[Federal Register Volume 74, Number 119 (Tuesday, June 23, 2009)]
[Notices]
[Pages 29900-29929]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-14692]
[[Page 29899]]
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Part IV
Department of Transportation
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Federal Railroad Administration
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High-Speed Intercity Passenger Rail (``HSIPR'') Program; Notice
Federal Register / Vol. 74, No. 119 / Tuesday, June 23, 2009 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[Docket No. FRA-2009-0045]
High-Speed Intercity Passenger Rail (``HSIPR'') Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of funding availability; issuance of interim program
guidance.
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SUMMARY: On April 16, 2009, President Obama, together with Vice
President Biden and Secretary of Transportation LaHood, announced a new
vision for developing high-speed rail in America. They called for a
collaborative effort among the Federal Government, States, railroads,
and other key stakeholders to help transform America's transportation
system through a national network of high-speed rail corridors. This
notice builds on this ``Vision for High-Speed Rail'' (available on
FRA's Web site) by detailing the application requirements and
procedures for obtaining funding for high-speed rail projects under the
American Recovery and Reinvestment Act of 2009 (ARRA) and the
Department of Transportation Appropriations Acts of 2008 and 2009 (FY
2008/2009 DOT Appropriations Acts), while laying the foundation for a
longer-term program to establish a network of high-speed rail
corridors.
The evaluation and selection criteria in this notice are intended
to prioritize projects that deliver transportation, economic recovery
and other public benefits, including energy independence, environmental
quality, and livable communities; ensure project success through
effective project management, financial planning and stakeholder
commitments; and emphasize a balanced approach to project types,
locations, innovation, and timing.
This notice describes multiple funding paths to accommodate
projects at different stages of development, while also rationalizing
the variety of statutory and administrative requirements underpinning
the program. FRA recognizes the unique challenges and opportunities
presented, and will seek, to the maximum extent permitted under law and
administrative procedures, to work collaboratively with applicants and
stakeholders throughout the process.
DATES:
Public comments. Public comments on this notice are due no later
than July 10, 2009.
Preapplications. Preapplications for all funding Tracks are due no
later than July 10, 2009. (FRA encourages earlier submission of
preapplications).
Applications. Applications for funding for Track 1 (Projects),
Track 3 (Planning), and Track 4 (FY2009 Appropriations Projects) are
due no later than August 24, 2009; applications for funding Track 2
(Service Development Programs) are due no later than October 2, 2009.
(See Section 1.6 in the SUPPLEMENTARY INFORMATION section of this
notice for descriptions of each funding Track, and Section 4.3.6 in the
SUPPLEMENTARY INFORMATION section of this notice for additional
information on deadlines for both preapplications and applications.)
FRA reserves the right to modify these deadlines, based on comments
received on this notice.
ADDRESSES:
Public comments. To ensure that comments are not entered into the
docket more than once, please submit comments, identified by docket
number [FRA-2009-0045], by only one of the following methods:
Web site: The U.S. Government electronic docket site is
http://www.regulations.gov. Go to this Web site and follow the
instructions for submitting comments into docket number [FRA-2009-
0045];
Mail: Mail comments to U.S. Department of Transportation,
1200 New Jersey Avenue, SE., Docket Operations, MS-30, Room W12-140,
Washington, DC 20590;
Hand delivery or courier: Bring comments to the U.S.
Department of Transportation, 1200 New Jersey Avenue, SE., Docket
Operations, West Building Ground Floor, Room W12-140, Washington, DC
20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays; or
Fax: Telefax comments to 202-493-6330.
Instructions for submitting public comments: The agency name
(Federal Railroad Administration) and the docket number [FRA-2009-0045]
for this notice must be submitted with any comments. If comments are
submitted by mail or by hand, please submit two copies of the comments.
For confirmation that the Federal Railroad Administration has received
the comments, a self-addressed stamped postcard must be included. Note
that all comments received by any method will be posted without change
to http://www.regulations.gov, including any personal information
provided, and will be available to Internet users. The Department's
complete Privacy Act Statement is available for review in the Federal
Register published April 11, 2000, (65 FR 19477), or by visiting http://www.regulations.gov.
Preapplications. Preapplications must be submitted to the HSIPR
Program Manager electronically via e-mail at [email protected]. Pre-
applicants should receive a confirmation e-mail, but are advised to
request a return receipt to confirm transmission. Only preapplications
received via e-mail as provided above shall be deemed properly filed.
Applications. Applications and supporting documentation must be
submitted through http://www.grantsolutions.gov. If problems with
http://www.grantsolutions.gov are encountered, applications and
supporting documentation may be submitted to the HSIPR Program Manager
electronically via e-mail at [email protected]. Supporting materials that
cannot be submitted electronically may be mailed or hand delivered to:
U.S. Department of Transportation, Federal Railroad Administration,
1200 New Jersey Avenue, MS-20, Room W38-202, SE., Washington, DC 20590
Attn. HSIPR Program. Applicants are encouraged to use special courier
services to avoid shipping delays. Pre-application and application
forms are available at http://www.fra.dot.gov/us/content/2243.
FOR FURTHER INFORMATION CONTACT: For further information regarding this
notice and the grants program, please contact the FRA HSIPR Program
Manager via e-mail at [email protected], or by mail: U.S. Department of
Transportation, Federal Railroad Administration, 1200 New Jersey
Avenue, MS-20, SE., Washington, DC 20590 Attn. HSIPR Program.
SUPPLEMENTARY INFORMATION:
Table of Contents
Overview
1. Funding Opportunity Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review Information
6. Award Administration Information
7. FRA Contacts
List of Acronyms Appendix 1: Additional Information on Eligibility
Appendix 2: Additional Information on Planning and Engineering
Appendix 3: Additional Information on Award Administrations and
Grant Conditions
Overview
FRA is soliciting public comment on this document through Docket
Number FRA-2009-0045 (http://www.regulations.gov). While the interim
guidance in this document does not
[[Page 29901]]
constitute a rulemaking, FRA will consider all comments received by
July 10, 2009 and will publish any resultant clarifications or
revisions to this document in the Federal Register and on FRA's Web
site (http://www.fra.dot.gov). FRA began this comment process during
its outreach sessions in May and June, in which over 1,100 stakeholders
attended seven sessions around the country; in addition, a public
docket was established for comment, and 110 comments were received as
of June 15, 2009. FRA has already adjusted the approach contained
herein based on this initial feedback.
Preapplications are required and the deadline for submissions (for
all Tracks) is July 10, 2009. Applications may not be considered if
preapplications are received after July 10, 2009; FRA encourages
submission of preapplications earlier than the July 10 deadline. FRA
will work with pre-applicants if necessary during the period prior to
the application deadlines to ensure eligibility, appropriateness of
application Track, and structure of project or program; applicants
should work on completing full grant applications concurrent with
preparation and review of preapplications.
Deadlines for submission of full grant applications under the four
Tracks (see Section 1.6 for track descriptions) are: Track 1
(Projects), Track 3 (Planning), and Track 4 (FY2009 Appropriations
Projects)--August 24, 2009; Track 2 (High-Speed Rail/Intercity
Passenger Rail Service Development Programs)--October 2, 2009. To give
prospective applicants adequate time to complete their applications
(while incorporating any guidance clarifications or revisions), FRA may
adjust application dates to allow for a minimum of 30 days for
application submission following any material changes to guidance that
arise from comments. For full details on these deadlines and how to
satisfy them, prospective applicants should consult Section 4.3.6 of
this guidance.
Section 1: Funding Opportunity Description
1.1 Authority
This program guidance and financial assistance announcement
pertains to FRA's new High-Speed Intercity Passenger Rail Program
(``HSIPR''), which consolidates the following recently-authorized and
closely-related programs:
The High-Speed Rail Corridor Development program,
authorized under Section 501 of the Passenger Rail Investment and
Improvement Act of 2008 (``PRIIA,'' Division B of Pub. L. 110-432,
October 16, 2008, codified at 49 U.S.C. 26106);
The Intercity Passenger Rail Service Corridor Capital
Assistance program, authorized under Section 301 of PRIIA (codified at
49 U.S.C. chapter 244);
The Congestion Grants program, authorized under Section
302 of PRIIA (codified at 49 U.S.C. 24105);
The Fiscal Year (FY) 2009 Capital Assistance to States--
Intercity Passenger Rail Service program, authorized and funded under
the Department of Transportation Appropriations Act, 2009 (``FY 2009
DOT Appropriations Act,'' Title I of Division I of Pub. L. 111-8, March
11, 2009); and
The FY 2008 Capital Assistance to States--Intercity
Passenger Rail Service program, authorized and funded under the
Department of Transportation Appropriations Act, 2008 (``FY 2008 DOT
Appropriations Act,'' Title I of Division K of Pub. L. 110-161,
December 26, 2007).
This document incorporates both (i) interim guidance required for
this program pursuant to the American Recovery and Reinvestment Act of
2009 (``ARRA,'' Pub. L. 111-5, February 17, 2009); and (ii) interim
guidance required pursuant to 49 U.S.C. 24402(a)(2). The funding made
available under this financial assistance announcement was appropriated
under ARRA, and the FY 2008/2009 DOT Appropriations Act. The funding
opportunities described in this guidance are available under Catalog of
Federal Domestic Assistance (CFDA) numbers 20.317 and 20.319.
1.2 Program Description and Legislative History
This program guidance and funding opportunity announcement
represents the second major milestone in the implementation of the new
HSIPR Program. It follows and builds upon Vision for High-Speed Rail in
America, the Administration's April 2009 high-speed rail strategic plan
for the implementation of this program (available at http://www.fra.dot.gov/us/content/31).
As one of President Obama's foremost transportation priorities, the
HSIPR Program helps to address the nation's transportation challenges
by investing in an efficient High-Speed Rail/Intercity Passenger Rail
network that connects communities across America.
Congress established the framework for the program through the
passage of three key pieces of legislation:
Capital Assistance to States--Intercity Passenger Rail
Service--In the FY 2008 DOT Appropriations Act, Congress established a
new pilot program for joint Federal-State intercity passenger rail
capital investment, known as Capital Assistance to States--Intercity
Passenger Rail Service. Under this program, $30 million in Federal
funding was made available to States on a competitive basis to fund up
to 50 percent of the capital cost of improving Intercity Passenger Rail
service; up to 10 percent of the $30 million was available for rail
corridor planning grants. An additional $90 million was appropriated
under similar terms as part of the FY 2009 DOT Appropriations Act.
Passenger Rail Investment and Improvement Act of 2008
(PRIIA)--Enacted in October 2008, PRIIA represents the most sweeping
Congressional action on intercity passenger rail since those that
created the National Railroad Passenger Corporation (Amtrak) and the
Northeast Corridor Improvement Project during the 1970s. In addition to
reauthorizing Amtrak, PRIIA established three new competitive grant
programs for funding High-Speed Rail/Intercity Passenger Rail capital
improvements, each of which, as authorized, require a 20 percent non-
Federal match:
[cir] Intercity Passenger Rail Service Corridor Capital Assistance
(Section 301)--Under this section, the broadest of PRIIA's three new
funding programs, States (including the District of Columbia), groups
of States, interstate compacts, and public Intercity Passenger Rail
agencies established by one or more State(s) may apply for grants for
capital improvements to benefit all types of Intercity Passenger Rail
service, including high-speed service. Amtrak may participate through a
cooperative agreement with a State(s). To be eligible for funding under
this program, proposed projects must meet a number of requirements
(e.g., inclusion in a State Rail Plan).
[cir] High-Speed Rail Corridor Development (Section 501)--Although
similar in structure, criteria, and conditions to Section 301,
eligibility for this program is restricted to projects intended to
develop Federally-designated High-Speed Rail corridors for Intercity
Passenger Rail services that may reasonably be expected to reach speeds
of at least 110 miles per hour (mph). Applicant eligibility under
Section 501 is broadened from Section 301 to include Amtrak as well.
[cir] Congestion Grants (Section 302)--This program authorizes
grants to States or to Amtrak (in cooperation with States) for
facilities, infrastructure, and
[[Page 29902]]
equipment for high-priority rail corridor projects to reduce congestion
or facilitate Intercity Passenger Rail ridership growth.
American Recovery and Reinvestment Act of 2009 (ARRA)--The
$8 billion in High-Speed Rail/Intercity Passenger Rail funding under
ARRA ``jump starts'' the widespread improvement of High-Speed Rail/
Intercity Passenger Rail service in the United States. The
appropriation references the authorities included in Sections 301, 302,
and 501 of PRIIA but states the ``Federal share of the costs for which
a grant is made * * * shall be, at the option of the recipient, up to
100 percent.'' It also does not require that proposed projects be
included in a State Rail Plan (and it excludes the costs of preparing
such plans from eligibility for ARRA funding).
1.3 Selection Process and Priorities
The application process begins with a preapplication. The
preapplication is a simple form intended to give FRA an early
assessment of the universe of projects and programs, and to provide
pre-applicants with any feedback necessary to complete their
applications (e.g., eligibility issues, most appropriate application
Track to pursue, etc.). It also allows FRA and preapplicants to start a
collaborative process for ensuring early program success.
Preapplications should be submitted as early as possible, but no later
than July 10, 2009; applicants should not wait for submission of, or
any comments on, a preapplication before preparing their full
applications. In recognition of a variety of considerations, including
the urgency of project implementation as reflected in ARRA and the
complexities of launching a new HSIPR program, FRA considers the
preapplication to be an essential component of the application
submission and decision making processes. As a result, FRA will only
consider applications that were not supported by a timely filed
preapplication only if there are special, compelling circumstances.
Complete applications for Tracks 1, 3 and 4 are due on August 24, 2009
and for Track 2 on October 2, 2009. Once an application is received, it
will proceed through a three-step process.
Screening for completeness and eligibility (both applicant
and project eligibility);
Evaluation panel review process, applying ``evaluation
criteria''; and
Final review and selection, applying ``selection''
criteria.
See Section 5 for a full description of the review process and
criteria.
1.3.1 Application Screening
Screening will confirm applicant and project eligibility, and
ensure that the application provides complete and sufficient
information for the evaluation process.
1.3.2 Evaluation Criteria
Eligible applications in all Tracks will be individually reviewed
and assessed against seven evaluation criteria--organized into three
categories--detailed below. For each of the applicable criteria, the
application will be assigned a rating of between one and five points,
based on the application's fulfillment of the objectives of each
criterion. These individual criterion ratings will then be accounted
according to priority of criteria (which vary by Track, as described in
Section 5), to arrive at an overall rating for the application.
FRA will require a rigorous analysis of benefits and costs of
proposed projects, with a focus on the transportation service and
output measures that are fundamental to estimating other public
benefits. Applicants must provide requested benefit and cost
information the best available tools in order to ensure adequate
assessment of business cases for projects.
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\1\ See Section 4 for a detailed summary of submission
requirements, and Section 5 for additional detail on evaluation and
selection criteria.
Evaluation Criteria
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Evaluation criteria\1\ Example factors Key documentation
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Public Return on Investment
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1. Transportation Improved Intercity Passenger Rail Service Development Plan
Benefits service (including business case; assessment of
Transportation network benefits and public investment).
integration (including intermodal
connections)
Transportation safety benefits
2. Economic Recovery Preserving and creating jobs-- Quantitative output measures
particularly in economically-distressed (service--reliability, schedule,
areas capacity; and transportation--passenger-
miles, including sources--aviation,
highway, induced).
3. Other Public Benefits Environmental quality
Energy efficiency
Livable communities
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Project Success Factors
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1. Project Management Organizational capacity Project management plan.
Approach Track record of comparable Financial plan (capital and
2. Sustainability of projects operating).
Benefits Adequacy of engineering Stakeholder agreements.
Reasonableness of schedule
Progress toward NEPA compliance
Thoroughness of management plan
Sufficiency of safety and
security planning
Sufficiency of stakeholder
agreements
Reasonableness of financial
estimates
Availability of operating
financial support
Quality of planning process
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Other Attributes
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1. Timeliness of Project Project readiness Project schedule.
Completion Reasonableness of completion
schedule
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1.3.3 Selection Criteria
After being assessed against the evaluation criteria, applications
for each Track will collectively be reviewed to ensure consistency and
to balance projects against national priorities and schedules. For this
review, the FRA Administrator may consider several cross-cutting
comparative criteria before final award determinations are made. The
table below summarizes these additional selection criteria.
Selection Criteria
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Selection criteria (balance and
diversity) Example factors
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1. Region/location..................... Geography and economic
conditions.
2. Innovation.......................... Technology and
industrial/capacity
development.
3. Partnerships........................ Multi-State
agreements.
4. Tracks and round timing............. Project costs and
schedules.
