Notice2023-14228
Agency Requests for Reinstatement of a Previously Approved Information Collection(s) With Changes: Agency Information Collection Activities: Renewed Approval of Information Collection; Docket No. DOT-OST-2015-0061
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Published
July 6, 2023
Issuing agencies
Transportation Department
Abstract
The Department of Transportation (DOT) invites public comments about our intention to request the Office of Management and Budget (OMB) approval to renew an information collection. The collection is necessary for the administration of discretionary grant funding, under the ``Local and Regional Project Assistance Program,'' established by the Infrastructure Investment and Jobs Act of 2021 (November 15, 2021, ``Bipartisan Infrastructure Law'' or ``BIL''), referred to as the Rebuilding American Infrastructure with Sustainability and Equity (RAISE) program. We are required to publish this notice in the Federal Register by the Paperwork Reduction Act of 1995.
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<title>Federal Register, Volume 88 Issue 128 (Thursday, July 6, 2023)</title>
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<body><pre>[Federal Register Volume 88, Number 128 (Thursday, July 6, 2023)]
[Notices]
[Pages 43168-43171]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-14228]
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DEPARTMENT OF TRANSPORTATION
[Docket No. DOT-OST-2023-0109]
Agency Requests for Reinstatement of a Previously Approved
Information Collection(s) With Changes: Agency Information Collection
Activities: Renewed Approval of Information Collection; Docket No. DOT-
OST-2015-0061
AGENCY: Office of the Secretary of Transportation (OST), U.S Department
of Transportation (DOT).
ACTION: Notice and request for comments.
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SUMMARY: The Department of Transportation (DOT) invites public comments
about our intention to request the Office of Management and Budget
(OMB) approval to renew an information collection. The collection is
necessary for the administration of discretionary grant funding, under
the ``Local and Regional Project Assistance Program,'' established by
the Infrastructure Investment and Jobs Act of 2021 (November 15, 2021,
``Bipartisan Infrastructure Law'' or ``BIL''), referred to as the
Rebuilding American Infrastructure with Sustainability and Equity
(RAISE) program. We are required to publish this notice in the Federal
Register by the Paperwork Reduction Act of 1995.
DATES: Written comments should be submitted by September 5, 2023.
ADDRESSES: You may submit comments [identified by Docket No. DOT-OST-
2023-0109] through one of the following methods:
<bullet> Federal eRulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Follow the online instructions for submitting comments.
<bullet> Fax: 1-202-493-2251.
<bullet> Mail or Hand Delivery: Docket Management Facility, U.S.
Department of Transportation, 1200 New Jersey Avenue SE, West Building,
Room W12-140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday
through Friday, except on Federal holidays.
FOR FURTHER INFORMATION CONTACT: John Augustine, 202-366-5437, Office
of Infrastructure Finance, and Innovation, Office of the Secretary for
Transportation Policy, U.S. Department of Transportation, 1200 New
Jersey Avenue SE, Washington, DC 20590.
SUPPLEMENTARY INFORMATION:
OMB Control Number: XXXX-XXXX.
Title: Local and Regional Project Assistance Program or ``RAISE
Transportation Discretionary Grants''.
Form Numbers: None.
Type of Review: Reinstatement of a previously approved information
collection.
[[Page 43169]]
Background: The Rebuilding American Infrastructure with
Sustainability and Equity or RAISE Discretionary Grant program was
authorized by the Bipartisan Infrastructure Law, 2021, and further
funded through annual appropriations, under the National Infrastructure
Investments program. This program provides a unique opportunity for the
DOT to invest in road, rail, transit and port projects that promise to
achieve national objectives. Previously known as the Better Utilizing
Investments to Leverage Development (BUILD) and Transportation
Investment Generating Economic Recovery (TIGER) Discretionary Grants,
Congress has dedicated over $14 billion for fourteen rounds of National
Infrastructure Investments to fund projects that have a significant
local or regional impact.
