Document ID: EPA-HQ-OEI-2003-0015-0001
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2003-03-11T05:00Z

OMB
83­
I
SUPPORTING
STATEMENT
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,
2002.
This
ICR
authorizes
the
collection
of
information
under
EPA's
General
Regulation
for
Assistance
Programs
that
establishes
the
minimum
management
requirements
for
all
recipients
of
EPA
grants
or
cooperative
agreements
(
assistance
agreements).
40
CFR
Part
30,
"
Grants
and
Agreements
with
Institutions
of
Higher
Education,
Hospitals,
and
Other
Non­
profit
Organizations"
establishes
the
management
requirements
for
institutions
of
higher
education,
hospitals,
and
other
non­
profit
organizations
as
well
as
procurement
requirements
for
nongovernmental
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
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.

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
the­
grant
information
is
used
to
meet
reporting
and
record
keeping
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)
EPA
Form
5700­
20A
"
EPA
Assistance
Agreement/
Amendment"
is
used
for
all
EPA
awards
except
fellowships.
The
form
is
completed
by
EPA,
and
the
recipient
signs
the
form
to
accept
an
EPA
2
assistance
award
or
an
amendment.
The
form
is
comprised
of
several
components,
including
general
information
about
the
project,
such
as
statutory
and
regulatory
authority,
location,
sources
of
funding;
the
approved
budget
by
object
class
category
and
program
element
classification;
the
conditions
placed
on
the
award;
and
space
for
recipient's
signature,
which
is
used
to
indicate
formal
acceptance
of
the
agreement
or
amendment.
We
estimate
that
this
form
will
impose
½
burden
hour
on
the
recipient
and
6
½
burden
hours
on
EPA.

(
2)
EPA
Form
5700­
30
"
Preapplication
for
Federal
Assistance
(
Optional)."
The
form
is
completed
by
a
potential
applicant
and
EPA
personnel.
Use
of
the
form
expedites
preparation
and
evaluation
of
the
formal
application
documents,
and
permits
early
dissemination
of
information
on
Agency
needs
and
priorities.
Part
I
is
Standard
Form
424,
"
Application
for
Federal
Assistance,"
which
requires
information
about
the
applicant,
including
a
list
of
the
sources
of
proposed
funding
and
a
description
of
the
proposed
project.

Part
II
contains
questions
on
10
Federal
crosscutting
requirements.
The
information
requested
is
necessary
to
assure
project
compliance
with
various
Federal
requirements.
Part
III
requires
information
on
the
proposed
project
budget,
including
the
total
amount
of
Federal,
State,
and
applicant
funds.
Part
IV
asks
for
a
brief
narrative
of
the
need,
objective,
method
of
accomplishment,
geographical
location
of
the
project,
and
the
benefits
expected
to
be
obtained
from
the
assistance.

We
estimate
that
this
form
(
including
the
burden
hours
imposed
by
SF
424)
will
impose
20
burden
hours
(
average)
on
the
recipient
and
5
burden
hours
on
EPA.

(
3)
EPA
Form
5700­
52A.
This
form
is
used
to
collect
data
concerning
minority
and
women­
owned
business
required
under
Executive
Orders
11625,
12138,
and
12432
and
Public
Laws
101­
507
and
102­
389.
This
data
is
summarized
and
reported
to
Congress
and
the
Department
of
Commerce.

"
Part
II
of
EPA
Form
5700­
52A
has
been
changed
at
the
bottom
where
the
type
of
product
or
service
codes
are
listed.
The
change
was
made
to
shorten
the
number
or
type
of
product
or
service
codes
from
10
to
4.
These
4
codes
are
consistent
with
the
ones
that
EPA
refers
to
on
a
regular
basis
in
administering
its
Grants
and
Cooperative
Agreements'
MBE/
WBE
program
(
minority
business
enterprise/
woman
business
enterprise).
There
is
no
change
in
burden
for
the
recipients
of
grants
and
cooperative
agreements
due
to
this
change
in
the
form."

