49 U.S.C. Section 5307 Urbanized Area Formula Program

Forms and Documents

Document Name	Status
Urbanized Area Supporting Statement FINAL.doc Supporting Statement A	2020-01-10
30-Day FRN Section 5307.pdf Supplementary Document	2019-12-17
60-Day FRN.pdf Supplementary Document	2019-12-12

IC Document Collections

IC ID	Document Title	Status
26520	49 USC Sections 5309 & 5307 Capital Assistance Programs Instruction	Removed
238925	Section 5307 Urbanized Area Formula Program: Application Stage	New
238924	Section 5307 Urbanized Area Formula Program; Project Management Stage: FFRs	New
238922	Section 5307 Urbanized Area Formula Program - Project Management Stage: MPRs Other-Screenshot of 5307 MPR	New

ICR Details

OMB Control No: 2132-0502	ICR Reference No: 201912-2132-001
Status: Active	Previous ICR Reference No: 201611-2132-002
Agency/Subagency: DOT/FTA	Agency Tracking No:
Title: 49 U.S.C. Section 5307 Urbanized Area Formula Program
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/05/2020
	Date Received in OIRA: 01/27/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2023	36 Months From Approved	08/31/2020
Responses	5,864	0	6,240
Time Burden (Hours)	114,008	0	117,000
Cost Burden (Dollars)	0	0	0

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Abstract: This information collection (IC) request is for a three-year extension associated with a revision of a currently approved collection under OMB control number 2132-0502 “49 U.S.C. Section 5307 Urbanized Area Formula Program.” The revision is a new policy implemented by FTA that all grants of $2 million or less awarded to recipients located in urbanized areas over 200,000 in population, may be reported annually instead of quarterly, unless a specific risk is identified for that grant. FTA’s new policy reduces the number of Federal Financial Reports from 3,120 in the 2016 IC submission to 2,746 in the current submission (12% decrease in reporting requirements). There has been no other programmatic changes to this program since 2016. The response to the collection is required to obtain or retain a benefit, as the information is submitted to FTA to provide financial assistance to State and local governments and public transportation authorities for capital projects such as planning, engineering, design and evaluation of transit projects and other technical transportation-related studies; capital investments in bus and bus-related activities such as replacement, overhaul and rebuilding of buses, crime prevention and security equipment and construction of maintenance and passenger facilities; and capital investments in new and existing fixed guideway systems including rolling stock, overhaul and rebuilding of vehicles, track, signals, communications, and computer hardware and software. In addition, associated transit improvements and certain expenses associated with mobility management programs are eligible under the program. All preventive maintenance and some Americans with Disabilities Act complementary paratransit service costs are considered capital costs. Section 5307 also includes funding for passenger ferry system in urbanized areas. The recipients must apply to receive federal funds and then provide various reports (milestone and financial reports) as necessary to ensure the proper and timely expenditure of federal funds within the scope of the approved project. The applications and milestones are submitted on a yearly basis but financial milestone reports are submitted on a quarterly basis (unless they are under the $2 million threshold stated above).

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Authorizing Statute(s): PL: Pub.L. 112 - 141 20007 Name of Law: Capital Investment Grants and Loans
   US Code: 49 USC Section 5307 Name of Law: Urbanized Area Formula Grants
   US Code: 49 USC Section 5309 Name of Law: Capital Investment Grants and Loans
   PL: Pub.L. 114 - 94 5307 Name of Law: Fixing America's Surface Transportation (FAST) Act
  

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 56012	10/18/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 68541	12/16/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
49 USC Sections 5309 & 5307 Capital Assistance Programs
Section 5307 Urbanized Area Formula Program - Project Management Stage: MPRs
Section 5307 Urbanized Area Formula Program: Application Stage
Section 5307 Urbanized Area Formula Program; Project Management Stage: FFRs

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ICR Summary 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	5,864	6,240	0	-376	0	0
Annual Time Burden (Hours)	114,008	117,000	0	-2,992	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The total burden for this request is 114,008 hours, a reduction of 2,992 hours from the previous request of 117,000 hours. The total number of respondents remains the same. The decrease is due to FTA’s effort to reduce reporting requirements. All grants of $2 million or less awarded to recipients located in urbanized areas over 200,000 in population, may be reported annually instead of quarterly, unless a specific risk is identified for that grant. In addition, the cost to respondents as well as the cost to the Federal government, has increased to reflect the current labor rates. There was no burden increase in this IC. FTA updated the IC submission in ROCIS to reflect the application stage and project management stage as three separate IC instruments. There was no increase in responses. There was actually a decrease from 6,240 in 2016 to 5,864 in 2019.

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Annual Cost to Federal Government: $565,219

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)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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: 01/27/2020

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