Grant Awards and Cooperative Agreements

Forms and Documents

Document Name	Status
Form FRA F 252 Payment Summary Spreadsheet Form	New
Form FRA F 251 Applicant Financial Capability Questionnaire Form	New
Form SF 270 Request for Advance or Reimbursement Form and Instruction	Unchanged
Form SF 425 Federal Financial Report Form and Instruction	Unchanged
Form SF LLL Disclosure of Lobbying Activities Form and Instruction	Unchanged
Form SF 424d Assurances for Construction Programs Form	Unchanged
Form SF 424c Budget Information for Construction Programs Form and Instruction	Unchanged
Form SF 424b Assurances for Non-Construction Programs Form	Unchanged
Form SF 424a Budget Information for Non-Construction Programs Form	Unchanged
Form SF 424 Application for Federal Assistance Form	Unchanged
Form FRA F 33 Final Performance Report Form and Instruction	Unchanged
Form FRA 217 Environmental Process Form and Instruction	Unchanged
Form FRA F 32 Service Outcome Agreement (SOA) Annual Reporting Form and Instruction	Unchanged
Form FRA F 31 Grant Adjustment Request Form (GARF) Form and Instruction	Unchanged
Form FRA F 34 Quarterly Progress Report Form and Instruction	Unchanged
Form FRA F 30 Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying Form and Instruction	Unchanged
Form FRA F 35 Grant Application Form (FRA F 35) Form	Unchanged
Form FRA F 229 Buy America Process Form and Instruction	Unchanged
Final_Aug_12_20_2130-0615_Grants_Supporting_Statement.docx Supporting Statement A	2020-08-12
60DayFRN_29May2020.pdf Supplementary Document	2020-08-12

IC Document Collections

IC ID	Document Title	Status
243157	Payment Summary Spreadsheet Form	New
243156	Applicant Financial Capability Questionnaire Form	New
232779	Request for Advance or Reimbursement Form and Instruction	Unchanged
232778	Federal Financial Report Form and Instruction	Unchanged
232777	Disclosure of Lobbying Activities Form and Instruction	Unchanged
232776	Assurances for Construction Programs Form	Unchanged
232775	Budget Information for Construction Programs Form and Instruction	Unchanged
232774	Assurances for Non-Construction Programs Form	Unchanged
232773	Budget Information for Non-Construction Programs Form	Unchanged
232772	Application for Federal Assistance Form	Unchanged
232771	Final Performance Report Form and Instruction	Unchanged
232768	Environmental Process Form and Instruction	Unchanged
232765	Service Outcome Agreement (SOA) Annual Reporting Form and Instruction	Unchanged
232764	Grant Adjustment Request Form (GARF) Form and Instruction	Unchanged
232763	Quarterly Progress Report Form and Instruction	Unchanged
232762	Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying Form and Instruction	Unchanged
232761	Grant Application Form (FRA F 35) Form	Unchanged
219064	Buy America Process Form and Instruction	Unchanged

ICR Details

OMB Control No: 2130-0615	ICR Reference No: 202008-2130-002
Status: Active	Previous ICR Reference No: 201810-2130-002
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 without change	Conclusion Date: 01/07/2021
	Date Received in OIRA: 09/09/2020
Terms of Clearance: One year before resubmission, the agency shall work with OIRA to remove potential collections covered by this ICR that are also cleared by Grants.gov. Those collections will be submitted as request for common forms.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2024	36 Months From Approved	10/31/2021
Responses	6,496	0	5,468
Time Burden (Hours)	88,295	0	87,529
Cost Burden (Dollars)	0	0	0

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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. 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.

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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

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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:
	85 FR 32440	05/29/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 54633	09/02/2020
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 18

IC Title	Form No.	Form Name
Buy America Process	FRA F 229	NIST Manufacturing Extension Partnership Supplier Scouting - Item Opportunity Synopsis
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	Quaterly Progress Report
Environmental Process	FRA 217	CATEGORICAL EXCLUSION WORKSHEET
Final Performance Report	FRA F 33	Grant/Cooperative Agreement 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	Gramt Adjustment Request Form (GARF)
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
Applicant Financial Capability Questionnaire	FRA F 251	Applicant Financial Capability Questionnaire
Payment Summary Spreadsheet	FRA F 252	Payment Summary Spreadsheet

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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	6,496	5,468	0	1,028	0	0
Annual Time Burden (Hours)	88,295	87,529	0	766	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: No

Burden Reduction Due to:

Short Statement: FRA is requesting the initiation of the use of two (2) new forms. The first form is FRA F 251, Applicant Financial Capability questionnaire. The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) requires Federal agencies to evaluate the risk posed by Federal assistance applicants before they receive a Federal award (see 2 CFR 200.205). FRA is implementing the Applicant Financial Capability Questionnaire to more efficiently receive and evaluate the risks associated with financial assistance applicants. FRA is requesting organization level financial information from applicants who have not previously completed the form or not had a current/active grant award with FRA within the last three (3) years. This new form has increased the burden of this collection by 336 hours. The second form is FRA F 252, Payment Summary Spreadsheet. FRA is now requiring awardees to complete this form, as utilizing this new form will assist FRA to manage and monitor awardees’ requests for payment at a more detailed level than contained in the SF-270. This document allows awardees and the FRA to track expenditures against the approved project budget for each task. The sheet captures the amounts previously requested, the amounts the awardee is currently requesting, total amount requested to date, and remaining balance at the task level and by federal and matching shares. This new form has increased the burden of this collection by 430 hours. Additionally, in calculating the cost to the government, updated hourly wages were used for a GS-14, Step 2.

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Annual Cost to Federal Government: $1,426,997

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:  Yes

Description/Changes for Common Form Usage:  This ICR utilizes existing SF forms for administering and managing the Grants program. There are no requested changes to these forms. The use of these forms is necessary to accurately accept proposed grants (applications) and administer and maintain such grants.

Approved RCFs using this ICR

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
FFIEC	202101-3139-001CF	Federal Financial Report	Active	Federal Financial Report
FFIEC	202101-3139-002CF	Certifications	Active	Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying, Assurances for Non-Construction Programs

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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: 09/09/2020

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