3090-0289 Supporting Statement

Supporting Statement for Paperwork Reduction Act Submission

OMB Control Number 3090-0289,

Tangible Personal Property Report, SF- 428, 428a, 428b, and 428c

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 creation of the Tangible Personal Property Report simplifies a required collection process and thereby meets the mandates of 2 CFR Part 215, as well as Public Law 106-107.

Reporting on the status of Federally owned property, including disposition, is necessitated in 2 CFR Part 215, the “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations”, and the “Uniform Administrative Requirements for Grants and Agreements with State and Local Governments”, Additionally, Public Law 106-107, the Federal Financial Assistance Management Improvement Act requires that agencies ”simplify Federal financial assistance application and reporting requirements." 31 USC 6101, Section 3.

Agencies are currently using a variety of forms to account for both Federally owned and grantee owned equipment and property. During the public consultation process mandated by Public Law 106-107, grant recipients requested a standard form to help them submit appropriate property information when required. The Public Law 106-107 Post Awards Subgroup developed a new standard form, the Tangible Personal Property Report, for submission of the required data. The form consists of the cover sheet (SF-428), three attachments to be used as required: Annual Report, SF-428-A; Final Report, SF-428-B; Disposition Request/Report, SF-428-C and a Supplemental Sheet, SF-428S to provide detailed individual item information when required.

The circumstances when recipients may be required to provide tangible personal property information are outlined in the attached Table that was included in the November 13, 2008 Federal Register Notice. Also attached is a copy of the relevant 2 CFR Part 215 administrative requirements cited in the Table and a copy of the Department of Commerce codification of A-102 administrative requirements cited in the Table.

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.

The information collected is used by the awarding agencies to determine appropriate disposition for federally owned property and equipment and supplies acquired with grant funds when the federal government has retained an interest in the property. For example, upon completion of an award, a recipient must report federally owned property to the awarding agency for further agency reutilization.

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.

The Tangible Personal Property Report (SF-428) does not require the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology. During the public consultation process mandated by Public Law 106-107, grant recipients requested the development of a standard form to help them submit appropriate property information to awarding agencies when required. The Post Award Subgroup determined that a common electronic reporting system was not currently available and developed a paper form. However, the standard data elements included in the paper format are intended to be used in the future for the electronic submission and collection of tangible personal property information.

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.

Information collected by the Tangible Personal Property Report (SF-428) resides in the property management system of the award recipient. The awarding agency does not have access to this information.

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

During the public consultation process mandated by the Federal Financial Assistance Management Improvement Act of 1999, Public Law 106-107, recipients suggested the need for a standard form to help them submit appropriate property information when required. The Tangible Personal Property Report (SF-428) was developed as a Grant Streamlining Initiative under PL 106-107 to assist recipients when they are required to provide property information.

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.

The Tangible Personal Property Report (SF-428) does not create any new reporting requirements. The collection of property information and the frequency of collection is governed by the requirements in 2 CFR part 215, the Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations”, and the Uniform Administrative Requirements for Grants and Agreements with State and Local Governments”, codified by Federal agencies at 53 FR 8048 (March 11, 1988). Without receiving required property information from the recipient, the awarding agency would be unable to reutilize property no longer needed by the recipient.

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;

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

• Submit more than an original and 2 copies of any document;

• Retain records, other than health, medical, government contracts, grant-in-aid, or tax records, for more than 3 years;

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

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

• Include 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

• Submit proprietary trade secrets, 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.

The Tangible Personal Property Report (SF-428) is a standard form designed to assist recipients when they are required to provide a Federal agency with information related to federally owned property, or equipment and supplies (tangible personal property) acquired with federal assistance award funds. Under 2 CFR part 215, the Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations”, and the Uniform Administrative Requirements for Grants and Agreements with State and Local Governments”, codified by Federal agencies at 53 FR 8048 (March 11, 1988) recipients are required to report property no longer needed for an authorized purpose. This information is provided on an as needed basis which could, in rare cases, be more often than quarterly.

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.

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 recordkeeping, 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.

A notice was published in the Federal Register at 78 FR 20644, on April 5, 2013. No comments were received.

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

N/A.

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

N/A

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. 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.

N/A

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included in Item 13.

The Tangible Personal Property Report (SF-428) was posted to the OMB MAX website. Thirteen agencies posted annual burden hour estimates. The estimated total annual burden hours are 33,346.5. A listing with the number of respondents, the number of responses per respondent and average burden hours per response by agency is included in the notice of request for comments regarding a new OMB clearance.

ANNUAL BURDEN ESTIMATES

Instrument	Agency	Number of respon-dents	Number of re-sponses per respon-dent	Average burden hours per response	Total burden hours
Tangible Personal Property Report (TPPR) and Attachments	DOE	750	1.5	2.75	3094
Tangible Personal Property Report (TPPR) and Attachments	EPA	300	1	2	600
Tangible Personal Property Report (TPPR) and Attachments	DOD	300	1	2.75	825
Tangible Personal Property Report (TPPR) and Attachments	SSA	125	1	2	250
Tangible Personal Property Report (TPPR) and Attachments	IMLS	1000	1.5	2	3000
Tangible Personal Property Report (TPPR) and Attachments	DOC	130	1	2	260
Tangible Personal Property Report (TPPR) and Attachments	DHS	972	1.5	2.75	4009.5
Tangible Personal Property Report (TPPR) and Attachments	HHS OPDIVs	7681	1	2	15362
Tangible Personal Property Report (TPPR) and Attachments	HUD	4158	1	1.43	5946
Tangible Personal Property Report (TPPR) and Attachments	NEA	0	0	0	0
Tangible Personal Property Report (TPPR) and Attachments	NEH	0	0	0	0
Tangible Personal Property Report (TPPR) and Attachments	ED	0	0	0	0
Tangible Personal Property Report (TPPR) and Attachments	VA	0	0	0	0

13. Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14.)

• The cost estimate should be split into two components: (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. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling, and testing equipment, and record storage facilities.

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

• Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995; (2) to achieve regulatory compliance with requirements not associated with the information collection; (3) for reasons other than to provide information or keep records for the Government or (4) as part of customary and usual business or private practices.

There is no expected cost to respondents or to OMB.

14. Provide estimates of annualized costs to the Federal Government. Also, provide a description of the method used to estimate cost, which should include qualification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.

N/A

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14.

The Tangible Personal Property Report (SF-428) was posted to the OMB MAX website which resulted with an increase of users.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

N/A

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.

N/A

18. Explain each exception to the certification statement identified in the “Certification for Paperwork Reduction Act Submissions”.

N/A

B. Collections of Information Employing Statistical Methods

N/A

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