[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

[[Page 67485]]

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

[[Page 67486]]

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.

[[Page 67487]]

    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