“Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards”

Forms and Documents

Document Name	Status
Form SF-424 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Form and Instruction	Modified
2022-11816.pdf 30 day notice page 1.pdf Supplementary Document	2022-06-28
2022-05941. 60 day FRN notice.pdf Supplementary Document	2022-06-28
PRA_Suporting_Statement_2105-0520_6.27.22 (002).docx Supporting Statement A	2022-07-07

IC Document Collections

IC ID	Document Title	Status
25088	Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Form and Instruction	Modified

ICR Details

OMB Control No: 2105-0520	ICR Reference No: 202206-2105-003
Status: Received in OIRA	Previous ICR Reference No: 201905-2105-001
Agency/Subagency: DOT/OST	Agency Tracking No:
Title: “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards”
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 07/12/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2022
Responses	11,744	7,032
Time Burden (Hours)	822,080	123,060
Cost Burden (Dollars)	0	0

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Abstract: 1. Whether responding to the collection is mandatory, voluntary, or required to obtain or retain a benefit. Mandatory 2. Describe the entities who must respond (e.g., class 1 railroads, operators of natural gas transmission lines, etc.). Department of Transportation Financial Assistance Awardees. 3. Whether the collection is reporting (indicate if a survey), recordkeeping, and/or disclosure. This is collection is reporting and recordkeeping. 4. Indicate collection frequency (e.g., bi-annual, annual, monthly, weekly, as needed. Forms SF-270, SF-271 and SF-425 collections are quarterly. The form SF-424, is as needed. 5. Describe the information that would be reported, maintained in records, or disclosed (e.g., information about a hazardous materials incident including location, type of hazardous material(s), extent of consequences, etc.). The information SF-424 is an application to apply for a Federal award. SF-270, SF-271 and SF-425 are necessary to ensure minimum fiscal control and accountability for Federal funds and deter fraud, waste and abuse. 6. Describe who would receive the information – DOT, first responders, the public, etc. DOT personnel. 7. Succinctly describe the purpose of the collection. The following is the purpose of the collections. The SF-424, (Application for Federal Assistance), is used to qualify and select grant applications. The SF-425, (Federal Financial Reporting), SF-270 (Request for Advance or Reimbursement), SF-271 Outlay Report and (Request for Reimbursement for Construction Programs) are used to monitor grantee financial performance. 8. If a revision, succinctly describe the revision in the Abstract and in question 15 of the Justification document. The Department’s revision from 2019, is a result of the increase in the hourly rate for GS 9 Step 5 from $32.12 to $34.02 and the increase in appropriated funds. Since the 2019 submission, the Department determined that the number of respondents and burden hours have been increased. In 2019, the Department estimated a combined total of 1,758 respondents and a combined total of 123,060 burden hours. In 2021, the estimated combined total of 2,936 respondents and a combined total of 205,520 burden hours.

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Authorizing Statute(s): US Code: 49 USC 322(a) Name of Law: Financial Assistance Guidance
  

Citations for New Statutory Requirements: US Code: 49 USC 322(a) Name of Law: Financial Assistance Guidance

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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:
	87 FR 16084	03/21/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 33580	06/02/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards	SF-271, SF-424, SF425, SF-270	APPLICATION FOR FEDERAL ASSISTANCE SF-424 - MANDATORY ,   Federal Financial Report ,   REQUEST FOR ADVANCE ACCRUAL OR REIMBURSEMENT ,   OUTLAY REPORT AND REQUEST FOR REIMBURSEMENT FOR CONSTRUCTION PROGRAMS

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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	11,744	7,032	0	4,712	0	0
Annual Time Burden (Hours)	822,080	123,060	0	699,020	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: The renewal for ICR 2105-0520, has updated burden estimates due to increased appropriations from the Coronavirus AID Relief and Economic Security Act, the American Rescue Plan Act as well as the Infrastructure Investment and Jobs Act.

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Annual Cost to Federal Government: $9,984,870

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: 07/12/2022

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