Document ID: EPA-HQ-OARM-2005-0001-0003
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2005-12-09T05:00Z

1
SUPPORTING
STATEMENT
FOR
INFORMATION
COLLECTION
REQUEST
NUMBER
0938.11
(
2030­
0020)
"
GENERAL
ADMINISTRATIVE
REQUIREMENTS
FOR
ASSISTANCE
PROGRAMS"

1.
Identification
of
the
Information
Collection
This
is
a
request
for
a
renewal
of
an
existing
Information
Collection
Request
(
ICR)
due
to
expire
on
December
31,
2005.
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
nonprofit
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.

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.

In
approving
the
previous
ICR
on
EPA's
General
Regulation
for
Assistance
Programs
(
i.
e.,
ICR
Number
0938.10),
OMB
issued
terms
of
clearance
relating
to
EPA's
Administrative
Capability
Questionnaire.
ICR
Number
0938.10
was
approved
by
OMB
for
a
one­
year
pilot
of
the
questionnaire,
as
requested
by
EPA.
In
its
terms
of
clearance,
OMB
specified
that,
in
renewing
the
ICR,
EPA
should
provide
an
evaluation
of
the
pilot,
including
the
effectiveness
of
the
questionnaire
and
the
estimated
burden
for
respondents.
OMB
also
reminded
EPA
that
the
pre­
award
procedure
covered
by
the
ICR
was
in
advance
of
a
Government­
wide
effort
to
streamline
grant
applications
under
the
Federal
Financial
Assistance
Management
Improvement
Act,
Public
Law
106­
107.
As
such,
information
collections
like
the
questionnaire
must
adhere
to
the
Government­
wide
grant
application
procedures
as
they
become
available.
In
the
interim,
EPA
was
encouraged
to
share
the
data
requirements
of
the
Administrative
Capability
Questionnaire
with
members
2
of
the
Government­
wide
Grants.
gov
initiative,
especially
regarding
the
Grants.
gov
APPLY
function.

In
response
to
these
terms
of
clearance,
EPA
describes
the
questionnaire,
including
the
pilot,
in
Section
3.(
1)
of
this
document.
Specifically,
EPA
discusses
the
purpose
and
effectiveness
of
the
questionnaire
and
the
burden
to
respondents.
EPA
also
discusses
how
the
information
is
used
by
the
Agency
and
grantees
and
why
the
information
is
essential
to
the
program's
mission.
EPA
understands
the
requirements
of
Public
Law
106­
107
and
ensures
that
its
information
collections
adhere
to
the
Government­
wide
grant
application
procedures
as
they
become
available.
EPA
shares
the
data
requirements
of
its
information
collections,
including
the
questionnaire,
with
all
appropriate
stakeholders
(
including
members
of
the
Government­
wide
Grants.
gov
initiative,
especially
regarding
the
Grants.
gov
APPLY
function).
Please
refer
to
Section
5(
b)
of
this
document
for
additional
information
on
EPA's
compliance
under
Public
Law
106­
107.

2.
Need
For/
Use
of
the
Collection
2(
a)
Need.
This
ICR
is
necessary
because
of
the
information
collection
and
reporting
requirements
included
in
EPA
regulations
40
CFR
Parts
30
and
31.
These
regulations
implement
OMB
Circulars
A­
21,
A­
87,
A­
102,
A­
110,
A­
122,
A­
128,
and
A­
133.
These
regulations
set
forth
the
pre­
award,
post­
award,
and
after­
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.

2(
b)
Use.
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
thegrant
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.
Description
of
EPA
Grant
Forms
The
following
identifies
the
application
forms
and
non­
form
reporting
requirements
contained
in
this
regulation.
Clearance
for
some
of
these
requirements
has
been
requested
or
approved
under
a
separate
clearance
package.
A
detailed
justification
for
each
reporting
requirement
immediately
follows.
Burden
estimates
for
EPA
forms
are
summarized
in
Exhibit
A.

(
1)
The
"
EPA
Administrative
Capability
Questionnaire"
is
completed
by
non­
profit
organizations
seeking
EPA
grant
awards
of
more
than
$
200,000.
Based
on
the
information
provided,
EPA
assesses
the
adequacy
of
an
applicant's
administrative
and
3
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
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.
As
of
September
28,
2005,
EPA
has
used
the
form
to
evaluate
87
organizations,
resulting
in
a
total
of
140
weaknesses/
deficiencies
identified.

