[Federal Register Volume 83, Number 248 (Friday, December 28, 2018)]
[Notices]
[Pages 67484-67487]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-28237]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. DOT-OST-2015-0061]
Agency Information Collection Activities: Renewed Approval of
Information Collection
AGENCY: Office of the Secretary (OST), DOT.
ACTION: 60-Day Notice and Request for Comments.
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SUMMARY: The Department of Transportation (DOT) invites public comments
on our intention to request Office of Management and Budget (OMB)
approval to renew an information collection (OMB Control Number 2105-
0563) in accordance with the requirements of the Paperwork Reduction
Act of 1995. The collection is necessary for administration of the
BUILD Transportation Discretionary Grants Program. BUILD Transportation
grants support surface transportation infrastructure projects that have
a significant local or regional impact.
DATES: Written comments should be submitted by February 26, 2019.
ADDRESSES: To ensure that you do not duplicate your docket submissions,
please submit them by only one of the following means:
Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for submitting
comments.
Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Ave. SE, West Building Ground Floor,
Room, W12-140, Washington, DC 20590-0001.
Hand delivery: West Building Ground Floor, Room W-12-140
1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The telephone number is 202-366-9329.
Instructions: To ensure proper docketing of your comment, please
include the agency name and docket number [DOT-OST-2015-0061] at the
beginning of your comments. All comments received will be posted
without change to http://www.regulations.gov, including any personal
information provided.
FOR FURTHER INFORMATION CONTACT: Howard Hill, Office of the Under
Secretary for Transportation Policy, at 202-366-0301 or
[email protected].
SUPPLEMENTARY INFORMATION: OMB Control Number: 2105-0563.
Title: National Infrastructure Investments or ``BUILD
Transportation Discretionary Grants''.
Form Numbers: None.
Type of Review: Revision of a currently approved collection.
Background: The Better Utilizing Investments to Leverage
Development or ``BUILD Transportation Discretionary Grants'' program
was created as part of the American Recovery and Reinvestment Act of
2009. Through the Recovery Act and nine appropriations acts, Congress
provided DOT with funding for ten rounds of competitive grants totaling
nearly $5.6 billion for capital and planning investments in surface
transportation infrastructure. DOT published a notice in the Federal
Register on April 27, 2018 announcing the availability of $1.5 billion
for the latest round of BUILD Transportation Discretionary Grants (83
FR 18651-01). BUILD recipients provide information to the Government so
that the Government may monitor the financial conditions and
construction progress of BUILD-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 existing information collection,
which collects information from grantees that is necessary for grant
applications and the reporting requirements agreed to by recipients of
TIGER and BUILD Transportation Discretionary Grants.
The reporting requirements for the program is as follows:
In order to be considered to receive a BUILD 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 as warranted by law. This request renews the existing
clearance to cover applications solicited for future National
Infrastructure Investments appropriations, solicited in a manner
similar to the solicitation for TIGER and BUILD applications.
Following the announcement of a funding award, the recipient and
DOT
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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 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 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.
The Department's estimated burden for this information collection
is the following:
Expected Number of Respondents: 850 applications.
Frequency: Quarterly, and Yearly.
Estimated Average Burden per Response: 100 hours for each
Application, 1 hour for each Grant Agreement, 6.5 hours for each
request for Quarterly Progress and Monitoring Report; 6 hours for each
Quarterly Performance Measurement Report.
Estimated Total Annual Burden: 106,325 hours.
The following is detailed information and instructions regarding
the specific reporting requirements for each report identified above:
Application
In order to be considered to receive a BUILD Transportation
Discretionary Grant, prospective grantees must submit an application to
DOT containing a project narrative, as detailed in the Notice of
Funding Opportunity, with the following timing and frequency
requirements:
[cir] Frequency: Typically annually, as funding is appropriated by
Congress.
[cir] Application covers: Project narrative and information
necessary for the Department to determine that the project satisfies
eligibility requirements.
[cir] Start: At the opening date of the Notice of Funding
Opportunity.
[cir] End: At the closing date of the Notice of Funding
Opportunity.
Grant Agreement
BUILD Transportation Discretionary Grant program grantees will
negotiate and sign a grant agreement with DOT, with the following
timing and frequency requirements:
[cir] Frequency: One time.
[cir] Grant agreement covers: Detailed project scope, schedule, and
budget, and terms of agreement between DOT and the grantee.
[cir] Start: After funding announcements have been made by DOT.
[cir] End: At the end of the obligation period, as set by Congress,
typically two or three years after funding has been appropriated.
Project Progress and Monitoring Report
BUILD Transportation Discretionary Grant program grantees will
submit a Project Progress and Monitoring Report to the Government with
the following timing and frequency requirements:
[cir] Frequency: Quarterly.
[cir] Report covers: Previous quarter.
[cir] Start: Upon award of grant.
[cir] End: Once construction is complete.
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
Attachment A, the schedule described in Attachment B, or the budget
described in Attachment C.
(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. In
general, issues and administrative requirements that could have a
significant or adverse impact to the project's scope, budget, schedule,
quality, safety, and/or compliance with Federal requirements should be
included. 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
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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 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 http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf.
(h) Certifications. A certification that the Recipient is in
compliance with 2 CFR 200.303 (Internal Controls) and 2 CFR part 200,
subpart F (Audit Requirements).
Performance Measurement Reports
BUILD 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:
[cir] Frequency: Quarterly.
[cir] Report covers: Previous year.
[cir] Start: Once, upon award of grant; Annual, for three years
after construction completes; once, no later than four years after
construction completes.
[cir] End: At the end of agreed upon performance measurement
period.
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:
(1) Baseline data for each performance measure that is identified
in the grant agreement, accurate as of the Pre-project Measurement
Date; and
(2) 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:
(1) A narrative discussion detailing project successes and the
influence of external factors on project expectations;
(2) 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.
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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 OST's performance; (b) the
accuracy of the estimated burden; (c) ways for OST 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 December, 20, 2018.
John Augustine,
Director of the Office of Infrastructure Finance and Innovation, Office
of the Under Secretary for Transportation Policy.
[FR Doc. 2018-28237 Filed 12-27-18; 8:45 am]
BILLING CODE 4910-XX-P