We
estimate
that
this
form
imposes
1
burden
hour
on
recipients
and
1
burden
hour
on
EPA.

(
4)
EPA
Form
5700­
53
"
Lobbying
and
Litigation"
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
1
burden
hour
on
the
applicant
and
0
burden
hours
on
EPA.

(
5)
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
½
burden
hour
on
the
applicant
and
0
burden
hours
on
EPA.
3
(
6)
EPA
Form
5770­
2
"
Fellowship
Application"
is
the
basic
application
form
and
requires
information
on
the
applicants'
educational
and
work
experience
background.
We
estimate
that
this
form
imposes
3
burden
hours
on
the
applicant
and
3
burden
hours
on
EPA.

(
7)
EPA
Form
5770­
3
"
Fellowship
Facilities
and
Commitment
Statement"
requires
information
about
the
institution
that
will
sponsor
the
applicant,
the
sponsors'
summarized
plans
for
the
applicants'
training,
and
the
institutions'
commitment
to
provide
that
training.
We
estimate
that
this
form
imposes
1
burden
hour
on
the
applicant
and
1
burden
hour
on
EPA.

(
8)
EPA
Form
5770­
4
"
Fellowship
Applicant
Qualifications
Inquiry"
asks
for
comments
on
the
applicants'
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
1/
4
burden
hour
on
EPA.

(
9)
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
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
1/
2
burden
hour
on
the
applicant
and
½
burden
hour
on
EPA.

(
10)
EPA
Form
5770­
7
"
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
½
burden
hour
on
the
recipient
and
½
burden
hour
on
EPA.

(
11)
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
on
EPA.

(
12)
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.

(
13)
SF­
269
"
Financial
Status
Report."
This
form
is
for
recipients
to
report
the
status
of
funds
for
nonconstruction
projects
or
programs.
OMB
requires
that
recipients
submit
a
SF­
269
at
the
completion
of
each
project.
We
estimate
that
this
form
imposes
2
burden
hours
on
the
recipient
and
5
1/
2
burden
hours
on
EPA.

(
14)
SF­
270
"
Request
for
Advance
or
Reimbursement."
This
is
the
standard
form
prescribed
by
OMB
Circular
A­
102
for
recipients
to
use
to
request
advances
or
reimbursement
on
all
nonconstruction
programs
when
the
advance
payment
or
reimbursement
methods
are
used.
We
estimate
that
this
form
will
impose
2
burden
hours
on
the
recipient
and
1
1/
2
burden
hours
on
EPA.
4
(
15)
SF­
271
"
Outlay
Report
and
Request
for
Reimbursement
for
Construction
Programs."
This
is
the
standard
form
prescribed
by
OMB
Circular
A­
102
for
recipients
of
a
construction
grant
to
request
reimbursements.
We
estimate
that
this
form
imposes
1/
2
burden
hour
on
recipients
and
1/
2
burden
hour
on
EPA.

(
16)
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
6
1/
2
burden
hours
on
the
recipient
and
6
burden
hours
on
EPA.

(
17)
SF­
424
"
Application
for
Federal
Assistance"
is
used
by
States,
local
governments,
and
Federally
recognized
Indian
tribal
governments
to
apply
for
Federal
financial
assistance.
The
form
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.
We
estimate
that
this
form
will
impose
3/
4
burden
hour
on
the
recipient
and
2
burden
hours
on
EPA.

4.
Reporting
and
Record
Keeping
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
423
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
3
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
manage
and
oversee
recipients'
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
record
keeping
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
5%
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
5
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
less
than
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
hours
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
ofcontrol
conditions
or
malfunctions.
This
requirement
was
cleared
under
a
separate
submission
(
OMB
Clearance
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
projects'
objectives.
We
estimate
that
this
requirement
imposes
a
total
of
4
burden
hours
on
the
recipient
and
4
burden
hours
on
EPA.