We
estimate
that
the
form
will
impose
4
burden
hours
on
the
applicant
and
3
burden
hours
on
EPA.
EPA
notes
that,
because
use
of
the
form
and
reviews
have
been
so
fruitful,
we
are
considering
lowering
the
$
200,000
threshold
to
$
100,000,
which
would
pick
up
another
100
grantees
and
expand
the
respondent
burden
from
400
to
800
burden
hours.
Further,
we
would
like
to
apply
the
pre­
award
review
process
under
certain
special
conditions
(
e.
g.,
high­
risk
recipients
and
to
other
applicants
below
these
thresholds
in
special
circumstances).
We
estimate
that
this
could
result
in
additional
recipient
burden
hours
of
approximately
80.

(
2)
EPA
Form
4700­
4,
"
Preaward
Compliance
Review
Report
for
All
Applicants
Requesting
Federal
Financial
Assistance"
is
used
to
collect
information
that
enables
EPA
to
determine
4
whether
applicants
are
developing
projects,
programs,
and
activities
on
a
nondiscriminatory
basis.
We
estimate
that
this
form
will
impose
0.5
burden
hour
on
the
applicant
and
0
burden
hours
on
EPA.

(
3)
EPA
Form
5700­
53,
"
Lobbying
and
Litigation
Certification
for
Grants
and
Cooperative
Agreements,"
is
used
to
certify
that
EPA
funds
have
not
been
used
for
lobbying
of
the
Federal
government
or
in
litigation
against
the
United
States
unless
authorized
under
existing
law.
We
estimate
that
this
form
imposes
0.08
burden
hour
on
the
applicant
and
0
burden
hours
on
EPA.

(
4)
EPA
Form
5700­
54,
"
Key
Contacts
Form,"
is
used
to
collect
contact
information
for
individuals
responsible
for
various
aspects
of
the
proposed
work,
including
authorized
representatives,
administrative
contacts,
and
individuals
completing
the
work.
We
estimate
that
this
form
imposes
0.5
burden
hour
on
the
applicant
and
0
burden
hours
on
EPA.

(
5)
EPA
Form
5770­
2,
"
Fellowship
Application,"
is
the
basic
application
form
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.

(
6)
EPA
Form
5770­
3,
"
Fellowship
Facilities
and
Commitment
Statement,"
requires
information
about
the
institution
that
will
sponsor
the
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)
EPA
Form
5770­
4,
"
Fellowship
Applicant
Qualifications
Inquiry,"
asks
for
comments
on
the
applicant's
qualifications
for
a
fellowship
in
the
pollution
control
and
abatement
area.
The
form
also
asks
the
respondent
to
provide
an
overall
evaluation
of
the
applicant.
We
estimate
that
this
form
imposes
3
burden
hours
on
the
applicant
and
0.25
burden
hour
on
EPA.

(
8)
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
hour
on
the
applicant
and
0.5
burden
hour
on
EPA.

(
9)
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
hour
on
the
recipient
and
0.5
burden
hour
on
EPA.
5
(
10)
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.

(
11)
EPA
Form
5770­
9,
"
EPA
Fellowship
Termination
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.

(
12)
The
"
Lobbying
Cost
Certificate
for
Indirect
Costs"
form
is
completed
by
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.
We
estimate
that
this
form
will
impose
0.25
burden
hour
on
the
recipient
and
0.17
burden
hour
on
EPA.

(
13)
NCER
Form
5,
"
Current
and
Pending
Support,"
is
used
by
EPA
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
hour
on
the
applicant
and
0.25
burden
hour
on
EPA.

(
14)
NCER
Form
3212,
"
Itemized
Budget
for
EPA
STAR
Grant
Applications,"
is
used
by
applicants
to
provide
detailed
information
on
their
proposed
budget.
The
form
is
used
by
EPA
to
evaluate
the
appropriateness
and/
or
adequacy
of
the
proposed
budget
and
its
implications
for
the
potential
success
of
the
proposed
research.
The
itemized
budget
also
provides
the
Agency
with
enough
detail
to
allow
project
officers
to
determine
if
the
proposed
budget
meets
EPA
and
OMB
requirements.
We
estimate
that
this
form
will
impose
1
burden
hour
on
the
applicant
and
0.5
burden
hour
on
EPA.

(
15)
SF­
269,
"
Financial
Status
Report."
This
form
is
for
recipients
to
report
the
status
of
funds
for
non­
construction
projects
or
programs.
OMB
requires
that
recipients
submit
a
SF­
269
at
the
completion
of
each
project.
We
estimate
that
this
form
imposes
0.5
burden
hour
on
the
recipient
and
2
burden
hours
on
EPA.

(
16)
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.

(
17)
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
6
construction
grant
to
request
reimbursements.
We
estimate
that
this
form
imposes
1
burden
hour
on
recipients
and
0.5
burden
hour
on
EPA.

