supporting_statement

The Supporting Statement for OMB 0596-NEW

Federal and Non-Federal Financial Assistance Instruments

August 2008

The Supporting Statement for OMB 0596-NEW

Federal and Non-Federal Financial Assistance Instruments

August 2008

A. Justification

1. Explain the circumstances that make the col­lection of information necessary. Iden­tify any legal or administrative require­ments that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the col­lection of information.

The Forest Service is requesting OMB approval for an existing collection in use without an OMB control number. The Forest Service and other agency instruments included in this collection are necessary to the Agency’s Federal and Non-Federal Financial Assistance program.

As authorized by the Federal Grants and Cooperative Agreements Act (FGCAA), the Forest Service uses grants and cooperative agreements to fulfill Mission and Congressional goals and objectives. Agency specific authorities and appropriations also support use of Federal Financial Assistance (FFA) awards (i.e. grants and cooperative agreements). Additionally, the Forest Service uses two types of non-FGCAA instruments, as authorized by Congress using appropriations language.

The need for OMB approval became apparent after Forest Service officials reviewed the OMB approved information collections pertaining to the Agency’s Federal Grants and Agreements Program. Agency officials discovered that some Forest Service’s Federal and Non-Federal Financial Assistance program instruments had not received OMB approval. The Forest Service needs to collect information in addition to that authorized by the following OMB control numbers.

• 9000-0045: FAR – Payment Bonds (form SF-25a)

• 4040-0001: SF-424 Research and Development

• 4040-0002: SF-424 Mandatory

• 4040-0004: SF-424 Discretionary

• 4040-0006: SF-424a Budget Information – Non-Construction

• 4040-0007: SF-424b Assurances – Non-Construction Programs

Additionally, the Forest Service uses OMB approved forms that do not have associated burden hours. Forest Service burden hours for the following forms are included in this information collection request.

• 0348-0003: Federal Cash Transactions Report and Continuation Sheet (forms SF-272 and SF-272a)

• 0348-0004: Request for Advance or Reimbursement (form SF-270)

• 0348-0038: Financial Status Report – Short Form (form SF-269a)

• 0348-0039: Financial Status Report – Long Form (form SF-269)

The Forest Service also uses United States Department of Agriculture certification forms in the administration of the Agency’s Federal and Non-Federal Financial Assistance program.

• AD-1047, Certification Regarding Debarment, Suspension

• AD-1048, Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions

• AD-1049, Certificate Regarding Drug Free Workplace Requirements Alternative 1

• AD-1050, Certificate Regarding Drug Free Workplace Requirements Alternative 2

• AD-1052, Certificate Regarding Drug Free Workplace Requirements-State and State Agencies

This information collection request covers the following types of instruments used by the Forest Service for Federal and Non-Federal Financial Assistance, in addition to those non-Forest Service instruments mentioned above. See item A.2., Table 1, for the list of instruments associated with this information collection.

• Collection agreements (i.e., the Forest Service exchanges goods or services for something of value, usually money),

• FGCAA exempted agreements,

• Memorandums of Understanding, and

• A number of other agreement types, collectively known as, “other agreements.” These contain the element of mutual benefit (i.e., Challenge-Cost Share, Cost-Reimbursable, Cooperative Research and Development, Joint Venture, Participating).

Typically, collection agreements, FGCAA exempted agreements, and “other agreements” require an accompanying financial plan and statement of work. In order to create, develop, and administer these funded and non-funded agreements, the Forest Service collects information from cooperating parties from the pre-award to the closeout stage. The scope of the information collection varies, but typically covers data related to the project type, project scope, financial plan, statement of work, and cooperator contact and business information.

This collection supplements information provided to the Forest Service via the aforementioned OMB approved information collections. The Agency retains all records collected under Forest Service file code 1580-2. Destruction of records occurs 10 years after termination of a grant or agreement.

The following authorities authorize the Forest Service to enter into Federal and non-Federal Financial Assistance relationships.

Laws and Regulations:

• Federal Grants and Cooperative Agreements Act of 1977, as amended by the Using Procurement Contracts and Grant and Cooperative Agreements Act of September 13, 1982 (31 U.S.C. 6301-6308; Pub. L. 97-258, as amended). Unless otherwise specified by statute, this Act requires that Federal agencies characterize the relationship between a Federal and non-Federal party as one of a procurement contract or of Federal financial assistance. The selection of a particular instrument, such as a procurement contract or an assistance instrument, to document the transaction shall be determined by this relationship (FSM 1580.6 and FSM 1582).

• Cooperative Funds Act of June 30, 1914 (16 U.S.C. 498, as amended by Pub. L. 104-127). This Act authorizes the Forest Service to accept money received as contributions toward cooperative work in forest investigations or protection, management and improvement of the National Forest System (FSM 1584.11).