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1.4 Program Implementation Opportunities and Challenges
In addition to the fiscal constraints currently affecting States,
local governments, and businesses, the development of a comprehensive
High-Speed Rail/Intercity Passenger Rail network faces challenges
specific to this program and the rail industry. For instance, FRA
recognizes the challenges associated with the need for agreements among
multiple States and with private railroad companies, as well as the
shortage of engineering professionals, planners, and managers with
experience in High-Speed Rail/Intercity Passenger Rail development with
project implementation in the United States.
The intent to establish a pipeline of future High-Speed Rail/
Intercity Passenger Rail programs and projects poses a further
challenge. The traditional pipeline for major transportation
investments progresses from alternatives analysis to investment
planning, preliminary engineering (PE) and environmental clearance,
final design (FD), construction, and operations. With very narrow
exceptions, States have historically lacked a Federal funding partner
in High-Speed Rail/Intercity Passenger Rail development; thus, many
States have no High-Speed Rail/Intercity Passenger Rail program at all,
and others find their limited High-Speed Rail/Intercity Passenger Rail
development efforts stalled at various points along the typical
progression.
This situation necessitates a Federal funding approach that is
flexible enough to support the High-Speed Rail/Intercity Passenger Rail
development efforts of each State--whether, for example, the State has
just initiated High-Speed Rail/Intercity Passenger Rail planning, or
has prepared for capital investments to enhance existing services, or
has readied itself to construct new infrastructure to accommodate new
High-Speed Rail/Intercity Passenger Rail service. With such disparate
situations among the States, the Federal funding approach must
accommodate different situations, offering an array of possibilities to
dovetail with the States' diverse aspirations, capabilities, and
resources.
1.5 Environmental Review and Approval
Central to High-Speed Rail/Intercity Passenger Rail Program
implementation--and crucial to each applicant's choice of Track for a
proposal--is the environmental review process required by the National
Environmental Policy Act (NEPA) and related laws and regulations.\2\
NEPA applies to all federal grant programs and requires Federal
agencies to integrate environmental values into their decision-making
processes by considering the environmental impacts of their proposed
actions and reasonable alternatives to those actions. Agencies must
also make information on these impacts and alternatives publicly
available before decisions are made and actions occur. NEPA also
mandates that all reasonable alternatives be considered, and to that
end, an alternatives analysis is typically conducted during the
environmental review process.
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\2\ The National Historic Preservation Act, Clean Water Act, 49
U.S.C. 303 relating to parks, wildlife refuges and historic sites
(commonly referred to as Section 4(f)), and the Endangered Species
Act are examples.
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FRA--as the Federal sponsoring agency--has primary responsibility
for assuring NEPA compliance while accomplishing the purposes,
priorities, and requirements of the HSIPR Program. While NEPA
compliance is a Federal agency responsibility and the ultimate
decisions remain with the Federal sponsoring agency, FRA encourages
applicants to take a leadership role in NEPA documentation development,
consistent with existing law and regulations. In the varied and
flexible HSIPR Program, with its four Tracks and multiple
authorizations, no single approach to NEPA compliance will work for
every proposal and applicant. Therefore, FRA will work closely with
applicants to assist in the timely and effective completion of the NEPA
process in the manner most pertinent to the applicant's proposal.
NEPA reviews should focus on the issues that are ripe for decision
at each stage of project or program development. To help focus
environmental reviews, the Council on Environmental Quality encourages
agencies to tier their environmental reviews, whereby general matters
or broader programs are covered in a Tier I NEPA document, such as a
corridor-wide (or ``service'') environmental impact statement (EIS) or
environmental assessment (EA); and narrower more site-specific projects
or actions are addressed in site-specific EISs, EAs or categorical
exclusion (CE) documents.
1.6 Funding Approach
In order to accommodate the variety of potential applicant goals
and stages of
[[Page 29904]]
project development, while meeting the statutory and program
constraints, this guidance provides four funding ``tracks'' in which
applications may be submitted. FRA has adopted this four-Track approach
to aid in near-term economic recovery efforts and to establish the path
to realize a fully-developed national High-Speed Rail/Intercity
Passenger Rail network. The deadlines for FRA obligation and project(s)
completion for each Track reflect the imperatives of ARRA, balanced
with the longer-term development goals. (See DATES above.)
1.6.1 Track 1--Intercity Passenger Rail Projects Funded Under ARRA
(``Track 1--Projects'')
This track is aimed at chiefly addressing the economic recovery
goals of ARRA through--(a) FD/construction of ``ready-to-go''
projects--i.e., those with completed site-specific NEPA documentation
(project-level final EIS, final EA or CE documentation) along with PE;
and (b) completion of project-level NEPA and PE to prepare projects for
FD/construction grants that may be available under future
solicitations. Track 1 projects should be completed within two years of
award. These projects are funded through either Section 301 (Intercity
Passenger Rail Corridor Capital Assistance) or Section 302 (Congestion
Grants) of PRIIA, for the benefit of existing services, including those
that support development of High-Speed Rail. Eligible projects include
infrastructure, facilities, and equipment, and must have independent
utility.\3\ The Federal funding share can be up to 100 percent,
although evaluation criteria favor projects that leverage federal
funding with non-federal investments.
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\3\ While ARRA-funded projects are exempt from State Rail Plan
requirements, evaluation preference is given to those that are part
of a planning process that includes a prioritized list of capital
projects supporting a corridor service development plan; equipment
projects should be consistent with Section 305 of PRIIA, which calls
for the establishment of a standardized next-generation rail
corridor equipment pool (see Section 3.6.3).
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1.6.2 Track 2--High-Speed Rail/Intercity Passenger Rail Service
Development Programs (``Track 2--Programs'')
This track is aimed at developing new High-Speed Rail corridor and
Intercity Passenger Rail services, or substantial upgrades to existing
corridor services, eligible under Section 501 (High-Speed Rail Corridor
Development) and Section 301 (Intercity Passenger Rail Corridor Capital
Assistance) of PRIIA. It is intended to fund development of a set of
inter-related projects that constitute the entirety or a distinct phase
(or geographic section) of a long-range service development plan--
projects which collectively produce benefits greater than the sum of
each individual project.\4\ Under this Track, not all projects need to
be ready-to-go; the Federal Government provides a commitment to fund
the entire program, generally through a Letter of Intent (LOI), and
obligates funds for FD/construction projects through cooperative
agreements as soon as they are deemed ready-to-go. Track 2 LOIs and
cooperative agreements must include specific milestone deadlines for
completion of environmental, engineering, design and other work.
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\4\ A group of projects that collectively advance the entirety,
or a ``phase'' or ``geographic section,'' of a corridor service
development plan are referred to here as a ``program.''
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To be eligible for awards under Track 2, Service Development
Programs (``SDP''--defined in Section 2.2) must include completed: (a)
A corridor-wide ``service'' NEPA study, such as a programmatic or Tier
I EIS; and (b) a High-Speed Rail/Intercity Passenger Rail SDP, or an
equivalent approach that provides a business and investment
justification with sufficient project cost and benefit estimates. Key
elements of an SDP or equivalent business case include: (i) An overview
of program rationale (including purpose and need); (ii) a service and
operations plan, and a prioritized capital investment plan for
infrastructure, fleet and stations/facilities; and (iii) an
implementation approach, including schedule, project management plan,
stakeholder agreements, and a financial plan for funding both capital
and operations. See Appendix 2.1 for a summary of expectations for a
SDP.
Track 2 programs will generally address infrastructure, equipment
and stations/facilities investments in a comprehensive fashion. While
these programs are the most complicated and need a particularly
rigorous project management approach, Track 2 programs represent the
long-term emphasis of the HSIPR Program, and thus FRA expects to focus
its collaborative efforts on this Track. The Federal funding share can
be up to 100 percent, although evaluation criteria favor projects that
leverage federal funding with non-federal investments.
1.6.3 Track 3--Service Planning Activities funded under the FY 2009 and
FY 2008 DOT Appropriations Acts (``Track 3--Planning'')
This track is aimed at helping establish a pipeline of future High-
Speed Rail/Intercity Passenger Rail projects and service development
programs by advancing planning activities for applicants at an earlier
stage of the development process. Under Track 3, FRA will enter into
cooperative agreements for preparation of SDPs, State Rail Plans and
service-level environmental documents.\5\ This Track provides States an
opportunity to complete the prerequisite work needed to submit
applications under Tracks 1 and 2, so that applicants may be ready for
potential future solicitations. Under the terms of the FY 2008/2009 DOT
Appropriations acts, planning activities funded under this Track
require a 50 percent non-Federal match.
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\5\ Project-level NEPA documents are eligible for funding under
Tracks 1 and 2.
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1.6.4 Track 4--FY2009 Appropriations-Funded Projects (``Track 4--FY2009
Appropriations Projects'') \6\
Track 4 provides an alternative for projects that would otherwise
fit under Track 1, but for State applicants offering at least a 50
percent non-Federal share of financing. This Track offers applicants
simplified grant agreement terms, and up to five years to complete
projects (vs. two years under Track 1). Applicants providing at least a
50-percent project match are strongly encouraged to submit project
applications under Track 4 (those submitting project application(s)
under Track 4 may also request concurrent consideration of such
application(s) under Track 1).
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\6\ A total of $90 million was appropriated under the FY 2009
DOT Appropriations Act under the heading of Capital Assistance to
States--Intercity Passenger Service, of which no more than ten
percent, or $9 million, may be made available for planning
activities. In addition, a total of $540,500 in planning funding,
and at least $1,352,573 in FD/construction funding also remained
available until expended following the award of grants under the FY
2008 Capital Assistance to States--Intercity Passenger Service
program.
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1.7 Opportunity for Public Comment
FRA is soliciting public comment on this document through Docket
Number FRA-2009-0045 (at http://www.regulations.gov). While the interim
guidance in this document does not constitute a rulemaking, FRA will
consider all comments received no later than July 10, 2009 and will
publish any resultant clarifications or revisions to
[[Page 29905]]
this document in the Federal Register and on FRA's Web site (http://www.fra.dot.gov). FRA began this comment process during its outreach
sessions in May and June, in which over 1,100 stakeholders attended
seven sessions around the country; in addition, a public docket was
established for comment, and 110 comments were received as of June 15,
2009. FRA has already revised the approach contained herein based on
this initial feedback. To give prospective applicants adequate time to
complete their applications (while incorporating any guidance
clarifications or revisions), FRA may adjust application dates to allow
for a minimum of 30 days for application submission following any
material changes to this guidance that arise from comments.
Section 2: Award Information
2.1 General Award Information
ARRA appropriated a total of $8 billion under three Intercity
Passenger Rail capital investment programs authorized by the PRIIA:
Section 501 (High-Speed Rail Corridor Development), Section 301
(Intercity Passenger Rail Service Corridor Capital Assistance), and
Section 302 (Congestion Grants). ARRA left the mix of funding among the
three PRIIA programs to the discretion of the Secretary of
Transportation. As described in the Department's April 2009 strategic
plan for high-speed rail, Vision for High-Speed Rail in America, FRA
will not allocate funding among the three PRIIA programs in advance,
but will cumulate the amounts under each PRIIA section from the funding
sources identified in the selected applications, subject to the overall
$8 billion ARRA limit. In addition to the ARRA appropriation for High-
Speed Rail/Intercity Passenger Rail, this funding opportunity
announcement also solicits applications for up to $9,540,500 for
Intercity Passenger Rail planning activities, and at least $82,352,573
in FD/construction funding appropriated under the FY 2008/2009 DOT
Appropriations Acts.\7\
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\7\ A total of $90 million was appropriated under the FY 2009
DOT Appropriations Act to remain available and unexpended under the
heading of Capital Assistance to States--Intercity Passenger
Service, of which no more than 10 percent, or $9 million, may be
made available for planning activities. In addition, a total of
$540,500 in planning funding, and at least $1,352,573 in FD/
construction funding also remained available until expended
following the award of grants under the FY 2008 Capital Assistance
to States--Intercity Passenger Service program.
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This funding and announcement solicits applications for funding
appropriated through ARRA, the FY 2008/2009 DOT Appropriations Acts
under the four distinct Tracks described above:
Track 1--Projects (ARRA funds);
Track 2--Programs (ARRA funds);
Track 3--Planning (annual appropriations funds for
Interstate Passenger Rail planning from FY 2009 and remaining from FY
2008); and
Track 4--FY2009 Appropriations Projects (annual
appropriations funds for Interstate Passenger Rail non-planning from FY
2009 and remaining from FY 2008).
FRA anticipates making multiple awards under each of the four
Tracks. While the entire $9,540,500 under Track 3 and at least
$82,352,573 under Track 4 may be awarded, FRA may choose not to award
through this solicitation the full amount available for Tracks 1 and 2,
to allow for potential future rounds of solicitations and awards which
occur after 2009. There is no predetermined allocation between Tracks 1
and 2 or between this and any future solicitations; all such
distributions will cumulatively reflect the nature and timing of the
selected applications (as referenced in Section 5, selection criteria).
2.2 Definitions of Key Terms, Concepts, and Milestones for Track
Selection
A prospective applicant under this solicitation should first
determine into which Track the applicant's proposal would most
appropriately fit. The choice of Track largely reflects the scope of
the proposed undertaking and the proposed effort's achievement of key
milestones within the project development process. Below are
definitions of key terms, concepts, and milestones for the HSIPR
Program that affect the selection of a Track. Section 2.3 is then
intended to assist an applicant in selecting a Track based on the
proposed investment's relationship to these terms, concepts, and
milestones.
Corridor--For the specific purposes of the HSIPR Program, a
corridor is an existing or proposed Intercity Passenger Rail route of
approximately 100-600 miles in total length, linking population centers
at its endpoints and typically points in between. Corridors may cross
State or national boundaries and thus require a regional, multi-
jurisdictional approach to planning and development.\8\
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\8\ Federal investment in corridor projects may be limited to
the United States.
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Final Design--The last phase of project development, including:
right-of-way acquisition, utility relocation, the preparation of final
design plans, construction management plans, system safety plans for
construction management & operations, safety certification, any
required collision hazard analysis, final construction cost estimates,
and detailed specifications, as well as procurement of construction
services and equipment. During this phase, any remaining uncertainties
or risks associated with minor changes to design scope and the
procurement processes are fully addressed, and plans for financing the
project or program would be updated and refined to reflect accurately
the expected year-of-expenditure costs and cash flow projections.
Financial Plan--The financial plan documents the recent and
forecasted financial condition of the applicant agency and other key
partners that will provide capital or operating funding for project
development and/or implementation. The Financial Plan describes the
current financial health of the aforementioned agencies, documents
projected capital and operating costs and revenues, and details key
assumptions and methodologies. A financial plan also details the
sources, reliability and feasibility of funding for both capital and
operating expenses and provides an overview of the project sponsor's
strategies to address potential project cost increases.
FRA Obligation--Commitment of Federal funding made through
execution of a grant agreement or cooperative agreement.
High-Speed Rail--Intercity Passenger Rail service that ``is
reasonably expected to reach speeds of at least 110 mph'' (49 U.S.C.
26106(b)(4)).
Independent Utility--A project, group of projects, or Service
Development Program (or phase of a Service Development Program) is
considered to have independent utility if it will result, upon
completion, in the creation of new or substantially improved High-Speed
Rail/Intercity Passenger Rail service, and will provide tangible and
measurable benefits even if no additional investments in the same High-
Speed Rail/Intercity Passenger Rail service are made. Typical examples
of these benefits would include on-time performance improvements,
travel-time reductions, and higher service frequencies resulting in
increased ridership.
Intercity Passenger Rail--Defined in statue as ``rail passenger
transportation except commuter rail passenger transportation'' (49
U.S.C. 24102(4)); it subsumes both High-Speed Rail and conventional
intercity passenger
[[Page 29906]]
services. Commuter rail is defined at as ``short-haul rail passenger
transportation in metropolitan and suburban areas usually having
reduced fare, multiple ride, and commuter tickets and morning and
evening peak period operations'' (49 U.S.C. 24102(3)); Federal funding
for commuter rail projects is available from Federal Transit
Administration programs.
Intercity Passenger Rail Service--An Intercity Passenger Rail
service consists of a group of one or more scheduled trains
(roundtrips) that provide Intercity Passenger Rail transportation
between bona fide travel markets (not constrained by State or
jurisdictional boundaries), generally with similar quality and level-
of-service specifications, within a common (but not necessarily
exclusive or identical) set of identifiable geographic markets. An
Intercity Passenger Rail service is considered ``substantially
changed'' when its inherent nature or market focus is altered, or when
its operating frequencies (roundtrips per day) are increased
significantly; a substantial change in service may include adding
short-distance corridor-type trains where only long-distance service
operates, or service restoration where trains ceased to operate several
years before. See Appendix 1.3 for further discussion of the definition
of Intercity Passenger Rail.
Letter of Intent (LOI)--Represents a contingent financial
commitment by FRA to provide up to a prescribed amount of funding to
fully implement a service development program (or specific phases of
such a program), with defined milestones for completion of work
necessary to ensure successful and timely program development.
