DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
JUSTIFICATION STATEMENT
49 U.S.C. SECTION 5307 URBANIZED AREA FORMULA PROGRAM
(OMB Control No. 2132-0502)
ABSTRACT
This supporting statement is associated with a request for revision of an approved information collection. The revision to this collection is necessary due to a decrease in the annual burden hours as a result of the removal of 49 U.S.C. Section 5309 Capital Assistance Program from the Section 5307 Urbanized Area Formula Program. In the currently approved information collection, 49 U.S.C. Section 5309 Capital Assistance Program includes Fixed Guideway Modernization (U.S.C. 5309(B)(2)) and Bus and Bus Facilities (49 U.S.C. 5309(B)(3)). However, both of these portions of Section 5309 were repealed under the Moving Ahead for Progress in the 21st Century Act (MAP-21). 49 U.S.C. Section 5309 Fixed Guideway Investment Grants – New Starts continues under a recently approved information collection activity which is OMB Number 2132-0561. The separation of 49 U.S.C. Section 5307 and 49 U.S.C. Section 5309 resulted in a decrease in both the grant applications and burden hours that are associated with this information collection request.
A. Justification
1. CIRCUMSTANCES THAT MAKE THE COLLECTION NECESSARY.
The provisions of 49 U.S.C. Section 5307 Urbanized Area Formula Program, Uniform Administrative Requirements for Cost Principles and Audit Requirements (2 CFR part 200 or Uniform Guidance), and prudent administration of federal grant funds dictate that grantor agencies review applications for federal assistance to assure eligibility of the grantees and the project activities and other criteria, as appropriate, and monitor approved projects to ensure timely expenditure of federal funds by grant recipients. The Federal Transit Administration (FTA) provides financial assistance to State and local governments and public transportation authorities for capital projects and operating expenses in some cases. Capital projects include purchasing, leasing, constructing, maintaining, or repairing facilities, rolling stock, and equipment for use in a public transportation system. The information collected under is structured to comply with federal mandates.
The Passenger Ferry Grant Program component was added under Section 5307 as a result of MAP-21. The Passenger Ferry Grant Program is a discretionary grant program that will award funding on a competitive selection basis.
This request for revision of a currently approved information collection is due to the removal of Section 5309 Capital Assistance Program. In the currently approved information collection, Section 5309 Capital Assistance Program includes Fixed Guideway Modernization (U.S.C. 5309(B)(2)) and Bus and Bus Facilities (49 U.S.C. 5309(B)(3)). Both of these portions of Section 5309 were repealed under MAP-21. Section 5309 Fixed Guideway Investment Grants – New Starts continues under a previously approved information collection activity which is OMB Number 2132-0561.
Generally, the reporting requirements are identical and are submitted by recipients in two stages, the application stage, and the project management stage.
Application Stage
FTA must determine the applicant's eligibility to receive program funds. FTA must know:
a) who the applicant is; b) for what purpose the funds are requested; and c) the amount of federal funds requested or needed. FTA has issued FTA Circular 9030.1D, “Urbanized Area Formula Program: Program Guidance and Application Instructions,” detailing the application instructions for the Section 5307 program. New applicants applying for the first time must submit:
a. Authorizing Resolution. As required by 49 U.S.C. 1602 (a)(2)(A), this information is necessary to assure FTA that the individuals involved represent the organization seeking federal assistance and are empowered to enter into contracts on the organization's behalf.
Opinion of Counsel. Also required by 49 U.S.C.1602(a)(2)(A) to ensure that the
applicant has the legal capacity to carry out the project and that there is no
outstanding litigation that would encumber the federal government upon project
approval.
In addition, each application must include:
a. Standard Form 424. Entitled "Application for Federal Assistance," this form must be submitted with each application.
b. Project Budget. FTA must know how much federal financial assistance is required, the amount and sources of local funds available for this project, and the specific elements and associated costs for each.
Project Description. Some federal funding is limited to specific categories of transit projects. The project description enables FTA to determine whether funding of the proposed project is allowable under federal transit law and the Common Grant Rule.
Project Justification. This information is required for all Passenger Ferry (discretionary) projects. The information is required by FTA to:
ensure compliance with a comprehensive transportation planning process;
determine whether the project will meet prescribed program objectives; and
given the limited amount of federal funding available, determine whether or not the project is cost-effective.
proposed for funding is required to be submitted. The "Program of Projects"
includes those projects in the first year program of the approved Transportation
Improvement Program--the subject of a separate FTA information collection.