• Granger-Thye Act of April 24, 1950 (16. U.S.C. 572). Section 5 of this Act authorizes the Forest Service to perform administration, protection, improvement, reforestation, and other work (similar to that which the Forest Service is authorized to do on United States lands) that benefits a depositor (a) on State, county, municipal, or private land within or near National Forest land, or (b) for others who occupy or use National Forests or other lands administered by the Forest Service (FSM 1584.12).

• Acceptance of Gifts Act of October 10, 1978 (7 U.S.C. 2269, Pub. L. 95-442). This Act authorizes Forest Service to accept cash, as well as donations of real personal property (FSM 1584.13).

• Cooperative Funds and Deposits Act of December 12, 1975 (16 U.S.C. 565al-a3, Pub. L. 94-148). This Act authorizes the Forest Service and cooperator(s) to perform work for which they would accrue mutual non-monetary benefit (FSM 1587.11).

• Interior and Related Agencies Appropriations Act of 1992 (Pub. L. 102-154, Challenge Cost Share). This Act authorizes the Forest Service to cooperate with others in developing, planning, and implementing mutually beneficial projects that enhance Forest Service activities where the cooperators provide matching funds or in-kind contributions. Cooperators may be public and private agencies, organizations, institutions, and individuals (FSM 1587.12).

• Federal Employees International Organization Service Act (5 U.S.C. 3343 and 3581-3584), as amended. This Act authorizes the Forest Service to assign employees temporarily (for a period not to exceed 5 years) to an international organization that requests such services.

• National Agricultural Research, Extension, and Teaching Policy Act of 1977 (Pub. L. 95-113), as amended by the Food Security Act of 1985 (7 U.S.C. 3318, and 3319, Pub. L. 99-198), and further amended by Public Law 105-198. This Act allows the Forest Service to: a) Enter into joint venture agreements with any entity or individual to serve the mutual interest of the parties in agricultural research, and teaching activities, whereby all parties contribute resources to accomplish those objectives (7 U.S.C. 3318(b)); b) Enter into cost reimbursable agreements with state cooperative institutions or other colleges and universities without regard to any requirement for competition, for the acquisition of goods or services, including personal services, to carry out agricultural research or teaching activities of mutual interest (7 U.S.C. 3319(a), FSM 1587.13).

• Federal Technology Transfer Act of 1986 (15 U.S.C. 3710a, Pub. L 96-480). This Act authorizes the Forest Service to enter into cooperative research and development agreements for technological transfer for commercial purposes (FSM 1587.14).

• Youth Conservation Corps Act of 1970 (16 U.S.C. 1701-1706, 1723) as amended by Title II, Pubic Land Corps Act of 1993 (Pub. L. 91-378). This Act authorizes the Forest Service to utilize the Corps or any qualified youth or conservation corps to carry out appropriate conservation projects on public lands, Indian lands, and Hawaiian homelands. Conservation projects may be carried out on state, local, or private lands as part of disaster prevention or relief efforts in response to an emergency or major disaster declared by the President (FSM 1581.25(a)).

• Service First Act, Public Law 106-291, as amended by Public Law 109-54 Title IV, Section 428. This Act is designed to improve customer service by providing streamlined, one-stop shopping across agency jurisdictional boundaries for public land users. Initially authorized for work between the Bureau of Land Management (BLM) and the Forest Service (FS), the Act has been extended to include the National Park Service (NPS) and Fish and Wildlife Service (FWS).

• Forest and Rangeland Renewable Resources Research Act of 1978, as amended (16 U.S.C. 1641-1646, Pub. L. 95-307). This Act authorizes forest and rangeland renewable resources research, dissemination of research findings, and provides for acceptance of gifts, donations, and bequests and the investing thereof (FSM 1581.11 and FSM 1584.14).

• Cooperative Forestry Assistance Act of 1978, as amended (16 U.S.C. 2101-2114, Pub. L. 95-313). This Act authorizes the Forest Service to work through and in cooperation with state foresters (or equivalent agencies) and other countries to implement technical programs affecting non-Federal forest lands (FSM 1581.13).

• National Forest Dependent Rural Communities Economic Diversification Act of 1990 (7 U.S.C. 6601 note, Pub. L. 101-624). Title XXIII, Subtitle G, Rural Revitalization through Forestry, authorizes Forest Service establishment and implementation of educational programs and technical assistance to businesses, industries, and policy makers to create jobs, raise incomes, and increase public revenues in ways that are consistent with environmental concerns (FSM 1581.15).

• Cooperative Law Enforcement Act of August 10, 1971 (16 U.S.C. 551a, Pub. L. 92-82). This Act authorizes Forest Service cooperation with state or political subdivisions to enforce or supervise laws and ordinances of a state or political division on National Forest Systems lands (FSM 1582).

• The Reciprocal Fire Act of May 27, 1955 (42 U.S.C. 1856a, Pub. L. 84-46). This Act authorizes the Forest Service to enter into reciprocal agreements with any fire organization maintaining fire protection facilities in the vicinity of national forest lands (FSM 1582).