National Environmental Policy Act (NEPA) Documentation--Includes
four principal levels (with respect to the HSIPR Program):
Tier I, ``programmatic,'' or service-level environmental
impact statement (Tier I EIS)--Addresses actions at a broad level, such
as a program concept for an entire corridor, and typically does not
lead directly to project construction.
Site-specific, or project EIS--Addresses specific
environmental issues associated with a site or project, and is intended
to lead directly to construction once applicable permits are secured.
Environmental assessment (EA)--May be programmatic or
site-specific, and concisely provides sufficient evidence and analysis
of the proposal to determine whether to prepare an EIS or a finding of
no significant impact (FONSI).
Categorical exclusion (CE)--Documentation that shows how a
proposal fits a category of predefined actions which do not
individually or cumulatively have a significant effect on the human
environment and for which neither an EIS nor an environmental
assessment are required.
Planning--Activities that support the case for investing in
project(s) or program(s), such as: identification of purpose and need;
analysis comparing the costs, benefits, and impacts of a range of
transportation alternatives; studies that assess different levels of
rail service and investment; service-level, programmatic, or Tier I
NEPA studies; Service Development Plans; and State Rail Plans.
Preliminary Engineering (PE)--Sufficient engineering design to
define a project, including identification of all environmental
impacts, design of all critical project elements at a level sufficient
to assure reliable cost estimates and schedules (in turn sufficient to
complete project management and financial plans), and definition of
procurement requirements and strategies. The PE development process
starts with specific project design alternatives that allow for
assessment of a range of rail improvements, specific alignments, and
project designs--sufficient to support subsequent NEPA analysis. PE is
prerequisite to final design (FD) and construction. Appendix 2.2
contains additional information about PE.
Project--A High-Speed Rail/Intercity Passenger Rail project is a
discrete action that has a distinct purpose, such as adding track to an
existing railroad line, or the purchase of one or more pieces of
rolling stock.
Project Management Plan--Approach for ensuring successful
implementation of a project or program, including: (i) Identification
of a manager accountable for project or program delivery; (ii) an
organization/resource plan that describes (e.g., through an
organization chart) the relationships among entities involved in the
proposed program and a description of the relationships among the
entities responsible for the financing, design, construction,
operation, and maintenance of the proposed program; (iii) any new legal
entities required, how they would be structured, and their relationship
to existing entities; (iv) stakeholder agreements with owners of right-
of-way, operators, or other entities critical to successful project/
program delivery;(v) required governmental actions and approvals; and,
(vi) an appropriate system safety plan for the entire project lifecycle
consistent with FTA guidance for safety and security management plans.
The project management plan should address the safety certification
process and any required collision hazard analysis consistent with the
FRA guidance. A project management plan generally should also include
metrics by which the success of the project is defined.
Right-of-Way--Railroad infrastructure within the property lines of
an existing, or within the presumed property lines of a proposed,
railroad useful for Intercity Passenger Rail service.
Service Development Plan (SDP)--A plan for developing High-Speed
Rail/Intercity Passenger Rail service, either initiating new service or
improving existing service (e.g., adding train frequencies and/or
reducing trip times)--typically developed around distinct phases and/or
geographic sections of service improvement. A High-Speed Rail/Intercity
Passenger Rail SDP or equivalent covers three general topics: (i)
Rationale (including purpose and need), (ii) service/operating plan and
prioritized capital plan, and (iii) implementation plan (including
project management approach, stakeholder agreements and financial
plan). The precise structure of an SDP can vary, but these elements
must be covered in some fashion. (See Appendix 2.1 for additional
explanation).
Service Development Program (``Program'')--Implementation of a
High-Speed Rail/Intercity Passenger Rail SDP, generally broken into
discrete phases or geographic sections. Such programs may be for new
service on an existing or new railroad alignment, or for improved
service on an existing railroad alignment.
2.3 Guide to Track Selection
The table below should be used by applicants as a guide for
determining the appropriate Track for application submissions.
[[Page 29907]]
Track Selection Guide
----------------------------------------------------------------------------------------------------------------
Funding track determination questions Response (yes/no) Funding track
----------------------------------------------------------------------------------------------------------------
Has new or improved Intercity No........................... Track 3--Service Planning.
Passenger Rail service been selected
as a promising alternative in the
transportation corridor where the
project is located?
Yes.......................... Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
Does the project(s) lead to-- No........................... Proceed to Next Question.
introduction of High-Speed Rail/
Intercity Passenger Rail service
within a corridor where no service
of that type currently exists, or to
a substantial change in an existing
service?
Yes.......................... Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Does the project(s) include the No........................... Proceed to Next Question.
rerouting of an existing Intercity
Passenger Rail service onto a new,
expanded, or previously abandoned
right-of-way?
Yes.......................... Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Does the investment encompass No........................... Proceed to Next Question.
multiple dispersed projects intended
to produce a significant benefit to
one or more Intercity Passenger Rail
services?
Yes.......................... Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Even if no Service Development Plan No........................... Track 3--Service Planning.
exists, have specific Intercity
Passenger Rail investment projects
been identified for implementation?
Yes.......................... Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
Have preliminary engineering (PE) and No........................... Track 1--PE/NEPA only.
a project-level NEPA document been
completed for the proposed project?
Yes.......................... Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
If PE and project-level NEPA No........................... Track 1--FD/Construction.
documentation is complete, is a 50
percent (or greater) non-Federal
match available?
Yes.......................... Track 4--FY 2008/2009 Appropriations
Projects (or Track 1--Projects).
----------------------------------------------------------------------------------------------------------------
After selecting the appropriate application Track, prospective
applicants should consult the relevant Track-specific and general
information contained in the balance of this document.
2.4 Anticipated Award Amounts
Tracks 1 and 2--Awards under Tracks 1 and 2 will be made using a
portion of the $8 billion appropriated through ARRA. FRA anticipates
making multiple awards under Track 1 as a result of this solicitation;
however, FRA will not award all of the available $8 billion to Track 1
applicants. Funds will be reserved for award to Track 2 applications
under this solicitation, and likely to Tracks 1 and 2 in potential
future rounds of solicitations--as described in Section 5. As the
authorizations underlying Tracks 1 and 2 are new, the FRA cannot
provide an average amount of funding per award in previous years.
Tracks 3 and 4--Awards under Tracks 3 and 4 will be made using the
$90 million dedicated to Capital Grants to States--Intercity Passenger
Rail Service in the FY 2009 DOT Appropriations Act, plus the remaining
funds appropriated for the same purpose in the Capital Assistance to
States--Intercity Passenger Service Program in the FY 2008 DOT
Appropriations Act (currently estimated at $1,893,073). In accordance
with the provisions of the Appropriations Acts, no more than 10 percent
of appropriated amounts in each fiscal year ($9,540,500 of the
available funds) may be allocated to Track 3--Planning, with the
balance available for Track 4--FY2009 Appropriations Projects. These
funds require a non-Federal match of at least 50 percent of total
project cost.
2.5 Types of Awards
The table below summarizes the characteristics of funding awards by
Track. For specific grant conditions, refer to section 6 and appendix
3.
Award Characteristics
----------------------------------------------------------------------------------------------------------------
Track 4--FY 2009
Track 1--projects Track 2--programs Track 3--planning appropriations
projects
----------------------------------------------------------------------------------------------------------------
Legislative Funding Source...... ARRA..... ARRA..... FY 2009, FY 2009,
2008 DOT 2008 DOT
Appropriations Appropriations
Act. Act.
Available Funding............... Portion Portion Up to No less
of $8 B. of $8 B. $9.54 M. than $82.3 M.
Instrument of Commitment........ Final Letters Final
Design/ of Intent. Cooperative Design/
Construction Agreements. Construction
Grants. Cooperative Grants.
PE/NEPA Agreements.
Cooperative
Agreements.
Match Requirement............... Up to Up to At least At least
100% Federal 100% Federal 50% non-Federal 50% non-Federal
share. share. match. match.
----------------------------------------------------------------------------------------------------------------
[[Page 29908]]
2.5.1 Track 1
The FRA will make awards under Track 1 through either: (a) Grant
agreements supporting FD and project construction; or (b) cooperative
agreements for completion of PE and/or project-level NEPA
documentation. Construction grants will fund both FD (if not already
completed) and construction of projects for which PE and project-level
NEPA documentation is complete at the time of application.\9\ FD/
construction grant recipients will be required to obtain FRA approval
prior to the commencement of construction activities (the process will
be set out in the grant agreement). The grant agreement can also be
structured to cover alternative construction scenarios, such as through
a design-build type approach. Applicants under Track 1 will be
considered for funding under either Intercity Passenger Rail Corridor
Capital Assistance Grants (Section 301 of PRIIA), or Congestion Grants
(Section 302 of PRIIA). Eligible projects intended to reduce congestion
by alleviating major rail capacity bottlenecks, particularly those that
benefit multiple railroad operators (e.g. Intercity Passenger Rail,
rail freight, and commuter rail) in a congested corridor, will likely
be considered for funding under the Congestion Grant program. Note that
where multiple railroad operations benefit from project(s), FRA will
expect the costs for such project(s) to be shared proportional to the
benefit each operator accrues from the investment.
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\9\ If substantial progress on NEPA documentation has been made
on NEPA documentation, application may be reviewed for FD/
Construction grant funding; in any case, project-level NEPA
documentation must be complete at time of grant agreement.
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Under Track PE/NEPA cooperative agreements, FRA will be more
involved in the project through collaborative work with the recipient.
In addition to providing technical assistance to the recipient, FRA
will participate in key project meetings, and will assist in the
preparation of engineering and environmental documents. FRA will also
be responsible for approving project deliverables at key milestones,
and providing authorization for progressing with subsequent stages of
the project.
2.5.2 Track 2
Under Track 2, FRA may issue Letters of Intent (LOI) for Service
Development Programs, and make subsequent awards for program components
through cooperative agreements.
The issuance of a LOI represents the expression of FRA's full
support of a Service Development Program, and the funding contingently
committed through an LOI will be reserved for that Service Development
Program from the $8 billion in available ARRA funding. An LOI will
include milestones for completion of work needed to advance the program
into obligation and completion; if milestone deadlines are not met,
funding reserved under an LOI will be returned to the pool of funds
available for future solicitations.
As milestones under an LOI are reached, FRA will obligate funding
to implement approved portions of the program through a cooperative
agreement. Funding to complete remaining PE and project-level NEPA
would be awarded immediately following the issuance of the LOI. Funding
for FD/construction would be awarded through a grant or cooperative
agreement as milestones are reached (e.g., completion of PE and NEPA
for project(s) with independent utility. Even after funds are converted
from LOI into a cooperative/grant agreement (i.e., obligated), grantees
will be required to obtain FRA approval prior to the commencement of
construction activities. This process will be included in the grant
agreement (which could also be structured to address options such as a
design-build implementation approach).
Recognizing the unique challenges posed by complex new corridor
programs, a higher level of Federal oversight and support will be
involved than under standard grant agreements. The substantial Federal
involvement of FRA will extend across all aspects of Service
Development Programs and will include technical assistance, review of
interim work products, support for environmental reviews, review of PE
and FD, and continuous program oversight.
2.5.3 Track 3
FRA will make awards under Track 3 using the $9,540,500 available
under the FY 2008/2009 DOT Appropriations Acts through cooperative
agreements. The substantial Federal involvement for Intercity Passenger
Rail planning activities would include agreement on the scope of study,
review of draft studies, and acceptance of final deliverables.
Recognizing the importance of planning to the long-term success of the
HSIPR Program and the limited funding available under existing
appropriations, FRA will favorably consider applicant expenditures for
High-Speed Rail/Intercity Passenger Rail project planning when
evaluating the State share or matching contributions component of an
evaluation under subsequent solicitations.
2.5.4 Track 4
Awards under Track 4 will be made using $82 million available under
the FY 2009 DOT Appropriations Act for non-planning Intercity Passenger
Rail Capital Assistance to States, as well as remaining non-planning
funding under the analogous FY 2008 DOT Appropriations Act funding. FRA
anticipates making one or more awards, and awarding the entire $82
million under Track 4 as a result of this solicitation.
Funding under Track 4 cannot exceed 50 percent of a project's total
cost. States are the only eligible applicants under Track 4, and must
be able to certify in their applications as to the availability of the
matching funds. As the source of the Federal funds is a regular annual
appropriation rather than ARRA, requirements specific to ARRA (e.g.,
job retention and creation as an evaluation factor, and various
reporting requirements) need not be met, although States are encouraged
to do so.
The average amount of Federal funding per non-planning award in the
analogous FY 2008 program was $2.75 million.
Section 3: Eligibility Information
Applications will be required to meet minimum requirements for each
Track in terms of applicant eligibility, project eligibility, and the
fulfillment of other Track-specific application prerequisites.
To the extent that an application's substance exceeds the minimum
eligibility requirements described below, such qualifications will be
considered in evaluating the merits of an application.
3.1 Eligible Applicant Types
Eligibility of different types of applicants varies by Track and
authorization, as summarized below.
[[Page 29909]]
Applicant Eligibility
----------------------------------------------------------------------------------------------------------------
Track 1--projects Track 2--programs Track 3-- Track 4--FY 2008/
-------------------------------------------- planning 2009
------------------ Appropriations
projects
PRIIA PRIIA PRIIA PRIIA FY2008/2009 -----------------
Section Section Section Section Appropriations FY2008/2009
301 302 301 501 acts Appropriations
acts
----------------------------------------------------------------------------------------------------------------
States.......................... [check] [check] [check] [check] [check] [check]
Groups of States................ [check] ......... [check] [check] ................ ................
Interstate Compacts............. [check] ......... [check] [check] ................ ................
Public agencies established by [check] ......... [check] ......... ................ ................
one or more States and having
responsibility for providing
Intercity Passenger Rail
service........................
Public agencies established by ......... ......... ......... [check] ................ ................
one or more States and having
responsibility for providing
High-speed Passenger Rail
service........................
Amtrak.......................... [check] [check] ......... [check] ................ ................
\*\ \**\
----------------------------------------------------------------------------------------------------------------
\*\ Amtrak may enter into a cooperative agreement with one or more States to carry out an eligible project
\**\ Amtrak is eligible in cooperation with States.
Further detail on the definitions of ``eligible applicants'' is
available in Appendix 3 under ``Applicant Types.''
3.1.1 Track 1
An entity seeking assistance under Track 1 must meet the definition
of an ``applicant'' under the funding authorization that would pertain
to its proposal(s)--either Section 301 (Intercity Passenger Rail
Corridor Capital Assistance) or Section 302 (Congestion Grants) of
PRIIA. Eligible applicant entities under those sections are as follows:
Intercity Passenger Rail Corridor Capital Assistance
(Section 301)--States (including the District of Columbia), groups of
States, Interstate Compacts, and public agencies established by one or
more States and having responsibility for providing intercity passenger
rail service.
Congestion Grants (Section 302)--States (including the
District of Columbia), or Amtrak (in cooperation with States).
3.1.2 Track 2
An entity seeking assistance under Track 2 must meet the definition
of an ``applicant'' under the funding authorization that would pertain
to its proposal(s)--either Section 301 (Intercity Passenger Rail
Corridor Capital Assistance) or Section 501 (High-Speed Rail Corridor
Development) of PRIIA. Eligible applicant entities under those sections
are as follows:
Intercity Passenger Rail Corridor Capital Assistance
(Section 301)--States (including the District of Columbia), groups of
States, interstate compacts, and public agencies established by one or
more States and having responsibility for providing Intercity Passenger
Rail service.
High-Speed Rail Corridor Development (Section 501)--States
(including the District of Columbia), groups of States, interstate
compacts, and public agencies established by one or more States and
having responsibility for providing High-Speed Rail service, or Amtrak.
3.1.3 Tracks 3 and 4
Only States, including District of Columbia, are eligible to apply
under Tracks 3 and 4.
3.2 Applicant and Key Partner Qualifications
For an application submitted by an eligible entity to be considered
under any Track, it must affirmatively demonstrate that the applicant
has or will have the legal, financial, and technical capacity to carry
out the proposal. In addition, for FD/construction applications under
Tracks 1, 2, and 4, the applicant must demonstrate that it has or will
have satisfactory continuing control over the use of equipment or
facilities acquired, constructed, or improved by the project, and the
capability and willingness to maintain such equipment or facilities.
Further discussion of how applicants can demonstrate compliance with
these minimum qualifications appears in Appendix 1.2.
Entities other than States must submit information and
documentation demonstrating the fulfillment of the minimum applicant
qualifications described in this section as part of a preapplication
(see Section 4.3. for complete preapplication information and
documentation requirements). On the basis of such information, FRA will
issue a written decision on the entity's eligibility as an applicant.