(
18)
SF­
272,
"
Federal
Cash
Transactions
Report."
This
is
the
standard
form
prescribed
by
OMB
Circular
A­
102
for
recipients
to
report
cash
transactions
when
the
Automated
Clearinghouse
payment
method
is
used.
We
estimate
that
this
form
imposes
2
burden
hours
on
the
recipient
and
2
burden
hours
on
EPA.

(
19)
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.

(
20)
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
0.17
burden
hour
on
the
recipient
and
0
burden
hours
on
EPA.

4.
Reporting
and
Recordkeeping
Requirements
(
1)
SECTIONS
30.22
and
31.21
require
recipients
to
establish
a
separate
bank
account
if
the
recipient
uses
the
Automated
Clearing
House
(
ACH)
method
of
payment
(
Treasury
Circular
1075,
as
revised).
EPA
uses
the
ACH
method
to
pay
401
recipients.
We
estimate
the
ACH
payment
method
imposes
2
burden
hours
on
the
recipient
and
1
burden
hour
on
EPA.

(
2)
SECTIONS
30.50
&
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.
We
estimate
that
this
requirement
imposes
5
burden
hours
on
the
recipient
and
1
burden
hour
on
EPA.

The
EPA
Office
of
Grants
and
Debarment,
Grants
Administration
Division
has
developed
various
instruments
to
assist
the
Agency
in
information
collection
and
reporting
requirements
needed
by
EPA
project
officers,
grant
specialists,
and
finance
officials
to
7
manage
and
oversee
recipient's
programmatic
and
financial
performance
under
all
EPA
assistance
agreements.
One
set
of
these
management
instruments
are
used
to
assist
EPA
in
evaluating
the
financial,
technical,
and
administrative
management
systems
of
recipients
through
desk
reviews
and/
or
on­
site
visits.
These
evaluations
focus
on
a
recipient
institutions'
financial,
personnel,
property,
and
procurement
records,
systems,
and
procedures.
Information
is
gathered
and
evaluated
to
ensure
that
recipients
are
complying
with
applicable
State
and
Federal
laws
concerning
employment,
procurement,
and
recordkeeping
procedures.
The
information
is
also
used
to
confirm
that
recipients
are
staffing
their
institutions
with
personnel
qualified
to
perform
the
tasks
necessary
to
implement
the
agreement.
We
estimate
that
less
than
10%
of
the
recipients
will
complete
these
reviews.
For
those
who
do
complete
these
reviews,
we
estimate
2
burden
hours
on
the
recipient
and
2
burden
hours
on
EPA.

EPA
project
officers
may
use
another
evaluation
instrument
to
perform
reviews
that
pertain
to
programmatic
components
of
assistance
agreements.
This
second
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.
We
estimate
that
about
8%
of
the
recipients
will
complete
these
reviews.
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
these
two
types
of
instruments
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,
these
review
instruments
create
a
framework
that
allows
EPA
to
ensure
the
sound
and
effective
management
of
assistance
agreements.

(
3)
SECTIONS
30.54
and
31.45
require
recipients
to
develop
and
implement
quality
assurance
practices
that
meet
project
objectives
and
minimize
loss
of
data
due
to
out­
of
control
conditions
or
malfunctions.
This
requirement
was
cleared
under
a
separate
submission
(
OMB
Control
No.
2000­
0403).

(
4)
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.
8
(
5)
SECTION
30.36
requires
recipients
to
submit
invention
reports
after
completion
of
each
project.
This
requirement
will
be
cleared
under
a
separate
ICR.
(
Part
31
does
not
address
inventions.)

(
6)
SECTIONS
30.33
and
31.32
require
recipients
to
submit
an
inventory
report
on
all
Federally­
owned
property
used
on
a
project.
We
estimate
that
5%
of
EPA
funded
projects
use
Federally­
owned
property,
and
that
this
requirement
imposes
4
burden
hours
on
those
recipients
and
1
burden
hour
on
EPA.

(
7)
SECTIONS
30.21
and
31.20
require
the
recipient
to
maintain
a
financial
management
system
that
consistently
applies
accepted
accounting
principles
and
practices.
To
be
eligible
for
an
assistance
award,
the
recipient
must
have
an
adequate
financial
management
system
that
provides
efficient
and
effective
accountability
and
control
of
all
property,
funds,
and
assets.
Therefore,
the
burden
this
requirement
imposes
is
the
additional
time
a
recipient
must
spend
to
maintain
the
system
for
an
EPA
award.
We
estimate
this
to
be
2
burden
hours
on
recipients
and
1
burden
hour
on
EPA.