• National Forest Roads and Trails Act of October 13, 1965 (16 U.S.C. 532-538, Pub. L. 88-657). This Act authorizes Forest Service financing and/or cooperation with other public agencies, private agencies, or individuals for acquisition, construction, and maintenance of forest development roads within or near national forests (FSM 1582).

• National Trails System Act (16 U.S.C. 1246(h), Pub. L. 90-543). This Act authorizes Forest Service cooperation with the states or their political subdivisions, landowners, private organizations, or individuals to operate, develop, and maintain any portion of national trail system trails either inside or outside a federally administered area (FSM 1581.21).

• Wild and Scenic Rivers Act (16 U.S.C. 1271 et seq., Pub. L. 90-542). This Act authorizes Forest Service to cooperate with states or their political subdivisions, landowners, private organizations, or individuals in protecting and managing river resources (FSM 1581.22).

• Federal Noxious Weed Act of 1974 (7 U.S.C. 2814), authorizes the Forest Service to issue cooperative agreements to state agencies (or political subdivisions thereof responsible for the administration or implementation of undesirable plant laws of a State) to:

  • Establish an undesirable plant management program,

  • Integrate management systems to control or contain undesirable plant species, and

  • Issue specific cost-sharing cooperative agreements with State and local agencies for management of noxious weeds in an area, if the majority of landowners in that area agree to participate in a noxious weed program (FSM 1581.23)

• National and Community Service Act of 1990 (42 U.S.C. 12501, Pub. L. 101-610). Subtitle C, National Service Trust Program, establishes the Corporation for National Community Service, which may enter into contracts or cooperative agreements with Federal agencies to support a national service program carried out by the Agency (FSM 1581.24).

• Sikes Act of September 1, 1960 (16 U.S.C. 670g-670l, 670o, Pub. L. 86-797, as amended). This Act authorizes the Forest Service to cooperate with state wildlife agencies in conservation and rehabilitation programs for fish, wildlife, and plants considered threatened or endangered (FSM 1581.26).

2. Indicate how, by whom, and for what pur­pose the information is to be used. Except for a new collec­tion, indicate the actual use the agency has made of the infor­ma­tion received from the current collec­tion.

1. What information will be collected - reported or recorded? (If there are pieces of information that are especially burdensome in the collection, a specific explanation should be provided.)

See Table 1 below

2. From whom will the information be collected? If there are different respondent categories (e.g., loan applicant versus a bank versus an appraiser), each should be described along with the type of collection activity that applies.

See Table 1 below

Table 1: Forms, Information Collected, and Respondents

Form Number	Form Name	Information Collected	From Whom is the Information Collected
FS-1500-NEW9	Memorandum of Understanding (Instrument used for a written plan between the Forest Service and other parties for carrying out their separate activities in a coordinated and mutually beneficial manner and for documenting a framework for cooperation.)	Cooperator’s information, such as contact information, project description/statement of work (such as activities to be performed), expected outcomes/work products, other related administrative information.	Non-profits; for-profit; institutions of higher education; federal, state, local, and native American tribe governments; individuals; foreign governments and organizations
FS-1500-NEW1	Cooperative Fire Protection Agreement (Instrument used when the Forest Service and a Cooperator share an interest in working collaboratively on fire protection.)	Cooperator’s information, such as: contact information; EIN/TIN, DUNS, CCR; project description/statement of work, such as activities to be performed, expected outcomes/work products; other related administrative information; financial plans (such as contribution types and amounts, EFT and billing information, list of contractors/sub recipients).
FS-1500-NEW2	Cooperative Law Enforcement Agreement (Instrument used when the Forest Service and a Cooperator share an interest in working collaboratively on law enforcement.)
FS-1500-NEW3	Cooperative Forest Road Agreement (Instrument used when the Forest Service and a Cooperator share an interest in working collaboratively on roads.)
FS-1500-NEW4	Challenge Cost-Share Agreement (Instrument used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.)
FS-1500-NEW5	Collection Agreement (Instrument used to accept money, equipment, property, or products from a non-Federal party to carry out a purpose authorized by law.)
FS-1500-NEW6	Cost-Reimbursable Agreement (Instrument used when Forest Service and Cooperator share mutual interests.)
FS-1500-NEW7	Cooperative Research and Development Agreement (Instrument used when Forest Service and Cooperator share mutual interests)
FS-1500-NEW8	Joint Venture Agreement (Instrument used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.)
FS-1500-NEW10	Participating Agreement (Instrument used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.)
FS-1500-NEW13	Collection Agreement Financial Plan (Used by the Forest Service, for the benefit of both parties, to express the financial terms and conditions of the proposed collection agreement or modification)
FS-1500-NEW14	Modification Form (Instrument used when the Forest Service and Cooperator mutually agree to modify terms and conditions of an existing agreement between the two parties).	Cooperator information relevant to the type of modification sought, such as time: period for agreement extension, changes to scope of work or party roles/responsibilities, additional contributions, etc.
FS-1500-NEW11	FSH 1509.11, Ch.60 Financial Plan (Used by the Forest Service, for the benefit of both parties, to express the financial terms and conditions of the proposed partnership agreement or modification)	Cooperator’s project related financial information, including types of Cooperator contributions, i.e. cash, in-kind, 3rd party; cost element breakdown; and cost analysis of cost elements.
FS-1500-NEW12	Cooperative Law Enforcement Annual Operating & Financial Plan (Used in conjunction with FS-1500-NEW2 to express the financial terms and conditions of the proposed cooperative law enforcement agreement or modification).	General applicant identifying information, description of annual, project operations, and project related financial information.
SF-272 and SF-272a	Federal Cash Transactions Report and Continuation Sheet	General applicant identifying information and project related financial information.
SF-270	Request for Advance or Reimbursement
SF-269	Financial Status Report – Short Form
SF-269a	Financial Status Report – Long Form