RAISE recipients provide information to the Government so that the
Government may monitor the financial conditions and construction
progress of RAISE-supported projects and the effectiveness of those
projects using performance measurement metrics negotiated between the
recipients and the Government.
This notice seeks comments on the previous information collection,
which collects information from grantees that is necessary for grant
applications and the reporting requirements agreed to by recipients of
RAISE Grants (formerly BUILD/TIGER).
The reporting requirements for the program is as follows:
In order to be considered to receive a TIGER/BUILD/RAISE grant, a
project sponsor must submit an application to DOT containing a project
narrative, as detailed in the Notice of Funding Opportunity (NOFO). The
project narrative should include the information necessary for the
Department to determine that the project satisfies eligibility
requirements as warranted by law. This request renews the existing
clearance to cover applications solicited for future National
Infrastructure Investments appropriations (authorized under the Local
and Regional Project Assistance Program in the BIL), solicited in a
manner similar to the solicitation for TIGER and BUILD applications.
Following the announcement of a funding award, the recipient and
DOT will negotiate and sign a grant agreement. In the grant agreement,
the recipient must describe the project that DOT agreed to fund, which
is typically the project that was described in the TIGER/BUILD/RAISE
application or a reduced-scope version of that project. The grant
agreement must also include a detailed breakdown of the project
schedule and a budget listing all major activities that will be
completed as part of the project.
During the project management stage, grantees will submit reports
on the financial condition of the project and the project's progress.
Grantees will submit progress and monitoring reports to the Government
on a quarterly basis, beginning on the 20th of the first month of the
calendar-year quarter following the execution of a grant agreement, and
on the 20th of the first month of each calendar-year quarter thereafter
until completion of the project. The report will include an executive
summary and sections to show: Project activities; outstanding issues;
project schedule; project cost; project funding status; and project
quality, along with an SF-425 Federal Financial Report.
This information will be used to monitor grantees' use of Federal
funds, ensuring accountability and financial transparency in the TIGER/
BUILD/RAISE program.
Grantees will also submit reports on project performance using
certain performance measures that the grantee and the Government select
through negotiations. The Grantees will submit a Pre-project Report
that will consist of current baseline data for each of the performance
measures specified in the grant agreement. The Pre-project Report will
include a detailed description of data sources, assumptions,
variability, and the estimated level of precision for each measure. The
Grantees will submit annual interim Project Performance Measurement
Reports to the Government for each of the performance measures.
Grantees will submit reports for three years. The Grantees will submit
a Project Outcomes Report after the project is completed that will
consist of a narrative discussion detailing project successes and/or
the influence of external factors on project expectations. This
information collected will be used to analyze project performance.
For New Applications:
Respondents: Eligible applicants include States and the District of
Columbia, any territory or possession of the United States; a unit of
local government; a public agency or publicly chartered authority
established by 1 or more States; a special purpose district or public
authority with a transportation function, including a port authority; a
federally recognized Indian Tribe or a consortium of such Indian
Tribes; a transit agency; and a multi-State or multijurisdictional
group of entities.
Expected Number of Respondents: 1,000 applications per year.
Frequency: Once per year.
Estimated Average Burden per Response: 100 hours for each new
application.
For Funding Agreements:
Expected Number of Respondents: Approximately 150 each year for the
next three years.
Frequency: Once per year.
Estimated Average Burden per Response: 6 hours for each new Funding
Agreement.
For Project Progress Monitoring-Quarterly Reports:
Expected Number of Respondents: Approximately 800 each year for the
next three years.
Frequency: Quarterly
Estimated Average Burden per Response: 5 hours for each request for
Quarterly Progress Report.
For Performance Measurement Reports-Annual Reports:
Expected Number of Respondents: Approximately 150 each year for the
next three years.
Frequency: Once per year.
Estimated Average Burden per Response: 5 hours for each new Funding
Agreement.
Application Stage
To be considered to receive a RAISE grant, a project sponsor must
submit an application to DOT containing a project narrative, as
detailed in the Notice of Funding Opportunity. The project narrative
should include the information necessary for the Department to
determine that the project satisfies eligibility requirements.