OMB
Circular
A­
133
requires
that
State
and
local
government
recipients
perform
an
audit
of
their
Federal
assistance
agreements
every
year
unless
there
is
a
statutory
provision
allowing
an
audit
every
two
years.
The
audit
is
required
to
determine
compliance
with
generally
accepted
accounting
practices
and
with
EPA
program
requirements.
We
estimate
that
this
audit
will
impose
2
burden
hours
on
the
recipient
and
0
burden
hours
on
EPA.

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.

(
8)
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.

(
9)
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.

(
10)
SECTIONS
30.34,
35
&
36
and
31.32,
33
&
34
contain
requirements
on
how
recipients
are
to
dispose
of
Federally­
funded
personal
property.
We
estimate
that
about
2%
of
the
9
projects
on
which
the
recipient
purchases
property
involve
personal
property
disposal
actions,
and
that
this
requirement
imposes
3
burden
hours
on
recipients
and
2
burden
hours
on
EPA.

(
11)
SECTIONS
30.32
and
31.31
contain
requirements
on
how
recipients
purchase
and
dispose
of
real
property.
We
estimate
that
this
requirement
imposes
4
burden
hours
on
recipients
and
2
burden
hours
on
EPA.

(
12)
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.

(
13)
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.

(
14)
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.

(
15)
SECTIONS
30.40
­
48
and
31.36
contain
the
procurement
requirements
recipients
must
follow.
We
estimate
that
this
requirement
imposes
0.5
burden
hour
on
the
recipient
and
0.5
burden
hour
on
EPA.

(
16)
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.

(
17)
SECTION
31.36(
h)
contains
the
bonding
and
reporting
requirements
recipients
must
follow.
We
estimate
that
this
requirement
imposes
0.5
burden
hour
on
the
recipient
and
1
burden
hour
on
EPA.

5.
Respondents
and
Information
Requested
5(
a).
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.
10
5(
b).
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
envisioned
by
the
Act.
EPA's
support
and
adoption
of
Grants.
gov
will
be
a
major
factor
in
maintaining
the
Agency's
"
green"
rating
under
the
President's
Balanced
Scorecard.

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
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
database
for
eventual
award.

For
Fiscal
Year
2005,
EPA
is
required
to
provide
the
option
of
Grants.
gov
Apply
electronic
submission
in
at
least
25%
of
its
competitive
grant
announcements
posted
on
Grants.
gov
Find.
It
must
also
receive
a
minimum
of
300
proposals/
applications
electronically
through
Grants.
gov
Apply.
The
Agency
has
already
met
both
of
these
requirements.

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.

5(
c).
See
attached
forms
for
specific
data
elements
(
Exhibit
B).
11
6.
The
Information
Collected 
Agency
Activities,
Collection
Methodology,
and
Information
Management
6(
a).
These
data
collection
forms
are
reviewed
periodically
to
identify
and
eliminate
duplication
in
reporting
requirements.
Similar
information
is
simply
not
available
elsewhere.

6(
b).
Most
of
the
information
will
be
collected
using
standardized
reports
and
appropriate
recordkeeping.
This
information
is
entered
into
IGMS,
the
Integrated
Grants
Management
System,
the
Agency's
database
for
tracking
the
status
of
grant/
cooperative
actions.

6(
c).
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.
Recipients
are
required
to
retain
all
records
for
three
years
following
submission
of
the
final
Financial
Status
Report.

7.
Nonduplication,
Consultations,
and
other
Collection
Criteria
7(
a).
There
is
no
other
source
for
this
information.

7(
b).
Administering
EPA
grants
requires
constant
recipient
contact
(
e.
g.
written,
telephone,
face
to
face,
etc.).
The
EPA
Grants
Administration
Division
(
GAD)
is
both
sensitive
and
responsive
to
recipient
concerns
involving
burden,
duplication,
availability
of
data,
clarity
of
instructions,
etc.
GAD
is
continually
revising
EPA
grant
forms
in
response
to
recipient
concerns.
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.

7(
c).
No
less
frequent
collection
is
possible
in
accordance
with
OMB
requirements.

7(
d).
The
information
collection
is
consistent
with
5
CFR
1320.5(
d)(
2).

7(
e).
To
minimize
the
burden
on
small
businesses,
the
application
form
was
re­
written
prior
to
the
last
ICR
submission
to
make
it
easier
to
understand.
These
regulations
were
written
to
make
it
easier
to
understand
and
to
eliminate
procedural
requirements.
Therefore,
all
organizations
will
benefit
from
the
"
plain
English"
wording
and
will
benefit
because
they
can
use
their
own
procedures
to
satisfy
EPA
requirements.
1
$
36.28
represents
the
average
wage
rate
of
several
occupations
expected
to
apply
for
grants
or
fellowships.
1.40
represents
a
40%
rate
for
benefits.
This
figure
is
derived
from
Table
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
2005."