3. What will this information be used for - provide ALL uses?

The information collected is used to develop, implement, and administer Forest Service Federal and non-federal Financial Assistance instruments. Specifically these instruments are used for the following:

• FS-1500-New1, Cooperative Fire Protection Agreement, is used when the Forest Service and a cooperator share an interest in working collaboratively on fire protection.

• Form FS-1500-New2, Cooperative Law Enforcement Agreement, is used when the Forest Service and a Cooperator share an interest in working collaboratively on law enforcement.

• Form FS-1500-New3, Cooperative Forest Road Agreement, is used when the Forest Service and a Cooperator share an interest in working collaboratively on roads.

• FS-1500-NEW4, Challenge Cost-Share Agreement, is used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.

• FS-1500-NEW5, Collection Agreement, used to accept money, equipment, property, or products from a non-Federal party to carry out a purpose authorized by law.

• FS-1500-NEW6, Cost-Reimbursable Agreement, used when Forest Service and Cooperator share mutual interests

• FS-1500-NEW7, Cooperative Research and Development Agreement, used when Forest Service and Cooperator share mutual interests

• FS-1500-NEW8, Joint Venture Agreement, used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.

• FS-1500-NEW9, Memorandum of Understanding, Instrument used for a written plan between the Forest Service and other parties for carrying out their separate activities in a coordinated and mutually beneficial manner and for documenting a framework for cooperation.

• FS-1500-NEW10, Participating Agreement, Instrument used when Forest Service and Cooperator share mutual interests and benefit in the same qualitative way from the objective of the agreement.

• FS-1500-NEW11a (long form) and FS-1500-NEW11b (short form), Financial Plan, used by the Forest Service, for the benefit of both parties, to express the financial terms and conditions of the proposed partnership agreement or modification.

• The Forest Service uses form FS-1500-New12, Cooperative Law Enforcement Annual Operating and Financial Plan, for the benefit of both parties, to express the financial terms and conditions of the proposed cooperative law enforcement agreement or modification.

• FS-1500-NEW13, Collection Agreement Financial Plan, Used by the Forest Service, for the benefit of both parties, to express the financial terms and conditions of the proposed collection agreement or modification.

• FS-1500-NEW14, Modification Form, this instrument used when the Forest Service and Cooperator mutually agree to modify terms and conditions of an existing agreement between the two parties

• FS-272 and SF-272a, Federal Cash Transactions Report and Continuation Sheet: Gathers general applicant identifying information and project related financial information. Agency requires this information when applicable.

• FS-270, Request for Advance or Reimbursement: Gathers general applicant identifying information and project related financial information. Agency requires this information when applicable.

• FS-269, Financial Status Report – Short form: Gathers general applicant identifying information and project related financial information. Agency requires this information when applicable.

• FS-269a, Financial Status Report – Long form: Gathers general applicant identifying information and project related financial information. Agency requires this information when applicable.

4. How will the information be collected (e.g., forms, non-forms, electronically, face-to-face, over the phone, over the Internet)? Does the respondent have multiple options for providing the information? If so, what are they?

Typically, the information will be collected via phone calls, e-mails, postal mail, and person-to-person meetings. Usually, the respondents have multiple options for responding, including forms, non-forms, electronically, face-to-face, over the phone, and over the Internet.

5. How frequently will the information be collected?

Cooperators voluntarily enter into these agreements. Any party may initiate conversations to enter into these agreements at any time. The performance period for these agreements can range from 1 day to 5 years. Once an agreement is established, the frequency will typically be once per year based on the number of years for performance; but in the case of financial and performance reporting information collections may be quarterly. Subsequent modifications, which can be initiated by either party, may increase the frequency based on the number of modification entered into.

6. Will the information be shared with any other organizations inside or outside USDA or the government?

The information is not shared with any other organizations inside or outside the USDA or the government except as required under Freedom of Information Act and the Federal Accountability and Transparency Act, or as agreed to jointly by the Cooperator and the Forest Service, in writing.