Project Milestone Schedule. This document consists of milestone dates for major
activities and an overall project completion date. Milestone dates are provided for
such events as bid advertisement, bid award, and contract completion.
List of Labor Unions. This document is used by the Department of Labor in making
the certification of labor protective arrangements required for grants funded under Sections 5307 in statutory language at Title 49 U.S.C. at Section 5333(b).
Environmental Exhibit. This documentation includes a proposed classification of
each activity line item in accordance with the Federal Highway Administration
(FHWA)/FTA Environmental Impact and Related Procedures, as required by
23 C.F.R. Parts 771.115 and 771.117. Most projects meet the criteria for a
categorical exclusion. For each of these projects, proposed classifications and
supporting documentation must be submitted. For those projects that do not meet
the criteria for a categorical exclusion, an Environmental Assessment or
Environmental Impact Statement may need to be submitted as required by the
National Environmental Policy Act.
Public Hearing Notice Transcript. When a capital project under Section 5307 will have a substantial impact on a community or on the mass transit service of the community, grant applicants must provide an opportunity for a public hearing to
obtain the views of citizens on the proposed program of projects. Notices of a
hearing must include a brief description of the proposed project and be published in a newspaper circulated in the affected area. Section 5323(b) requires that when such a hearing is held a transcript of the hearing is submitted with the application. The transcript submission provides a record of the public's concerns to verify that the comments were taken into consideration during project development.
Project Management Plan. As required by 49 USC 5327(a), grantees must prepare
and submit a project management plan to FTA for major projects (generally, those
projects with a total cost of more than $100 million). These plans explicitly define all
tasks necessary to implement a major capital project. Each plan must include a
description of adequate recipient staff organization; a budget; a construction
schedule; a document control procedure and recordkeeping system; change order
procedures; a description of organizational structures, management skills, and
staffing level required for construction phase, quality control and assurance
programs, material testing policies and procedures; plan for internal reporting
requirements, and procedures for testing an operational system or its major
component.
Annual Certifications and Assurances. Before FTA may award a federal grant, the applicant must provide FTA with all certifications and assurances required by federal laws and regulations for the applicant or project. A grant applicant must sign the appropriate certifications and assurances each year for all anticipated grant applications during that particular fiscal year. This annual certification process replaces individual certifications and assurances that grantees used in the past when submitting each grant application or periodically when warranted by specific circumstances.
Project Management Stage
The reporting requirements under this stage are necessary to ensure the proper and timely
expenditure of federal funds within the scope of the approved project. The requirements
comply with the Uniform Guidance and are contained in FTA Circular 5010.1D, “Grant Management Requirements” and also may also be included in sections of the grant contract.
These reporting requirements are:
Quarterly Milestone/Progress Reports (QPR). These narrative reports define the level
of activity for each project element during the reporting period. Delays, problems,
and milestone achievements are reported to FTA. The reports greatly reduce the
need for on-site visits by staff. Since June 2002, recipients of 5307 and 5309 projects that operate transit from small urbanized areas are no longer required to submit quarterly reports, but instead are required to submit annual Milestone/Progress Reports.
Cost Allocation Plan. These narrative reports are required of State or local agencies
desiring reimbursement for indirect administrative expenses incurred in connection
with a capital grant. The Cost Allocation Plan is necessary to properly determine
those indirect costs attributable to capital grants.
Quarterly Financial Status Reports (FSRs). These quantitative reports
provide a financial picture of project activity. The reports include information
regarding obligations, payments, receipts, and other pertinent financial data required
to ensure proper expenditure of federal funds. Since June 2002, quarterly financial reports have not been required of 5307 and 5309 grantees operating from small urbanized areas. These grant recipients are required instead to submit Financial Status Reports annually (October 30 of each year).
Reports of Significant Events. Unforeseen events that impact the schedule, cost,
capacity, usefulness or purpose of the project should be reported to FTA immediately
after detection and then reflected in the next quarterly progress report.
e. Pre-award and Post-delivery Rolling Stock Reviews. The reviews are required to be performed by FTA grantees purchasing rolling stock. These reviews are intended to ensure compliance with various requirements, such as Buy America, and to
detect any vehicle defects while the vehicle is under warranty. Grantees certify
compliance with the review requirements under the implementing rule that was
published in September 1991.
f. Project Management Plan Updates. As major construction projects progress, the
original project management plans need revisions and updates. Updates must include
project budget; project schedule; financing, both capital and operating; ridership
estimates, including operating plan; and, when appropriate, the status of local efforts
to enhance ridership when estimates are contingent, in part, upon the success of such
efforts to be made.
USED AND CONSEQUENCES IF THE INFORMATION IS NOT COLLECTED.