2
$
14.95
represents
the
average
hourly
wage
rate
of
two
administrative/
clerical
positions.

12
7(
f).
No
pledge
of
confidentiality
is
given
for
applicant
responses
and
no
sensitive
information
is
collected
under
this
ICR.

7(
g).
Consultations
­
we
have
received
continuous
feedback
from
recipients
on
this
information
collection.

8.
Estimating
the
Burden
and
Cost
of
the
Collection
8(
a).
An
estimation
of
the
burden
hours
per
requirement
is
included
in
Exhibit
A.

Type
of
Information
Collection
Number
of
Respondents
Competed
Grants
Unsuccessful
Applications
1,474
Awards
1,744
Not
Competed
Grant
Awards
1,898
Fellowship
Awards
989
TOTAL
6,105
8(
b).
RECIPIENTS:
The
total
burden
hours
for
recipients
is
108,887.
108,887
hours
divided
by
6,105
respondents
=
18
hours
per
respondent.

EPA
estimates
that
80%
of
these
18
hours
will
be
used
by
the
applicant
(
14
hours)
and
the
remaining
20%
by
secretarial/
clerical
staff
(
4
hours).

Therefore:
Applicant
Wage
Rate:
$
36.28
1
x
1.40
=
$
50.79
Secretarial/
Clerical
Support
Wage
Rate:
$
14.95
2
x
1.40
=
$
20.93
Thus:
6,105
respondents
x
14
hours
x
$
50.79
=
$
4,341,021
and
6,105
respondents
x
4
hours
x
$
20.93
=
$
511,111.

Total:
$
4,852,132
(
labor
costs)
3
The
2005
average
hourly
rate
for
General
Schedule
(
GS)
­
11,
Step
9
($
27.46)
was
used
to
estimate
burden
costs
for
EPA.
This
was
also
fully
burdened
(
x
40%),
yielding
a
wage
rate
of
$
38.44.

13
8(
c).
FEDERAL:
The
total
burden
hours
for
EPA
is
hours
79,622.
79,622
divided
by
6,105
respondents
=
13
hours
per
respondent
for
EPA.

Thus:
6,105
respondents
x
13
hours
x
$
38.44
3
=
$
3,050,791
(
labor
costs)

8(
d).
Bottom
Line
Burden
Estimate.

Total
burden
hours
for
recipients
=
108,887
Total
burden
hours
for
EPA
=
79,622
Reasons
for
change
in
burden:

The
overall
respondent
burden
has
decreased
from
the
previous
ICR
by
67,682
hours
(
i.
e.,
from
176,569
hours
to
108,887
hours).
As
shown
in
the
table
below,
this
change
has
occurred
for
several
reasons.

EPA
carefully
reviewed
the
set
of
grant
and
fellowship
forms
covered
in
the
ICR.
Based
on
this
review,
the
Agency
removed
five
forms
(
i.
e.,
EPA
Form
5700­
20A,
EPA
Form
5700­
20B,
EPA
Form
5700­
30,
EPA
Form
5700­
49,
and
EPA
Form
5700­
52A)
and
added
three
forms
(
i.
e.,
"
Lobbying
Cost
Certificate
for
Indirect
Costs,"
NCER
Form
5,
and
NCER
Form
3212).
These
program
changes
resulted
in
a
decrease
of
65,287
hours.