3.3 Cost Sharing and Matching
3.3.1 Treatment of Applicant Cost Sharing
3.3.1.1 Track 1
Pursuant to the provisions of the ARRA appropriation for High-Speed
Rail/Intercity Passenger Rail, the Federal share of the costs of
projects issued grants under Track 1 of this solicitation will be, at
the option of the recipient, up to 100 percent.
The evaluation criteria provide preference to applicants, should
the applicant choose the option of leveraging federal funds with
contributions from its own project partners' resources toward the costs
of its proposed project. These contributions may be considered in
evaluating the merit of its application (See section 5 for a complete
description of evaluation and selection criteria).
3.3.1.2 Track 2
As in the case for Track 1, the Federal share of the costs of
projects issued grants under Track 2 of this solicitation shall be, at
the option of the recipient, up to 100 percent.
Again, the evaluation criteria provide preference to applicants
that leverage federal funding with non-Federal investment. Applicants
for Service Development Programs who do not choose to contribute their
own or their project partners' resources toward the costs of the
proposed project, and who (i) have not demonstrated continuous,
sustained support to the proposed program, and (ii) do not have a
demonstrable history of capital investment in intercity passenger rail,
may, as a condition of the obligation of
[[Page 29910]]
funding for FD/construction activities, be required to establish a
Capital Reserve Account funded by their own dedicated financial
resources. Funds deposited by recipients into a Capital Reserve Account
would be used to pay for any project cost overruns.
3.3.1.3 Tracks 3 and 4
Pursuant to the provisions of the FY 2008/2009 DOT Appropriations
Acts, the Federal share of the costs of projects issued grants under
Tracks 3 and 4 of this solicitation may not exceed 50 percent.
If an applicant chooses the option of contributing, from its own or
its partner project stakeholders' resources, more than 50 percent of
the costs of its proposed project, such additional contributions will
be considered in evaluating the merit of its application (See Section 5
for a complete description of evaluation and selection criteria).
3.3.2 Requirements for Applicant Cost Sharing
Whether optional (under Tracks 1 and 2) or mandatory (under Tracks
3 and 4), an applicant's contribution toward the cost of its proposed
project may be in the form of cash or, with FRA approval, in-kind
contributions of services, supplies, equipment, or real estate. As part
of its application, an applicant offering an in-kind contribution must
provide a documented estimate of the monetary value of any such
contribution, and its eligibility under 49 CFR 18.24.
The applicant must provide as part of its application documentation
that demonstrates that it has committed and will be able to fulfill any
pledged contribution, including committing any required financial
resources that are budgeted or planned at the time the application is
submitted. Furthermore, any applicant under Tracks 1 and 2 who seeks to
contribute toward its proposed project funds from another Federal
financial assistance program that itself requires a match, should be
aware of the prohibition in many such programs of using any Federal
funding (such as that being applied for under this program) as a
matching share (See 49 CFR 18.24(b)(3)). Funds from other Federal
financial assistance programs may not be used to satisfy the 50 percent
match requirement under Tracks 3 and 4.
3.4 Grantee Responsibility for Project Delivery, Cost Overruns, and
Contributions Due From States under PRIIA Section 209
All applicants will be required to demonstrate the ability to:
Absorb any cost overruns and deliver the proposed project
with no Federal funding or financial assistance beyond that provided in
grant or cooperative agreement; and
Cover all future cash needs associated with the service
benefiting from the proposed program/project and allocated to States as
a result of the costing methodology to be developed under Section 209
of the PRIIA.
3.5 Eligible Projects
3.5.1 Track 1
Track 1 consists of two sub-Tracks: Track 1 FD/construction and
Track 1 PE/NEPA work in support of construction projects. To be
eligible under either Track 1 FD/construction or Track 1 PE/NEPA a
project for which construction or PE/NEPA funding is sought must be
eligible under Section 301 (Intercity Passenger Rail Corridor Capital
Assistance) and/or Section 302 (Congestion Grants) of PRIIA.
3.5.1.1 Intercity Passenger Rail Corridor Capital Assistance (PRIIA
Section 301) Eligible Projects
Eligible projects for Intercity Passenger Rail Corridor Capital
Assistance funding under Track 1 include:
Acquiring, constructing, improving, or inspecting
equipment, track and track structures, or a facility for use in or for
the primary benefit of Intercity Passenger Rail service, including
High-Speed Rail; expenses incidental to the acquisition or construction
(including designing, engineering, location surveying, mapping,
inspecting, environmental studies, and acquiring rights-of-way);
payments for the capital portions of rail trackage rights agreements;
highway-rail grade crossing improvements related to Intercity Passenger
Rail service; mitigating environmental impacts; communication and
signalization improvements; and relocation assistance, acquiring
replacement housing sites, and acquiring, constructing, relocating, and
rehabilitating replacement housing;
Rehabilitating, remanufacturing, or overhauling rail
rolling stock and facilities used primarily in Intercity Passenger Rail
service; and
Projects to provide access to Intercity Passenger Rail
service rolling stock for nonmotorized transportation, including
bicycles and recreational equipment, and to provide storage capacity in
intercity passenger trains for such transportation, equipment, and
other luggage, to ensure passenger safety.
3.5.1.2 Congestion Grants (PRIIA Section 302) Eligible Projects
Eligible projects for Congestion Grants funding under Track 1
include facilities, infrastructure, and equipment for high-priority
rail corridor projects necessary to reduce congestion or facilitate
ridership growth in Intercity Passenger Rail transportation, including
High-Speed Rail, as mandated in PRIIA Section 302.
To be eligible for Congestion Grant program funding in Track 1, an
applicant must demonstrate that the proposed project:
Has been identified by Amtrak as necessary to reduce
congestion or facilitate ridership growth in Intercity Passenger Rail
transportation along heavily traveled rail corridors; or
Is sufficiently advanced to fulfill the PRIIA Section 302
purposes on an expedited schedule.
Applicants should give particular consideration to applying for
Congestion Grants funding under circumstances in which the proposed
project meets the eligibility requirements described above and:
Is anticipated to result in significant joint benefits for
multiple railroad operators (e.g., Intercity Passenger Rail, rail
freight, and commuter rail) in a congested corridor, with proportional
cost sharing among the operators;
Involves the construction or improvement of infrastructure
that will significantly benefit, but which will not be directly used
by, Intercity Passenger Rail service (e.g., freight bypasses); and/or
Will benefit service within one State, but will be
physically located within another State--under such circumstances, the
benefiting State may choose to cooperate with Amtrak or through a
regional compact to put forward an application for the proposed
project.
3.5.2 Track 2
Service Development Programs and phases of such programs, that are
applied for under Track 2 must consist of a coordinated and
comprehensive grouping of projects intended to result in the
introduction of new services or significant improvements to existing
services that are eligible under PRIIA Section 301 and/or Section 501.
3.5.2.1 Intercity Passenger Rail Corridor Capital Assistance (PRIIA
Section 301)
Eligible Projects
These are listed under Track 1, above.
[[Page 29911]]
3.5.2.2 High-Speed Rail Corridor Development (PRIIA Section 501
Eligible Projects)
Eligible projects for High-Speed Rail Corridor funding under Track
2 include:
Acquiring, constructing, improving or inspecting
equipment, track and track structures, or a facility for use in or for
the primary benefit of High-Speed Rail service; expenses incidental to
the acquisition or construction (including designing, engineering,
location surveying, mapping, environmental studies, and acquiring
rights-of-way); payments for the capital portions of rail trackage
rights agreements; highway-rail grade crossing improvements related to
High-Speed Rail service; mitigating environmental impacts;
communication and signalization improvements; and relocation
assistance, acquiring replacement housing sites, and acquiring,
constructing, relocating, and rehabilitating replacement housing.
Projects must be located on a high-speed rail corridor designated by
the Secretary pursuant to 23 U.S.C. 104(d)(2).
3.5.3 Track 3
Eligible planning studies are those that:
Lead to the completion of a SDP to support future
applications under Track 2--Programs;
Identify and compare the costs, benefits, and impacts of a
range of transportation alternatives, including High-Speed Rail and/or
Intercity Passenger Rail, as a means of providing decision makers with
the information necessary to implement appropriate transportation
solutions;
Support the preparation of environmental documents that
are prerequisite to the fulfillment of Service NEPA; and
Consist of operational analyses and simulations, and
projections of future service requirements, leading to systematic and
rational priority lists of projects that could be eligible for PRIIA
Section 301 or 302 funding, and could ultimately contribute to SDPs.
3.5.4 Track 4
To be eligible for funding under Track 4, a proposed project must
be specifically included in the applicant State's Statewide
Transportation Improvement Plan (STIP) at the time of application.
Eligible types of projects under Track 4 include (1) acquiring,
constructing, or improving equipment, track and track structures, or a
facility for use in or for the primary benefit of Intercity Passenger
Rail service including High-Speed Rail service, (2) expenses incidental
to the acquisition or construction (including designing, engineering,
location surveying, mapping, environmental studies, and acquiring
rights-of-way), (3) highway-rail grade crossing improvements related to
Intercity Passenger Rail service, (4) mitigating environmental impacts,
(5) communication and signalization improvements, and (6)
rehabilitating, remanufacturing, or overhauling rail rolling stock and
facilities used primarily in Intercity Passenger Rail service.
3.5.5 Rail Operating Expenses
In no cases are Federal funds eligible to be used for rail
operating expenses.
3.6 Other Prerequisites
3.6.1 General Prerequisites
In general, proposals under all Tracks must meet the following
additional prerequisites:
Applications must be complete, as defined in this notice;
The complete application must demonstrate that the project
has been identified through a rational planning process (ideally a
High-Speed Rail/Intercity Passenger Rail SDP);
The project (except for a planning project under Track 3)
must be consistent with an overall plan for developing the benefiting
High-Speed Rail/Intercity Passenger Rail service; and
The project (except for a planning project under Track 3)
must result in independent utility, as defined under Section 2.2 of
this notice.
3.6.2 Prerequisites for Construction Grants
If the applicant is seeking a construction grant, then the
application must demonstrate all of the following:
That PE (as defined under Section 2.2 of this notice) has
been completed for the proposed project, resulting in project designs
that are reasonably expected to conform to all regulatory, safety,
security, and other design requirements, including those under the
Americans with Disabilities Act (ADA);
That a Project NEPA document (e.g., a CE exclusion
worksheet, a completed EA, or a completed final EIS, as defined under
Section 2.2 of this notice) has been completed for the proposed
project;
That the applicant has reached, at a minimum, agreements
in principle with key project partners, including but not limited to
infrastructure-owning railroads and the railroad that operates or will
operate the benefiting High-Speed Rail/Intercity Passenger Rail
service, as to the scope of the proposed project and the realization of
the operating benefits (e.g., those reflected in changes to schedules)
it is intended to generate; and
That the applicant has developed a project management plan
for managing the implementation of the proposed project, including the
management and mitigation of project risks; and
That the applicant has developed a Financial Plan--for
each phase of service that details the ``sources and uses'' of both
capital and operating funding.
3.6.3 Prerequisites for Equipment Procurement or Design Grants
If the applicant is seeking a grant for the procurement or design
of railroad equipment, the proposed equipment should be consistent with
Section 305 of PRIIA, which calls for the establishment of a
standardized next-generation rail corridor equipment pool. Compliance
with Section 305 of PRIIA will assist in creating the economies of
scale necessary to achieve the Administration's goal, as outlined in
FRA's Strategic Plan, of developing a sustainable railroad equipment
manufacturing base in the United States.
3.6.4 Selection of Proposed Operator (Tracks 1 and 2 only)
If the applicant has not selected the proposed operator of the
benefiting High-Speed Rail/Intercity Passenger Rail service
competitively, then the application must demonstrate why the proposed
operator is the best choice, taking into account all relevant
quantitative and qualitative factors, and that use of the proposed
operator will not needlessly increase the cost of the project or of the
operations that it enables or improves.
3.6.5 Service Development Plan (Track 2 Only; Desirable for Other
Tracks)
All applicants under Track 2 are required to have completed all the
components of an High Speed Rail/Intercity Passenger Rail SDP, as
defined in Appendix 2.1 of this guidance.
3.6.6 Positive Train Control (PTC)
If the project involves improvements to railroad signaling/control
systems, then the application must demonstrate that the proposed
improvements are consistent with a comprehensive plan for complying
with the requirements for PTC implementation under Section 104 of the
Rail Safety Improvement Act of 2008 (``RSIA,'' Division A of Pub. L.
110-432, October 16, 2008, codified at 49 U.S.C. 20147).
[[Page 29912]]
3.6.7 Inclusion in STIP (Tracks 3 and 4 Only)
Proposed projects must be specifically included in the applicant
State's STIP at the time of application to be eligible.
3.7 Eligibility Restrictions
Pursuant to the provisions of PRIIA and ARRA, and the funding
approach described in Section 1.6 of this notice, certain types of
applications would be subject to various eligibility restrictions. The
following table shows ineligible types of applications by Track.
Eligibility Restrictions
----------------------------------------------------------------------------------------------------------------
Ineligible under track
-----------------------------------------------
1 2 3 4
----------------------------------------------------------------------------------------------------------------
Applications submitted by private entities other than Amtrak. x x x x
Amtrak's eligibility as an applicant is restricted to PRIIA
Section 302 (in cooperation with a State) and Section 501......
For projects for which commuter rail passenger transportation is x x x x
the primary intended beneficiary;..............................
For projects involving the development of State Rail Plans or x x .......... x
High-Speed Rail/Intercity Passenger Rail SDPs;.................
For projects intended to support the introduction of a new x .......... .......... x
Intercity Passenger Rail service (as defined under Section 2.2
of this notice);...............................................
For projects involving significant construction of railroad x .......... .......... x
infrastructure on a new (e.g., greenfield, outside of existing
railroad rights-of-way) or previously abandoned alignment;.....
For multiple discrete projects that would collectively yield a x .......... .......... x
significant benefit to Intercity Passenger Rail services
operating in one or more corridors. FRA will consider the
magnitude of the service improvement (e.g., travel-time savings
and frequency increases), the total cost of the investment, and
the geographic scope of the proposed projects (e.g., at
multiple versus contiguous sites within the corridor) in
determining whether an application (or group of applications)
falls within the scope of this restriction; or.................
For projects in which the physical improvements are located x .......... .......... x
outside of the United States. However, in the case of a joint
project of a State or group of States and a foreign government,
in which construction of all physical improvements outside the
United States will be paid for by the foreign participants,
planning, PE and NEPA work applicable to both the U.S. and
foreign portions of the project is eligible if funded on a
proportional basis.............................................
For any expenses associated with passenger rail operating costs x x x x
of rail operators..............................................
----------------------------------------------------------------------------------------------------------------
Additional restrictions are fully described in Section 4.3.8 of
this notice.
Section 4: Application and Submission Information
4.1 Applying Online
FRA participates in the Grants Management Line of Business (GMLoB)
E-Gov initiative. As part of that initiative, FRA uses the
Administration for Children and Families' (ACF) GrantSolutions (GS)
Grants Management System. All applications must be submitted to FRA
through GrantSolutions. To access the system, go to https://www.grantsolutions.gov. If you have any problems accessing GS, please
contact the Custom Applications Support and Training Unit (CAST)
helpdesk at 1-800-618-0223 or [email protected].
Applicants must register in GS, obtain a Data Universal
Number System (DUNS) number and register their organization with the
Central Contractor Registration (CCR) database prior to applying in GS.
Applicants should begin the process immediately to meet the application
submission deadlines.
Standard application forms (identified in Section
4.3.3.3), will be available electronically on the Funding Opportunity
page at http://www.GrantSolutions.gov. The Funding Opportunity screen
provides applicants with general announcement information and access to
all application kit materials in order to view and print application
forms and information. In addition, applicants can apply online through
this screen.
Program-specific preapplication and application forms
(also identified in Sections 4.3 and 4.4 below) may be downloaded from
FRA's Web site at http://www.fra.dot.gov/HSR_IPR_Program.
4.2 Address to Request Application Package
If Internet access is unavailable, please write to FRA at the
following address to request a paper application:
U.S. Department of Transportation,
Federal Railroad Administration,
Attn: HSIPR Program Information (RDV-10),
Mail Stop 20,
1200 New Jersey Ave., SE.,
Washington, DC 20590.
4.3 Content and Form of Application
4.3.1 Preapplication
All prospective applicants for all Tracks must submit a
preapplication in order to establish communication with FRA, and to
afford FRA an opportunity to provide feedback to the prospective
applicant as to the suitability of their proposed project under the
Track that the applicant proposes to use. Preapplications should be
submitted as early as possible, but no later than July 10, 2009, and
applicants should not wait for submission of, or any comments on, a
preapplication before preparing their full applications. Prospective
applicants for potential future funding rounds of solicitations are not
required to submit a preapplication at this time. FRA will announce any
corresponding application as needed.