(
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
less
than
1%
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)
SECTION
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
2
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
no
burden
hours
on
EPA.
6
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
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
½
burden
hour
on
the
recipient
and
½
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
7
recipients
must
follow.
We
estimate
that
this
requirement
imposes
½
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
not­
for­
profit
institutions.
The
information
requested
is
used
to
make
awards,
pay
recipients,
and
collect
information
on
how
Federal
funds
are
being
spent.

5(
b).
Although
many
of
the
EPA
forms
are
computer
generated,
we
have
not
yet
reached
the
capability
of
permitting
electronic
submission
of
responses.
When
we
do,
the
improved
technology
will
lessen
response
time
and
burden
significantly.
In
consideration
of
Federalism,
reporting
and
record
keeping
is
kept
to
a
minimum,
especially
for
State
recipients.
The
Standard
Industrial
Classification
Code
for
all
respondents
is
919.

5(
c).
See
attached
forms
for
specific
data
elements
(
Exhibit
B).

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
record
keeping.
This
information
is
entered
into
IGMS,
the
Integrated
Grants
Management
System,
the
Agency's
data
base
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
3
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
has
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.
1
$
30.01
represents
the
average
wage
rate
of
several
occupations
expected
to
apply
for
awards
or
fellowships.
1.36
represents
a
36%
rate
for
benefits.
This
figure
is
derived
from
Table
1­
Civilian
Workers,
by
Major
Occupation
Group,
White
Collar
Workers
­
found
in
the
Bureau
of
Labor
Statistics
New
Release,
"
Employer
Costs
for
Employee
Compensation
­
March
2001."

2
$
13.18
represents
the
average
hourly
wage
rate
of
two
administrative/
clerical
positions.

8
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.

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.

Number
of
Awards:
3,600
Number
of
Fellowship
Applications:
1,500
Total
EPA
Awards:
5,100
8(
b).
RECIPIENTS:
The
total
burden
hours
for
recipients
is
166,037.
166,037
hours
divided
by
5,100
respondents
=
33
hours
per
respondent.

EPA
estimates
that
80%
of
these
33
hours
will
be
used
by
the
applicant
(
26
hours)
and
the
remaining
20%
by
secretarial/
clerical
staff
(
7
hours).

Therefore:
Applicant
Wage
Rate:
$
30.011
x
1.36
=
$
40.81
Secretarial/
Clerical
Support
Wage
Rate:
$
13.182
x
1.36
=
$
17.92
Thus:
5,100
respondents
x
26
hours
x
$
40.81
=
$
5,411,406
and
5,100
respondents
x
7
hours
x
$
17.92
=
$
639,744.

Total:
$
6,051,150
(
labor
costs)
3The
2000
average
hourly
rate
for
General
Schedule
(
GS)
­
11,
Step
9
($
25.93)
was
used
to
estimate
burden
costs
for
EPA.
This
was
also
fully
burdened
(
x
36%),
yielding
a
wage
rate
of
$
35.26.

9
8(
c).
FEDERAL:
The
total
burden
hours
for
EPA
is
hours
191,318.
191,318
divided
by
5,100
respondents
=
38
hours
per
respondent
for
EPA.

Thus:
5,100
respondents
x
38
hours
x
$
35.263
=
$
6,833,388
(
labor
costs)

8(
d).
Bottom
Line
Burden
Estimate.

Total
burden
hours
for
recipients
=
166,037
Total
burden
hours
for
EPA
=
191,318
Reasons
for
change
in
burden:

EPA
also
anticipates
implementing
a
policy
that
will
further
promote
competition
in
the
award
of
assistance
agreements.
The
anticipated
impact
of
this
proposed
competition
policy
is
an
increase
in
the
number
of
applicants,
which
is
expected
to
increase
the
overall
respondent
burden
from
142,435
burden
hours
to
our
current
estimate
of
166,037
burden
hours.
However,
it
is
expected
that
most
of
these
applicants
will
use
standard
forms
that
are
not
associated
with
sizeable
burden
hours.
Therefore,
the
overall
estimate
of
burden
for
recipients
only
increases
from
31
hours
per
respondent
to
our
current
estimate
of
33
hours
per
respondent.
The
anticipated
impact
of
this
new
policy
on
EPA
is
an
increase
in
the
burden
from
117,735
burden
hours
to
our
current
estimate
of
191,318
burden
hours.