Applications must be submitted through <a href="https://www.Grants.gov">https://www.Grants.gov</a>.
Instructions for submitting applications can be found at <a href="https://www.transportation.gov/RAISEgrants/apply">https://www.transportation.gov/RAISEgrants/apply</a>. The application must include
the Standard Form 424 (Application for Federal Assistance), Standard
Form 424, Project Narrative, and a recommended Project Information
Form.
The application should include a table of contents, maps, and
graphics, as appropriate, to make the information easier to review. The
Department recommends that the application be prepared with standard
formatting preferences (i.e., a single-spaced document, using a
standard 12-point font such as Times New Roman, with 1-inch margins).
The project narrative may not exceed 30 pages in length, excluding
cover pages and table of contents. The only substantive portions that
may exceed the 30-page limit are documents supporting assertions or
conclusions made in the 30-page project narrative. If possible, website
links to supporting documentation should be
[[Page 43170]]
provided rather than copies of these supporting materials. If
supporting documents are submitted, applicants should clearly identify
within the project narrative the relevant portion of the project
narrative that each supporting document supports. At the applicant's
discretion, relevant materials provided previously to a modal
administration in support of a different USDOT financial assistance
program may be referenced and described as unchanged.
OST estimates that it takes approximately 100 person-hours to
compile an application package for a RAISE application. Since OST
expects to receive 1,000 applications per funding round, the total
hours required are estimated to be 100,000 hours (100 hours x 1000
applications = 10,000 hours) on a one-time basis, per funding round.
Funding Agreement Stage
DOT enters a funding agreement with each recipient. In the
agreement, the recipient describes the project that DOT agreed to fund,
which is typically the project that was described in the RAISE
application or a reduced-scope version of that project. The agreement
also includes a project schedule, budget, and project related climate
change and equity planning and policies.
OST estimates that it takes approximately 6 person-hours to respond
to provide the information necessary for funding agreements. Based on
previous rounds of RAISE awards, OST estimates that there will likely
be 150 agreements negotiated per additional funding round. The total
hours required are estimated to be 900 (6 hours x 150 agreements = 900
hours) on a one-time basis, per funding round.
Project Progress Monitoring Report
OST requires each recipient to submit quarterly reports during the
project to ensure the proper and timely expenditure of Federal funds
under the grant.
The requirements comply with 2 CFR part 200 and are restated in the
funding agreement. During the project monitoring stage, the grantee
will complete Quarterly Progress Reports to allow DOT to monitor the
project budget and schedule.
OST estimates that it takes approximately 5 person-hours to develop
and submit a quarterly progress report. OST expects approximately 150
projects to be awarded per future funding round, while grants awarded
in prior years will reach completion during the year and would no
longer need to submit these reports. OST expects recipients and
awardees from 2016-2021 will require 7,700 hours (385 projects x 4
quarterly reports x 5 hours each) to submit quarterly progress reports
while new recipients and awardees will require 9,000 hours (450
projects x 4 quarterly reports x 5 hours each from 2022-2024).
Grantees use the following structure when preparing this report:
The following list enumerates the required sections in the
quarterly progress reports. At the discretion of the USDOT,
modifications or additions can be made to produce a quarterly reporting
format that will most effectively serve both the Recipient and the
USDOT. Some projects will have a more extensive quarterly status than
others. For smaller projects, the USDOT may determine that the content
of the quarterly reports will be streamlined, and project status
meetings will be held on a less-frequent basis. The first quarterly
progress report should include a detailed description, and where
appropriate, drawings, of the items funded.
(a) Project Overall Status. This section provides an overall status
of the project's scope, schedule and budget. The Recipient shall note
and explain any deviations from the scope of work described in the
agreement.
(b) Project Significant Activities and Issues. This section
provides highlights of key activities, accomplishments, and issues
occurring on the project during the previous quarter. Activities and
deliverables to be reported on should include meetings, audits and
other reviews, design packages submitted, advertisements, awards,
construction submittals, construction completion milestones, submittals
related to any applicable Recovery Act requirements, media or
Congressional inquiries, value engineering/constructability reviews,
and other items of significance.
