General Administrative Requirements for Assistance Programs (Renewal)

Forms and Documents

Document Name	Status
Form 4700-04 General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments Form and Instruction	Modified
Form 5770-7 General Administrative Requirement for Assistance Programs: Individuals Form and Instruction	New
Form 6600-09 ARRA grants Form and Instruction	Removed
Form SF 428 General Administrative Requirements for Assistance Programs: Non-Profits Form and Instruction	Modified
0938ss18 Revised 6.18.14.doc Supporting Statement A	2014-06-20

IC Document Collections

IC ID	Document Title	Status
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments Form and Instruction	Modified
202038	General Administrative Requirement for Assistance Programs: Individuals Form and Instruction	New
190700	ARRA grants Form and Instruction	Removed
188505	General Administrative Requirements for Assistance Programs: Non-Profits Form and Instruction	Modified

ICR Details

OMB Control No: 2030-0020	ICR Reference No: 201204-2030-001
Status: Historical Active	Previous ICR Reference No: 200909-2030-001
Agency/Subagency: EPA/OMS	Agency Tracking No: 0938.18
Title: General Administrative Requirements for Assistance Programs (Renewal)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 06/30/2014
	Date Received in OIRA: 04/24/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2017	36 Months From Approved	06/30/2014
Responses	46,967	0	51,664
Time Burden (Hours)	155,006	0	134,597
Cost Burden (Dollars)	0	0	0

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Abstract: This is a request for a renewal of an existing Information Collection Request (ICR) due to expire on April 30, 2009. 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 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.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 64942	10/19/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 24486	04/24/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	4700-04, 6600-09, 5700-54, 6600-01, 6600-06, 6600-08, NCER Form 5, SF 270, SF 271, SF LLL, SF 428, SF 429, SF SAC, RPPR, 190-F-04-001, 5700-53, 5700-52A	Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance ,   EPA Administrative Capability Questionnaire ,   "Key Contacts Form ,   Certification Regarding Lobbying ,   Lobbying Cost Certificate for Indirect Costs/Certificate of Indirect Costs for State and Local Governments ,   Current and Pending Support ,   Request for Advance or Reimbursement ,   Outlay Report and Request for Reimbursement for Construction Programs ,   Disclosure of Lobbying Activities ,   Tangible Personal Property ,   Real Property Status Report ,   Data Collection Form for Single Audits ,   RPPR ,   US EPA Payment Request ,   Lobbying and Litigation Certificate ,   MBE/WBE Utilization Under Federal Grants ,   Limited Scope Administrative and Financial Review Questionnaire
General Administrative Requirement for Assistance Programs: Individuals	5770-7, 5770-8, 5770-9, 190-F-05-001, 5770-2, 5770-3, 5770-5	EPA Fellowship Activation Notice ,   Fellowship Agreement ,   EPA Completion of Studies Notice ,   Fellowship Stipend Payment Enrollment Form ,   Fellowship Application ,   Fellowship Facilities and Commitment Statemen ,   Agency Fellowship Certification
General Administrative Requirements for Assistance Programs: Non-Profits	6600-09, 4700-04, 5700-54, 6600-01, 6600-06, 6600-08, NCER Form 5, SF 270, SF 271, SF LLL, SF 428, SF 429, SF SAC, RPPR, 190-F-04-001, 5700-53, 5700-52A	Tangible Personal Property ,   Real Property Status Report ,   Data Collection Form for Single Audits ,   RPPR ,   US EPA Payment Request ,   Lobbying and Litigation Certificate ,   MBE/WBE Utilization Under Federal Grants ,   Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance ,   EPA Administrative Capability Questionnaire ,   "Key Contacts Form ,   Certification Regarding Lobbying ,   Lobbying Cost Certificate for Indirect Costs/Certificate of Indirect Costs for State and Local Governments ,   Current and Pending Support ,   Request for Advance or Reimbursement ,   Outlay Report and Request for Reimbursement for Construction Programs ,   Limited Scope Administrative and Financial Review Questionnaire ,   Disclosure of Lobbying Activities
ARRA grants	6600-09, 4700-4, 5700-54, 5700-55, 5770-2, 5770-3, 6600-08, NCER 5, SF-270, 5770-4, 5770-5, 5770-7, 5770-8, 5770-9, 6600-01, 6600-06, SF-269, SF-269a, SF-271, SF-272a, SF-272, SF-424, SF-424A, SF-424B, SF-424C, SF-424D, SF-LLL	EPA Administrative Capability Questionnaire ,   Preaward Compliance Review Report ,   Key Contacts Form ,   Key Contacts Form for Multiple Principal Investigators ,   Fellowship Application ,   Fellowship Facilities and Commitment Statement ,   Fellowship Applicant Qualifications Inquiry ,   Agency Fellowship Certification ,   EPA Fellowship Activation Notice ,   Fellowship Agreement ,   EPA Fellowship Termination Notice ,   EPA Administrative and Financial Onsite Review Questionnaire ,   Certification Regarding Lobbying ,   Lobbying Cost Certificate for Indirect Costs ,   Current and Pending Support ,   Request for Advance or Reimbursement ,   Financial Status Report - Long ,   Financial Status Report - Short ,   Outlay Report and Request for Reimbursement for Construction Programs ,   Federal Cash Transactions Report Continuation ,   Federal Cash Transactions Report ,   Application for Federal Assistance ,   Budget Information - Non-Construction Programs ,   Assurances - Non-Construction Programs ,   Budget Information - Construction Programs ,   Assurances - Construction Programs ,   Disclosure of Lobbying Activities

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	46,967	51,664	0	-4,697	0	0
Annual Time Burden (Hours)	155,006	134,597	0	20,409	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Most ARRA grants have been completed for the decrease. For the increase, the separte IC for ARRA was deleted so the remainder is moved to the other ICs technically showing as a Program change increase. The reason for the decrease in burden is that several of the forms became common forms. These are forms SF3881, 424, 425, and 425A.

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Annual Cost to Federal Government: $8,194,651

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 04/24/2012

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