Preapplications consist of the following components:
Project Description--A brief overview of the project's
main features, type of proposed improvement, location, purpose,
expected outcome, cost, ownership arrangements and the Intercity
Passenger Rail service(s) that will benefit from the project;
Project Development Status--The status of key project
development elements, such as completion of the planning documents
through which the project was identified, engineering work, and NEPA
documentation; and
Applicant Eligibility--Answers to questions regarding cost
sharing, and applicant and key partners' legal, financial, and
technical capacity to carry out their proposed project.
Prospective applicants that do not fall within the definition of a
State will also
[[Page 29913]]
be required to provide copies of documentation (or references (URLs) to
such documentation that is located on the Internet) that supports the
answers provided in the preapplication form. Such supporting
documentation should include (to the extent available), but need not be
limited to, copies of laws that established the applicant as a legal
entity, contractual agreements between States (either as a group of
States or an interstate compact), financial statements and audit
reports, and technical reports demonstrating the applicant's technical
capacity and experience in carrying out projects similar to that
proposed.
In an effort to focus application efforts and remedy concerns, FRA
may contact potential applicants if there are any questions that arise
from the information submitted in a preapplication, or if the
information raises questions as to the eligibility of the proposed
project or its proper classification by Track. For preapplications
submitted by applicants that do not fall within the definition of a
State, and for preapplications under Track 2, FRA will contact the
prospective applicants to kick-off discussions for the preparation of
the application.
4.3.2 Application Administrative Requirements
Prior to submitting an application, prospective applicants must
have completed two administrative requirements: Establishment of a DUNS
(Data Universal Numbering System) number, and registration in the
Central Contractor Registration (CCR) database. These requirements need
not be completed prior to submitting a preapplication, but FRA
encourages applicants to begin the process immediately to meet the
application submission deadlines.
All applicants must include a DUNS number in their application.
Applications without a DUNS number are incomplete. A DUNS number is a
unique nine-digit number recognized as the universal standard for
identifying and keeping track of entities receiving Federal funds. The
identifier is used for tracking purposes and to validate address and
point of contact information for Federal assistance applicants,
recipients and subrecipients. The DUNS number will be used throughout
the grant lifecycle. Obtaining a DUNS number is a free, simple, one-
time activity. Obtain a number by calling 1-866-705-5177 or by applying
online at http://fedgov.dnb.com/webform/displayHomePage.do.
FRA also requires that all applicants (other than individuals) for
Federal financial assistance maintain current registrations in the CCR
database. The CCR database is the repository for standard information
about Federal financial assistance applicants, recipients and
subrecipients. Organizations that have previously submitted
applications via http://www.grants.gov are already registered with CCR,
as it is a requirement for www.grants.gov registration. Please note,
however, that applicants must update or renew their CCR registration at
least once per year to maintain an active status. Information about
registration procedures can be accessed at http://www.ccr.gov.
4.3.3 Application Package Components
The application package for the HSIPR Program consists of three
components--(1) program-specific application forms--Narrative and
Templates Form--available from FRA's Web site at: http://www.fra.dot.gov/us/content/2243, (2) supporting documentation, and (3)
standard application forms available through http://
www.GrantSolutions.gov. Applicants must complete all three components
of the application package as required by Track and listed in the
section 4.2.5 application checklist; failure to do so may result in the
application being removed from consideration for award. Both the
standard application forms and the Narrative and Templates Form must be
submitted through http://www.GrantSolutions.gov--with standard forms
submitted directly as electronic forms, and program-specific forms
submitted as attachments to the application.
4.3.3.1 Narrative and Templates Form
The most significant component of the application package is the
Narrative and Templates Forms, forms into which the applicant enters
specific information about the proposed project. The forms include
templates that have been developed by FRA to capture pertinent
qualitative and quantitative program-specific information needed for
FRA to confirm applicant and project's eligibility for the HSIPR
Program, and information needed for evaluation and selection of
applications. These forms will be used to conduct a comprehensive
benefit cost analysis. The forms allow for the applicant to make
quantitative and qualitative arguments of the public return on
investment. In order to conduct this analysis FRA requires specific
quantitative data relating to service outputs (delay reduction,
schedule improvement, or capacity increases), and transportation
outputs (increases in passenger-miles traveled on Intercity Passenger
Rail services, including shifts from other modes of transportation).
The information entered into the Narrative and Templates Form falls
into two categories: (1) Narrative information, provided in response to
specific application questions, with length limitations for each
response; and (2) structured and/or quantitative information, which is
entered into tables contained in the Forms. Applicants may track and
submit the Narrative and Templates Forms through GrantSolutions.
Separate Track-specific Narrative and Template Forms are tailored to
corresponding tracks.
Information requested in the Narrative and Templates Form includes
information on project overview, planning, purpose and need, project
development status, project benefits--economic recovery,
transportation, environmental and livable communities--project
estimate/budget, applicant qualifications, stakeholder agreements and
financial and operation information. Completing the FRA-developed forms
is expected to facilitate information input for required OMB standard
forms described in section 4.3.3.3 below.
4.3.3.2 Application Supporting Documentation
In order to provide information referenced in the Narrative and
Templates Form, applicants must submit additional documentation
supporting their entries on the forms and confirming their eligibility
under the proposed Track. The supporting documentation should largely
include information that applicants developed during project planning
activities thus, the format and structure of supporting documents is at
the discretion of the applicant. Supporting documentation may be
provided one of three ways--(1) as attachments to the application; (2)
as Internet references (URLs) to documentation that is available
online; or (3) in hard copy for materials that cannot otherwise be
provided (such as oversized engineering drawings). Applicants should
provide any URL references for supporting documentation, along with
notifications of any documentation being submitted in hard copy, in the
appropriate section of the narrative and templates form. The supporting
documentation includes items as specified below:
PE Materials--Applicants should provide any documents that
[[Page 29914]]
demonstrate the PE status (or FD, if completed) of the proposed
project. The PE requirements are detailed in Section 2.2 and Appendix
2.2. The submission of PE Materials is required for Track 1 FD/
construction, Track 2 and Track 4. PE Materials should be submitted as
attachments to the application in GrantSolutions. If large-format
materials cannot be submitted electronically, they should be mailed to
FRA as described in Section 4.3.9
NEPA Documentation--Applicants should provide any
documents that demonstrate the NEPA status of the proposed project. The
NEPA requirements are defined in Appendix 3.2.9 and detailed by track
in Section 1.6. The submission of NEPA documentation is required for
Track 1 FD/construction, Track 2 and Track 4.
Project Management Plan--Applicants should provide a
project management plan (or equivalent) that documents assumptions and
decisions regarding the communication, management processes, execution
and overall project control. The project management plan shall be
submitted by applicants to Tracks 1 FD/construction, Track 2 and Track
4. The form and structure of the project management plan (or
equivalent) is at the discretion of the applicant.
Stakeholder Agreements--Applicants should provide
documents that demonstrate the status of all stakeholder agreements
including agreements with interstate partners, host railroads, right-
of-way owners and contract railroad operator providing service. The
form and structure of the stakeholder agreements are at the discretion
of the applicant however, agreements should satisfy the eligibility and
award requirements listed in Appendix 1.1 and 1.2. Stakeholder
agreements should be submitted for applicants to Track 1 FD/
construction, Track 2 and Track 4.
Financial Plan--Applicants should provide a financial plan
(or equivalent) as per the description of the Financial Plan in Section
2.2. A financial plan (or equivalent) shall be submitted for
applications to Track 1 FD/construction, Track 2 and Track 4.
Service Development Plan--Applicant should provide a
Service Development Plan (or equivalent) that covers three general
topics regarding the underlying Service Development Program: its
rationale, its operating strategy, and its path to implementation. The
Service Development Plan (or equivalent) is required for Track 2
applicants only, and is described in more detail in Appendix 2.1.
Economic Stimulus--Consistent with ARRA, the Office of
Management and Budget (OMB) Updated ARRA Implementing Guidance (April
3, 2009), and Federal laws guaranteeing equal opportunity, applicants
are encouraged to provide information to assist FRA in assessing (1)
whether the applicant's proposal will promote the creating of job
opportunities for low-income workers through the use of best practice
hiring programs and apprenticeship (including pre-apprenticeship)
programs; (2) whether the project will provide maximum practicable
opportunities for small businesses and disadvantaged business
enterprises, including veteran-owned small businesses and service
disabled veteran-owned small businesses; (3) whether the project will
make effective use of community-based organizations in connecting
disadvantaged workers with economic opportunities; (4) whether the
project will support entities that have a sound track record on labor
practices and compliance with Federal laws ensuring that American
workers are safe and treated fairly; and (5) whether the project
implements best practices, consistent with the civil rights and equal
opportunity laws, for ensuring that all individuals--regardless of
race, gender, age, disability, and national origin--benefit from ARRA.
Job Creation--Applicants should provide information
indicating whether the applicant's proposal promotes the short- or
long-term creation or preservation of jobs and new or expanded business
opportunities during construction of the project and thereafter,
including the total amount of funds that will be expended on
construction and construction-related activities by all of the entities
participating in the project and, to the extent measurable, the number
and type of jobs to be created and/or preserved by the project during
construction and thereafter, and an identification of any business
enterprises to be created or benefited by the project during its
construction and once it becomes operational. To the extent possible,
applicants should indicate whether the populations most likely to
benefit from the creation or preservation of jobs or new or expanded
business opportunities are from Economically Distressed Areas. In
addition, to the extent possible, applicants should indicate whether
the project's procurement plan is likely to create follow-on jobs and
economic stimulus for manufacturers and suppliers that support the
construction industry.
4.3.3.3 Standard Forms
The Standard Forms are developed by OMB and are required of all
grant applicants. These forms are available on www.forms.gov and should
be submitted as attachments to the application in GrantSolutions. Some
of the information required for these form will be in provided with the
Narrative and Template Form.
Standard Form 424, Application for Federal Assistance--
This form should be scanned and submitted as an attachment to the
application in GrantSolutions. This form should be completed by all
applicants.
Standard Form 424A, Budget Information--Non-Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants where applicable.
Standard Form 424B, Assurances--Non-Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants to Track 1 PE/NEPA and Track 3.
Standard Form 424C, Budget Information--Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants where applicable.
Standard Form 424D, Assurances--Construction Programs--
This form should be scanned and submitted as an attachment to the
application in GrantSolutions. This form should be completed by
applicants to Track 1 FD/construction, Track 2 and Track 4.
FRA Assurances Document--This form can be obtained from
FRA's Web site at http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf. The document should be signed by an
authorized certifying official for the applicant, scanned into
electronic format, and submitted as an attachment to the application in
GrantSolutions. This form should be completed by all applicants.
4.3.4 Additional Information Required Prior to Award
4.3.4.1 For Construction Grants (Tracks 1, where applicable, and Track
4)
A project NEPA determination document (a Record of Decision,
Finding of No Significant Impact, or CE determination) must have been
issued by FRA prior to award of a construction grant. In addition to
the supporting documentation required to be included
[[Page 29915]]
with an application, applicants will also be required to submit the
following documentation prior to their receipt of an award under Track
1.
4.3.4.2 For all Tracks
Comprehensive executed partnership agreements, fulfilling all
requirements for such agreements as set forth in Appendix 1.2.
4.3.4.3 For Tracks 1 and 2
As a condition of award, to the extent applicable, grant recipients
must comply with the certification requirements of ARRA. These include
Section 1201 (Maintenance of Effort); Section 1511 (Transparency and
Oversight); and Section 1607 (Additional Funding Distribution and
Assurance of Appropriate Use of Funds). On February 27, 2009, Secretary
of Transportation LaHood sent a letter to the Governors of each State
providing guidance and a template for the certifications required by
ARRA, a copy of which is available on DOT's ARRA Web site, at http://www.dot.gov/recovery/. All applicable certifications must be submitted
to the DOT at [email protected]. Certifications may be submitted
via email as electronic, scanned copies, with original signed versions
to follow via U.S. mail. Additional guidance regarding these
certifications is included in Appendix 3.2.4.
4.3.5 Application Package Requirements Checklist
The following application requirements checklist can be used by
applicants to verify the documents necessary for submission under each
Track:
Application Checklist
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicable track
---------------------------------------------------------------------
Track 1--projects
Required document Format ---------------------------- Track 2-- Track 3-- Track 4--
FD/ programs planning FY09 funding
construction PE/ NEPA
--------------------------------------------------------------------------------------------------------------------------------------------------------
Program Forms
[ballot] Preapplication.................... Template......................... [check] [check] [check] [check] [check]
[ballot] Narratives and Templates Workbook Template......................... [check] [check] [check] [check] [check]
(includes information on Project Benefits
and Cost).
Supporting Documentation
[ballot] Service Development Plan (SDP) (or No Specified Format.............. ............ ............ [check] ............ ............
equivalent).
[ballot] Preliminary Engineering (PE) No Specified Format.............. [check] ............ [check] ............ [check]
Materials.
[ballot] NEPA Documentation................ No Specified Format.............. [check] ............ [check] ............ [check]
[ballot] Project Management Plan (or No Specified Format.............. [check] ............ [check] ............ [check]
equivalent).
[ballot] Stakeholder Agreements............ No Specified Format.............. [check] ............ [check] ............ [check]
[ballot] Financial Plan (or equivalent).... No Specified Format.............. [check] ............ [check] ............ [check]
Standard Forms
[ballot] SF 424: Application for Federal Form............................. [check] [check] [check] [check] [check]
Assistance.
[ballot] SF 424A: Budget Information--Non Form............................. ............ [check] ............ [check] ............
Construction.
[ballot] SF 424B: Assurances--Non Form............................. ............ [check] ............ [check] ............
Construction.
[ballot] SF 424C: Budget Information-- Form............................. [check] ............ [check] ............ [check]
Construction.
[ballot] SF 424D: Assurances--Construction. Form............................. [check] ............ [check] ............ [check]
[ballot] FRA Assurances Document........... Form............................. [check] [check] [check] [check] [check]
--------------------------------------------------------------------------------------------------------------------------------------------------------
4.3.6 Submission Dates and Times
4.3.6.1 For Tracks 1, 3, and 4
Preapplications must be submitted to FRA via e-mail
[email protected] (as specified in Section 4.3.9) no later than 11:59 p.m.
EDT, Friday, July 10, 2009.
The submission date and time will be determined based on
email header information. FRA will email the applicant to confirm
receipt of preapplication submissions.
Full applications must be submitted to GrantSolutions
(also as specified in 4.1) no later than 11:59 p.m. EDT, Friday, August
24, 2009. GrantSolutions will send the applicant an automated email
confirming receipt of the application.
Supporting documentation that cannot be submitted
electronically through GrantSolutions may be sent by courier service
with a waybill receipt stamped no later than 11:59 p.m. EDT, Friday,
August 24, 2009. FRA will email the applicant to confirm receipt of
supporting documentation sent by courier service.
4.3.6.2 For Track 2
Preapplications must be submitted to FRA via e-mail
[email protected] (as specified in Section 4.3.9) no later than 11:59 p.m.
EDT, Friday, July 10, 2009.
The submission date and time will be determined based on
e-mail header information. FRA will e-mail the applicant to confirm
receipt of preapplication submissions.
Full applications must be submitted to GrantSolutions
(also as specified in Section 4.1) no later than 11:59 p.m. EDT,
Friday, October 2, 2009? GrantSolutions will send the applicant an
automated e-mail confirming receipt of the application.
Supporting documentation that cannot be submitted
electronically may be sent by courier service with a waybill receipt
stamped no later than 11:59 p.m. EDT, Friday, October 2, 2009. FRA will
e-mail the applicant to confirm receipt of supporting documentation
sent by courier service.
[[Page 29916]]
Track Deadlines
----------------------------------------------------------------------------------------------------------------
Track 4--FY2009
Track 1--projects Track 2--programs Track 3--planning appropriations
projects
----------------------------------------------------------------------------------------------------------------
Preapplication.................. July 10, 2009..... July 10, 2009..... July 10, 2009..... July 10, 2009.
Application..................... August 24, 2009... October 2, 2009... August 24, 2009... August 24, 2009.
FRA Obligation.................. ASAP after No later than ASAP after ASAP after
selection (No September 30, selection. selection.
later than 2011.
September 30,
2010).
Project(s) Completion........... Within 2 years of September 30, 2017 Within 2 years of Within 5 years of
obligation. *. obligation. obligation.
----------------------------------------------------------------------------------------------------------------
* The FRA account shall be closed on that date and any remaining balance (whether obligated or unobligated) in
the account shall be cancelled and no funds shall thereafter be available for obligation or expenditure for
any purpose (31 U.S.C. 1552).
4.3.6.3 For All Tracks
FRA will make individual arrangements with applicants for
the submission of other information required prior to award.
Subject to demonstration of unanticipated extenuating
circumstances, FRA may consider application materials submitted after
the deadlines prescribed above.
4.3.7 Intergovernmental Review
This program has not been designated as subject to Executive Order
12372 pursuant to 49 CFR part 17.
