Clean Water Act State Revolving Fund Program (Renewal)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1391ss12.docx	Supporting Statement A	Uploaded 2020-07-31	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
23627	Capitalization Grant Agreement/Intended Use Plan		Modified
228397	CWSRF Applications		Removed
222502	Public Awareness Policy		Modified
222501	CBR & NIMS Reporting		Modified
222500	Annual Audit		Modified
222499	Annual Report		Modified

ICR Details

OMB Control No: 2040-0118	ICR Reference No: 202007-2040-003
Status: Historical Active	Previous ICR Reference No: 201607-2040-001
Agency/Subagency: EPA/OW	Agency Tracking No: 1391.12
Title: Clean Water Act State Revolving Fund Program (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: 05/20/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/31/2020
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years. Also, OMB reminds EPA to ensure that the CWA and DW SRF ICRs are as consistent as possible, given programmatic differences due to the different statutes.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2024	36 Months From Approved	05/31/2021
Responses	520	0	3,311
Time Burden (Hours)	57,230	0	587,386
Cost Burden (Dollars)	2,928,100	0	2,928,100

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Abstract: Title VI of the Clean Water Act (CWA) of 1987 established the Clean Water State Revolving Fund (CWSRF) program, which replaced EPA’s Construction Grants Program. As outlined in 40 CFR Part 35, Subpart K, State Water Pollution Control Revolving Funds, and EPA guidance, each state and Puerto Rico has its own CWSRF. A state CWSRF includes funds provided by federal capitalization grants, repayments from prior assistance agreements, interest that has been repaid to the CWSRF, and investment income. In some cases, a state CWSRF secures additional funding though bond proceeds. Each state designs and operates its own revolving fund to provide financial assistance to eligible recipients for water pollution control activities. States have the authority to use the CWSRF to provide various types of assistance to recipients, including issuing and refinancing loans, purchasing or guaranteeing local debt, and purchasing bond insurance. States may also set specific terms such as interest rates and repayment periods. In 2009, Congress authorized states to provide further financial assistance via the CWSRF program in the form of grants, principal forgiveness, and negative interest rate loans. Congress provides EPA annual appropriations for providing capitalization grants to state CWSRFs. EPA awards these grants to each state upon the state’s submission of a grant application, which includes an intended use plan (IUP). While EPA provides oversight that ensures that states’ procedures are consistent with the CWA and accompanying regulations, the CWA and 40 CFR Part 35, Subpart K provide the states with a great deal of autonomy in administering the program and selecting which projects receive funding. In 2014, Title VI of the CWA was amended by the Water Resources Reform and Development Act (WRRDA). Additional information about the CWSRFs is available at http://www.epa.gov/cwsrf/learn-about-clean-water-state-revolving-fund-cwsrf.

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Authorizing Statute(s): PL: Pub.L. 100 - 4 601 Name of Law: Clean Water Act (as amended)
  

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:
	85 FR 1810	01/13/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 46091	07/31/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Annual Audit
Annual Report
CBR & NIMS Reporting
CWSRF Applications
Capitalization Grant Agreement/Intended Use Plan
Public Awareness Policy

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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	520	3,311	0	-2,718	-73	0
Annual Time Burden (Hours)	57,230	587,386	0	-530,010	-146	0
Annual Cost Burden (Dollars)	2,928,100	2,928,100	0	-200,000	200,000	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: Miscellaneous Actions

Short Statement: The respondent average annual hourly burden decreased by 530,156 hours. The Office of Management and Budget provided additional guidance, recommending that the burden associated with the CWSRF applications be removed as part of this ICR renewal. Specifically, the Office of Management and Budget noted that it was appropriate to exclude this burden since 1): states have a significant degree of discretion in what information they solicit through the CWSRF applications and 2): CWSRF applications are not subject to EPA approval. Additionally, the burden of the public awareness policy was slightly decreased from 786 hours to 640 hours. Though the estimate of the total number of borrowers is expected to increase, it is also estimated that the proportion of borrowers that will be impacted by this requirement will be lower given the increase of SRF funding relative to the federal investment in recent years.

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Annual Cost to Federal Government: $791,041

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? No

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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: 07/31/2020

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