In
addition,
EPA
made
several
adjustments
to
its
burden
and
respondent
assumptions,
which
resulted
in
a
decrease
of
2,395
hours:
°
Modified
the
burden
hour
estimates
associated
with
some
of
the
information
collections
covered
in
this
ICR
to
better
reflect
the
burden
imposed
on
respondents.
For
example,
EPA:
­
Decreased
burden
as
a
result
of
its
efforts
to
both
streamline
and
automate
the
grants
process.
Working
in
the
spirit
of
the
President's
"
e.
gov"
initiatives,
namely
"
Grants.
gov."
and
"
Grants
Management
Line
of
Business",
EPA
has
successfully
incorporated
the
streamlining
efforts
into
its
current
automated
grants
process.
EPA
expects
respondents
to
increasingly
submit
their
proposals/
applications
electronically,
to
thereby
reduce
their
burden
further.
­
Increased
the
burden
hours
associated
with
the
collection
of
information
on
expected
environmental
outcomes/
results
under
sections
30.50,
30.51,
30.52,
31.40,
and
31.42.
°
Updated
its
estimates
of
the
number
of
respondents
in
the
ICR
to
reflect
updated
tracking
data.
For
example,
EPA
estimated
a
decrease
in
the
annual
number
of
fellowships
to
be
awarded,
from
1,500
in
the
previous
ICR
to
989
in
this
ICR.
14
Type
of
Change
Hours
Program
Changes
EPA
5700­
20A,
"
EPA
Grant
Assistance
Agreement"
­
1,800.00
EPA
5700­
20B,
"
Grant
Amendment"
­
1,800.00
EPA
5700­
30,
"
Pre­
Application
for
Federal
Assistance"
­
58,900.00
EPA
5700­
49,
"
Certification
Regarding
Debarment,
Suspension,
and
Other
Responsibility
Matters"
­
1,500.00
EPA
5700­
52A,
"
MBE/
WBE
Form"
­
3,600.00
"
Lobbying
Cost
Certificate
for
Indirect
Cost"
363.00
NCER
Form
5,
"
Current
and
Pending
Support"
650.00
NCER
Form
3212,
"
Itemized
Budget
for
EPA
STAR
Grant
Applications"
1,300.00
Subtotal:
Program
Changes
­
65,287.00
Adjustments
­
2,395.00
Net
Change
in
Burden
­
67,682.00
Deleted
Forms
Added
Forms
The
net
effect
of
these
changes
was
a
decrease
in
burden
of
67,682
hours
from
the
previous
ICR.

Changes
in
Respondent
Burden
8(
e).
Without
the
data
compiled
by
the
use
of
these
grant
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.

9.
Start­
up/
Capital
Costs
and
Operation
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.
Therefore,
total
start­
up
and
capital
costs
are
zero
(
0).
There
are
no
O&
M
costs
required.

10.
Special
Circumstances
for
Change
­
Not
applicable
­
There
are
currently
no
special
circumstances
that
would
cause
EPA
grants
information
collection
efforts
to
change.

11.
Federal
Register
Announcement
­
The
attached
copy
of
the
EPA
notice
(
Exhibit
C)
was
published
on
page
41398
of
the
July
19,
2005
Federal
Register.
No
comments
were
received
in
response
to
this
announcement.

12.
Burden
Statement
­
The
annual
public
reporting
and
recordkeeping
burden
for
this
collection
of
information
is
estimated
to
average
18
hours
per
respondent.
Burden
means
the
total
time,
effort,
or
financial
resources
expended
by
persons
to
generate,
maintain,
15
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
2005­
0001,
which
is
available
for
public
viewing
at
the
Office
of
Environmental
Information
Docket
in
the
EPA
Docket
Center
(
EPA/
DC),
EPA
West,
Room
B102,
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.
Also,
you
can
send
comments
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Office
for
EPA.
Please
include
the
Docket
ID
No.
EPA­
HQ­
OARM­
2005­
0001.
A­
1
EXHIBIT
A
ESTIMATE
OF
EPA
ASSISTANCE
AGREEMENT
AWARDS
OF
FY
2004
Type
of
Information
Collection
Number
of
Respondents
Competed
Grants
Unsuccessful
Applications
1,474
Awards
1,744
Not
Competed
Grant
Awards
1,898
Fellowship
Awards
989
TOTAL
6,105
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
*
The
core
requirements
for
the
form
includes
3,417
respondents
per
year.

**
SF­
LLL
is
required
only
for
grants
$
100,000
and
over.

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
out
grant
processing
streamlining
efforts.