EPA
continues
to
streamline
the
grants
application
process.
Additional
burden
reduction
has
been
made
possible
through
further
automation
of
the
filing
and
acceptance
components
of
assistance
agreements.

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
cost
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
39712
of
the
June
10,
2002
Federal
Register.
No
comments
were
received
in
response
to
this
announcement.
10
12.
Burden
Statement
­
The
annual
public
reporting
and
record
keeping
burden
for
this
collection
of
information
is
estimated
to
average
32
hours
per
respondent.
Burden
means
the
total
time,
effort,
or
financial
resources
expended
per
person
to
generate,
maintain,
retain,
or
disclose
or
provide
information
to
or
for
a
Federal
agency.
This
includes
the
time
needed
to
review
instructions;
develop,
acquire,
install,
and
utilize
technology
and
systems
for
the
purposes
of
collecting,
validating,
and
verifying
information,
processing
and
maintaining
information,
and
disclosing
and
providing
information;
adjust
the
existing
ways
to
comply
with
any
previously
applicable
instructions
and
requirements;
train
personnel
to
be
able
to
respond
to
a
collection
of
information;
search
data
sources;
complete
and
review
the
collection
of
information;
and
transmit
or
otherwise
disclose
the
information.
An
agency
may
not
conduct
or
sponsor,
and
a
person
is
not
required
to
respond
to,
a
collection
of
information
unless
it
displays
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.

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
the
use
of
automated
collection
techniques
to
the
Director,
Collection
Strategies
Division,
U.
S.
Environmental
Protection
Agency,
1200
Pennsylvania
Avenue,
N.
W.,
Mail
Code
2822T,
Washington,
D.
C.
20460­
0001;
and
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Officer
for
EPA.
Include
the
EPA
ICR
number
0938.09
and
OMB
control
number
2030­
0020
in
any
correspondence.
11
EXHIBIT
A
ESTIMATE
OF
EPA
ASSISTANCE
AGREEMENT
AWARDS
OF
FY
2002
Number
of
Awards
3,600
Number
of
Fellowship
Applications
1,500
5,100
EPA
Awards
The
following
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
*
These
core
requirements
for
these
forms
include
3,600
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
recording
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
B
C
D
E
F
Actions
per
year
Submissions
per
agreement
Burden
hours
per
action
Total
burden
hours
for
recipient
Burden
hours
for
EPA
Total
burden
hours
for
EPA
EPA
4700­
4
Pre­
Award
Compliance
Review
Report
1,000
1
0.5
500
0
0
*
EPA
5700­
20A
Grant
Agreement/
EPA
5700­
20B
Grant
Amendment
3,600
3,600
1
1
0.5
0.5
1,800
1,800
6.5
6.5
23,400
23,400
EPA
5700­
30
Pre­
application
for
Federal
Assistance
2,945
1
20
58,900
5
14,725
EPA
5700­
49
Certification
Regarding
Debarment,
Suspension,
and
Other
Responsibility
Matters
5,000
1
0.08
1,500
0
0
A
B
C
D
E
F
Actions
per
year
Submissions
per
agreement
Burden
hours
per
action
Total
burden
hours
for
recipient
Burden
hours
for
EPA
Total
burden
hours
for
EPA
12
EPA
5700­
52
A
MBE/
WBE
Form
3,600
1
1
3,600
1
3,600
EPA
5700­
53
Lobbying
and
Litigation
Certification
5,100
1
0.08
408
0
0
EPA
5700­
54
Key
Contacts
Form
5,100
1
0.5
2,550
0
0
EPA
5770­
2
Fellowship
Application
1,500
1
3
4,500
3
4,500
EPA
5770­
3
Fellowship
Facilities
and
Commitment
Statement
1,500
1
1
1,500
1
1,500
EPA
5770­
4
Fellowship
Applicant
Qualification
Inquiry
1,500
1
3
4,500
0.25
375
EPA
5770­
5
Agency
Fellowship
Certification
1,500
1
0.5
750
0.5
750
EPA
5770­
7
Fellowship
Activation
Notice
195
1
0.5
98
0.5
98
EPA
5770­
8
Fellowship
Agreement
195
1
1
195
1
195
EPA
5770­
9
EPA
Fellowship
Termination
Notice
195
1
1
195
1
195
*
SF
269
Financial
Status
Report
3,600
2
2
14,400
5.5
39,600
SF
270
Request
for
Advance
or
Reimbursement
500
4
2
4,000
1.5
3,000
SF
271
Outlay
Report
and
Request
for
Construction
Programs
200
4
0.5
400
0.5
400
SF
272
Federal
Cash
Transaction
Report
(
ACH
Payment
System)
100
4
6.5
2,600
6
2,400
SF
424
Application
for
Federal
Assistance
6,000
3
0.75
13,500
2
36,000
**
SF
LLL
Disclosure
of
Lobbying
Activities
1,000
1
0.17
170
0
0
A
B
C
D
E
F
Actions
per
year
Submissions
per
agreement
Burden
hours
per
action
Total
burden
hours
for
recipient
Burden
hours
for
EPA
Total
burden
hours
for
EPA
4
Only
5%
of
the
3,600
EPA
non­
construction
recipients
will
use
Federally­
owned
property
on
the
project.

