General Administrative Requirements for Assistance Programs (Renewal)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SF-LLL Disclosure of Lobbying Activities	Form and Instruction	Modified	Available
Form SF-424D Assurances - Construction Programs	Form and Instruction	Modified	Available
Form SF-424C Budget Information - Construction Programs	Form and Instruction	Modified	Available
Form SF-424A Budget Information - Non-Construction Programs	Form and Instruction	Modified	Available
Form SF-424 Application for Federal Assistance	Form and Instruction	Modified	Available
Form SF-272 Federal Cash Transactions Report	Form and Instruction	Modified	Available
Form SF-272a Federal Cash Transactions Report Continuation	Form and Instruction	Modified	Available
Form SF-271 Outlay Report and Request for Reimbursement for Construction Programs	Form and Instruction	Modified	Available
Form SF-269a Financial Status Report - Short	Form and Instruction	Modified	Available
Form SF-269 Financial Status Report - Long	Form and Instruction	Modified	Available
Form SF-270 Request for Advance or Reimbursement	Form and Instruction	Modified	Available
Form NCER 5 Current and Pending Support	Form and Instruction	Modified	Available
Form 6600-08 Lobbying Cost Certificate for Indirect Costs	Form and Instruction	Modified	Available
Form 6600-06 Certification Regarding Lobbying	Form and Instruction	Modified	Available
Form 6600-01 EPA Administrative and Financial Onsite Review Questionnaire	Form and Instruction	Modified	Available
Form 5770-9 EPA Fellowship Termination Notice	Form and Instruction	Modified	Available
Form 5770-8 Fellowship Agreement	Form and Instruction	Modified	Available
Form 5770-7 EPA Fellowship Activation Notice	Form and Instruction	Modified	Available
Form 5770-5 Agency Fellowship Certification	Form and Instruction	Modified	Available
Form 5770-4 Fellowship Applicant Qualifications Inquiry	Form and Instruction	Modified	Available
Form 5770-3 Fellowship Facilities and Commitment Statement	Form and Instruction	Modified	Available
Form 5770-2 Fellowship Application	Form and Instruction	Modified	Available
Form 5700-55 Key Contacts Form for Multiple Principal Investigators	Form and Instruction	Modified	Available
Form 5700-54 Key Contacts Form	Form and Instruction	Modified	Available
Form 4700-4 Preaward Compliance Review Report	Form and Instruction	Modified	Available
Form 6600-09 EPA Administrative Capability Questionnaire	Form and Instruction	Modified	Available
Form SF-424B Assurances - Non-Construction Programs	Form and Instruction	Modified	Available
Form SF-LLL Disclosure of Lobbying Activities	Form and Instruction	New	Available
Form SF-424D Assurances - Construction Programs	Form and Instruction	New	Available
Form SF-424C Budget Information - Construction Programs	Form and Instruction	New	Available
Form SF-424B Assurances - Non-Construction Programs	Form and Instruction	New	Available
Form SF-424A Budget Information - Non-Construction Programs	Form and Instruction	New	Available
Form SF-424 Application for Federal Assistance	Form and Instruction	New	Available
Form SF-272 Federal Cash Transactions Report	Form and Instruction	New	Available
Form SF-272a Federal Cash Transactions Report Continuation	Form and Instruction	New	Available
Form SF-271 Outlay Report and Request for Reimbursement for Construction Programs	Form and Instruction	New	Available
Form SF-269a Financial Status Report - Short	Form and Instruction	New	Available
Form SF-269 Financial Status Report - Long	Form and Instruction	New	Available
Form SF-270 Request for Advance or Reimbursement	Form and Instruction	New	Available
Form NCER 5 Current and Pending Support	Form and Instruction	New	Available
Form 6600-08 Lobbying Cost Certificate for Indirect Costs	Form and Instruction	New	Available
Form 6600-06 Certification Regarding Lobbying	Form and Instruction	New	Available
Form 6600-01 EPA Administrative and Financial Onsite Review Questionnaire	Form and Instruction	New	Available
Form 5770-9 EPA Fellowship Termination Notice	Form and Instruction	New	Available
Form 5770-8 Fellowship Agreement	Form and Instruction	New	Available
Form 5770-7 EPA Fellowship Activation Notice	Form and Instruction	New	Available
Form 5770-5 Agency Fellowship Certification	Form and Instruction	New	Available
Form 5770-4 Fellowship Applicant Qualifications Inquiry	Form and Instruction	New	Available
Form 5770-3 Fellowship Facilities and Commitment Statement	Form and Instruction	New	Available
Form 5770-2 Fellowship Application	Form and Instruction	New	Available
Form 5700-55 Key Contacts Form for Multiple Principal Investigators	Form and Instruction	New	Available
Form 5700-54 Key Contacts Form	Form and Instruction	New	Available
Form 4700-4 Preaward Compliance Review Report	Form and Instruction	New	Available
Form 6600-09 EPA Administrative Capability Questionnaire	Form and Instruction	New	Available
0938ss16_4-28-09.doc	Supporting Statement A	Uploaded 2009-04-28	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Disclosure of Lobbying Activities
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Assurances - Construction Programs
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Budget Information - Construction Programs
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Budget Information - Non-Construction Programs
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Application for Federal Assistance
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Federal Cash Transactions Report
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Federal Cash Transactions Report Continuation
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Outlay Report and Request for Reimbursement for Construction Programs
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Financial Status Report - Short
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Financial Status Report - Long
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Request for Advance or Reimbursement
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Current and Pending Support
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Lobbying Cost Certificate for Indirect Costs
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Certification Regarding Lobbying
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	EPA Administrative and Financial Onsite Review Questionnaire
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	EPA Fellowship Termination Notice
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Fellowship Agreement
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	EPA Fellowship Activation Notice
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Agency Fellowship Certification
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Fellowship Applicant Qualifications Inquiry
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Fellowship Facilities and Commitment Statement
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Fellowship Application
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Key Contacts Form for Multiple Principal Investigators
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Key Contacts Form
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Preaward Compliance Review Report
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	EPA Administrative Capability Questionnaire
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Assurances - Non-Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Disclosure of Lobbying Activities
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Assurances - Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Budget Information - Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Assurances - Non-Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Budget Information - Non-Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Application for Federal Assistance
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Federal Cash Transactions Report
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Federal Cash Transactions Report Continuation
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Outlay Report and Request for Reimbursement for Construction Programs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Financial Status Report - Short
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Financial Status Report - Long
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Request for Advance or Reimbursement
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Current and Pending Support
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Lobbying Cost Certificate for Indirect Costs
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Certification Regarding Lobbying
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	EPA Administrative and Financial Onsite Review Questionnaire
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	EPA Fellowship Termination Notice
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Fellowship Agreement
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	EPA Fellowship Activation Notice
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Agency Fellowship Certification
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Fellowship Applicant Qualifications Inquiry
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Fellowship Facilities and Commitment Statement
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Fellowship Application
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Key Contacts Form for Multiple Principal Investigators
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Key Contacts Form
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	Preaward Compliance Review Report
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	New	EPA Administrative Capability Questionnaire

