Agency Information Collection Activities: Renewed Approval of Information Collection, 18502-18506 [2015-07856]

Agencies

• DEPARTMENT OF TRANSPORTATION
• Office of the Secretary

[Federal Register Volume 80, Number 65 (Monday, April 6, 2015)]
[Notices]
[Pages 18502-18506]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-07856]


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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.

[[Page 18503]]


ACTION: Notice and request for comments.

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SUMMARY: The Department of Transportation (DOT) invites public comments 
on our intention to request the Office of Management and Budget's (OMB) 
approval to reinstate a previously approved Information Collection 
Request (OMB Control Number 2105-0563) in accordance with the 
requirements of the Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 
U.S.C. 3501 et seq.).
    The previous approval granted the Department of Transportation 
authority to collect information involving National Infrastructure 
Investments or ``TIGER'' Discretionary Grants pursuant to Title I of 
the Transportation, Housing and Urban Development, and Related Agencies 
Appropriations Act for 2010 (the ``FY 2010 Appropriations Act''). The 
Office of the Secretary of Transportation (``OST'') is referring to 
these grants as ``TIGER Discretionary Grants.'' The original collection 
of information was necessary in order to receive applications for grant 
funds pursuant to the Transportation, Housing and Urban Development, 
and Related Agencies Appropriations Act of 2010 (``FY 2010 
Appropriations Act''), Title I--Department of Transportation, Office of 
the Secretary, National Infrastructure Investments, Public Law 111-117, 
123 Stat. 3034. The purpose of the TIGER Discretionary Grants program 
is to advance projects that will have a significant impact on the 
Nation, Metropolitan area or a region.
    This request for reinstatement advances the previously approved 
request of an information collection. The information to be collected 
will be used to, receive applications for grant funds, to evaluate the 
effectiveness of projects that have been awarded grant funds and to 
monitor project financial conditions and project progress in support of 
the National Infrastructure Investments, referred to by the Department 
as ``Grants for Transportation Investment Generating Economic 
Recovery'', or ``TIGER'' Discretionary Grants program authorized and 
implemented pursuant to the American Recovery and Reinvestment Act of 
2009 (the ``Recovery Act'') (OMB Control Number: 2105-0563) and the 
grants for National Infrastructure Investments under the FY 2010 
Appropriations Act or TIGER Discretionary Grant programs include 
promoting economic recovery and supporting projects that have a 
significant impact on the Nation, a metropolitan area, or a region.

DATES: Written comments should be submitted by June 5, 2015.

ADDRESSES: You may submit comments [identified by Docket No. DOT-OST-
2015-0061] through one of the following methods:
     Federal eRulemaking Portal: https://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: Robert Mariner, Office of the 
Assistant Secretary for Transportation Policy, at 202-366-8914 or 
Robert.Mariner@dot.gov.

SUPPLEMENTARY INFORMATION: OMB Control Number: 2105-0563.
    Title: National Infrastructure Investments Grant Program or ``TIGER 
Discretionary Grants'' and Supplemental Discretionary Grants for 
Capital Investments in Surface Transportation Infrastructure.
    Form Numbers: None.
    Type of Review: Reinstatement with change of a previously approved 
information collection.
    Background: The Transportation Investment Generating Economic 
Recovery or ``TIGER Discretionary Grants'' program was created as part 
of the American Recovery and Reinvestment Act of 2009. Through the 
Recovery Act and six appropriations acts, Congress provided DOT with 
funding for seven rounds of competitive grants totaling more than $4.6 
billion for capital and planning investments in surface transportation 
infrastructure. Funding for 72 projects totaling more than $584 million 
under the TIGER program was announced on September 12, 2014. Projects 
were selected based on their alignment with the selection criteria 
specified in the Federal Register notice for the TIGER Discretionary 
Grant program. As announced in the Federal Register notices for each of 
the TIGER Discretionary Grant programs, grantees are expected to 
provide information to the Government so that the Government may 
monitor the financial conditions and progress of projects, as well as 
the effectiveness of projects using performance measurement metrics 
negotiated between the grantees and the Government.
    This request reinstates the existing PRA clearance to cover the 
requests for information from grantees that is necessary to receive 
grant applications, negotiate the grant agreements, and cover the 
reporting requirements agreed to by recipients of TIGER Discretionary 
Grants.
    The reporting requirements for the program are as follows:
    Grantees will submit reports on the financial condition of the 
project and the project's progress. Grantees will submit progress 
reports and the Federal Financial Report (SF-425) 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 initial report will include a 
detailed description, and, where appropriate, drawings, of the items 
funded.
    Grantees will also submit an Annual Budget Review and Program Plan 
to the Government via email 60 days prior to the end of each Agreement 
year that they are receiving grant funds. The Annual Budget Review and 
Program Plan will provide a detailed schedule of activities, estimate 
of specific performance objectives, include forecasted expenditures, 
and schedule of milestones for the upcoming year. If there is an actual 
or projected project cost increase, the Annual Budget Review will 
include a written plan for providing additional sources of funding to 
cover the project budget shortfall or supporting documentation of 
committed funds to cover the cost increase.
    This information will be used to monitor grantees' use of Federal 
funds, ensuring accountability and financial transparency in the TIGER 
programs.
    Grantees will also submit reports on the performance (or projected 
performance) of the project on 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 Performance 
Measurement Table in the grant agreement negotiated between the grantee 
and the Government. 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 
interim Project Performance Measurement Reports to the Government for 
each of the performance measures specified in the Performance 
Measurement Table in the grant agreement negotiated between the grantee 
and the Government. Grantees will submit reports at each of the 
intervals identified for the duration of

