assistance Program (GAP) grants, as well as presented on the template at an EPA Region 9 Regional Tribal Operations Committee (RTOC) meeting and a GAP Project Officer (PO) meeting.  Note that an RTOC is a working committee of EPA and Tribal personnel, co-chaired by an EPA representative and a Tribal representative.  
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EPA received input from Tribal/public contacts with a current Indian Environmental General Assistance Program (GAP) grant, presented on the template at an EPA Region 9 Regional Tribal Operations Committee (RTOC) meeting, as well as presented at a GAP Project Officer (PO) meeting.  Note that an RTOC is a working committee of EPA and Tribal personnel, co-chaired by an EPA representative and a Tribal representative.  

Jerry Cain, Environmental Manager at the Office of Environmental Protection, Mississippi Band of Choctaw Indians, had positive feedback, stating, "This form is very similar to the programmatic work plans we develop each year. This format has been successful for us. The work plan forms that we use have been around for a while and do not have imbedded links etc. in them. I like this document and find it compatible in form and function with work plan formats that we are familiar with using." 

Jason Walker, Tribal Councilman, Northwest Band of Shoshone Nation, suggested optional use of the proposed template.  EPA has already addressed this, as the template would only be mandatory if a grantee chose to combine their ETEP and stand-alone GAP award.

Victoria Flowers, Senior Environmental Scientist Tribal Program Lead, Oneida Nation, stated that she is currently already trying to align her work plan metrics with ETEP metrics and that ETEPs "are a good idea." 

The Region 9 RTOC meeting had positive feedback on the fact that all reporting requirements were placed into one document.  There was concern that no Tribal consultation would take place on the proposed template. EPA explained that Tribal consultation is not to be offered on this template, as it is an administrative tool that represents information already being collected and reported by Tribes.  Tribes are encouraged to comment on the template during the Public Comment Period. In addition, consistent with EPA's Policy on Consultation and Coordination with Indian Tribes, EPA will consider all requests from Tribes for consultation. 

The GAP Project Officer meeting had positive feedback on the template as well, generally expressing support for the streamlined manner in which all data and information is being asked and collected into an easy-to-follow template.  

 PAYMENTS OR GIFTS TO RESPONDENTS

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Not applicable.
 
No payments or gifts are provided to respondents.

 PROVISIONS FOR PROTECTION OF INFORMATION

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This information is already being requested of grantees and may be subject to the Freedom of Information Act (FOIA).
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This information is already being requested of grantees and, like other data submitted to the federal government, may be subject to the Freedom of Information Act (5 U.S.C. § 552) (FOIA).  Grantees should be aware that records created may be required to be released under FOIA.  

 JUSTIFICATION FOR SENSITIVE QUESTIONS

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Not applicable.
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Questions of a sensitive nature are not included in this information collection.

 ESTIMATE OF RESPONDENT BURDEN HOURS & LABOR COSTS

       Currently, there are approximately 520 GAP grantee recipients.  Each grantee already completes both an ETEP and a work plan in order to receive GAP funds.  Therefore, this template is not creating any more burden to the grantees, since the information is already being reported and collected; in fact, this proposed template is anticipated to alleviate administrative burdens and work hours, as it eliminates redundancy, streamlines the process, and makes reporting requirements clear. 
       Regarding the hour burden of work plans, by statute a GAP award project period can be up to four years.  Multi-year GAP work plans are allowed and encouraged, and need to be reviewed annually, as they are funded annually.  Annual check ins occur between the grantee and their Project Officer, and include discussions regarding any changes in the work plan, based on accomplishments in the previous year.  EPA staff estimate that an initial four-year work plan takes the grantee eight hours to complete, and two hours for the Project Officer to review.  Annual check-ins are estimated to last an hour.
       Regarding ETEPs, and the hours of burden, these documents are recommended to cover a period of at least three, but not more than five years.  Grantees and Project Officers should review the ETEP annually and make updates to priorities, indicators, and anticipated timelines as needed.  EPA staff estimate that it takes a grantee 20 hours to complete an initial ETEP, and EPA staff five hours.  Annual reviews are estimated to last an hour.
       All hours are estimates, as each Tribe is unique, but an estimate may be higher or lower for several reasons, including the varied nature of the internal development, review, and approval processes of each Tribe, as well as the time in position for Tribal environmental staff, since new Tribal or EPA staff may spend more time than average in developing the ETEP priorities and work plan, while more experienced staff may use less.  
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     12a.  Respondents/NAICS Codes

 The major category of respondents are federally recognized Tribes and inter-Tribal consortia.  These are the grantees eligible for GAP grants, as outlined in the Indian Environmental General Assistance Program Act of 1992.
 
 The NAICS code for this is 92115.
 
     12b. Information Requested

EPA is developing a template to assist grantees and EPA with the creation of combined EPA-Tribal Environmental Plans (ETEPs) and Indian Environmental General Assistance Program (GAP) work plans. This template will provide a streamlined way to identify and report information that is already outlined in the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act and is already being reported on.

     12c. Respondent Activities
 
 To create a work plan and an ETEP, a grantee usually liaisons with their EPA Project Officer, Tribal government, Tribal environmental staff, and local community to understand their needs related to planning, developing, and establishing environmental protection programs, and for potentially developing and implementing solid and hazardous waste programs on Tribal lands.
 Since any burden for preparing, keeping, or reporting information is exempt from further burden and cost analysis if the information is already prepared, kept, or reported as part of usually of customary business practice, there is no need for EPA to report on this.  As previously mentioned, the ETEP and GAP work plan information is already being reported/collected. 
 