13
40
CFR
30.22
and
31.21
Establish
separate
bank
account
­
ACH
Payment
System
400
1
2
800
1
400
40
CFR
30.50
and
52
and
31.42
Keep
records
3,600
1
3
10,800
1
3,600
40
CFR
30.50
and
52
and
31.42
Completion
of
desk
review
protocol
100
1
1
100
1.25
125
40
CFR
30.50
and
52
and
31.42
Completion
of
onsite
protocol
50
1
3
150
3.5
175
40
CFR
30.50
and
52
and
31.42
Completion
of
project
officer
protocol
300
1
0.67
201
1
300
40
CFR
30.33
and
31.32
Report
on
Federally­
owned
property4
3,600
x
0.05
=
180
1
4
720
1
180
40
CFR
30.51
and
31.40
Submit
progress
reports
1,800
4
4
28,800
4
28,800
40
CFR
30.21
and
31.20
Maintain
financial
management
system
Meet
OMB
Circular
A­
133
Audit
Requirement
3,600
500
1
1
2
2
7,200
1,000
1
0
2,500
0
Totals
57,460
44
66.25
166,037
55.5
191,318
14
EXHIBIT
B
EPA
GRANT
FORMS
15
September
24,
2002
EPA
Grant
Forms
included
in
Supporting
Statement
for
ICR
0938.09,
Exhibit
B
Form
Source
of
Form
4700­
4
Preaward
Compliance
Review
Report
pdf
created
from
scanned
hard
copy
5700­
20A
Grant
Agreement
Amendment
wpd
file
from
Ellen
O'Boyle
5700­
30
Pre­
application
for
Federal
Assistance
pdf
created
from
scanned
hard
copy
570­­
049
Certification
Regarding
Debarment,
Suspension
pdf
created
from
scanned
hard
copy
5700­
52
MBE/
WBE
Form
wpd
file
from
Kimberly
Patrick
5700­
53
Lobbying
&
Litigation
Form
wpd
revised
file
from
Bill
Hedling
5700­
54
Key
Contacts
Form
wpd
file
from
Ellen
O'Boyle
5770­
2
Fellowship
Application
pdf
created
from
scanned
hard
copy
5770­
3
Fellowship
Facilities
&
Commitment
Statement
pdf
created
from
scanned
hard
copy
5770­
4
Fellowship
Applicant
Qualification
Inquiry
pdf
created
from
scanned
hard
copy
5770­
5
Agency
Fellowship
Certification
pdf
created
from
scanned
hard
copy
5770­
7
Fellowship
Activation
Notice
pdf
created
from
scanned
hard
copy
5770­
8
Fellowship
Agreement
pdf
created
from
scanned
hard
copy
5770­
9
Fellowship
Termination
Notice
pdf
created
from
scanned
hard
copy
SF269
Financial
Status
Report
pdf
from
GAD
web
site
SF270
Request
for
Advance
or
Reimbursement
pdf
from
GAD
web
site
SF271
Outlay
Report
and
Request
for
Construction
Programs
pdf
from
GAD
web
site
SF
272
Federal
Cash
Transaction
Report
pdf
from
GAD
web
site
SF
424
Applicagtion
for
Federal
Assistance
pdf
from
GAD
web
site
and
word
doc
SF
LLL
­
Lobbying
and
Litigation
pdf
from
OMB
web
site
16
EXHIBIT
C
FIRST
FEDERAL
REGISTER
NOTICE
17
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
Grants
66.033
Ozone
Transport
66.034
Survey,
Studies,
Investigations,
Demonstrations
and
Special
Purpose
Activities
Relating
to
the
Clean
Air
Act