[[Page 18504]]

the time period specified in the Performance Measurement Table in the 
grant agreement negotiated between the grantee and the Government. 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 evaluate and compare 
projects and the monitor results that grant funds achieve, ensuring 
that grant funds achieved the outcomes targeted by the TIGER 
Discretionary Grant program.
    The Department's estimated burden for this information collection 
is the following:
    Estimated Number of Responses: 5,570.
    Estimated Number of Respondents: 500.
    Estimated Costs: $4,259,310.
    Target Audience: Eligible Applicants'' for TIGER Discretionary 
Grants are State, local, and tribal governments, including U.S. 
territories, transit agencies, port authorities, metropolitan planning 
organizations (MPOs), other political subdivisions of State or local 
governments, and multi-State or multi-jurisdictional groups applying 
through a single lead applicant (for multi-jurisdictional groups, each 
member of the group, including the lead applicant, must be an otherwise 
eligible applicant as described in this paragraph).
    Frequency: Quarterly, and Yearly.
    Estimated Average Burden per Response: 8 hours for each request for 
Quarterly Progress and Monitoring Report; 8 hours for each Annual 
Budget Review; 8 hours for each Quarterly Performance Measurement 
Report.
    Estimated Total Annual Burden: 144,070 hours.
    The following is detailed information and instructions regarding 
the specific reporting requirements for each report identified above:
    TIGER Discretionary Grant program grantees will submit a Project 
Progress and Monitoring Report and the Federal Financial Report (SF-
425) to the Government on a quarterly basis. Grantees should use the 
following structure when preparing the quarterly Project Progress and 
Monitoring Report.
     Project Progress and Monitoring Report
    [cir] Frequency: Quarterly (on the 20th of the first month of the 
calendar quarter).
    [cir] Report covers: Previous quarter, along with a two-quarter 
forecast.
    [cir] Start: Upon award of grant.
    [cir] End: Once construction is complete.
    [cir] Format/Fields and accompanying instructions (beyond project 
ID information):
    1. Executive Summary.--A clear and concise summary of the current 
status of the project, including identification of any major issues 
that have an impact on the project's scope, budget, schedule, quality, 
or safety, including:
     Current total project cost (forecast) vs. latest budget 
vs. baseline budget. Include an explanation of the reasons for any 
deviations from the approved budget.
     Current overall project completion percentage vs. latest 
plan percentage.
     Any delays or exposures to milestone and final completion 
dates. Include an explanation of the reasons for the delays and 
exposures.
     A summary of the projected and actual dates for notices to 
proceed for significant contracts, start of construction, start of 
expenditure of TIGER Discretionary Grant funds, and project completion 
date. Include an explanation of the reasons for any discrepancies from 
the corresponding project milestone dates included in the Agreement.
     Any Federal obligations and/or TIFIA disbursements 
occurring during the month versus planned obligations or disbursements.
     Any significant contracts advertised, awarded, or 
completed.
     Any significant scope of work changes.
     Any significant items identified as having deficient 
quality.
     Any significant safety issues.
     Any significant Federal issues such as environmental 
compliance, Buy America/Buy American (whichever is applicable to this 
Project), Davis Bacon Act Prevailing Wage requirements, etc.
    2. Project Activities and Deliverables.--Highlighting the project 
activities and deliverables occurring during the previous quarter 
(reporting period), and (2) define the activities and deliverables 
planned for the next two reporting periods. 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 
Recovery Act requirements, media or Congressional inquiries, value 
engineering/constructability reviews, and other items of significance. 
The two reporting period ``look ahead schedule'' will enable the 
Government to accommodate any activities requiring input or assistance.
    3. Action Items/Outstanding Issues.--Drawing attention to, and 
tracking 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.
    4. 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 grantee and the Government. 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.
    5. 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

[[Page 18505]]