7. If this is an ongoing collection, how have the collection requirements changed over time?

Collection requirements can change based on external agency requirements, such as external requirements based on Office of Management and Budget and Treasury Department direction. Changes can also occur when both the Forest Service and the Cooperator agree to modify an existing agreement.

3. 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, e.g. permit­ting elec­tronic sub­mission of respons­es, and the basis for the decision for adopting this means of collection. Also, describe any con­sideration of using in­fo­r­m­a­t­ion technolo­gy to re­duce bur­den.

Respondents may reply by:

• Handwritten or manually typed documentation submitted via any mail delivery service, electronic documentation submitted via internet, including emails;

• Electronic submission via fax;

• Voice over any telephonic device, such as a telephone or voice over internet provider, or in persona discussions with the Forest Service; or

• Any other commonly used means of communication available to both parties

The decision to use a specific means of collection is based on availability of technology and informal agreement of both parties, as agreed upon in any signed agreement by both parties and/or as specifically provided by written, procedural rules made publicly available by the Forest Service unit to the respondent.

Use of modern information technology to reduce burden is encouraged by both parties, whenever possible.

4. Describe efforts to identify duplica­tion. Show specifically why any sim­ilar in­for­mation already avail­able cannot be used or modified for use for the purpos­es de­scri­bed in Item 2 above.

The information collected is unique to the Forest Service. While other Federal agencies collect similar information, the Forest Service cannot use it. The information collected supplements information provided to the Forest Service under information collections approved for Grants.gov (4040-0001 through 404-0009).

5. If the collection of information im­pacts small businesses or other small entities, describe any methods used to mini­mize burden.

Private Sector: 99 percent of respondents in this category meet the criteria for small entity.

State, Local, and Tribal Governments: 75 percent of respondents in this category meet the criteria for small entity.

The Forest Service minimizes the burden to all cooperators by materially assisting in the drafting of the agreements, after both informal and formal discussions. Additionally, the Forest Service does not request the same information twice, unless a problem arises related to any previous request. Furthermore, the Forest Service only seeks information required to carry out the basic administrative functions and to establish the scope of the project(s) related to the agreements. Finally, the Forest Service provides a number of customer service products available to assist the Cooperator, such as: a comprehensive website, which provides regulatory and policy information, forms, procedural information, etc.; points of contact with the agency, including the name, address, email, and phone number for the agreements specialist, the program manager, and other relevant project contacts; and, a toll free telephone number to the Agency’s budget and finance center in Albuquerque, NM for finance related issues.

6. 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.

Without the ability to collect the information requested by a respondent, the Forest Service would not be able to conduct any of the activities falling under the authorities and instruments listed above. The Agency would not be able to develop projects, make or receive payment, monitor projects, identify financial and accounting errors, etc. The burden is the minimum required to conduct this program adequately.

7. Explain any special circumstances that would cause an information collecti­on to be con­ducted in a manner:

• Requiring respondents to report informa­tion to the agency more often than quarterly;

Respondents report information to the agency more often than quarterly whenever the respondents have a change in information, do not timely provide information as agreed to by both parties in an agreement, or mutually agree with the Agency to enter into a modification to the original agreement.

• Requiring respondents to prepare a writ­ten response to a collection of infor­ma­tion in fewer than 30 days after receipt of it;

• Requiring respondents to submit more than an original and two copies of any docu­ment;

• Requiring respondents to retain re­cords, other than health, medical, governm­ent contract, grant-in-aid, or tax records for more than three years;

• In connection with a statisti­cal sur­vey, that is not de­signed to produce valid and reli­able results that can be general­ized to the uni­verse of study;

• Requiring the use of a statis­tical data classi­fication that has not been re­vie­wed and approved by OMB;

• That includes a pledge of confidentiality that is not supported by au­thority estab­lished in statute or regu­la­tion, that is not sup­ported by dis­closure and data security policies that are consistent with the pledge, or which unneces­sarily impedes shar­ing of data with other agencies for com­patible confiden­tial use; or

• Requiring respondents to submit propri­etary trade secret, or other confidential information unless the agency can demon­strate that it has instituted procedures to protect the information's confidentiality to the extent permit­ted by law.

There are no other special circumstances. The collection of information is conducted in a manner consistent with the guidelines in 5 CFR 1320.6.

8. If applicable, provide a copy and iden­tify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8 (d), soliciting com­ments on the information collection prior to submission to OMB. Summarize public com­ments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address com­ments received on cost and hour burden.

The Forest Service published a notice in the Federal Register on August 29, 2007 (72 FR 49695, requesting comments on this proposed information collection. The Forest Service received no comments in response to this notice.

Describe efforts to consult with persons out­side the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and record keeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years even if the col­lection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

The Forest Service contacted the following individuals and asked them to comment on this proposed information collection.

• Maureen McDonough, Department of Forestry, Michigan State University, East Lansing, Michigan 48824; 517-432-2293. Summarized responses from a telephone conversation on January 25, 2008:

• Availability of Data: Requested information is easy to get for the Department of Forestry, resulting in no hardship to their organization.

