Grant Awards and Cooperative Agreements

Forms and Documents

Document Name	Status
Form FRA F 252 Payment Summary Spreadsheet Form	Modified
Form FRA F 251 Applicant Financial Capability Questionnaire Form	Modified
Form SF 270 Request for Advance or Reimbursement Form	Modified
Form SF 425 Federal Financial Report Form	Modified
Form SF LLL Disclosure of Lobbying Activities Form	Modified
Form SF 424D Assurances for Construction Programs Form	Modified
Form SF 424C Budget Information for Construction Programs Form and Instruction	Modified
Form SF 424B Assurances for Non-Construction Programs Form	Modified
Form SF 424A Budget Information for Non-Construction Programs Form	Modified
Form SF 424 Application for Federal Assistance Form	Modified
Form FRA F 33 Final Performance Report Form	Modified
Form FRA F 217 Environmental Process Form	Modified
Form FRA F 32 Service Outcome Agreement (SOA) Annual Reporting Form	Modified
Form FRA F 31 Grant Adjustment Request Form (GARF) Form	Modified
Form FRA F 34 Quarterly Progress Report Form	Modified
Form FRA F 30 Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying Form	Modified
Form FRA F 35 Grant Application Form (FRA F 35) Form	Modified
Form FRA F 229 NIST Manufacturing & Buy America Component Form	Modified
30_Day_FRN_8_02_2021.pdf Supplementary Document	2021-08-02
2130-0615_Grants_Supporting_Statement_FINAL.docx Supporting Statement A	2021-07-21
60_Day_FRN_5_17_2021.pdf Supplementary Document	2021-07-21

IC Document Collections

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

ICR Details

OMB Control No: 2130-0615	ICR Reference No: 202107-2130-004
Status: Received in OIRA	Previous ICR Reference No: 202008-2130-002
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	Date Submitted to OIRA: 10/05/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2024
Responses	6,570	6,496
Time Burden (Hours)	20,186	88,295
Cost Burden (Dollars)	0	0

---

Abstract: This is a voluntary reporting collection open to all Railroads and local and state 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.

---

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:
	86 FR 26771	05/17/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 41535	08/02/2021
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Applicant Financial Capability Questionnaire	FRA F 251	Applicant Financial Capability Questionnaire
Application for Federal Assistance	SF 424	Application for Federal Assistance SF-424
Assurances for Construction Programs	SF 424D	Assurances for Construction Programs
Assurances for Non-Construction Programs	SF 424B	Assurance - Non-Construction Programs
Budget Information for Construction Programs	SF 424C	Budget Information - Construction Programs
Budget Information for Non-Construction Programs	SF 424A	Budget Information - Non-Construction Programs
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
Disclosure of Lobbying Activities	SF LLL	Disclosure of Lobbying Activities
Environmental Process	FRA F 217	Categorical Exclusion Worksheet
Federal Financial Report	SF 425	Federal Financial Report
Final Performance Report	FRA F 33	Grant/Cooperative Agreement Final Performance Report
Grant Adjustment Request Form (GARF)	FRA F 31	Grant Adjustment Request Form (GARF)
Grant Application Form (FRA F 35)	FRA F 35	Grant Application Form
NIST Manufacturing & Buy America Component	FRA F 229	NIST Manufacturing Extension Partnership Supplier Scouting - Item Opportunity Synopsis
Payment Summary Spreadsheet	FRA F 252	Payment Summary Spreadsheet
Quarterly Progress Report	FRA F 34	Quaterly Progress Report
Request for Advance or Reimbursement	SF 270	Request for Advance or Reimbursement
Service Outcome Agreement (SOA) Annual Reporting	FRA F 32	Service Outcome Agreement (SOA) Annual Reporting

---

ICR Summary of Burden

	Total Request	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	6,570	6,496	0	74	0	0
Annual Time Burden (Hours)	20,186	88,295	0	-68,109	0	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: FRA is revising FRA Form 217, Categorical Exclusion Worksheet with this submission. The total number of burden hours requested for the submission of Form 217 is 75 burden hours. This represents a decrease of 7,725 burden hours due to the adjusted number of expected responses to form FRA F 217, as well as the removal of the time of analysis for the form, as explained in detail below. FRA removed the Environmental Impact Statement and Environmental Assessment requirements as part of this collection, as explained in detail w/in the Supporting Statement. FRA also separated burden hours from Form FRA F 229 and the Buy America Component so that the form is stand alone. While this did not change the burden hours in total, it did more accurately separate the hours from the form and the Buy America non-form components. FRA reviewed and corrected the total hours to complete the Waiver Request Narrative. The total cost to the Federal Government increased due to revised OPM salary adjustments which were effective January 2021, as explained in Question #14 of the Supporting Statement..

---

Annual Cost to Federal Government: $1,531,126

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

---

Common Form ICR:  Yes

Description/Changes for Common Form Usage:  There are no changes to use expect use of any noted Common Form usage.

Approved RCFs using this ICR

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: 10/05/2021

---