4.3.8 Funding Restrictions
In general, only those costs considered allowable pursuant to OMB
Circular A-87, ``Cost Principles for State, Local, and Indian Tribal
Governments'' (codified at 2 CFR part 225) will be considered for
funding. Additionally, the following funding restrictions will apply to
grants awarded under all Tracks, and must be taken into consideration
in the development of budget information submitted as part of
applications.
Funding may not be used to fund expenses associated with
the operation of Intercity Passenger Rail service;
Funding may not be used for first-dollar liability costs
for insurance related to the provision of Intercity Passenger Rail
service;
Funding may not be for any casino or other gambling
establishment, aquarium, zoo, golf course, or swimming pool; this
restriction will be applied generally in this program, regardless of
the source of funds, and;
While there is no cap on grant recipient's use of grant
funds for management and administrative costs, such costs must be
allowable, reasonable, allocable, and in accordance with applicable OMB
cost principles cited above.
For Tracks funded under ARRA, FRA will also consider reimbursement
of pre-award costs incurred as early as the enactment of ARRA (February
17, 2009). However, such costs will only be considered for
reimbursement to the extent they are otherwise appropriate under
allowable costs principles, are directly related to the award, and
involve either pre-construction activities (e.g., PE, NEPA, or FD), or
construction activities that were subject to an environmental
determination under NEPA made by FRA prior to the commencement of such
construction activities. Projects for which construction activities
commenced prior to receipt of an FRA environmental determination under
NEPA will not be eligible for funding.
For Tracks funded under the FY 2008/2009 DOT Appropriations, FRA
will also consider reimbursement of pre-award costs incurred as early
as the enactment of the FY 2009 DOT Appropriations Act (March 11,
2009). However, such costs will only be considered for reimbursement to
the extent they are otherwise appropriate under allowable cost
principles, are directly related to the award, and involve either pre-
construction activities (e.g., PE, NEPA, or FD), or construction
activities that were subject to an environmental determination under
NEPA made by FRA prior to the commencement of such construction
activities. Projects for which construction activities commenced prior
to receipt of an FRA environmental determination under NEPA will not be
eligible for funding.
4.3.9 Other Submission Requirements
Preapplications should be submitted by e-mail to [email protected]. As
detailed in Section 4.1 of this guidance, applications, including
supporting documentation, should be submitted through GrantSolutions.
Should an applicant encounter technical difficulties using the
GrantSolutions system that may cause the applicant to miss the
application deadline, the application may be submitted by e-mail to
[email protected]. For applications submitted by email, the applicant
should print, sign, scan into electronic format (preferably Adobe
Portable Document Format (.pdf)), and attach to the submission e-mail
copies of all application forms requiring the applicant's signature.
For supporting documentation (described in Section 4.3.3 2 of this)
that an applicant is unable to submit electronically (such as oversized
engineering drawings), applicants may submit an original and two copies
to the following address:
U.S. Department of Transportation,
Federal Railroad Administration,
Attn: HSIPR Program Information (RDV-10),
Mail Stop 20, Room W38-202,
1200 New Jersey Ave., SE.,
Washington, DC 20590.
Due to delays caused by enhanced screening of mail delivered via
the U.S. Postal Service, applicants are advised to use other means of
conveyance (such as courier service) to assure timely receipt of
materials.
Section 5: Application Review Information
5.1 Review Criteria
Once an application is screened for completeness and eligibility
(both applicant and project eligibility), it will go through a review
process. This process will involve two steps (detailed further in
Section 5.2): (i) Evaluation and (ii) selection. For evaluation,
applications in all Tracks will be individually reviewed and assessed
against up to seven evaluation criteria--organized into three
categories--outlined below.\10\ For each of the applicable criteria,
the application will be assigned a rating of between one and five
points, based on the application's fulfillment of the objectives of
each criterion. The ratings will be assigned by professional staff
employed by FRA and other DOT modal administration
[[Page 29917]]
staff as needed. Experts outside of DOT may also be considered.\11\
---------------------------------------------------------------------------
\10\ Tracks for which the sources of funding antedated the ARRA
(i.e., Tracks 3 and 4) will not be rated on Criterion A.2, Economic
Recovery Benefits.
\11\ Experts will be selected based on relevant qualifications
and assurance of lack of conflict of interest.
---------------------------------------------------------------------------
These individual criterion ratings will then be combined according
to priority of criteria (which vary by Track), to arrive at an overall
rating for the application. The comparative priorities appear in the
table below.
Evaluation Criteria Priorities
----------------------------------------------------------------------------------------------------------------
Priority
-----------------------------------------------
Evaluation criteria Track 3
Track 1 Track 2 \12\ Track 4
----------------------------------------------------------------------------------------------------------------
Public Return on Investment.....................................
1. Transportation Benefits.................................. 2 1 1 1
2. Economic Recovery Benefits............................... 1 5 n/a n/a
3. Other Public Benefits.................................... 6 2 n/a 5
Project Success Factors.........................................
1. Project Management Approach.............................. 3 3 2 2
2. Sustainability of Benefits............................... 5 4 n/a 3
Other Attributes................................................
1. Timeliness of Project Completion......................... 4 6 3 4
----------------------------------------------------------------------------------------------------------------
\12\ The specifics of the relevant Track 3 Planning evaluation criteria will vary somewhat from those of Tracks
1, 2 and 4 to reflect the unique character of planning activities.
5.1.1 Public Return on Investment
Applications will be evaluated against the following three criteria
to assess the proposed project's ability to produce a public return on
investment, taking into account both forecasted benefits, the overall
cost of the proposed project, and the amount of Federal funding
requested. Evaluation against these criteria will consider the
qualitative factors outlined below, as supported by key quantitative
metrics. As described in Section 4, applicants for Tracks 1, 2, and 4
must provide information quantifying the anticipated benefits of the
proposed project; for Tracks 1 and 4, using service output data (delay
reduction, schedule improvement, or capacity increases), and for Track
2, using transportation output data (increases in passenger-miles
traveled on Intercity Passenger Rail services, including shifts from
other modes of transportation). For Track 3, public return on
investment criteria are limited to transportation benefits.
Careful economic analysis that quantifies and demonstrates the
monetary value of user benefits and, if available, public benefits will
be particularly useful to FRA in evaluating the applications. The
systematic process of comparing expected benefits and costs helps
decision-makers organize information about, and evaluate trade-offs
between, alternative transportation investments. FRA will consider
benefits and costs using standard data provided by applicants and seek
to evaluate applications in a manner consistent with Executive Order
12893, Principles for Federal Infrastructure Investments, 59 FR 4233,
to base infrastructure investments on systematic analysis of expected
benefits and costs, including both quantitative and qualitative
measures.
5.1.1.1 Transportation Benefits
Each application will be assessed based on its demonstration of the
proposed project's potential to meet the purpose and need and to
achieve transportation benefits in a cost-effective manner, as set
forth through the President's strategic transportation goals and the
objectives of PRIIA. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
Supporting the development of intercity high-speed rail
service;
Generating improvements to Intercity Passenger Rail
service, as reflected by estimated increases in ridership (as measured
in passenger-miles), increased on-time performance (as measured in
reductions in delays), reduced trip time, additional service frequency
to meet anticipated or existing demand, and other factors;
Generating cross-modal benefits, including anticipated
favorable impacts on air or highway traffic congestion, capacity, or
safety, and cost avoidance or deferral of planned investments in
aviation and highway systems;
Creating an integrated Intercity Passenger Rail network,
including integration with existing Intercity Passenger Rail services,
allowance for and support of future network expansion, and promotion of
technical interoperability and standardization (including standardizing
operations, equipment and signaling);
Encouragement of intermodal integration through provision
of direct, efficient transfers among intercity transportation and local
transit networks at train stations, including connections at airports,
bus terminals, subway stations, ferry ports, and other modes of
transportation;
Enhancing intercity travel options;
Ensuring a state of good repair of key Intercity Passenger
Rail assets;
Promoting standardized equipment (or rolling stock),
signaling, communications and power;
Improved freight or commuter rail operations, in relation
to proportional cost-sharing (including donated property) by those
other benefiting rail users;
Equitable financial participation in the project's
financing, including, but not limited to, consideration of donated
property interests or services; financial contributions by freight and
commuter rail carriers commensurate with the benefit expected to their
operations; and financial commitments from host railroads, non-Federal
governmental entities, nongovernmental entities, and others; and
The overall safety of the transportation system, including
the encouragement of the use of PTC technologies, and commitments by
States or railroads of financial resources to improve the safety of
highway/rail grade crossings over which intercity passenger rail
service operates.
5.1.1.2 Economic Recovery Benefits
Each application will be assessed based on its demonstration of the
proposed project's anticipated positive economic and employment impacts
and
[[Page 29918]]
potential to promote economic recovery in a cost-effective manner,
consistent with the purposes and principles of ARRA. Factors to be
considered in assigning a rating will include the contribution the
proposed project would make to:
Rapidly promoting new or expanding business opportunities
including the short- and long-term creation and preservation of jobs,
during construction and thereafter;
Increasing efficiency by promoting technological advances;
Providing long-term economic benefits; and
Avoiding reductions in State-provided essential services.
5.1.1.3 Other Public Benefits
Each application will be assessed based on its demonstration of the
proposed project's potential to achieve other public benefits in a
cost-effective manner. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
Environmental quality and energy efficiency and reduction
in dependence on foreign oil, including use of renewable energy
sources, energy savings from traffic diversions from other modes,
employment of green building and manufacturing methods, reductions in
key emissions types, and the purchase and use of environmentally
sensitive, fuel-efficient, and cost-effective passenger rail equipment;
and
Promoting livable communities, including integration with
existing high-density, livable development (e.g., central business
districts with public transportation, pedestrian, and bicycle
distribution networks, and incorporation of transit-oriented
development).
5.1.1.4 Public Return on Investment for Track 3--Planning
Planning projects will be evaluated based on the extent to which
they meet the President's strategic transportation goals by leading to
benefits to the public, including transportation accessibility and
interconnectivity. Planning projects for Intercity Passenger Rail
service will be evaluated for the extent that they: (1) Lead to
benefits for Intercity Passenger Rail including travel time reductions,
increased frequencies, and enhanced service quality; (2) resolve safety
issues; (3) resolve intercity passenger rail reliability issues; (4)
are integrated and complementary to the relevant comprehensive planning
process (23 U.S.C. 135); and (5) support livable communities. Proposed
planning projects will also be evaluated for their effectiveness in:
(1) Directly leading to project and/or Service Development Program
applications and (2) leading to NEPA for route selection; and leading
to completion of an SDP.
5.1.2 Project Success Factors
Applications will be evaluated against the following two criteria
to assess the proposed project's likelihood of successful
implementation and realization of benefits. Evaluation against these
criteria will consider the factors outlined below, which take into
account the thoroughness and quality of the supporting documentation--
the project management plan, financing plan, and SDP (or equivalent
project planning and programming documents)--submitted with the
application.
5.1.2.1 Project Management Approach
While prioritizing projects that will generate tangible
transportation and economic benefits, each application will also be
assessed to determine the risk associated with the project's delivery
within budget, on time, and as designed. Factors to be considered in
assigning a rating will include:
The applicant's financial, legal, and technical capacity
to implement the project including whether the application depends upon
receipt of any waiver(s) of Federal railroad safety regulations that
have not been obtained;
The applicant's experience in administering similar grants
and projects;
The soundness and thoroughness of the cost methodologies
and assumptions, and estimates for the proposed project;
The adequacy of any completed engineering work to assess
and manage/mitigate the proposed project's engineering and
constructability risks;
The reasonableness of the schedule for project
implementation;
The thoroughness and quality of the project management
plan;
The sufficiency of system safety and security planning;
The timing and amount of the project's future noncommitted
investments;
The project's progress, at the time of application,
towards compliance with environmental protection requirements;
The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (particularly
infrastructure owning railroads) that will be involved in implementing
the project; and
The overall completeness and quality of the application,
including the comprehensiveness of its supporting documentation.
5.1.2.2 Sustainability of Benefits
Each application will be assessed based on the risk associated with
the proposed project's capacity to generate, as planned, its
anticipated transportation and economic benefits. Factors to be
considered in assigning a rating will include:
The presence and quality of a financial plan that analyzes
the financial viability of the proposed rail service;
The quality and reasonableness of revenue and operating
and maintenance cost forecasts for the benefiting Intercity Passenger
Rail service(s);
The availability of any required operating financial
support preferably from dedicated funding sources for the benefiting
Intercity Passenger Rail service(s);
The quality and adequacy of project identification and
planning;
The reasonableness of estimates for user and non-user
benefits for the project;
The reasonableness of the operating service plan,
including its provisions for protecting the future quality of other
services sharing the facilities to be improved; and
The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (including the railroad
operating the Intercity Passenger Rail service as well as
infrastructure-owning railroads) that will be involved in the operation
of the benefiting Intercity Passenger Rail service, including the
commitment of any affected host-rail carrier to ensure the realization
of the anticipated benefits, preferably through a commitment by the
affected host-rail carrier(s) to an enforceable on-time performance of
passenger trains of 80 percent or greater.
5.1.3 Other Attributes
Applications will also be evaluated against the following two
additional criteria.
5.1.3.1 Timeliness of Project Completion
Each application will be assessed based on the timeliness of its
implementation schedule, including:
The readiness of the project to be commenced; and
The timeliness of project completion and the realization
of the project's anticipated benefits.
[[Page 29919]]
5.2 Review and Selection Process
5.2.1 Application Evaluation Process
Submitted applications will be screened for eligibility and
completeness. Applications determined to be both complete and eligible
will be referred to a technical evaluation panel consisting of subject-
matter experts for assignment of ratings, as described in Section 5.1.
Panel members will use a merit-based approach to review applications
based on the above evaluation criteria. Ratings assigned by the
evaluation panels will serve as the basis for a presentation of
applications to the FRA Administrator, who will determine the final
selection of applications for awards.
5.2.2 Additional Selection Criteria
In addition to the ratings against evaluation criteria assigned by
the technical evaluation panels, the FRA Administrator may take into
account several cross-cutting and comparative selection criteria to
determine awards of funding. The Administrator will review the
preliminary results to ensure that the scoring has been applied
consistently, and that the collective results meet several key
priorities essential to the success and sustainability of the program
as detailed below.
Selection Criteria
------------------------------------------------------------------------
Selection criteria (balance and
diversity) Example factors
------------------------------------------------------------------------
1. Region/location..................... [squf] Geography and economic
conditions.
2. Innovation.......................... [squf] Technology and
industrial/capacity
development.
3. Partnerships........................ [squf] Multi-State agreements.
4. Tracks and round timing............. [squf] Project costs and
schedules.
------------------------------------------------------------------------
Following evaluation of each application by review panels, the
Administrator will review the preliminary results to ensure that the
scoring has been applied consistently, and that the collective results
meet several key priorities essential to the success and sustainability
of the program. To ensure a balanced national program, this review will
include:
5.2.2.1 Region/Location
Ensuring appropriate level of regional balance across the
country.
Ensuring appropriate level of balance among large and
small population centers.
Ensuring integration and augmentation of the nationwide
transportation network.
Addressing the ARRA requirement to provide assistance to
economically-distressed regions most impacted by the recession.
5.2.2.2 Innovation
Pursuing new technology and innovation where the public
return on investment is favorable, while ensuring delivery of near-term
transportation, public and recovery benefits.
Promoting domestic manufacturing, supply and industrial
development, including U.S.-based equipment manufacturing and supply
industries.
Developing professional railroad engineering, operating,
planning and management capacity needed for sustainable Intercity
Passenger Rail development.
5.2.2.3 Partnerships
Where corridors span multiple States, emphasizing those
that have organized multi-State partnerships with joint planning and
prioritization of investments.
Employing creative approaches to ensure workforce
diversity and use of disadvantaged and minority business enterprises.
5.2.2.4 Preservation of Funding for Track 2 Program and Future Award
Rounds
While ready-to-go projects are critical for delivering
early program benefits, the longer-term future of the program depends
on strong Track 2 corridor program development. Sufficient funds will
be set aside for Track 2 and, if possible, for future rounds of
funding.
Section 6: Award Administration Information
6.1 Award Notices
Upon approval of an application, notification will be sent to the
grant recipient through GS that the award is waiting acceptance.
FRA will publicly announce selected projects and funding levels.
For projects that were not selected, FRA will notify the applicant of
their decision and provide the following:
Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
Guidance regarding subsequent rounds (e.g., new/revised
guidance, application due dates).
6.2 Administrative and National Policy Requirements
Grant recipients must follow all administrative and national policy
requirements including: procurement standards, compliance with federal
civil rights laws and regulations, disadvantaged business enterprises
(DBE), FRA's and OMB's Assurances and Certifications, ADA, and NEPA.
For a complete list of all administrative and national policy
requirements, refer to Appendix 3.2.
