SF424-0005-SS-Common

Supporting Statement

Data Collection Form for Application for Federal Assistance

SF- 424 Individual

We are renewing an approved Information Collection (assigned OMB No. 4040-0005), the SF-424 Individual Form (Individual). We are requesting a three-year clearance of this form and requesting it be classified as a common form. This form is utilized by Federal grant making agencies and is used to create grant application packages for individual applicants. The collection expires on October 31, 2012.

A. Justification

1. Need and Legal Basis

On an annual basis, the Federal government commits nearly twenty percent of the Federal budget, or approximately $400 billion, to State and Local governments, Tribal organizations, education and research institutions, non-profit organizations, public housing authorities, commercial organizations and individuals through the award of Federal grants.  There are 26 Federal grant-making agencies and other Federal grant-making organizations with over 900 grant programs.  More than half of these Federal agencies and grant-making organizations have Discretionary grant programs authorized by legislation covering a broad range of diverse subject matter.  To obtain Federal grants funds, applicant organizations must apply to the Federal agency or organization responsible for administering the grant program.

The Federal Grant and Cooperative Agreement Act of 1977 (31 USC 6301-6308) gives agencies the authority to select the appropriate award instrument within the limits of their program legislation to support or stimulate recipient activity. Public Law (PL) 106-107, the Federal Financial Assistance Management Improvement Act of 1999, was enacted to improve the effectiveness and performance of Federal financial assistance programs, simplify Federal financial assistance application and reporting requirements, and improve the delivery of services to the public.  The issuance of the President’s Management Agenda in 2002 called for “agencies to allow applicants for Federal grants to apply for, and ultimately manage, grant funds online through a common web site, simplifying grants management and eliminating redundancies...” 

The proposed information collection, the Individual form assists agencies that award grant programs to individuals to implement the Office of Management and Budget (OMB) direction to use the Grants.gov Apply mechanism (http://www.whitehouse.gov/omb/memoranda/fy04/m04-05.html).  In its memorandum to agencies, OMB established Grants.gov as the Federal government’s single, online portal for any person, business, or State, Local and Tribal government to find and apply for Federal grants, regardless of type.

2. Information Users

The Individual form consolidated grant application forms used by Federal grant-making agencies that award grants to individuals. The Individual form is the common Federal (standard) form for grant applications for individuals. It replaced numerous agency-specific forms.  Use of this form reduced the administrative burden to the Federal grants community, which includes applicants/grantees and Federal staff involved in grants-related activities. The Individual form is formatted in a consistent manner using common definitions.  Agencies can use data collected by the Individual form to populate their systems and databases.  Federal agencies will not be required to collect all of the information included on the proposed form.  The agency will identify the sections that must be completed by applicants through instructions that will accompany the forms. Agencies will implement processes for reviewing the applications and awarding grant funds.  These processes are reflected in agencies’ policies and procedures documents.   Agencies maintain and store application forms and data in accordance with their policies and practices.

3. Improved Information Technology

The Grants.gov Apply mechanism (http://www.grants.gov/Apply), deployed in October 2003, allows applicants to electronically apply for Federal grants. In its January 7, 2004 memorandum, OMB directed grant-making agencies to use the Grants.gov Apply mechanism (http://www.whitehouse.gov/omb/memoranda/fy04/m04-05.html).  Information on the Individual form is entered into fillable forms and submitted electronically through the Grants.gov Apply portal.  Applicants can complete application documents that they download from Grants.gov and submit them based on agency policies and instructions.  Agency policies and instructions include detailed submission guidance such as due dates, eligibility, information requirements, supporting documentation, etc.  Upon receipt of the application, Grants.gov sends an electronic acknowledgement to the applicant that the submission was received with the date and time of receipt.  In addition, Grants.gov delivers the application to the agency.

4. Duplication of Similar Information

Development of the Individual form and data set reduced duplication of similar or identical forms and data sets across Federal agencies. This information collection also implemented streamlining and simplification provisions of PL 106-107 and provides support for the President’s Management Agenda to allow applicants for Federal grants to apply for grant funds online.  A cross-agency work group developed the Individual form and data set that serves as a common application cover page for individual grant programs. 

5. Small Businesses

Applicants use the Individual form and data set to apply for grants to any of the Federal grant-making agencies that award grants to individuals, rather than using each agency’s grant application cover page.  The applicant’s burden is lessened through a reduction in labor costs associated with preparing Federal grant applications and electronic submission of applications will eliminate postage and copying costs.

6. Less Frequent Collection

The Individual form replaced comparable information collected in various application forms and data sets by agencies’ grant programs.  It is intended that the agencies continue to look for additional opportunities for data standardization in these programs.  A significant PL 106-107 grants streamlining and simplification opportunity was achieved by allowing applicants for Federal grants to apply for grants electronically online with the Individual form. 