The reports are submitted to the cognizant program office, usually within an FTA regional office, to determine the applicant's eligibility for funding and, subsequently, the grantee's progress in implementing and completing project activities. The reports assure FTA of a level of management of risks. Also, the information submitted ensures FTA's compliance with applicable federal laws, and the Common Grant Rule. In addition, without these reports, significant resources and manpower would be necessary to conduct on-site inspections.
CONSIDERATION OF IMPROVED INFORMATION TECHNOLOGY TO REDUCE
BURDEN AND ANY TECHNICAL OR LEGAL OBSTACLES TO REDUCING
BURDEN.
FTA's electronic grant making and management system is a paperless, electronic grant application, review, approval, acceptance and management process. 100 percent of FTA’s grant applications are submitted electronically. FTA also anticipates that approximately 100 percent of the periodic reports that grantees are required to submit will be submitted electronically. Grantees are also encouraged to use the electronic system for signature of annual certifications and assurances.
DESCRIBE EFFORTS TO IDENTIFY DUPLICATION. SHOW SPECIFICALLY
WHY ANY SIMILAR INFORMATION ALREADY AVAILABLE CANNOT BE
USED OR MODIFIED FOR USE FOR THE PURPOSES DESCRIBED IN ITEM 2.
The reports are project specific and the information is not available elsewhere. There is no duplication. Many submissions that were previously required with each application are now permitted on a one-time basis. Other submissions previously required for each application are now submitted annually.
5. METHODS USED TO MINIMIZE BURDEN ON SMALL BUSINESSES OR OTHER
SMALL ENTITIES.
The information collected does not involve small businesses. However, grantees reporting from smaller urbanized areas (urbanized areas with populations of less than 200,000) are allowed to submit Milestone Progress Reports and Financial Status Reports on an annual basis rather than on the quarterly basis formerly required.
CONSEQUENCES TO FEDERAL PROGRAMS OR POLICY ACTIVITIES IF
INFORMATION WAS NOT COLLECTED OR COLLECTED LESS FREQUENTLY, AS WELL AS ANY TECHNICAL OR LEGAL OBSTACLES TO REDUCING THE BURDEN.
If these and other reports were required less frequently, additional site visits by agency staff would be required to ensure compliance with program objectives.
SPECIAL CIRCUMSTANCES THAT REQUIRE THE COLLECTION TO BE
CONDUCTED IN A MANNER INCONSISTENT WITH 5 CFR 1320.6.
The information collected is consistent with the guidelines in 5 CFR 1320.6.
EFFORTS TO CONSULT WITH PERSONS OUTSIDE THE AGENCY TO OBTAIN
THEIR VIEWS.
A 60-day Federal Register notice was published on August 16, 2016 (pages 54658 and 54659) soliciting comments prior to submission to the Office of Management and Budget (OMB). No comments were received. A 30-day Federal Register notice was published
on November 17, 2016 (pages 81237 and 81238). Both of these Federal Register notices have been included with the OMB submittal.
EXPLAIN ANY DECISION TO PROVIDE ANY PAYMENT OR GIFT TO
GRANTEES.
No payment is made to respondents.
DESCRIBE ANY ASSURANCE OF CONFIDENTIALITY PROVIDED
RESPONDENTS.
There is no assurance of confidentiality regarding these submissions.
11. ADDITIONAL JUSTIFICATION FOR QUESTIONS OF A SENSITIVE NATURE.
None of the information is of a sensitive nature.
12. ESTIMATE OF THE HOUR BURDEN OF THE COLLECTION, AND ANNUALIZED
COST TO RESPONDENTS.
TOTAL RESPONDENTS: 6,240
TOTAL ANNUAL BURDEN HOURS: 117,000
Requirements |
# Annual submissions |
Burden hours per submission |
Total burden hours |
|
|
|
|
Application Stage (includes all of the following): |
1,560 |
51 |
79,560 |
Authorizing/Resolution } Opinion of Counsel } SF Form 424 } Project Description } |
|
|
|
Project Budget } Project Justification } Public Hearing Notice } Project Milestones } List of Labor Unions } Environmental Exhibit }
|
|
|
|
Total, Application Stage |
1,560 |
51 |
79,560 |
|
|
|
|
Project Management Stage |
4,680 |
8 |
37,440 |
Progress Report- Annual 8 16,696
|
|
|
|
|
|
|
|
Financial Status Report |
|
|
|
|
|
|
|
Cost Allocation Plans |
|
|
|
Project Management Plan Updates |
|
|
|
Total, Project Management Stage |
4,680 |
8 |
37,440 |
Grand Total, Application and Project Management |
6,240 |
59 |
117,000 |
All burden hour estimates are based on a comprehensive review of all the requirements associated with Section 5307, many years of program experience, discussions with cognizant Headquarters and Regional staff, and discussions with and informal surveys of respondents. The total annual respondent burden includes all respondents with active grants.
