[Federal Register Volume 70, Number 126 (Friday, July 1, 2005)]
[Notices]
[Pages 38143-38145]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-13078]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

[Document Identifier: OS-4040-0002]


Notice of Adoption of Government-Wide Standard Data Elements for 
Use by Federal Grant Making Agencies--Mandatory Grant Applications/
Plans and Related Submissions

AGENCY: Office of the Secretary, Grants.gov Program Management Office, 
HHS.

    In compliance with the requirement of section 3506(c)(2)(A) of the 
Paperwork Reduction Act of 1995, the Office of the Secretary (OS), 
Department of Health and Human Services, is publishing the following 
summary of a proposed collection for public comment. Interested persons 
are invited to send comments regarding this burden estimate or any 
other aspect of this collection of information, including any of the 
following subjects: (1) The necessity and utility of the proposed 
information collection for the proper performance of the agency's 
functions; (2) the accuracy of the estimated burden; (3) ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and (4) the use of automated collection techniques or other 
forms of information technology to minimize the information collection 
burden. Emergency Clearance for the data set was published in the 
Federal Register on September 3, 2004 [Vol. 69, No. 171]. Public 
comments from the Emergency Clearance were incorporated into the 
proposed information collection.
    Type of Information Collection Request: Regular.
    Title of Information Collection: SF-424 Mandatory (M), Application 
for Federal Assistance.
    Form/OMB No.: OS-4040-0002.
    OMB cleared the SF 424(M), Application for Federal Assistance, for 
emergency use on January 25, 2005.
    Use: On February 28, 2005, the Grants.gov Program Management 
Office, one of the 26 E-Government initiatives, managed by HHS, 
published the proposed the SF 424(M) collection for public comment in 
the Federal Register (70 FR 9656). Interested individuals were invited 
to send comments regarding any aspect of this collection of 
information. This notice indicates request for extension of OMB 
clearance for the SF-424 (M), and also responds to comments received on 
the February 28, 2005, Federal Register notice.
    The SF-424 (M) is intended for use as the government-wide data set 
for the cover page of applications, plans, and related submissions 
under mandatory grant programs. The form is currently available for use 
as part of the electronic application process of Grants.gov, which was 
deployed in October 2003 and is part of the implementation of the 
Federal Financial Assistance Management Improvement Act of 1999 (Pub. 
L. 106-107). Federal agencies and applicants/recipients under mandatory 
grant programs will use the standard cover page data set and 
definitions for paper and electronic applications/plans/related 
submissions. The standard data set replaces numerous agency data sets 
and reduces the administrative burden placed on the grants community. 
Federal agencies are not required to collect all of the information 
included in the proposed data set. The agency will identify the data 
that must be

[[Page 38144]]

provided by applicants through instructions that will accompany the 
application package.
    We plan to refine the form over time. At this time, no changes are 
being made to the form, although, in several cases, we made changes to 
the instructions. Additional standard data elements for other 
components of an application/plan, e.g., a standard budget, may be 
proposed at a later date.
    Frequency: Recordkeeping, application, and on occasion.
    Affected Public: Federal, State, Local and Tribal governments; 
farms; and non-profit organizations.
    Total Annual Respondents: 1,271.
    Total Annual Responses: 22,186.
    Average Burden Per Response: 1 hour.
    Total Annual Hours: 22,186.

Responses To Comments

    We received nine sets of comments--eight from Federal agencies and 
one from a university. The comments generally addressed the following 
areas: Need for an additional form for mandatory grant programs; length 
of the form; requested changes to the form or instructions; and desired 
functionality of the electronic form. The comments in each area are 
addressed below.

Need for an Additional Form for Mandatory Grant Programs

    Several commenters questioned whether creating an additional SF 424 
form could be considered streamlining. With the issuance of the SF 424 
(M), there are now four variations of the SF 424 in additional to the 
core SF 424: Mandatory grants, research and related, short 
organizational, and individual. Each of these variations was developed 
to accommodate specific types of programs or recipients, whether using 
different or fewer data elements. The SF 424(M) was developed for use 
in mandatory grant programs, which differ in from discretionary grants 
in a number of respects. We believe making these accommodations for 
specific market segments, including mandatory grant programs, is a 
significant streamlining. These several versions of the SF 424 
represent a reduction from hundreds of agency- and program-specific 
forms with unique or non-standard elements.

Length of the Form

    Several commenters noted the length of the form in the version 
proposed. Two things should be noted. As a hard-copy form, the SF 
424(M) form is no longer than the core SF 424. Although we proposed a 
continuation page, in response to other comments (see below), in the 
next version of the form, we have decided to eliminate the continuation 
page. Additionally, the commenters were viewing a printed version of a 
PureEdge form. When viewed electronically, the form does not appear as 
three individual pages but rather as a series of data elements. The 
elimination of the continuation page will affect the length of the 
PureEdge form as well.