6.3 ARRA-Specific Grant Requirements
Grant recipients receiving ARRA-funded grants must comply with all
requirements detailed in ARRA including: The prohibition on using funds
for certain activities, signage requirements, and certification
requirements. For a complete list of all ARRA-specific grant
requirements, refer to Appendix 3.3.
6.4 Program-Specific Grant Requirements
Grant recipients receiving PRIIA-authorized grants must comply with
all requirements set forth in PRIIA, including adhering to: Buy
America, Labor Protection, and Davis-Bacon Act. For a complete list of
all PRIIA-specific grant requirements, refer to Appendix 3.4.
6.5 General Requirements
Grant recipients must comply with reporting requirements and, where
applicable, ARRA-specific reporting requirements. All post-award
information pertaining to reporting, auditing, monitoring, and the
close-out process is detailed in Appendix 3.5.
Section 7: Questions and Clarifications
Questions about this guidance and the application process should be
submitted to the HSIPR Program Manager via email at [email protected].
[[Page 29920]]
List of Acronyms
------------------------------------------------------------------------
Acronym Meaning
------------------------------------------------------------------------
ACF.......................... Administration for Children and Families.
ADA.......................... Americans with Disabilities Act.
April 2009 Strategic Plan.... U.S. Department of Transportation,
Federal Railroad Administration, Vision
for High-Speed Rail in America, High-
Speed Rail Strategic Plan [under] the
American Recovery and Reinvestment Act
of 2009, April 16, 2009; available at:
http://www.fra.dot.gov/Downloads/Finalpercent20FRApercent20HSRpercent20Stratpercent20Plan.pdf.
ARRA......................... American Recovery and Reinvestment Act of
2009 (Pub. L. 111-5).
CAST......................... Custom Applications Support and Training
Unit (GrantSolutions).
CCR.......................... Central Contractor Registration database.
CE........................... Categorical Exclusion--a class of action
for the NEPA process.
CFS report................... Federal Railroad Administration, High-
Speed Ground Transportation for America,
September 1997; available at: http://www.fra.dot.gov/us/content/515.
Department................... The U.S. Department of Transportation.
DUNS......................... Data Universal Number System.
EA........................... Environmental Assessment--a NEPA
document.
EIS.......................... Environmental Impact Statement-- the most
extensive type of NEPA document.
FD........................... Final Design.
FONSI........................ Finding of No Significant Impact--a
possible decision concluding the NEPA
process.
FRA.......................... Federal Railroad Administration--an
Operating Administration of the U.S.
Department of Transportation.
FTA.......................... Federal Transit Administration.
FY........................... Fiscal Year.
FY 2008 DOT Appropriations Transportation, Housing and Urban
Act. Development, and Related Agencies
Appropriations Act, 2008 --Title I of
Division K of Public Law 110-161,
December 26, 2007.
FY 2009 DOT Appropriations Transportation, Housing and Urban
Act. Development, and Related Agencies
Appropriations Act, 2009 --Title I of
Division I of Public Law 111-8, March
11, 2009.
GS........................... GrantSolutions Grants Management System.
ICC.......................... Interstate Commerce Commission.
LOI.......................... Letter of Intent.
mph.......................... miles per hour.
NEPA......................... National Environmental Policy Act.
NTD.......................... National Transit Database.
OTP.......................... On-time performance.
PE........................... Preliminary engineering.
PRIIA........................ Passenger Rail Investment and Improvement
Act of 2008 (Division B of Pub. L. 110-
432).
PTC.......................... Positive Train Control.
ROD.......................... Record of Decision--a possible decision
concluding of the NEPA process.
RSIA......................... Rail Safety Improvement Act of 2008
(Division A of Pub. L. 110-432, October
16, 2008).
State DOT.................... State Department of Transportation.
State Grant Program.......... Capital Assistance to States--Intercity
Passenger Rail Service program--
established in FY 2008 DOT
Appropriations Act and continued in the
FY 2009 DOT Appropriations Act.
------------------------------------------------------------------------
Appendix 1: Additional Information on Eligibility
Appendix 1.1 Applicant Types
State--A State department of transportation (State DOT) which is
the State-wide instrumentality or agency of a State, in the form of a
department, commission, board, or official of any State, charged by its
laws with the responsibility for transportation-related matters within
the State, including high-speed rail/intercity passenger rail.
Group of States--A group of two or more States in which an
agreement has been established to work in coordination to build and
operate rail projects within specified boundaries and within the
duration of agreement. The agreement should specify the commitments
(financial and otherwise) of all parties to developing and maintaining
rail operations for a specified corridor. This type of agreement
requires the backing of several political and administrative entities
within each State. Such agreement should include but not be limited to
the following: identification of all parties involved, the duration of
the agreement, governance arrangements, commitment of partners, risk
and benefits sharing arrangements, liabilities, level of service per
partner or client, services to be provided, dispute resolution,
substandard performance, termination, signatories. A group of States
wishing to submit an application must designate one State within the
group to serve as the lead State for the application. This lead State
would be responsible for submitting the application and administrating
any grant that is awarded to the group of States.
Interstate Compact--An entity created through an agreement between
two or more States. Frequently, these compacts create a new
governmental agency that is responsible for administering or improving
some shared resource, such as public transportation infrastructure. In
some cases, a compact serves simply as a coordination mechanism between
independent authorities in the member States. Article I, Section 10 of
the United States Constitution provides that no State shall enter into
an agreement or compact with another State without the consent of
Congress. Interstate compacts for the purpose of Intercity Passenger
Rail development have been established previously, based on the implied
general consent of Congress expressed through Public Law 98-358, in
which Congress explicitly granted consent to the creation of an
interstate compact between the States of Ohio, Indiana, Michigan,
Pennsylvania, Illinois, West Virginia, and Kentucky for the purpose of
developing Intercity Passenger Rail.
Public Agencies, established by one or more States (Having
responsibility for providing Intercity Passenger Rail service)--A
publicly created and owned, not-for-profit agency, other than direct
instrumentalities of States or agencies created under an interstate
[[Page 29921]]
compact, having responsibility for providing or developing Intercity
Passenger Rail service. Such agencies would include public authorities
and joint powers authorities created and authorized under State law,
and may have responsibilities over a limited geographic scope (such as
a region within a State), or related to a specific service, project, or
development effort (such as the construction of a specific
infrastructure project).
Amtrak, in cooperation with States--The National Railroad Passenger
Corporation undertaking a project subject to an agreement with one or
more States (as defined above).
Appendix 1.2 Minimum Qualifications for Applicant Eligibility
An applicant must, in addition to demonstrating that it is of an
eligible type for the track and funding source under which it is
applying, affirmatively demonstrate that it has or will have the legal,
financial, and technical capacity to carry out the proposal. In
addition, for non-planning applications under Track 1, Track 2, and
Track 4, the applicant must demonstrate that it has or will have
satisfactory continuing control over the use of equipment or facilities
acquired, constructed, or improved by the project, and the capability
and willingness to maintain such equipment or facilities.
In the following discussion of the means by which applicants can
satisfy these minimum requirements, the term ``project'' refers
generally to the substance of the applicant's proposal, regardless of
the Track under which it is being advanced.
For an applicant to demonstrate the legal, financial, and technical
capacity to carry out its proposed project, it will be required to
address the following qualifications:
For an entity other than a State, its legal authority to
undertake the proposed project and apply for Federal financial
assistance;
The applicant's ability to absorb potential cost overruns
or financial shortfalls. For entities other than States, the
demonstration of such ability should include a description of the
entity's own financial resources, its ability to raise revenue through
taxation, dedicated funding sources, or other means, and/or explicit
financial backing by one or more State governments;
The applicant's experience in effectively administering
grants of similar scope and value (including timely completion of grant
deliverables, compliance with grant conditions, and quality and cost
controls); and
The applicant's experience in managing railroad investment
projects of a nature similar to that for which funding is being
requested.
For an applicant to demonstrate that it has or will have
satisfactory continuing control over the use of equipment or facilities
acquired, constructed, or improved by the project, it will be required
to show either:
That the applicant has or will have direct ownership of
the equipment or facilities acquired, constructed, or improved by the
project; or
That the applicant has secured or has made progress
towards securing and will have contractual agreements in place with the
entity or entities (e.g., a local government, or one or more private
railroads) that have or will have direct ownership of such assets.
For an applicant to demonstrate that it has or will have the
capability and willingness to maintain the equipment or facilities
acquired, constructed, or improved by the project, it will be required
to show:
That it has made progress towards, and will have
contractual agreements in place with, any entity or entities (e.g., a
local government, or one or more private railroads) that have or will
have direct ownership of the equipment or facilities acquired,
constructed, or improved by the project, which address financial and
operational responsibility for asset maintenance;
That to the extent financial responsibility will fall to
the applicant, the applicant has the ability to cover maintenance
costs. For entities other than States, the demonstration of such
ability should include a description of the entity's own financial
resources, ability to raise revenue through taxation, and/or explicit
financial backing by one or more State governments; and
The applicant's experience in maintaining assets with
similar financial and operational maintenance requirements as those for
the assets for which funding is being requested.
Information and documentation demonstrating the fulfillment of the
minimum qualifications described above will be required to be submitted
as part of full application (see Section 4.3.3.2).
Appendix 1.3 Definition of Intercity Passenger Rail
``Intercity rail passenger transportation'' is defined at 49 U.S.C.
24102(4) as ``rail passenger transportation except commuter rail
passenger transportation.'' Likewise, ``commuter rail passenger
transportation'' is defined at 49 U.S.C. 24102(3) as ``short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple ride, and commuter tickets and morning
and evening peak period operations.'' In common use, the general
definition of ``rail passenger transportation'' excludes types of local
or regional rail transit such as light rail, streetcars, and heavy
rail. Similarly, both Intercity Passenger Rail transportation and
commuter rail passenger transportation exclude single-purpose scenic or
tourist railroad operations.
The since-terminated Interstate Commerce Commission (ICC)
established six features to aid in classifying a service as
``commuter'' rather than ``intercity'' rail passenger transportation:
\13\
---------------------------------------------------------------------------
\13\ Penn Central Transportation Company Discontinuance or
Change in Service of 22 Trains between Boston, Mass, and Providence
R.I., February 10, 1971, I.C.C. 338, 318-333.
---------------------------------------------------------------------------
The passenger service is primarily being used by patrons
traveling on a regular basis either within a metropolitan area or
between a metropolitan area and its suburbs;
The service is usually characterized by operation
performed at morning and peak periods of travel;
The service usually honors commutation or multiple-ride
tickets at a fare reduced below the ordinary coach fare and carries the
majority of its patrons on such a reduced fare basis;
The service makes several stops at short intervals either
within a zone or along the entire route;
The equipment used may consist of little more than
ordinary coaches; and
The service should not extend more than 100 miles at the
most, except in rare instances; although service over shorter distances
may not be commuter or short haul within the meaning of this exclusion.
FTA further refined the definition of commuter rail in the glossary
for its National Transit Database (NTD) \14\ Reporting Manual. In
particular, FTA refined the ICC's third ``feature'' by specifying that
``predominantly commuter [rail passenger] service means that for any
given trip segment (i.e., distance between any two stations), more than
50 percent of the average daily ridership travels on the train at least
three times a week.''
---------------------------------------------------------------------------
\14\ In additional to serving as a reference database, the NTD
captures data that serve as the basis for apportioning and
allocating funding to eligible grantees under FTA's formula grant
programs.
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In judging the eligibility of an application under this
solicitation, FRA will determine whether the rail passenger service
that is primarily intended to benefit from the proposal
[[Page 29922]]
constitutes ``intercity passenger rail transportation'' under the
statutory definition and ICC and FTA interpretations. FRA may also take
into account whether the primary intended benefiting service has been
or is currently the direct and intended beneficiary of funding provided
by another Federal agency (e.g., FTA) for the purpose of improving
commuter rail passenger transportation and whether the service in
question is or will be operated by or on behalf of a local, regional,
or State entity whose primary rail transportation mission is the
provision of commuter or transit service.
Appendix 2: Additional Information on Planning and Engineering
Appendix 2.1 Service Development Plan (or equivalent)
A Service Development Plan (SDP) is a plan for developing High-
Speed Rail/Intercity Passenger Rail service, either initiating new
service or improving existing service (e.g., adding train frequencies
and/or reducing trip times)--typically focused on distinct phases and/
or geographic sections of service improvement. A SDP or equivalent
covers three general topics: (i) Rationale (including purpose and
need), (ii) service/operating plan and prioritized capital plan, and
(iii) implementation plan (including project management approach,
stakeholder agreements and financial plan).
The completion of a SDP is a pre-requisite for eligibility for
applications for Track 2-Programs. FRA acknowledges the inherent
complexity of the planning efforts required to develop a SDP. The
precise structure of a SDP can vary at the discretion of the applicant;
FRA does not pre-determine SDP form and structure. Only certain
illustrative topics need to be included in a SDP--thus the applicant
has the flexibility to tailor the SDP to the needs of their program.
After receiving the preapplications for Track 2, subject to
available resources, FRA will be available for a kick-off discussion
with the prospective applicant that will include a review of the
contents of the SDP. FRA will provide assistance to Track 2 applicants
in clarifying whether the information necessary for the SDP is
complete. FRA will also discuss submission requirements with
prospective applicants.
A complete SDP is a planning approach that would need to address
such topics as the following:
Illustrative topics dealing with program rationale--The
SDP includes a description of the corridor's transportation challenges
and opportunities based on current and forecasted travel demand and
capacity conditions. Through the SDP, the applicant has the opportunity
to show FRA and its constituents how the proposed HSIPR Service
Development Program can cost-effectively address transportation and
other needs considering system alternatives (highway, air, other, as
applicable). Qualitative and quantitative assessments of the costs,
benefits and impacts and risks of the alternatives will provide
decision makers with sufficient information. The SDP might also explore
synergies between the High-Speed Rail/Intercity Passenger Rail proposal
and large-scale goals and development plans within its service region
and communities.
Illustrative topics dealing with operations--The SDP
describes the train service to be provided for each phase of new or
improved Intercity Passenger Rail service including: the service
frequency, timetable (including time-distance ``stringline'' diagrams),
general station locations, intermodal connections, and train consists.
The SDP would describe the underlying operational analyses, including
railroad operation simulations and equipment and crew scheduling
analyses, which in turn reflect such variables as travel demand and
rolling stock configuration. The planning horizon should be consistent
with the anticipated useful lives of the improvements to be introduced.
Illustrative topics dealing with capital needs--The SDP
describes the rail equipment and infrastructure improvements for each
discrete phase of service implementation. If applicable, the SDP would
prioritize improvements for each phase. The SDP presents estimated
capital costs for projects and project groups, with documentation of
assumptions and methods. Initial capital expenditures estimates to
bring the service to its full operating capability, accommodation of
future traffic growth and ongoing expenditures for replacement of
system components should be included.
Illustrative topics dealing with operating and financial
results--The SDP includes operating and financial projections for each
phase of the planned intercity passenger rail service. The SDP will
address the methods, assumptions and outputs for travel demand
forecasts, the expected revenue from the service, and all operating
expenses for the train service including maintenance of way,
maintenance of equipment, transportation (train movement), passenger
traffic and services (marketing, reservations/information, station, and
on-board services), and general/administrative expenses. Cost-sharing
arrangements with infrastructure owners and rail operators should also
be included.
Illustrative topics dealing with public benefits--The SDP
includes a description of user and non-user benefits and, to the extent
readily quantifiable, the estimated economic value of those benefits,
with particular attention to topics prominent in ARRA, i.e., job
creation and retention and potential energy savings.
Illustrative topics dealing with program implementation--
The SDP presents a Service Development Program schedule for carrying
out each phase; a preliminary description of the intended techniques of
project management that will assure quality, cost, and budget control;
and the financing and organizational plans for carrying out the
proposed strategy.
If the High-Speed Rail/Intercity Passenger Rail service
contemplated under the SDP makes use of facilities that would be shared
with freight, commuter rail, or other Intercity Passenger Rail
services, the existing and future characteristics of those services--as
developed cooperatively with freight, commuter, and Intercity Passenger
Rail partners--would need to be integral to the High-Speed Rail/
Intercity Passenger Rail SDP. In particular, the SDP needs to show how
the proposed Service Development Program will protect the quality of
those other services through a planning horizon year and under
assumptions mutually agreed to with the other partners.
Appendix 2.2 Preliminary Engineering (PE)
PE completion is a prerequisite for projects submitted under Track
1--FD/Construction projects, Track 2--Programs, and Track 4. PE entails
sufficient engineering design to define a project, including
identification of all environmental impacts, design of all critical
project elements at a level sufficient to assure reliable cost
estimates and schedules (in turn sufficient to complete project
management and financial plans), and definition of procurement
requirements and strategies.
