General Administrative Requirements for Assistance Programs (Renewal)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form NCER Form 5 Current and Pending Support	Form and Instruction	Modified	Available
Form 6600-09 Appendix A EPA Administrative Capability Questionnaire	Form and Instruction	Modified	Available
Form 6600-08 Lobbying Cost Certificate	Form and Instruction	Modified	Available
Form 6600-06 Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements	Form and Instruction	Modified	Available
Form 6600-01 Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews	Form and Instruction	Modified	Available
Form 5700-54-2 Additional Key Contacts	Form and Instruction	Modified	Available
Form 5700-54 Key Contacts Form	Form and Instruction	Modified	Available
Form 5700-53 Lobbying and Litigation Certification for Grants and Cooperative Agreements	Form and Instruction	Modified	Available
Form 5700-52A MBE/WBE Utilization Under Federal Grants and Cooperative Agreements	Form and Instruction	Modified	Available
Form 4700-4 Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance	Form and Instruction	Modified	Available
Form 190-F-04-001 U.S. EPA PAYMENT REQUEST	Form	Modified	Available
Form 5770-9 Completion of Studies Notice	Form	Modified	Available
Form 5770-8 Fellowship Agreement	Form	Modified	Available
Form 5770-7 EPA Fellowship Activation Notice	Form	Modified	Available
Form 5770-5 Agency Fellowship Certification	Form	Modified	Available
Form 5770-3 Fellowship Facilities and Commitment Statement	Form	Modified	Available
Form 5770-2 Fellowship Application	Form and Instruction	Modified	Available
Form 190-F-05-001 Fellowship Stipend Payment Enrollment Form	Form and Instruction	Modified	Available
Form NCER Form 5 Current and Pending Support	Form and Instruction	Modified	Available
Form 6600-09 EPA Administrative Capability Questionnaire	Form and Instruction	Modified	Available
Form 6600-08 Lobbying Cost Certificate	Form and Instruction	Modified	Available
Form 6600-06 Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements	Form and Instruction	Modified	Available
Form 6600-01 Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews	Form and Instruction	Modified	Available
Form 5700-54-2 Additional Key Contacts	Form and Instruction	Modified	Available
Form 5700-54 Key Contacts Form	Form and Instruction	Modified	Available
Form 5700-53 Lobbying and Litigation Certification for Grants and Cooperative Agreements	Form and Instruction	Modified	Available
Form 5700-52A MBE/WBE Utilization Under Federal Grants and Cooperative Agreements	Form and Instruction	Modified	Available
Form 4700-4 Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance	Form and Instruction	Modified	Available
Form 190-F-04-001 US EPA Payment Request	Form	Modified	Available
0938ss21_FINAL_Rev.docx	Supporting Statement A	Uploaded 2018-04-06	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	Current and Pending Support
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Appendix A EPA Administrative Capability Questionnaire
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Lobbying Cost Certificate
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Additional Key Contacts
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	Lobbying and Litigation Certification for Grants and Cooperative Agreements
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	MBE/WBE Utilization Under Federal Grants and Cooperative Agreements
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form and Instruction	Modified	Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance
23551	General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	Form	Modified	U.S. EPA PAYMENT REQUEST
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form	Modified	Completion of Studies Notice
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form	Modified	Fellowship Agreement
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form	Modified	EPA Fellowship Activation Notice
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form	Modified	Agency Fellowship Certification
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form	Modified	Fellowship Facilities and Commitment Statement
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form and Instruction	Modified	Fellowship Application
202038	General Administrative Requirement for Assistance Programs: Fellowships	Form and Instruction	Modified	Fellowship Stipend Payment Enrollment Form
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Current and Pending Support
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	EPA Administrative Capability Questionnaire
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Lobbying Cost Certificate
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Additional Key Contacts
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Key Contacts Form
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Lobbying and Litigation Certification for Grants and Cooperative Agreements
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	MBE/WBE Utilization Under Federal Grants and Cooperative Agreements
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form and Instruction	Modified	Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance
188505	General Administrative Requirements for Assistance Programs: Non-Profits	Form	Modified	US EPA Payment Request

ICR Details

OMB Control No: 2030-0020	ICR Reference No: 201704-2030-001
Status: Historical Active	Previous ICR Reference No: 201410-2030-001
Agency/Subagency: EPA/OMS	Agency Tracking No: 0938.21
Title: General Administrative Requirements for Assistance Programs (Renewal)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 04/06/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/27/2017
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2021	36 Months From Approved	04/30/2018
Responses	28,926	0	46,967
Time Burden (Hours)	90,124	0	155,006
Cost Burden (Dollars)	0	0	0

---

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.

---

Authorizing Statute(s): None

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 9738	02/08/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 28653	06/23/2017
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
General Administrative Requirement for Assistance Programs: Fellowships	190-F-05-001, 5770-2, 5770-3, 5770-5, 5770-9, 5770-8, 5770-7	Fellowship Stipend Payment Enrollment Form ,   Fellowship Application ,   Fellowship Facilities and Commitment Statement ,   Agency Fellowship Certification ,   EPA Fellowship Activation Notice ,   Fellowship Agreement ,   Completion of Studies Notice
General Administrative Requirements for Assistance Programs: Non-Profits	5700-52A, 5700-53, 5700-54, 6600-01, 6600-06, 6600-09, NCER Form 5, 4700-4, 190-F-04-001, 5700-54-2, 6600-08	US EPA Payment Request ,   Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance ,   MBE/WBE Utilization Under Federal Grants and Cooperative Agreements ,   Lobbying and Litigation Certification for Grants and Cooperative Agreements ,   Key Contacts Form ,   Additional Key Contacts ,   Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews ,   Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements ,   Lobbying Cost Certificate ,   EPA Administrative Capability Questionnaire ,   Current and Pending Support
General Administrative Requirements for Assistance Programs: State, Local, Tribal Governments	6600-06, NCER Form 5, 6600-08, 6600-09, 190-F-04-001, 4700-4, 5700-52A, 5700-53, 5700-54, 5700-54-2, 6600-01	U.S. EPA PAYMENT REQUEST ,   Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance ,   MBE/WBE Utilization Under Federal Grants and Cooperative Agreements ,   Lobbying and Litigation Certification for Grants and Cooperative Agreements ,   Key Contacts Form ,   Additional Key Contacts ,   Limited Scope Administrative and Financial Review Questionnaire for EPA Assistance Agreement Desk Reviews ,   Certification Regarding Lobbying; Contracts, Grants, Loans and Cooperative Agreements ,   Lobbying Cost Certificate ,   Appendix A EPA Administrative Capability Questionnaire ,   Current and Pending Support

---

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	28,926	46,967	0	0	-18,041	0
Annual Time Burden (Hours)	90,124	155,006	0	0	-64,882	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: No

Burden Reduction Due to:

Short Statement: EPA reviewed the burden assumptions in the ICR to ensure that they reflect the Agency’s current experiences under its grant programs. Based on this review, EPA made significant adjustments in the number of respondents, the annual submissions per respondent, and the burden hours for completion of all of its grant forms. Since the prior package, some of the forms were moved under common forms and are therefore no longer included in this ICR package.

---

Annual Cost to Federal Government: $3,070,138

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

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

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

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

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

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: 06/27/2017

---