ICR Details

OMB Control No: 2030-0020	ICR Reference No: 200903-2030-002
Status: Historical Active	Previous ICR Reference No: 200803-2030-003
Agency/Subagency: EPA/OMS	Agency Tracking No: 0938.16
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: 04/28/2009
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/24/2009
Terms of Clearance: The collection of information is approved for 3 years. OMB recognizes EPAs review of the forms covered by this request and encourages EPA to be as rigorous in the review of each form prior to resubmission of this ICR in future years.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2012	36 Months From Approved	04/30/2009
Responses	49,378	0	6,105
Time Burden (Hours)	114,531	0	108,614
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:
	73 FR 65307	11/03/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 12356	03/24/2009
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
General Administrative Requirements for Assistance Programs: Non-Profits	6600-09, 5770-4, 4700-4, 5700-54, 5700-55, 5770-2, 5770-3, 5770-5, 5770-7, 5770-8, 5770-9, 6600-01, 6600-06, 6600-08, NCER 5, SF-270, SF-269, SF-269a, SF-272, SF-272a, SF-424, SF-424A, SF-424B, SF-424C, SF-424D, SF-LLL, SF-271	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
General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	6600-09, 4700-4, 5700-54, 5700-55, 5770-2, 5770-3, 5770-4, 5770-5, 5770-7, 5770-8, 5770-9, 6600-01, 6600-06, 6600-08, NCER 5, SF-270, 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

table that charts list 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	49,378	6,105	0	2,516	40,757	0
Annual Time Burden (Hours)	114,531	108,614	0	-346	6,263	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

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

Burden Reduction Due to: Changing Forms

Short Statement: The overall respondent burden has increased from the previous ICR by 5,917 hours (i.e., from 108,614 hours to 114,531 hours). This change has occurred for several reasons. EPA carefully reviewed the set of grant and fellowship forms covered in this ICR. Based on this review, and in accordance with the OMB terms of clearance, the Agency eliminated NCER Form 3212, "Itemized Budget for EPA STAR Grant Applications." In addition, EPA added the form, "Certification Regarding Lobbying." This form is necessary for EPA to confirm that no funds have been used for lobbying activities and, if applicable, to direct the recipient to complete Standard Form-LLL, "Disclosure Form to Report Lobbying." These program changes resulted collectively in a decrease of 346 hours. In addition, EPA reviewed the burden assumptions (e.g., estimated number of respondents) in the ICR to ensure that they reflect the Agency's current experiences under its grant programs. Based on this review, EPA made an adjustment in the burden hours for completion of EPA Form, "EPA Administrative and Financial Onsite Review Questionnaire." EPA estimates that 200 recipients will spend 30 hours to complete the form annually. In addition, EPA increased the number of respondents who will complete EPA Form, "Lobbying Cost Certificate for Indirect Costs." EPA increased the number of respondents from 1,450 to 2,500. These adjustments resulted in an increase of 6,263 hours. The net effect of these program changes and adjustments is an increase of 5,917 hours from the previous ICR.

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Annual Cost to Federal Government: $3,496,578

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

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: 03/24/2009

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