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 TIFIA disbursements for the 
project, compared to planned obligations and disbursements.
    6. Project Funding Status.--The purpose of this section is to 
provide a status report on the non-TIGER Discretionary Grant funds 
necessary to complete the project. This report section should include a 
status update of any legislative approvals or other actions necessary 
to provide the non-TIGER Discretionary Grant funds to the project. Such 
approvals might include legislative authority to charge user fees or 
set toll rates, or the commitment of local funding revenues to the 
project. In the event that there is an anticipated or actual project 
cost increase, the project funding status section should include a 
report on the anticipated or actual source of funds to cover the cost 
increase and any significant issues identified with obtaining 
additional funding.
    7. Project Quality.--The purpose of this section is to: (1) 
Summarize the Quality Assurance/Quality Control activities during the 
previous month (reporting period), and (2) highlight any significant 
items identified as being deficient in quality. Deficient items noted 
should be accompanied by reasons and specifics concerning the 
deficiencies, and corrective actions taken or planned. In addition, the 
agency or firm responsible for the corrective action should be 
documented. Planned corrective actions should then be included as 
Action Items/Outstanding Issues.
    8. Federal Financial Report (SF-425).--The Federal Financial Report 
(SF-425) is a financial reporting form used throughout the Federal 
Government Grant system. Grantees should complete this form and attach 
it to each quarterly Project Progress and Monitoring Report.
    TIGER Discretionary Grant program grantees will submit an Annual 
Budget Review and Program Plan to the Government 60 days prior to the 
end of each Agreement year that they are receiving grant funds. 
Grantees should use the following structure when preparing the Annual 
Budget Review Report.
     Annual Budget Review Report
    [cir] Frequency: Yearly (60 days before the end of the Agreement 
year).
    [cir] Report covers: Upcoming Agreement year.
    [cir] Start: 60 days before first anniversary of grant award.
    [cir] End: Once construction is complete.
    [cir] Format/Fields and accompanying instructions (beyond project 
ID information):
    1. Detailed Schedule of Activities.--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 annual reporting purposes.
    2. Estimate of Specific Performance Objectives.--This section will 
discuss, what, if any performance objectives of the project will be 
achieved over the course of the upcoming Agreement Year and note any 
differences from the original project plan.
    3. Forecasted Expenditures.--This section will discuss financial 
outlays that will occur in support of the project over the course of 
the upcoming Agreement Year and note any differences from the original 
project plan.
    4. Schedule of Milestones for the Upcoming Agreement Year.--This 
section will discuss, what, if any project milestones will be achieved 
over the course of the upcoming Agreement Year and the obligations 
associated with each milestone, noting any differences from the 
original project plan.
    If there are no proposed deviations from the Approved Detailed 
Project Budget, the Annual Budget Review shall contain a statement 
stating such. The grantee will meet with the Government to discuss the 
Annual Budget Review and Program Plan. If there is an actual or 
projected project cost increase, the annual submittal should include a 
written plan for providing additional sources of funding to cover the 
project budget shortfall or supporting documentation of committed funds 
to cover the cost increase. To the extent the annual budget update 
deviates from the approved project budget by more than 10 percent, then 
work proposed under the Annual Budget Review and Program Plan shall not 
commence until written approval from the Government is received.
    TIGER 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.
     Performance Measurement Reports
    [cir] Frequency: Quarterly (on the 20th of the first month of the 
calendar quarter).
    [cir] Report covers: Previous quarter.
    [cir] Start: Once, upon award of grant; Quarterly, once 
construction complete.
    [cir] End: At the end of agreed upon performance measurement 
period.
    [cir] Format/Fields and accompanying instructions (beyond project 
ID information):
    1. Performance Measures Narrative.--Including a detailed 
description of data sources, assumptions, variability, and the 
estimated level of precision for each measure.
    2. Performance Measures Spreadsheet.--Government and grantee will 
agree on the format of the spreadsheet for each individual project. 
Measures (to be negotiated between grantees and the Government, 
individually) may include, but are not

[[Page 18506]]

limited to: Average tons handled/day; average daily gross ton-miles 
(GTM); average container lifts per day (TEUs); containers transported 
on lines (TEUs); transit passenger miles and hours of travel; transit 
passenger & non-passenger counts; transit rider characteristics; 
average bike and or pedestrian users at key locations; average daily 
traffic (ADT) and average daily truck traffic (ADTT); average daily 
total train delay (minutes); average daily total (all vehicles) vehicle 
delay at crossings; transit service level; facility service level; 
average hourly (or peak & off-peak) vehicle travel time; average hourly 
(or peak & off-peak) buffer index; annual crash rates by type/severity; 
average slow order miles and average daily delay minutes due to slow 
orders; bridge condition (Sufficiency Rating); road closure/lost 
capacity time (lane-hours).
    3. [For final Report] Project Outcomes.--Detailing Project 
successes and/or the influence of external factors on Project 
expectations. Including an ex post examination of project effectiveness 
in relation to the Pre-project Report baselines.
    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 March 25, 2015.
Patricia Lawton,
DOT Paperwork Reduction Act Clearance Officer, Office of the Chief 
Information Officer.
[FR Doc. 2015-07856 Filed 4-3-15; 8:45 am]
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