 Additionally, access to reliable internet connections may be a challenge for GAP grantees, specifically those located in Alaska.  Therefore, this proposed template will be in a Microsoft Word, or similar, format, so an internet connection is not necessary to complete the document.
 
     12d. Respondent Hour and Labor Burden

The burden hours were estimated by surveying EPA staff, such as project officers, senior advisors, and EPA staff who were previous Tribal environmental staff.  

 Respondent (Tribal) hours have been calculated via the Burden Calculator Excel Table.  The average salary of a Tribal Environmental Director is estimated at $104,287/year (which is calculated as the average of a GS 13 from Seattle, WA [$109,546], St. Louis, MO [$100,694] and Richmond, VA [$102,622]). 
 
 This total ($104,287) was then multiplied by 110% (to account for benefits) to create the new total of $114,716/year, or $55/hour.
 
 The Burdon Table for the grantee is attached as part of the OMB submitted documentation.  It should be noted that there are approximately 520 GAP recipients, and EPA anticipated that roughly 25 recipients would need to complete this template, as they have both an ETEP and stand-alone GAP work plan.
 
13. RESPONDENT ANNUAL COST (NON-LABOR) 

Not applicable.
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 Capital/Start-Up Costs
 Not applicable.
 Operating and Maintenance (O&M) Costs
 Not applicable.
 Annualizing Capital Costs
 Not applicable.
 
 AGENCY (EPA) BURDEN ESTIMATES
 Regarding the hour burden of work plans, by statute, a GAP award project period can be up to four years.  Multi-year GAP work plans are allowed and encouraged, and need to be reviewed annually, as they are funded annually.  Annual check ins, as part of the joint evaluation process within §35.507/§35.515, occur between the grantee and their project officer, and include accomplishments as measured against work plan commitments, a discussion of the cumulative effectiveness of the work performed under all work plan components, a discussion of existing and potential problem areas, and suggestions for improvement, including, where feasible, schedules for making improvements.  EPA staff estimate that an initial four-year work plan takes the grantee eight hours to complete, and two hours for the project officer to review.  Annual check-ins, as part of the joint evaluation process, are estimated to last an hour.
       Regarding ETEPs, and the hours of burden, these documents cover a period of at least three, but not more than five years.  Grantees and project officers should review the ETEP annually and make updates to priorities, indicators, and anticipated timelines.  EPA staff estimate that it takes a grantee 20 hours to complete an initial ETEP, and EPA staff five hours.  Annual reviews are estimated to last an hour.
       All hours are estimates, as each Tribe is unique, but an estimate may be higher or lower for several reasons, including the varied nature of the internal development, review, and approval processes of each Tribe, as well as the time in position for Tribal environmental staff, since new tribal or EPA staff may spend more time than average in developing the ETEP priorities and work plan, and more experienced staff may use less.  
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The burden hours were estimated by surveying EPA staff, such as project officers, senior advisors, and EPA staff who were previous Tribal environmental staff.  
 
 Labor hours have been calculated via the Burden Calculator Excel Table.  The average salary of an EPA Project Officer is estimated at $104,287/year (which is calculated as the average of a GS 13 from Seattle, WA [$109,546], St. Louis, MO [$100,694] and Richmond, VA [$102,622]). 
 
 This total ($104,287) was then multiplied by 110% (to account for benefits) to create the new total of $114,716/year, or $55/hour.
 
 The Burdon Table for EPA staff is attached as part of the OMB submitted documentation.  It should be noted that there are approximately 60 GAP Project Officers, and EPA anticipated that roughly 25 of these Project Officers would have grantees that would complete this template, as the grantee has both an ETEP and stand-alone GAP work plan.
 
    CHANGE IN BURDEN

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Not applicable.
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 Not applicable.

 PUBLICATION OF DATA

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Some data from the ETEP and/or work plan will be entered into the GAP Hub, which is an EPA internal performance management application for GAP.  
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Some data from the ETEP and/or work plan will be entered into the GAP Hub, which is an EPA internal performance management application for GAP.  EPA is responsible for efficient program administration and oversight of GAP, and a pillar of this responsibility is analyzing performance data. GAP Hub will make existing data accessible and help EPA better answer questions related to how well GAP funding is doing at assisting Tribes in building environmental program capacity and implementing solid and hazardous waste programs.  Using the reported information provided by EPA Regional Offices, EPA will prepare national GAP performance reports and use this information to inform reports to Congress, the Office of Management and Budget (OMB), Tribal governments, and others. This information can provide key insights into unmet needs, better anticipate where programmatic support is needed, assist with establishing national priorities, identify success stories, and bolster appropriation requests to Congress.  Note, though, that data, at the individual Tribal/grantee level, will not be publicly shared.

     DISPLAY OF OMB CONTROL NUMBER EXPIRATION DATE ON INSTRUMENTS 

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Not applicable.
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Not applicable.

18. CERTIFICATION STATEMENT

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This information collection complies with all provisions of the Certification for Paperwork Reduction Act Submissions.
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This information collection complies with all provisions of the Certification for Paperwork Reduction Act Submissions.

APPENDIX A: Combined ETEP and GAP Work Plan Template

Needs to be attached