7. Special Circumstances

The proposed collection of information is conducted in a manner that complies with relevant legislation authorizing Federal grants programs and OMB policies related to the administration of Federal grants (OMB Circulars A-102;

2 CFR, Part 215 (formerly A-110); 2 CFR 220 (formerly A-21); 2 CFR Part 230 (formerly A-122); 2 CFR Part 225 (formerly A-87); and guidelines of

5 CFR 1320.5(d)(2). 

8. Federal Register Notice/Outside Consultation

On July 5, 2012, the Grants.gov Program Management Office, one of the 26

E-Government initiatives, managed by HHS, published the proposed

SF-424 Individual collection for public comment in the Federal Register (Volume 77, Number 129, page 39707).

The current collection expires October 31, 2012. No comments were received in response to the 60-day Federal Register Notice.

On October 9, 2012, the Grants.gov Program Management Office published the 30-day Federal Register Notice (Volume 77, number 195, page 61405).

9. Payment/Gift to Respondents

Not applicable since there is no payment to respondents, other than remuneration of grantees.

10. Confidentiality

The grant-making agencies will maintain the authoritative copy of all application materials and data.  Confidentiality of information will be consistent with OMB policies related to the administration of Federal grants as well as agency policies and practices for access to electronic and paper records.  If application forms are submitted through the Grants.gov Apply mechanism, Grants.gov will maintain only transmission records pertaining to the files.  Grants.gov will not maintain application materials and data. 

11. Sensitive Questions

Not applicable since there are no sensitive questions.

12. Burden Estimate

Section A. Estimated Annualized Burden Hours to Respondents

The structure of the SF-424 Individual Form is managed by HHS, along with all other forms in the SF-424 family. By migrating the Individual form to a common form, however, HHS is only expected to estimate the burden for its own use of the form. The estimated time to complete the SF-424 Individual Form is 1 hour per respondent. HHS actually has 0 respondents for the Individual form but is requesting approval for 1 respondent to facilitate processing. The total estimated burden for HHS’ use of the common form is thus 1 hour.

Once OMB approves the use of this common form, federal agencies may

request OMB approval to use this common form without having to publish

notices and request public comments for 60 and 30 days. Each agency

must account for the burden associated with their use of the common

form.

 

SF-424 Individual Form Estimated Annualized

Burden to Respondents

Agency	Number of Respondents	Number of Responses per Respondent	Total Responses	Average Burden per Response in Hours	Total Burden Hours
HHS	1	1	1	1	1
TOTAL	1		1		1

*Average Burden per Response is 1 hour..

Section B. Burden Cost

SF-424 Individual Form Estimated Annualized

Cost to Respondents

Agency	Type of Respondent	Total Burden Hours	Hourly Wage Rate	Total Respondent Costs
HHS	Grant Writer	1	$30	$30
TOTAL		0		$30

The Estimate Annualized Cost to Respondents assumes that the Hourly Wage Rate for a grant writer is $30. The total burden hours times the hourly wage rate produces the total respondents cost. This cost is $30 for HHS because HHS estimates only one respondent to the Individual form.

13. Capital Costs

There is no projected incremental increase in the cost burden to respondents and record keepers associated with the use of the Individual form. 

14. Cost to the Federal Government

The primary sources of costs to the Federal government are related to staff hours associated with reviewing grant applications and the costs of receiving and maintaining records and systems.  Each agency currently has existing personnel, systems and processes in place to receive and review their agency-specific grant applications.  Any additional cost for agency system development, maintenance and enhancements should not be attributed to use of the Individual form; therefore, its use is not expected to alter annualized Federal costs. 

Agency personnel time to review the form is averaged at 30 minutes per form. Based on 1 responses per year, HHS estimates 0.5 hours estimated personnel time.

Grants administrative personnel generally are in the GS-9 through GS-15 range. Based on a step five average of these grades, an average hourly salary is $39 per hour. Therefore 0.5 hours X $39 = $19.5 of estimated annual cost to the federal government to review the form.

15. Program or Burden Changes

The changes to the burden estimate for this Information Collection are solely attributable to the fact the form is now being treated as a common form. The burden estimate in this Information Collection Request thus reflects only the burden associated with HHS’ use of the form rather than aggregrating the form’s usage across all Federal Agencies.

16. Publication and Tabulation Dates

Not applicable since there are no publication plans.

17. Expiration Date

Three years from OMB approval.

18. Certification Statement

Not applicable since there are no exceptions to the certification.

B. Collections of Information Employing Statistical Methods

No statistical methods are employed in this information collection.