• Frequency of Collection: One time, on average, per year

• Clarity of Instructions and Record Keeping Responsibilities: Their organization is clear on the instruction and record keeping responsibilities.

• Disclosure: Based on current and forecasted requirements, they do not have any disclosure concerns.

• Data Elements to be Recorded, Disclosed, or Reported: Data elements to be recorded, disclosed, or reported do not pose a current or forecasted problem for the organization.

• Jeannette Dubendorf, Contracts and Grants Administration, Michigan State University, 301 Administration Building, East Lansing, Michigan 48824, 517-355-5040, ext. 247. Summarized responses from a telephone conversation, January 25, 2008:

• Availability of Data: the availability of the data is not a problem since their grants management system can track Forest Service awards and produce any needed data quickly.

• Frequency of Collection: On average, 1 to 2 times a year.

• Clarity of Instructions and Record Keeping Responsibilities: Their organization is clear on the instruction and record keeping responsibilities. When problems are encountered, they contact the Forest Service Grants Specialist.

• Disclosure: Based on current and forecasted requirements, they do not have any disclosure concerns.

• Data Elements to be Recorded, Disclosed, or Reported: Data elements to be recorded, disclosed, or reported do not pose a current or forecasted problem for the organization.

• Sheree Bombard, Director of Administration, National Forest Foundation, Building 27, Suite 3, Fort Missoula Road, Missoula, Montana 59804, 406-542-2805. Summarized responses from a telephone conversation, March 5, 2008:

• Availability of Data: Generally speaking, the availability of data does not pose a significant burden on the National Forest foundation.

• Frequency of Collection: Typically, there are no additional collections of information for FAA, outside of data collected on OMB approved forms, e.g. SF-269. However, for Non-Federal Financial Assistance instruments, there is an average of 2 information requests per year.

• Clarity of Instructions and Record Keeping Responsibilities: Instructions are clearly understood by the National Forest Foundation.

• Disclosure: Based on current and forecasted requirements, they do not have any disclosure concerns.

• Data Elements to be Recorded, Disclosed, or Reported: Data elements to be recorded, disclosed, or reported do not pose a current or forecasted problem for the organization.

• Cassandra Moseley, Institute for a Sustainable Environment, University of Oregon, 5427 University of Oregon, Eugene, 97403, 541-346-4545. Summarized responses from a telephone conversation on January 25, 2008:

• Availability of Data: This does not pose a problem for the organization.

• Frequency of Collection: Rare, usual contact is limited to pre-award negotiations

• Clarity of Instructions and Record Keeping Responsibilities: Generally clear, since the organization already knows what is expected under Joint Venture Agreements, based on previous work performed with the Forest Service.

• Disclosure: This does not pose a problem for the organization.

• Data Elements to be Recorded, Disclosed, or Reported: Data elements to be recorded, disclosed, or reported do not pose a current or forecasted problem for the organization.

9. Explain any decision to provide any payment or gift to respondents, other than re-enumeration of contractors or grantees.

No payments or gifts provided to respondents, other than re-enumeration of contractors or grantees.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

In instruments used for Forest Inventory and Assessment, a confidentiality provision is included in the agreements, as permitted under the Food Security Act of 1985 (7 U.S.C. 3318, and 3319, Pub. L. 99-198).

In Cooperative Research and Development agreements, a confidentiality provision exists, as permitted by the Federal Technology Transfer Act of 1986 (15 U.S.C. 3710a, Pub. L 96-480).

All requests for information are from third parties are processed according to the Freedom of Information Act (5 U.S.C. § 552, as amended by Public Law No. 104-231, 110 Stat. 3048).

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior or attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

No questions of a sensitive nature are included in this information collection.

12. Provide estimates of the hour burden of the collection of information. Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated.

The following forms are not included in the estimates of burden hours calculated for this information collection request, as OMB has approved the associated burden hours under the OMB case numbers listed.

• 9000-0045: FAR – Payment Bonds (form SF-25a)

• 4040-0001: SF-424 Research and Development

• 4040-0002: SF-424 Mandatory

• 4040-0004: SF-424 Discretionary

• 4040-0006: SF-424a Budget Information – Non-Construction

• 4040-0007: SF-424b Assurances – Non-Construction Programs

In addition, the burden hours for the following certifications were not included as part of this package:

• AD-1047, Certification Regarding Debarment, Suspension

• AD-1048, Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions

• AD-1049, Certificate Regarding Drug Free Workplace Requirements Alternative 1

• AD-1050, Certificate Regarding Drug Free Workplace Requirements Alternative 2

• AD-1052, Certificate Regarding Drug Free Workplace Requirements-State and State Agencies

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. If this request for approval covers more than one form, provide separate hour burden estimates for each form.

