Grant Awards and Cooperative Agreements

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SF 270 Request for Advance or Reimbursement	Form and Instruction	New	Available
Form SF 425 Federal Financial Report	Form and Instruction	New	Available
Form SF LLL Disclosure of Lobbying Activities	Form and Instruction	New	Available
Form SF 424d Assurances for Construction Programs	Form	New	Available
Form SF 424c Budget Information for Construction Programs	Form and Instruction	New	Available
Form SF 424b Assurances for Non-Construction Programs	Form	New	Available
Form SF 424a Budget Information for Non-Construction Programs	Form	New	Repair queued
Form SF 424 Application for Federal Assistance	Form	New	Repair queued
Form FRA F 33 Final Performance Report	Form	New	Available
Form FRA F 217 Environmental Process	Form and Instruction	New	Available
Form FRA F 32 Service Outcome Agreement (SOA) Annual Reporting	Form	New	Available
Form FRA F 31 Grant Adjustment Request Form (GARF)	Form	New	Available
Form FRA F 34 Quarterly Progress Report	Form and Instruction	New	Available
Form FRA F 30 Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying	Form	New	Available
Form FRA F 35 Grant Application Form (FRA F 35)	Form and Instruction	New	Available
Form FRA F 229 Buy America Process	Form	Modified	Available
Grants_Supporting_Statement_2130-0615_10_18_18.docx	Supporting Statement A	Uploaded 2018-10-18	Available
30DayFRN_2018-17284.pdf	Supplementary Document	Uploaded 2018-08-31	Available
60DayFRN_2018-14339.pdf	Supplementary Document	Uploaded 2018-08-22	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
232779	Request for Advance or Reimbursement	Form and Instruction	New
232778	Federal Financial Report	Form and Instruction	New
232777	Disclosure of Lobbying Activities	Form and Instruction	New
232776	Assurances for Construction Programs	Form	New
232775	Budget Information for Construction Programs	Form and Instruction	New
232774	Assurances for Non-Construction Programs	Form	New
232773	Budget Information for Non-Construction Programs	Form	New
232772	Application for Federal Assistance	Form	New
232771	Final Performance Report	Form	New
232768	Environmental Process	Form and Instruction	New
232765	Service Outcome Agreement (SOA) Annual Reporting	Form	New
232764	Grant Adjustment Request Form (GARF)	Form	New
232763	Quarterly Progress Report	Form and Instruction	New
232762	Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying	Form	New
232761	Grant Application Form (FRA F 35)	Form and Instruction	New
219064	Buy America Process	Form	Modified

ICR Details

OMB Control No: 2130-0615	ICR Reference No: 201808-2130-003
Status: Historical Active	Previous ICR Reference No: 201611-2130-001
Agency/Subagency: DOT/FRA	Agency Tracking No:
Title: Grant Awards and Cooperative Agreements
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 10/18/2018
	Date Received in OIRA: 08/31/2018
Terms of Clearance: The agency clarified the classification of the burden associated with this collection.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2021	36 Months From Approved	02/28/2019
Responses	5,468	0	25,068
Time Burden (Hours)	87,529	0	39,521
Cost Burden (Dollars)	0	0	0

---

Abstract: This is a voluntary reporting collection open to all Railroads and local and statement governments, and is used for administering the FRA Grants Management Program. Frequency of reporting varies depending upon the stage of the grant process (award, maintenance or close out). All reporting is directed to FRA when submitted. This is a revision to a currently approved collection. This collection represents an increase of burden hours based on the revised number of expected new grant applications to be received, the current number of existing grants being managed and/or expected to be closed out. The main reason for increase in burden hours is the incorporation of FRA Form 217 and the environmental documentation process being transferred from OMB Control No. 2130-0548 to this collection. The purpose of the program: FRA solicits grant applications for viable projects including, but not limited to, preconstruction planning activities, safety improvements, congestion relief, improvement of grade crossings, rail line relocation, as well as projects that encourage development, expansion, and upgrades to passenger and freight rail infrastructure and services. Funded projects are those that meet FRA and government wide evaluation standards and align with the President’s key strategic transportation goals to create safe and efficient transportation choices, build a foundation for economic competitiveness, promote energy efficiency and environmental quality, and support interconnected livable communities. FRA administers award agreements for both construction and non-construction projects that will result in service benefits or other tangible improvements in rail corridors. These projects include completion of preliminary engineering, environmental research and development, final design, and construction.

---

Authorizing Statute(s): PL: Pub.L. 110 - 329 10 Name of Law: The Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009
   PL: Pub.L. 109 - 59 9002 Name of Law: SAFETEA-LU
   PL: Pub.L. 110 - 432 105 Name of Law: Rail Safety Improvement Act of 2008
   PL: Pub.L. 111 - 5 12 Name of Law: American Recovery and Reinvestment Act of 2009
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 31030	07/03/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 44692	08/31/2018
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 16

table that charts list of burden

IC Title	Form No.	Form Name
Grant Application Form (FRA F 35)	FRA F 35	Grant Application Form
Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying	FRA F 30	Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying
Quarterly Progress Report	FRA F 34	Quarterly Progress Report
Environmental Process	FRA F 217	Categorical Exclusion Worksheet (CATEX)
Final Performance Report	FRA F 33	Final Performance Report
Application for Federal Assistance	SF 424	Application for Federal Assistance
Budget Information for Non-Construction Programs	SF 424a	Budget Information for Non-Construction Programs
Assurances for Non-Construction Programs	SF 424b	Assurances for Non-Construction Programs
Assurances for Construction Programs	SF 424d	Assurances for Construction Programs
Disclosure of Lobbying Activities	SF LLL	Disclosure of Lobbying Activities
Federal Financial Report	SF 425	Federal Financial Report
Request for Advance or Reimbursement	SF 270	Request for Advance or Reimbursement
Grant Adjustment Request Form (GARF)	FRA F 31	Grant Adjustment Request Form
Service Outcome Agreement (SOA) Annual Reporting	FRA F 32	Service Outcome Agreement (SOA) Annual Reporting
Budget Information for Construction Programs	SF 424c	Budget Information for Construction Programs
Buy America Process	FRA F 229	NIST Manufacturing Extension Partnership Supplier Scouting

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	5,468	25,068	0	0	-19,600	0
Annual Time Burden (Hours)	87,529	39,521	0	0	48,008	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This collection represents an increase of burden hours based on the revised number of expected new grant applications to be received, the current number of existing grants being managed and/or expected to be closed out. The main reason for increase in burden hours is the incorporation of FRA Form 217 and the environmental documentation process being transferred from OMB Control No. 2130-0548 to this collection.

---

Annual Cost to Federal Government: $1,131,931

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Yes

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  Yes

Description/Changes for Common Form Usage:  There are no changes in use of Common Forms from previous submissions. FRA Grant Management Program forms are available for use by all agencies.

Approved RCFs using this ICR

table that charts list of RCF

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/31/2018

---