Supporting Statement:
Weatherization Assistance Program (WAP) Program Forms
OMB Control Number: 1910-5127
Explain the circumstances that make the collection of information necessary.
The Department of Energy (DOE) requires collection of information for the Weatherization Assistance Program as included in Funding Opportunity Announcement DE-FOA-0000051, the Energy Independence and Security Act of 2007 (EISA) and the OMB requirements for (1) grant and financial administration, and (2) American Recovery and Reinvestment Act (ARRA) funds. DOE provides Federal financial assistance and technical support to states and local governments under the EISA. Information gathered provides current information required to respond to OMB, congressional and consumer requests and budget preparation.
The WAP Program has $5 billion under ARRA to be spent by March 2012 compared to $200 M historically annually. In order to adequately monitor, report, and ensure transparency and accountability, both monthly and quarterly reporting are required.
DOE is requiring WAP funds expended be reported monthly and quarterly as it relates to funds expended under the ARRA of 2009 as stated in the (WPN 10-13), effective March 1, 2010.
DOE has reviewed its monitoring and oversight procedures, and has determined that reporting requirements must be modified to increase both the frequency of reports and the information needed to ensure that these programs are managed effectively and efficiently and achieve Administration goals for job creation and energy transformation.
The information collected is used by program staff to track the recipients’ activities, their progress in achieving scheduled milestones, and funds expended (including expenditure rates). The information also enables program staff to provide required or requested information on program activities to OMB, Congress and the public.
The Weatherization Network, including stakeholder organizations, widely concurs with the necessity of collecting and reporting weatherization production on a monthly basis. The ability to closely track and report the unprecedented success of the Weatherization Network in weatherizing homes nationwide is of exceeding utility to DOE, stakeholder organizations, State Weatherization agencies, and Community Action Agencies. Moreover, unlike SEP and EECBG, performance data in WAP is readily accessible and comprehensible thus limiting the burden of collection.
In light of the high utility and low burden of this collection and the fact that collecting only a partial picture of weatherization production monthly would wholly obviate the utility of the collection, DOE has decided not to introduce a risk-tiered model where selected recipients could return to quarterly reporting only.
Indicate how, by whom, and for what purpose the information is to be used.
The information collected on the Weatherization Assistance Program, particularly units weatherized, will be used to measure program performance and report on the impact of Recovery Act investment. It also allows for response to congressional, budget and public inquire of program activities.
Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.
The Department of Energy, Weatherization Assistance Program developed the Performance and Accountability for Grants in Energy web-base (PAGE). This system allows DOE to administer the WAP grants on line and provides all network users access to current program records. PAGE reduces data redundancy and paperwork and provides the universal, complementary date collection to showing the positive results of the program. States with PAGE enter state applications and reports directly into the system and sign and submit them electronically to DOE Project Management Center (PMC). All records entered or updated are forwarded to a national database at DOE Headquarters. Information also is downloaded into the Department of Energy’s integrated standard core accounting system (STRIPES). This allows the contracting officers to sign and send awards to states electronically.
Describe efforts to identify duplication.
The WAP program is the only federal program that provides weatherization services to low income Americans. The forms were designed to provide a consistent format for the collection of program information. This information will then be retrieved in a variety of formats to answer programmatic questions and inquiries.
Where the information collected corresponds to data collected by OMB via FederalReporting.gov, PAGE provides a function to collate, review, and submit the duplicated data to FederalReporting.gov.
If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
Small Businesses are not impacted.
Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.
All programs funded through ARRA will be subject to increased attention and scrutiny from OMB, Congress, the media and the public. If this information is not collected, DOE will not be able to provide reports to OMB or respond to requests for information on ARRA-funded activities and expenditures. If the information is collected less frequently, DOE will not be able to track activities and funds status as closely as necessary, and timely information will not be available to OMB, the White House, Congress and the public. Frequent reporting will also allow any problems, barriers or system bottlenecks to be identified and dealt with right away.
Explain any special circumstances that require the collection to be conducted in a manner inconsistent with OMB guidelines.
The information collection is not being conducted in a manner inconsistent with OMB guidelines.
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 5CFR 320.8(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 in response to the comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside DOE.
The Department published a 60-day Federal Register Notice and Request for Comments concerning this collection in the Federal Register on April 16, 2010, volume 75, number 73, and page number 19953.
The Department published a 30-day Federal Register Notice and Request for Comments concerning this collection in the Federal Register on July 1, 2010, volume 75, number 126 and page number 38091.
Both notices described the collection and invited interested parties to submit comments or recommendations regarding the collection. No comments were received.
DOE has engaged in weekly telephone conferences with a number of stakeholder organizations since February 2010 to discuss a host of issues regarding WAP, including quarterly and monthly reporting requirements.
Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
No payment or gift is being provided to the respondents.
Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.
There is no identifiable confidential information being requested.
Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private.
There is no collection in this package that involves questions of a sensitive, personal or private nature.
Provide estimates of the hour burden of the collection of information. The statement should indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated.
The Weatherization Assistance Program is a mature program with over three decades of experience in weatherizing homes. The Weatherization Network (including DOE, NASCSP, State agencies, and Community Action Agencies) has a history of close collaboration and is well versed in the execution of this program. State agencies exhibit a high level of proficiency in program management and nominally collect information on weatherization production and outlays on a monthly basis to provide proper oversight of their programs. Moreover, a number of State agencies, including Wisconsin, Texas, Florida, Minnesota, and Illinois, collect this information on an up-to daily basis in order to effectively manage their programs.
As such the report of this data on a monthly basis is of a very marginal additional burden to State agencies, and includes that time necessary to login to PAGE and provide information that they have already collected.
Monthly Reporting burden
All WAP Grantees are required outlays and units weatherized on a monthly basis. It is estimated that governments will spend one hour preparing each report.
(1) 58 grantees x 1 hour = 58 hours per month;
(2) 58 hours x 8 monthly reports = 464 hours annually
Quarterly Reporting burden
All WAP Grantees are required to report information on jobs, financial expenditures and units weatherized. It is estimated that state governments will spend seventeen hours preparing each report.
(1) 58 grantees x 12 hours = 696 hours per quarter;
(2) 696 hours x 4 quarterly reports = 2,784 hours annually
Reporting burden summary:
(1) Monthly reports= 464 hours
(2) Quarterly reports= 2,784 hours
TOTAL 3,248 hours annually
Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information.
The cost burden is as follows:
State burden costs = 3,248 hours x $40/hr = $129,920
It is expected that respondents will be able to expend a reasonable amount of administrative funds from their grant funds towards the cost of reporting.
14. Provide estimates of annualized cost to the Federal government.
1) PMC staff 1 hour @ $40 per hour = $ 40
Annual costs specific to the federal government:
Quarterly: 58 reports x $40/report = $ 2,320
Total Annual cost: $2,240 x 4 reports = $ 9,280
DOE believes there are no additional costs to respondents other than the burden hours reported for reporting and record keeping.
Explain the reasons for any program changes or adjustments reported in Items 13 (or 14) of OMB Form 83-I.
The rationale for changes is as follows:
1. The emergency ICR contemplated only the additional burden required by WAP recipients for monthly reporting, and not the total inventory (quarterly and monthly) requested under WAP.
2. The emergency ICR indicated that the monthly report would occur 12 times per year, not 8 times per year. As all of the information collected monthly is collected quarterly, the monthly reports roll up into the quarterly reports. As such, the burden is incorporated in the quarterly burden estimate. Moreover, the emergency ICR did not contemplate that the quarterly reports would collect more data and therefore be more burdensome.
16. For collections whose results will be published, outline the plans for tabulation and publication.
DOE intends to publish information about weatherization production obtained from both monthly and quarterly reports. Results will be made available approximately 14-21 days following the reporting deadline in order to allow time for report submission by the State agencies and quality analysis. In the past six months of reporting, DOE has found that initial monthly production reports submitted by State agencies vary by only +/- 5% from the final monthly value used in submission of the quarterly report. Historically, WAP production numbers nominally change over the course of several months following quarterly, albeit very slightly, as State agencies receive more accurate information about weatherization production in the reporting period. This accuracy in the initial submission of monthly production figures, against the backdrop of production numbers that are in flux for months after even quarterly reports are submitted, gives DOE high degree of confidence in publishing initial monthly figures, following the period for report submission and quality analysis as noted above. Where DOE does publicize monthly data, it will clearly indicate it to be "preliminary and subject to change".
In most cases, monthly data will be used internally for managerial purposes only. However, DOE will make tabular results will be published in .pdf format on the DOE Recovery Act Clearinghouse website. Results will be tabulated by State, Territory, or Tribe and available by month, quarter, or year. As well, DOE will make monthly production numbers available for press releases, pursuant to the same process above. As requested, DOE will make these numbers available to OMB and Congress.
17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons why display would be inappropriate.
The Department is not seeking approval to not display the expiration date for OMB approval of the information collections contained in this package.
18. Explain each exception to the certification statement identified in Item 19 of OMB Form 83-I.
There are no exceptions to the certification statement identified in item 19. “Certification for Paperwork Reduction Act submissions” of OMB form 83-I.
| File Type | application/msword |
| File Title | Instructions for the Supporting Statement |
| Author | BRYANTL |
| Last Modified By | roulech |
| File Modified | 2010-09-22 |
| File Created | 2010-09-22 |