Document ID: DOT-OST-2023-0109-0001
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2023-07-06T04:00Z

[Federal Register Volume 88, Number 128 (Thursday, July 6, 2023)]
[Notices]
[Pages 43168-43171]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the online instructions for submitting comments.
     Fax: 1-202-493-2251.
     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 https://www.Grants.gov. 
Instructions for submitting applications can be found at https://www.transportation.gov/RAISEgrants/apply. 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:
     Current overall project completion percentage vs. latest 
plan percentage.
     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.
     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:
     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.
     Transfer of costs to and from contingency line items, and 
reasons supporting the transfers.
     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.
     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.
     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 https://www.grants.gov/forms/post-award-reporting-forms.html.
    (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 https://www.transportation.gov/administrations/office-policy/tiger-performance-measurement-guidance-appendix, 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