Requested Changes to the Form or Instructions

    Several commenters requested changes to the form and/or 
instructions. These comments included requests for definitions of 
terms, addition of data elements, and changes in terminology. We 
evaluated the requested changes and noted that some of them were not 
appropriate or were not appropriate for mandatory grant programs, e.g., 
use of the term ``amendment'' in lieu of ``update'' and inclusion of 
``continuation'' as a type of submission.
    In the first case, we do not believe that it is appropriate to 
introduce the term ``amendment.'' None of the other versions of SF 424 
use the term ``amendment;'' applicants generally do not initiate 
``amendments.'' The term also may be confused with an amended award 
issued by the Federal awarding agency. As a means of tracking changes 
to applications, agencies may use the date of submission that will be 
recorded by Grants.gov. In the second case, continuation applications 
may be used in discretionary grants programs, but generally are not 
used in mandatory grant programs. There is no need to modify this form 
to accommodate the comment because Federal agencies/programs can select 
from any of the various SF 424 forms and should use the one that best 
suits their needs.
    In several cases, commenters asked for changes that are 
appropriately handled by the agencies in the agency-or program-specific 
instructions that will be provided to applicants. This includes 
advising applicants about how to complete items such as ``Type of 
Submission'' or ``Frequency.'' The form instructions specify those 
required and optional data elements that will require agency 
instructions. One commenter indicated that providing information on 
``areas affected by the project'' would be problematic because the 
nature of the program or project might make it very difficult to 
pinpoint the effects on specific geographical areas. We believe this is 
a program-specific issue, which would need to be addressed in the 
program's application package instructions.
    In response to the comments, we have clarified or changed the 
instructions in several areas. We expanded the instructions related to 
``consolidated application/plan/funding request.'' Also, the 
instructions, as proposed, limited the ``Type of Applicant'' choices to 
those that generally are eligible to receive mandatory grants. Several 
commenters asked that the potential choices be expanded. Although the 
excluded applicant types generally are not eligible for mandatory grant 
programs, the instructions have been modified to indicate that an 
agency may allow an applicant to choose from any of the applicant types 
displayed. This is consistent with the objective of having this form 
primarily reflect the needs of mandatory grant programs but being 
available for other uses as determined by Federal agencies/program.
    For those comments that were germane to mandatory grant programs, 
in version 2, we plan to make several changes to the form (and 
corresponding instructions). As part of that effort, we will review the 
various data elements and determine whether we should change them to 
more closely align with the core SF 424 or need to retain them as 
currently used. Among the changes we plan in version 2 are eliminating 
use of the continuation page. The inclusion of multiple Catalog of 
Federal Domestic Assistance (CFDA) numbers will be handled other than 
through a cover page and the other data elements shown on the 
continuation page will be accommodated through expansion of fields on 
the cover page or by other means.

Desired Functionality of the Electronic Form

    One commenter asked that the form also be in Microsoft Word or 
Excel format in the belief that applicants do not always have the 
resources to buy the full version of Adobe Acrobat and Adobe Acrobat 
Reader does not allow applicants to save documents filled out 
electronically. Grants.gov has opted to use PureEdge, not Adobe to 
develop its forms. This software provides fillable forms and is 
available free of charge from the Grants.gov website.
    One commenter requested that, when a CFDA number is entered, the 
title should automatically be inserted. This functionality exists for 
the single CFDA number on the cover sheet (the application downloaded 
by the applicant has the CFDA number and title pre-populated), but not 
for the additional CFDA numbers. At the time the applicant enters this 
information, the application is on their desktop, not connected to a 
source file where this information is available.
    To obtain copies of the supporting statement and any related forms 
for the

[[Page 38145]]

proposed paperwork collections referenced above, access the HHS Web 
site address at http://www.hhs.gov/oirm/infocollect/pending/ or e-mail 
your request, including your address, phone number, OMB number, and OS 
document identifier, to [email protected], or call the Reports 
Clearance Office on (202) 690-6162. Written comments and 
recommendations for the proposed information collections must be mailed 
directly to the Desk Officer at the address below: OMB Desk Officer: 
Katherine Astrich, OMB Human Resources and Housing Branch, Attention: 
(OMBOS-4040-0002), New Executive Office Building, Room 10235, 
Washington DC 20201.

    Dated: June 23, 2005.
Robert E. Polson,
Office of the Secretary, Paperwork Reduction Act Reports Clearance 
Officer.
[FR Doc. 05-13078 Filed 6-30-05; 8:45 am]
BILLING CODE 4168-17-P