The total number of burden hours associated with this submission in FTA’s information
collection inventory is 117,000 (79,560 hours application stage + 37,440 hours project
management stage).
Estimate of the cost to respondents:
The number and complexity of applications submitted each year vary considerably and there is a wide variance in the level of effort required. A majority of applications are,
however, simple and straightforward. The figures below are representative of a straightforward application meeting all of the criteria for federal funding.
We estimate that it takes approximately 51 person-hours to develop and submit an application to FTA for review. Since FTA receives approximately 1,560 applications per year, the total hours required are estimated to be (51 hours x 1,560 applications = 79,560 hours). Although various personnel are involved in the development of an application, the average salary is estimated to be $34 per hour. Therefore, the cost to the respondents for the application stage is computed at $2,705,040 (79,560 hours x $34 per hour = $2,705,040,160 hours).
Project Management Stage:
Staff time devoted to the preparation of progress and other project management reports takes approximately 8 hours at an average salary of $30 per hour or $240 per report. There are 4,680 reports submitted annually; therefore, the cost for the project management stage is estimated to be $1,123,200 (4,680 reports x $240 = $1,123,200).
The total cost for the application and project management stages is $5,543,040
($2,705,040 application stage + 1,123,200 project management stage).
ESTIMATE OF TOTAL ANNUAL COST BURDEN TO RESPONDENTS OR
RECORDKEEPERS RESULTING FROM THE COLLECTION OF INFORMATION
(NOT INCLUDING THE COST OF ANY HOUR BURDEN SHOWN IN ITEMS 12
AND 14.
There is no additional cost beyond that shown in items 12 and 14.
14. ESTIMATE OF THE ANNUALIZED COST TO THE FEDERAL GOVERNMENT.
The cost is calculated as follows:
Application Stage:
Experience indicates that it takes approximately 19 person-hours to review each application received by FTA. It should be noted that this figure assumes that the application is: 1) complete, 2) fundable and 3) non-controversial. More complex projects or programs of projects would consume additional time.
Although reviewed by several different staffers, from secretaries to the Administrator, it is estimated that the average grade level of the reviewers is GS-12/step 5, paid $39 per hour. Since FTA receives and reviews approximately 1,560 applications per year, the cost to the federal government is $1,155,960 (19 hours x 1,560 applications = 29,640 hours x $39 = $1,155,960).
Project Management Stage:
A review of the progress and other project management reports submitted during a year should be completed within 1/2 hour by a GS-13 (average salary, $40 per hour and 1/2 hour = $20). There are approximately 4,680 progress reports submitted during a year. The cost to the federal government is $93,600 ($20 x 4,680 = $93,600).
Total cost for application and project management stages is $1,249,560 ($1,155,960 application stage + $93,600 project management stage).
15. EXPLAIN REASONS FOR CHANGES IN BURDEN, INCLUDING THE NEED FOR
ANY INCREASES
The total burden for this request is 117,000 hours, a reduction of 52,536 hours from the previous request of 169,536 hours. The total number of respondents is 6,240, a reduction of 2,912 from the previous request of 9,152. This decrease is primarily due to the removal of Section 5309 Capital Assistance Program from this information collection. The currently approved information collection contains two portions of Section 5309 that were repealed under MAP-21. Section 5309 Fixed Guideway Investment Grants – New Starts continues under information collection OMB Number: 2132-0502.
16. PLANS FOR TABULATION AND PUBLICATION FOR COLLECTIONS OF
INFORMATION WHOSE RESULTS WILL BE PUBLISHED.
FTA does not plan to publish the results of the information collected for statistical use.
17. IF SEEKING APPROVAL NOT TO DISPLAY THE EXPIRATION DATE FOR OMB
APPROVAL, EXPLAIN THE REASONS.
There is no reason not to display the expiration date of OMB approval.
18. EXPLAIN ANY EXCEPTIONS TO THE CERTIFICATION STATEMENT
IDENTIFIED IN ITEM 19 OF OMB FORM 83-I.
No exceptions are stated.
| File Type | application/msword |
| File Title | 49 U |
| Author | masselinks |
| Last Modified By | USDOT_User |
| File Modified | 2016-11-21 |
| File Created | 2016-11-21 |