Reporting
and
recordkeeping
requirement
burden
estimates
for
Sections
30.25
thru
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
Administrative
Capability
Questionnaire"
200
1
4
800
3
600
EPA
Form
4700­
4,
"
Preaward
Compliance
Review
Report
for
All
Applicants
Requesting
Federal
Financial
Assistance"
3,417
1
0.5
1,709
0
0
EPA
Form
5700­
53,
"
Lobbying
and
Litigation
Certification
for
Grants
and
Cooperative
Agreements"
3,417
1
0.08
273
0
0
EPA
Form
5700­
54,
"
Key
Contacts
Form"
3,417
1
0.5
1,709
0
0
EPA
Form
5770­
2,
"
Fellowship
Application"
989
1
3
2,967
3
2,967
EPA
Form
5770­
3,
"
Fellowship
Facilities
and
Commitment
Statement"
989
1
1
989
1
989
EPA
Form
5770­
4,
"
Fellowship
Applicant
Qualifications
Inquiry"
989
1
3
2,967
0.25
247
EPA
Form
5770­
5,
"
Agency
Fellowship
Certification"
989
1
0.5
495
0.5
495
EPA
Form
5770­
7,
"
EPA
Fellowship
Activation
Notice"
152
1
0.5
76
0.5
76
EPA
Form
5770­
8,
"
Fellowship
Agreement"
152
1
1
152
1
152
EPA
Form
5770­
9,
"
EPA
Fellowship
Termination
Notice"
152
1
1
152
1
152
"
Lobbying
Cost
Certificate
for
Indirect
Costs"
1,450
1
0.25
363
0.17
247
NCER
Form
5,
"
Current
and
Pending
Support"
1,300
1
0.5
650
0.25
325
NCER
Form
3212,
"
Itemized
Budget
for
EPA
STAR
Grant
Applications"
1,300
1
1
1,300
0.5
650
*
SF­
269,
"
Financial
Status
Report"
3,417
2
0.5
3,417
2
13,668
SF­
270,
"
Request
for
Advance
or
Reimbursement"
475
4
1
1,900
1.5
2,850
SF­
271,
"
Outlay
Report
and
Request
for
Reimbursement
for
Construction
Programs"
190
4
1
760
0.5
380
SF­
272,
"
Federal
Cash
Transactions
Report"
(
ACH
Payment
System)
105
4
2
840
2
840
SF­
424,
"
Application
for
Federal
Assistance"
(
including
SF­
424A,
SF­
424B,
SF­
424C,
and
SF­
424D)
3,816
1
4
15,264
5
19,080
**
SF­
LLL,
"
Disclosure
of
Lobbying
Activities"
949
1
0.17
161
0
0
40
CFR
30.22
and
31.21
Establish
separate
bank
account
­
ACH
Payment
System
401
1
2
802
1
401
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
A­
3
40
CFR
30.50
and
52
and
31.42
Keep
records
3,417
1
5
17,085
1
3,417
40
CFR
30.50
and
52
and
31.42
Completion
of
desk
review
protocol
95
1
2
190
2
190
40
CFR
30.50
and
52
and
31.42
Completion
of
on­
site
protocol
340
1
2
680
2
680
40
CFR
30.50
and
52
and
31.42
Completion
of
project
officer
protocol
285
1
1
285
1
285
40
CFR
30.51
and
31.40
Submit
progress
reports
1,709
4
6.5
44,434
4
27,344
40
CFR
30.33
and
31.32
Report
on
Federally­
owned
property
171
1
4
684
1
171
40
CFR
30.21
and
31.20
Maintain
financial
management
system
3,417
1
2
6,834
1
3,417
Meet
OMB
Circular
A­
133
Audit
Requirement
475
1
2
950
0
0
Total
38,175
42
52.00
108,887
35.17
79,622
B­
1
EXHIBIT
B
EPA
GRANT
FORMS
Forms
covered
in
this
ICR
include:

°
"
EPA
Administrative
Capability
Questionnaire"

°
EPA
Form
4700­
4,
"
Preaward
Compliance
Review
Report
for
All
Applicants
Requesting
Federal
Financial
Assistance"

°
EPA
Form
5700­
53,
"
Lobbying
and
Litigation
Certification
for
Grants
and
Cooperative
Agreements"

°
EPA
Form
5700­
54,
"
Key
Contacts
Form"

°
EPA
Form
5770­
2,
"
Fellowship
Application"

°
EPA
Form
5770­
3,
"
Fellowship
Facilities
and
Commitment
Statement"

°
EPA
Form
5770­
4,
"
Fellowship
Applicant
Qualifications
Inquiry"

°
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,
"
EPA
Fellowship
Termination
Notice"

°
"
Lobbying
Cost
Certificate
for
Indirect
Costs"

°
NCER
Form
5,
"
Current
and
Pending
Support"

°
NCER
Form
3212,
"
Itemized
Budget
for
EPA
STAR
Grant
Applications"

°
SF­
269,
"
Financial
Status
Report"

°
SF­
270,
"
Request
for
Advance
or
Reimbursement"

°
SF­
271,
"
Outlay
Report
and
Request
for
Reimbursement
for
Construction
Programs"

°
SF­
272,
"
Federal
Cash
Transactions
Report"
B­
2
°
SF­
424,
"
Application
for
Federal
Assistance"

°
SF­
424A,
"
Budget
Information
­
Non­
Construction
Programs"

°
SF­
424B,
"
Assurances
­
Non­
Construction
Programs"

°
SF­
424C,
"
Budget
Information
­
Construction
Programs"

°
SF­
424D,
"
Assurances
­
Construction
Programs"