1. Description of the collection activity:

b) Corresponding form number (if applicable):

c) Number of respondents:

d) Number of responses annually per respondent:

e) Total annual responses (columns c x d):

f) Estimated hours per response:

g) Total annual burden hours (columns e x f):

Calculations

• Eighty-five percent of respondents (3,048) are from the private sector and 15 percent of respondents (538) are government entities.

  • 3,048 + 538 = 3,586 total respondents

• Each respondent averages 4.39796419 responses per year:

  • 15,771 total responses ÷ 3,586 total respondents = 4.39796419

• The estimated burden hours per response:

  • 28,505 total burden hours ÷ 15,771 total responses = 1.80743 burden hours per response

Table 2a: Listing of Forms and Burden Hours

(a) Description of the Collection Activity	(b) Form Number	(c) Number of Respondents	(d) Number of responses annually per Respondent	(e) Total annual responses	(f) Estimate of Burden Hours per response	(g) Total Annual Burden Hours
Cooperative Fire Protection Agreement	FS-1500-NEW1	44	1	44	4.00	176.00
Cooperative Law Enforcement Agreement	FS-1500-NEW2	263	1	263	3.00	789.00
Cooperative Forest Road Agreement	FS-1500-NEW3	61	1	61	4.00	244.00
Challenge Cost-Share Agreement	FS-1500-NEW4	417	1	417	3.00	1,251.00
Collection Agreement	FS-1500-NEW5	942	1	942	3.00	2,826.00
Cost-Reimbursable Agreement	FS-1500-NEW6	115	1	115	3.00	345.00
Cooperative Research and Development Agreement	FS-1500-NEW7	6	1	6	3.00	18.00
Joint Venture Agreement	FS-1500-NEW8	279	1	279	3.00	837.00
Memorandum of Understanding	FS-1500-NEW9	48	1	48	4.00	192.00
Participating Agreement	FS-1500-NEW10	622	1	622	3.00	1,866.00
Financial Plan (Used in conjunction with FS-1500-NEW4; FS-1500-NEW6; FS-1500-NEW7; FS-1500-NEW8; and FS-1500-NEW10)	FS-1500-NEW11A or FS-1500-11B	1439*	1	1439	1.00	1,439.00
Cooperative Law Enforcement Annual Operating & Financial Plan (Used in conjunction with FS-1500-NEW2)	FS-1500-NEW12	263*	1	263	1.00	263.00
Collection Agreement Financial Plan (Used in conjunction with FS-1500-NEW5)	FS-1500-NEW13	942*	1	942	1.00	942.00
Modification Form	FS-1500-NEW14	789	1	789	1.00	789.00
Financial Status Report (Long Form)	SF-269	5*	4	20	0.50	10.00
Financial Status Report	SF-269a	1,162*	4	4,648	1.50	6,972.00
Request for Advance or Reimbursement	SF-270	50*	4	200	1.00	200.00
Federal Cash Transaction Report	SF-272	1,167*	4	4,668	2.00	9,336.00
Federal Cash Transaction Report (Continuation)	SF-272a	5*	1	5	2.00	10.00
Totals		3,586	---	15,771	---	28,505

Table 2b: Estimated Burden Hours for Reporting

(a)	(b)	(c)		(d)	(e)		(f)	(g)
Description of Collection Activity	Form Number	Number of Respondents		Number of responses annually per Respondent	Total annual responses		Estimate of Burden Hours per response	Total Annual Burden Hours
		Private Sector	Govt.		Private Sector	Govt.
See table 2	See table 2	3,048	538	4.39796419	13,405	2,366	1.80743	24,229(PS) + 4,276(G) = 28,504.969  28,505
Total Burden Hours		3,048	538	---	13,405	2,366	---	28,505

*Not included in calculations of total number of respondents:

• Forms FS-1500-NEW11A and FS-1500-NEW11B share the same respondent pool as FS-1500-NEW4, FS-1500-NEW6, FS-1500-NEW7, FS-1500-NEW8, and FS-1500-NEW10. Therefore, forms FS-1500-NEW11A and FS-1500-NEW11b are not included in calculations to determine number of total respondents.

• Form FS-1500-NEW12 shares the same respondent pool as FS-1500-NEW2. Therefore, form FS-1500-NEW12 is not included in calculations to determine number of total respondents.

• Form FS-1500-NEW13 shares the same respondent pool as FS-1500-NEW5. Therefore, form FS-1500-NEW13 is not included in calculations to determine number of total respondents.

• Forms SF-269, SF-269a, SF-270, SF-272, and SF-272a share the same respondent pool as all other listed forms, therefore they are not included in calculations to determine number of total respondents.