(c) Action Items/Outstanding Issues. This section should draw
attention to, and track the progress of, highly significant or
sensitive issues requiring action and direction in order to resolve.
The Recipient should include administrative items and outstanding
issues that could have a significant or adverse impact to the project's
scope, budget, schedule. Status, responsible person(s), and due dates
should be included for each action item/outstanding issue. Action items
requiring action or direction should be included in the quarterly
status meeting agenda. The action items/outstanding issues may be
dropped from this section upon full implementation of the remedial
action, and upon no further monitoring anticipated.
(d) Project Scope Overview. The purpose of this section is to
provide a further update regarding the project scope. If the original
scope contained in the grant agreement is still accurate, this section
can simply state that the scope is unchanged.
(e) Project Schedule. An updated master program schedule reflecting
the current status of the program activities should be included in this
section. A Gantt (bar) type chart is probably the most appropriate for
quarterly reporting purposes, with the ultimate format to be agreed
upon between the Recipient and the USDOT. It is imperative that the
master program schedule be integrated, i.e., the individual contract
milestones tied to each other, such that any delays occurring in one
activity will be reflected throughout the entire program schedule, with
a realistic completion date being reported. Narratives, tables, and/or
graphs should accompany the updated master program schedule, basically
detailing the current schedule status, delays and potential exposures,
and recovery efforts. The following information should also be
included:
<bullet> Current overall project completion percentage vs. latest
plan percentage.
<bullet> Completion percentages vs. latest plan percentages for
major activities such as right-of-way, major or critical design
contracts, major or critical construction contracts, and significant
force accounts or task orders. A schedule status description should
also be included for each of these major or critical elements.
<bullet> Any delays or potential exposures to milestone and final
completion dates. The delays and exposures should be quantified, and
overall schedule impacts assessed. The reasons for the delays and
exposures should be explained, and initiatives being analyzed or
implemented in order to recover the schedule should be detailed.
(f) Project Cost. An updated cost spreadsheet reflecting the
current forecasted cost vs. the latest approved budget vs. the baseline
budget should be included in this section. One way to track project
cost is to show: (1) Baseline Budget, (2) Latest Approved Budget, (3)
Current Forecasted Cost Estimate, (4) Expenditures or Commitments to
Date, and (5) Variance between Current Forecasted Cost and Latest
Approved Budget. Line items should include all significant cost
centers, such as prior costs, right-of-way, preliminary engineering,
environmental mitigation, general engineering consultant, section
design contracts, construction administration, utilities, construction
packages, force accounts/task orders, wrap-up
[[Page 43171]]
insurance, construction contingencies, management contingencies, and
other contingencies. The line items can be broken-up in enough detail
such that specific areas of cost change can be sufficiently tracked,
and future improvements made to the overall cost estimating
methodology. A Program Total line should be included at the bottom of
the spreadsheet. Narratives, tables, and/or graphs should accompany the
updated cost spreadsheet, basically detailing the current cost status,
reasons for cost deviations, impacts of cost overruns, and efforts to
mitigate cost overruns. The following information should be provided:
<bullet> Reasons for each line-item deviation from the approved
budget, impacts resulting from the deviations, and initiatives being
analyzed or implemented in order to recover any cost overruns.
<bullet> Transfer of costs to and from contingency line items, and
reasons supporting the transfers.
<bullet> Speculative cost changes that potentially may develop in
the future, a quantified dollar range for each potential cost change,
and the current status of the speculative change. Also, a comparison
analysis to the available contingency amounts should be included,
showing that reasonable and sufficient amounts of contingency remain to
keep the project within the latest approved budget.
<bullet> Detailed cost breakdown of the general engineering
consultant (GEC) services (if applicable), including such line items as
contract amounts, task orders issued (amounts), balance remaining for
tasks, and accrued (billable) costs.