°
SF­
LLL,
"
Disclosure
of
Lobbying
Activities"
EXHIBIT
C
FIRST
FEDERAL
REGISTER
NOTICE
D­
1
EXHIBIT
D
ENVIRONMENTAL
PROTECTION
AGENCY
FINANCIAL
ASSISTANCE
PROGRAMS 
CATALOG
OF
FEDERAL
DOMESTIC
ASSISTANCE
(
CFDA)
NUMBER
AND
TITLE
Office
of
Air
Radiation
66.001
Air
Pollution
Control
Program
Support
66.009
Air
Information
Center
66.032
State
Indoor
Radon
Program
66.033
Ozone
Transport
66.034
Survey,
Studies,
Investigations,
Demonstrations
and
Special
Purpose
Activities
Relating
to
the
Clean
Air
Act
66.035
Community
Action
for
a
Renewed
Environment
(
CARE)
Program
Office
of
Water
66.418
Construction
Grants
for
Wastewater
Treatment
Works
66.419
Water
Pollution
Control
­
State
and
Interstate
Program
Grants
66.424
Surveys,
Studies,
Demonstrations
and
Special
Purpose
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
Watershed
Initiative
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
66.463
Water
Quality
Cooperative
Agreements
66.466
Chesapeake
Bay
Program
66.467
Wastewater
Operator
Training
Grant
Program
(
Technical
Assistance)
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
66.473
Direct
Implementation
Tribal
Cooperative
Agreements
66.474
Water
Protection
Grants
to
the
States
D­
2
66.475
Gulf
of
Mexico
Program
66.478
Water
Security
Training
and
Technical
Assistance
66.479
State/
Tribal
Environmental
Outcome
Wetland
Demonstration
Program
66.480
Assessment
and
Watershed
Protection
Program
Grants
66.481
Lake
Champlain
Basin
Program
66.926
Indian
Environmental
General
Assistance
Program
(
GAP)

Office
of
Research
and
Development
66.509
Science
to
Achieve
Results
(
STAR)
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
66.512
Regional
Environmental
Monitoring
Assessment
Program
66.513
Greater
Research
Opportunities
Fellowship
Program
66.514
Science
to
Achieve
Results
(
STAR)
Fellowship
Program
66.515
Greater
Opportunities
Research
Program
66.516
P3
Award:
National
Student
Design
Competition
for
Sustainability
Office
of
Administration
66.605
Performance
Partnership
Grants
66.609
Protection
of
Children
and
Older
Adults
(
Elderly)
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
Innovation
Grants
66.950
Environmental
Education
and
Training
Program
66.951
Environmental
Education
Grants
Office
of
Enforcement
and
Compliance
Assurance
66.305
Compliance
Assistance­
Support
for
Services
to
the
Regulated
Community
and
Other
Assistance
Providers
66.306
Environmental
Justice
Collaborative
Problem­
Solving
Cooperative
Agreement
Program
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
Prevention,
Pesticides
and
Toxic
Substances
D­
3
66.707
TSCA
Title
IV
State
Lead
Grants:
Certification
of
Lead­
Based
Professionals
66.708
Pollution
Prevention
Grants
Program
66.714
Pesticide
Environmental
Stewardship
­
Regional
Grants
66.715
Childhood
Blood­
Lead
Screening
and
Lead
Awareness
(
Educational)
Outreach
for
Indian
Tribes
66.716
Surveys,
Studies,
Investigations,
Training,
Demonstrations
and
Educational
Outreach
66.717
Source
Reduction
Assistance
Office
of
Solid
Waste
and
Emergency
Response
66.801
Hazardous
Waste
Management
State
Program
Support
66.802
Superfund
State
Political
Subdivision
and
Indian
Tribe
Site
Specific
Cooperative
Agreements
66.804
State
and
Tribal
Underground
Storage
Tanks
Program
66.805
Leaking
Underground
Storage
Tank
Trust
Fund
Program
66.806
Superfund
Technical
Assistance
Grants
(
TAG)
for
Community
Groups
at
National
Priority
List
(
NPL)
Sites
66.808
Solid
Waste
Management
Assistance
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
Brownfield
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
and
Resources
Management
66.508
Senior
Environmental
Employment
Program
66.518
State
Senior
Environmental
Employment
Program
Office
of
International
Affairs
66.931
International
Financial
Assistance
Projects
Sponsored
by
the
Office
of
International
Affairs
Office
of
Congressional
and
Intergovernmental
Relations
D­
4
66.605
Performance
Partnership
Grants
Office
of
Environmental
Information
66.608
Environmental
Information
Exchange
Network
Grant
Program
Region
1
66.110
Healthy
Communities
Grant
Program
Region
9
66.600
Environmental
Protection
Consolidated
Grants
Program
Support
Other
66.500
Environmental
Protection
Consolidated
Research
66.606
Surveys,
Studies;
Investigations
and
Special
Purpose
Grants
66.607
Training
And
Fellowships
for
the
Environmental
Protection
Agency