Office
of
Water
66.418
Construction
Grants
for
Wastewater
Treatment
Works
66.419
Water
Pollution
Control
­
State
and
Interstate
Program
Grants
66.432
State
Public
Water
System
Supervision
66.433
State
Underground
Water
Source
Protection
66.454
Water
Quality
Management
Planning
66.456
National
Estuary
Program
66.458
Capitalization
Grants
for
State
Revolving
Funds
66.460
Nonpoint
Source
Implementation
Grants
66.461
Wetlands
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
Fund
66.469
Great
Lakes
Program
66.471State
Grants
to
Reimburse
Operators
of
Small
Water
Systems
for
Training
and
Certification
Costs
66.472
Beach
Monitoring
and
Notification
Program
Development
Grants
66.473
Direct
Implementation
Tribal
Cooperative
Agreements
66.474
Water
Protection
Coordination
Grants
to
States
66.475
Gulf
of
Mexico
Program
66.476
Security
Planning
Grants
for
Large
Drinking
Water
Utilities
66.926
Indian
Environmental
General
Assistance
Program
Office
of
Research
and
Development
66.500
Environmental
Protection
­
Consolidated
Research
66.807
Superfund
Innovative
Technology
Evaluation
Program
18
Office
of
Administration
66.508
Senior
Environmental
Employment
Program
66.600
Environmental
Protection
Consolidated
Grants
Program
Support
66.605
Performance
Partnership
Grants
66.606
Surveys,
Studies,
Investigations
and
Special
Purpose
Grants
66.607
Training
and
Fellowships
for
the
Environmental
Protection
Agency
66.608
One
Stop
Reporting
66.609
Children's
Health
Protection
66.930
U.
S.­
Mexico
Border
Grants
Program
66.950
Environmental
Education
and
Training
Program
66.951
Environmental
Education
Grants
Office
of
Enforcement
and
Compliance
Assurance
66.604
Environmental
Justice
Grants
to
Small
Community
Groups
66.700
Consolidated
Pesticide
Enforcement
Cooperative
Agreements
66.701
Toxic
Substances
Compliance
Monitoring
Cooperative
Agreements
66.709
Capacity
Building
Grants
and
Cooperative
Agreements
for
States
and
Tribes
66.711
Environmental
Justice
through
Pollution
Prevision
Grants
Office
of
Prevention,
Pesticides
and
Toxic
Substances
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
Office
of
Solid
Waste
and
Emergency
Response
66.801
Hazardous
Waste
Management
State
Program
Support
66.802
Superfund
State
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
for
Citizen
Groups
at
Priority
Sites
66.808
Solid
Waste
Management
Assistance
66.809
Superfund
State
Core
Program
Cooperative
Agreements
66.810
CEPP
Technical
Assistance
Grants
Program
66.811
Brownfield
Pilots
Cooperative
Agreements
66.812
Hazardous
Waste
Management
Grant
Program
for
Tribes