<bullet> Federal obligations and/or disbursements for the project,
compared to planned obligations and disbursements.
(g) Federal Financial Report (SF-425). The Federal Financial Report
(SF-425) is a financial reporting form used throughout the Federal
Government Grant system. Recipients shall complete this form and attach
it to each quarterly Project Progress and Monitoring Report. The form
is available at <a href="https://www.grants.gov/forms/post-award-reporting-forms.html">https://www.grants.gov/forms/post-award-reporting-forms.html</a>.
(h) Certifications.
i. A certification that the Recipient is in compliance with 2 CFR
200.303 (Internal Controls) and 2 CFR part 200, subpart F (Audit
Requirements).
ii. The certification required under 2 CFR 200.415(a).
Performance Measurement Reports
RAISE Transportation Discretionary Grant program grantees will
submit Performance Measure Reports on the performance (or projected
performance) of the project using the performance measures that the
grantee and the Government selected through negotiations with the
following timing and frequency requirements:
OST estimates that it takes approximately 5 person-hours to develop
and submit an annual performance measure report. Grants awarded in
prior years will reach completion and will begin to submit these
reports. OST expects recipients and awardees from 2009-2012 have passed
this reporting period, awardees from 2013-2015 will require 800 hours
(160 projects x 5 hours each) to submit annual performance measurement
reports while recipients and awardees from 2016-2018 will require 750
hours (150 projects x 5 hours each) in the next three years.
Grantees should use the following structure when preparing this
report:
1. Performance Measure Data Collection. The Recipient shall collect
the data necessary to report on each performance measure that is
identified in the grant agreement. Grantees may select performance
measures from the list available at <a href="https://www.transportation.gov/administrations/office-policy/tiger-performance-measurement-guidance-appendix">https://www.transportation.gov/administrations/office-policy/tiger-performance-measurement-guidance-appendix</a>, according to the type of project.
2. Pre-project Performance Measurement Report. The Recipient shall
submit to DOT, on or before the Pre-project Report Date that is stated
in the grant agreement, a Pre-project Performance Measurement Report
that contains:
a. Baseline data for each performance measure that is identified in
the grant agreement, accurate as of the Pre-project Measurement Date;
and
b. A detailed description of the data sources, assumptions,
variability, and estimated levels of precision for each measure.
3. Interim Performance Measurement Reports. After project
completion, the Recipient shall submit to DOT on or before each of the
periodic reporting dates specified in the Performance Measurement Table
in the grant agreement, an Interim Performance Measurement Report
containing data for each performance measure that is identified in that
table, accurate as of the final date of the measurement period
specified in that table. If an external factor significantly affects
the value of a performance measure during a measurement period, then in
the Interim Performance Measurement Report the Recipient shall identify
that external factor and discuss its influence on the performance
measure.
4. Project Outcomes Report. The Recipient shall submit to DOT, on
or before the Project Outcomes Report Date that is stated in the grant
agreement, a Project Outcomes Report that contains:
a. A narrative discussion detailing project successes and the
influence of external factors on project expectations;
b. All baseline and interim performance measurement data that the
Recipient reported in the Pre-project Performance Measurement Report
and the Interim Performance Measurement Reports; and
(3) an ex post examination of project effectiveness relative to the
baseline data that the Recipient reported in the Pre-project
Performance Measurement Report.
Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for the Department's
performance; (b) the accuracy of the estimated burden; (c) ways for the
Department to enhance the quality, utility and clarity of the
information collection; and (d) ways that the burden could be minimized
without reducing the quality of the collected information. The agency
will summarize and/or include your comments in the request for OMB's
clearance of this information collection.
Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. chapter
35, as amended; and 49 CFR 1:48.
Issued in Washington, DC, on June 29, 2023.
John Augustine,
Director of the Office of Infrastructure Finance and Innovation, Office
of the Under Secretary for Transportation Policy.
[FR Doc. 2023-14228 Filed 7-5-23; 8:45 am]
BILLING CODE 4910-9X-P
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