• Record keeping burden should be addressed separately and should include columns for:

a) Description of record keeping activity: see table 3

b) Number of record keepers: see table 3

c) Annual hours per record keeper: see table 3

d) Total annual record keeping hours (columns b x c): see table 3

Table 3: Estimated Burden Hours for Record Keeping Activity

Description of record keeping activity	Number of Record keepers	Number of Responses per record keeper	Total Number of Responses	Annual hours per record keeper	Total annual record keeping hours
Private Sector: Creating/developing, maintaining/processing, reviewing, and closing-out physical/electronic file(s), including all related administrative actions associated with the project(s).	3,048	1	3,048	2.53	7,711
Government: Creating/developing, maintaining/processing, reviewing, and closing-out physical/electronic file(s), including all related administrative actions associated with the project(s)	538	1	538	2.53	1,361
Totals:	3,586	---	3,576	--	9,072.6

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories.

Table 4: Estimated Annualized Cost to Respondents

Description of activity	Estimated Total Responses	Estimated Total Annual Burden on Respondents (Hours)	Estimated Average Income per Hour*	Estimated Cost to Respondents
Private Sector: Creating/developing, maintaining/processing, reviewing, and closing-out physical/electronic file(s), including all related administrative actions associated with the project(s). Reporting Record Keeping Total Private Sector:	13,405 3,048 16,453	24,229 7,711 31,940	$29.88*	$954,367.20
Government: Creating/developing, maintaining/processing, reviewing, and closing-out physical/electronic file(s), including all related administrative actions associated with the project(s) Reporting Record Keeping Total Government:	2,366 538 2,904	4,276 1,361 5,637	$24.66*	$ 139,008.42
Totals:	19,357	37,577	---	$1,093,375.62

* Department of Labor, Occupational Employment and Wages, May 2007 (Business Operations Specialist, mean hourly wage private sector $29.88; state government $24.66), June 1, 2007 http://www.bls.gov/oes/current/oes131199.htm

13. Provide estimates of the total annual cost burden to respondents or record keepers resulting from the collection of information, (do not include the cost of any hour burden shown in items 12 and 14). The cost estimates should be split into two components: (a) a total capital and start-up cost component annualized over its expected useful life; and (b) a total operation and maintenance and purchase of services component.

There are no capital operation and maintenance costs.

14. Provide estimates of annualized cost to the Federal government. Provide a description of the method used to estimate cost and any other expense that would not have been incurred without this collection of information.

The response to this question covers the actual costs the agency will incur as a result of implementing the information collection. The estimate should cover the entire life cycle of the collection and include costs, if applicable, for:

• Employee labor and materials for developing, printing, storing forms: See table

• Employee labor and materials for developing computer systems, screens, or reports to support the collection: N/A

• Employee travel costs: N/A

• Cost of contractor services or other reimbursements to individuals or organizations assisting in the collection of information: N/A

• Employee labor and materials for collecting the information: See table 5

• Employee labor and materials for analyzing, evaluating, summarizing, and/or reporting on the collected information: See table 6

Table 5 – Estimated Annual Cost to the Government

Action Item	Personnel	Number of Employees	GS Level	Hourly Rate1	Total Hours	Cost to Govt.
Employee labor for developing, printing, storing forms	Grants and Agreements Coordinators	50	GS-11/Step 5	$34	1502	$ 5,100
Employee labor for collecting information	Program Managers and Grants & Agreements Specialists	5,378	GS-11/Step 5	$34	8,0673	274,278
Employee labor for analyzing, evaluating, summarizing, and/or reporting on the collected information	Program Managers and Grants & Agreements Specialists	5,378	GS-11/Step 5	$34	13,4454	457,130
Total Cost to Government						$736,508

¹ Taken from: http://www.opm.gov/oca/08tables/index.asp, Cost to Government calculated at hourly wage multiplied by 1.3: $26.15 (GS 11/step 5) x 1.3 = $34

² 3 hrs per employee x 50 employees = 150 hours

³ 1.5 hours per employee x 5,378 employees = 8,067 hours

⁴ 2.5 hours per employee x 5,378 employees = 13,445 hours

15. Explain the reasons for any program changes or adjustments reported in items 13 or 14 of OMB form 83-I.

This is a new information collection. The estimated annual burden hours for this information collection are 37,577. This information collection supplements information provided to the Agency via information collections 4040-0001 through 404-0009 (Grants.gov).

16. For collections of information whose results are planned to be published, outline plans for tabulation and publication.

The Forest Service does not plan to publish results of this information collection.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

The Forest Service will display the expiration date for OMB approval of the information on all Agency forms.

The Forest Service requests permission to omit Agency’s OMB approval number and expiration date for this collection from the Standard Forms for which burden is calculated, i.e. SF-269, SF-269a, SF-270, SF-272, and SF-272a. Approval for these forms is under OMB Notices of Action to other federal agencies, and the Forest Service is only seeking approval for the burden hours associated with the Forest Service’s use of these forms.

18. Explain each exception to the certification statement identified in item 19, "Certification Requirement for Paperwork Reduction Act."

There are no exceptions to the certification statement identified in item 19 of form 83-I, “
Certification Requirement for Paperwork Reduction Act.”

B. Collections of Information Employing Statistical Methods

The Forest Service does not employ statistical methods regarding the information collected.

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