The PE development process starts with the evaluation of project
design alternatives (a range of rail improvements, specific alignments,
and project designs) sufficient to support subsequent NEPA analysis.
The NEPA environmental determination is a prerequisite for FRA to
obligate
[[Page 29923]]
construction funds. As with the SDP, FRA acknowledges the complexity of
the work required for PE, and that it will vary depending on the
project scope. Thus, FRA does not pre-determine the form and structure
of the PE work. FRA has opted to specify the illustrative contents of
PE--thus allowing the applicant discretion to pursue the most workable
approach tailored to its needs and suitable for the proposed project.
PE results in detailed estimates of project costs, benefits, and
impacts of the preferred alternative that merit a higher degree of
confidence than those prepared in earlier stages of planning. FRA
considers that PE for a major capital investment project is complete
when:
The signed environmental Record of Decision (ROD) or
Finding of No Significant Impact (FONSI) signals that the NEPA process
has been completed;
The project scope, capital cost estimates, and financial
plan are finalized;
The project sponsor has adequately demonstrated its
technical capability to advance the project into FD and construction;
The project sponsor has adequately demonstrated its
process and schedule for filing any safety regulatory waivers necessary
to implement the project; and
The project sponsor has provided an adequate system safety
program plan and any necessary collision/derailment hazard analysis.
The products of PE will include: engineering designs; a detailed
project description, including provisions for compliance with the ADA;
a highly accurate project cost estimate (including a description of
methodologies and assumptions employed in developing the estimate) that
identifies major components and that includes contingencies that are
reduced from previous estimates and are broken down by phase and
functional area, a thorough project management plan suitable for this
phase of project development; and a solid project financial plan that
includes Federal and non-Federal funding committed to the project.
PE documentation will typically include: (1) Scale maps or scale
aerial photography of existing conditions at a scale of one inch = 100
to 500 feet depending on location (built-up vs. undeveloped areas); and
(2) design plan drawings overlaid on the maps/photography. These design
drawings will typically show: (i) Existing railroad right-of-way limits
along with the railroad ownership; (ii) Proposed track changes
including track removals and track installations showing track centers,
turnout sizes, curve and spiral data, etc.; (iii) Vertical profiles and
grades of existing and proposed construction; (iv) Public and private
at-grade highway crossings; and (v) Passenger stations, building(s),
platforms, parking, access to the primary highway system in the area,
and public transit services and facilities.
The detailed project description developed in the PE typically
includes an assessment of the physical condition and location of the
existing project area (generally two to three miles beyond the project
construction limits) and elements associated with the design(s). These
elements may include: bridges (rail and highway); track including the
number and location of previously existing railroad tracks on a
roadbed; buildings (stations and maintenance facilities, etc.); signal
systems and interlocked detectors, switches, derails, and snow melters;
utility systems on, over, adjacent to or under the rail line and
agreements concerning them; electrification systems, if any;
description of highway crossing warning systems (if any) and daily
traffic counts at public and private at-grade highway crossings;
existing and proposed railroad operations and routes of freight,
commuter and intercity trains with train daily numbers of trains by
type; a safety and security management plan; and STRACNET routes and/or
moves for commercial high and wide loads. For maintenance facilities,
the PE outputs will describe and provide drawings that show the
location, track and facility layout, specialized equipment (if any),
office and employee welfare facilities, etc.
FRA will be available, subject to available resources, to assist
applicants in clarifying whether the PE is complete and encourages
applicants to contact FRA to discuss PE.
Appendix 3: Additional Information on Award Administration and Grant
Conditions
Appendix 3.1 Award Notices
Upon approval of an application, notification will be sent to the
grant recipient through GrantSolutions that the award is waiting
acceptance.
FRA will publicly announce selected projects and funding levels.
For projects that were not selected, FRA will notify the applicant of
its decision and provide the following:
Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
Guidance regarding subsequent rounds (i.e., new/revised
guidance, application due dates)
Appendix 3.2 Administrative and National Policy Requirements
FRA will make funds available to the grant recipient through a
grant or cooperative agreement. FRA will decide which vehicle to use
based upon the level of anticipated FRA involvement in the project. FRA
will use a grant agreement where limited Federal involvement is
anticipated and a cooperative agreement in those situations involving
greater Federal participation.
Below is a discussion of some of the more important specific
requirements that are a feature of FRA's typical grant agreement and
will likely be included in every grant agreement under this program
(FRA's use of the term grant herein is intended to encompass both grant
and cooperative agreements):
Appendix 3.2.1 Contracting Information
A grant recipient's procurement of goods and services must comply
with the Procurement Standards requirements set forth at 49 CFR 18.36
or 49 CFR 19.40 through 19.48, whichever is applicable depending on the
type of grantee (part 18 covers State and local governments and part 19
covers non-profit and for-profit entities), and with applicable
supplementary U.S. DOT or FRA directives or regulations.
Appendix 3.2.2 Compliance With Federal Civil Rights Laws and
Regulations
The grant recipient must comply with all civil rights laws and
regulations, in accordance with applicable Federal directives, except
to the extent that the FRA determines otherwise in writing. These
include, but are not limited to, the following: (a) Title VI of the
Civil Rights Act of 1964 (Pub. L. 88-352) (as implemented by 49 CFR
part 21), which prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. 1681-1683, and 1685-1686), which prohibits
discrimination on the basis of sex, (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age Discrimination
Act of 1975, as amended (42 U.S.C. 1601-1607), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (Pub. L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the
[[Page 29924]]
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (Pub. L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
Sec. Sec. 523 and 527 of the Public Health Service Act of 1912 (42
U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality
of alcohol and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 U.S.C. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing, (i) 49
U.S.C. 306, which prohibits discrimination on the basis of race, color,
national origin, or sex in railroad financial assistance programs; (j)
any other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance was made; and (k) the
requirements of any other nondiscrimination statute(s) which may apply
to the grant recipient. Grant recipients must comply with all
regulations, guidelines, and standards adopted under the above
statutes. The grant recipient is also required to submit information,
as required, to the FRA Office of Civil Rights concerning its
compliance with these laws and implementing regulations, and its
activities implementing a grant award.
Appendix 3.2.3 Disadvantaged Business Enterprises (DBE)
The FRA encourages its grant recipients to utilize small business
concerns owned and controlled by socially and economically
disadvantaged individuals (as that term is defined for other DOT
operating administrations at 49 CFR part 26) in carrying out projects
funded under ARRA, although FRA grant recipients are not required to do
so. The DOT DBE regulation (49 CFR part 26) only applies to certain
categories of Federal highway, Federal transit, and airport funds. The
FRA is not covered under the DOT DBE regulations. The procurement
standards applicable to grant recipients require grant recipients and
subgrantees to take all necessary affirmative steps to assure that
minority firms, women's business enterprises and labor surplus area
firms are used when possible (see 49 CFR 18.36(e) and 19.44(b)). The
grant recipient is also required to submit information as required to
the FRA Office of Civil Rights concerning its activities with respect
to DBEs in implementing a grant award.
Appendix 3.2.4 Assurances and Certifications
Upon acceptance of the grant by the FRA all certifications and
assurances provided by the grant recipient through the application
process are incorporated in and become part of the grant agreement.
Applicable Assurance and Certification forms include SF 424(A)/(B),
SF424(C)/(D) and FRA's Assurances and Certification form. The OMB
Standard Forms can be accessed at http://www.forms.gov. The FRA
Assurances and Certifications Document is available at http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf.
Appendix 3.2.5 Debarment and Suspension; and Drug-Free Workplace
Grant recipients must obtain certifications on debarment and
suspension for all third party contractors and subgrantees and comply
with all DOT regulations, ``Nonprocurement Suspension and Debarment''
(2 CFR part 1200) and ``Governmentwide Requirements for Drug-Free
Workplace (Grants),'' (49 CFR part 32).
Appendix 3.2.6 Safety Oversight
Grant recipients must comply with any Federal regulations, laws,
policy and other guidance that FRA or DOT may issue pertaining to
safety oversight in general, and in the performance of any grant award,
in particular. FRA has in place a comprehensive system of railroad
safety oversight (see 49 CFR part 209 et seq.) that is applicable to
railroad operations generally.
Appendix 3.2.7 Americans With Disabilities Act (ADA)
Grant recipients must agree to use funds provided under the grant
agreement in a manner consistent with the requirements of Title II of
the Americans with Disabilities Act (ADA) of 1990, as amended; Section
504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794); and
both statutes' implementing regulations at 49 CFR parts 27, 37, and 38.
DOT (through its delegate FRA) has responsibility to offer technical
assistance for the provisions of the ADA about which it issues
regulations. 42 U.S.C. 12206(c)(1) reads: ``Each Federal agency that
has responsibility under paragraph (2) for implementing this chapter
may render technical assistance to individuals and institutions that
have rights or duties under the respective subchapters of this chapter
for which such agency has responsibility.'' Grant recipients are
strongly encouraged to seek FRA's technical assistance with regard to
the accessible features of passenger rail systems, to include
accessibility at stations and on railcars. FRA believes such technical
assistance is essential where interpretation of DOT's regulatory
requirements is necessary and/or before the creation of any new rail
system.
Appendix 3.2.8 Environmental Protection
All facilities that will be used to perform work under an award
shall not be so used unless the facilities are designed and equipped to
limit water and air pollution in accordance with all applicable local,
State and Federal standards.
Grant recipients will conduct work under an award, and will require
that work that is conducted as a result of an award be in compliance
with the following provisions, as modified from time to time: Section
114 of the Clean Air Act, 42 U.S.C. 7414, and Section 308 of the
Federal Water Pollution Control Act, 33 U.S.C. 1318, and all
regulations issued there under. Through the grant agreement, grant
recipients will certify that no facilities that will be used to perform
work under an award are listed on the List of Violating Facilities
maintained by the Environmental Protection Agency (EPA). Grant
recipients will be required to notify the Administrator as soon as it
or any contractor or subcontractor receives any communication from the
EPA indicating that any facility which will be used to perform work
pursuant to an award is under consideration to be listed on the EPA's
List of Violating Facilities; provided, however, that the grant
recipient's duty of notification shall extend only to those
communications of which it is aware, or should reasonably have been
aware. Grant recipients will need to include or cause to be included in
each contract or subcontract entered into, which contract or
subcontract exceeds Fifty Thousand Dollars ($50,000.00) in connection
with work performed pursuant to an award, the criteria and requirements
of this section and an affirmative covenant requiring such contractor
or subcontractor to immediately inform the grant recipient upon the
receipt of a communication from the EPA concerning the matters set
forth herein.
Appendix 3.2.9 National Environmental Policy Act (NEPA)
Specific NEPA-related guidance is included in Section 1.6 of this
guidance. The following is a description of FRA's general or standard
grant provision on NEPA compliance.
Generally, grant recipients may not expend any of the funds
provided in an award on construction or other activities that represent
an irretrievable commitment of resources to a particular
[[Page 29925]]
course of action affecting the environment until after all
environmental and historic preservation analyses required by the
National Environmental Policy Act (42 U.S.C. 4332) (NEPA), the National
Historic Preservation Act (16 U.S.C. 470(f)) (NHPA), and related laws
and regulations have been completed and the FRA has provided the grant
recipient with a written notice authorizing them to proceed.
In instances where NEPA approval has not been secured at the time
of grant award, grant recipients are required to assist the FRA in its
compliance with the provisions of NEPA, the Council on Environmental
Quality's regulations implementing NEPA (40 CFR part 1500 et seq.),
FRA's ``Procedures for Considering Environmental Impacts'' (45 FR
40854, June 16, 1980), as revised May 26, 1999, 64 FR 28545), Section
106 of the NHPA, and related environmental and historic preservation
statutes and regulations. As a condition of receiving financial
assistance under an award, grant recipients may be required to conduct
certain environmental analyses and to prepare and submit to the FRA
draft documents required under NEPA, NHPA, and related statutes and
regulations (including draft environmental assessments and proposed
draft and final environmental impact Statements).
No publicly-owned land from a park, recreational area, or wildlife
or waterfowl refuge of national, State, or local significance as
determined by the Federal, State, or local officials having
jurisdiction thereof, or any land from an historic site of national,
State or local significance as so determined by such officials shall be
used by grant recipients without the prior written concurrence of FRA.
Grant recipients shall assist the FRA in complying with these
requirements of 49 U.S.C. 303(c).
Appendix 3.2.10 Environmental Justice
The grant recipient will be required to agree to facilitate
compliance with the policies of Executive Order No. 12898, ``Federal
Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations,'' 42 U.S.C. 4321 note, except to the extent
that FRA determines otherwise in writing.
Appendix 3.2.11 Operating and Access Agreements
As discussed in the guidance, grant recipients will be required to
reach a written agreement, approved by FRA, with each of the railroads
or other entity on whose property the project will be located. Among
other things, such railroad/owner agreements shall specify terms and
conditions regarding the following issues: responsibility for project
design and implementation, project property ownership, maintenance
responsibilities, and disposition responsibilities, and the owning
entity's commitment to helping to achieve, to the extent it is capable,
the anticipated project benefits. If an agreement between the grant
recipient and the owner which substantially addresses the above-
referenced issues is already in place as of the date of execution of
the grant agreement, the grant recipient will be required to submit it
to FRA for FRA's review and determination of adequacy. However, if
either no agreement is in place as of the date of execution of this
Agreement, or if an existing agreement has been determined by FRA to be
inadequate, the grant recipient shall, prior to the grant recipient's
execution of an agreement with the owner, submit the final draft of
such an agreement to FRA for FRA's review and approval. A finding by
FRA that the required approved railroad/owner agreement(s) are in place
is a prerequisite for reimbursement of construction-related project
expenses.
Appendix 3.2.12 Real Property and Equipment Management, Discontinuance
of Service, and Disposition Requirements
The grant recipient will be required to ensure the maintenance of
project property to the level of utility (including applicable FRA
track safety standards) which existed when the project improvements
were placed in service for a period of a minimum of 20 years from the
date such project property was placed in service. In the event that all
Intercity Passenger Rail service making use of the project property is
discontinued during the 20-year period, the grant recipient will be
required to continue to ensure the maintenance of the project property,
as set forth above, for a period of one year to allow for the possible
reintroduction of Intercity Passenger Rail service. In the event the
grant recipient should fail to ensure the maintenance of project
property, as set forth above, for a period of time in excess of six
months, the grant recipient will be required to refund to FRA a pro-
rata share of the Federal contribution, based upon the percentage of
the 20-year period remaining at the time of such original default.
The grant recipient will also be required to acknowledge that the
purpose of the project is to benefit Intercity Passenger Rail service.
In the event that all Intercity Passenger Rail service making use of
the project property is discontinued (for any reason) at any time
during a period of 20 years from the date such project property was
placed in service, as set forth above, and if such Intercity Passenger
Rail service is not reintroduced during a one-year period following the
date of such discontinuance, the grant recipient will be required to
refund to FRA, no later than 18 months following the date of such
discontinuance, a pro-rata share of the Federal contribution, based
upon the percentage of the 20-year period remaining at the time of such
discontinuance.
Appendix 3.3 ARRA-Specific Grant Requirements (Apply to ARRA-Funded
Grants Only)
ARRA contains several specific requirements associated with funding
provided in that statute. These include:
Appendix 3.3.1 Prohibited Activities
None of the funds appropriated or otherwise made available in the
grant agreement may be used by any State or local government, or any
private entity, for any casino or other gambling establishment,
aquarium, zoo, golf course, or swimming pool.
Appendix 3.3.2 Recovery Act Funding Announcement
The grant recipient will be required to post a sign at all fixed
project locations at the most publicly accessible location and a plaque
in all purchased or rehabilitated rail cars announcing that the project
or equipment was funded by the U.S. Department of Transportation,
Federal Railroad Administration with funds provided through the
American Recovery and Reinvestment Act. The configuration of the signs
or plaques will be consistent with guidance issued by the Office of
Management and Budget and/or the Department of Transportation and
approved by the FRA.
Appendix 3.3.3 Certifications
As a condition of award, to the extent applicable, grant recipients
must comply with the Certification requirements of ARRA. These include
Section 1201 (Maintenance of Effort); Section 1511 (Transparency and
Oversight); and Section 1607 (Additional Funding Distribution and
Assurance of Appropriate Use of Funds). These Certifications are
described in following sections.
[[Page 29926]]
Section 1201(a): Maintenance of Effort
By March 19, 2009, State Governors were required to certify to the
Secretary of Transportation that the State would maintain its effort
with regard to State funding for the types of projects funded by the
appropriation, for each amount distributed to a State or a State agency
under this program. As part of this Certification, the Governor was
required to submit to the Secretary a statement identifying the amount
of funds the State planned to expend from State sources as of February
17, 2009, during the period between February 17, 2009 and September 30,
2010, for the types of projects funded by the appropriation. The
maintenance of effort requirement in section 1201(a) applies to any
grant recipient that is a State government (or agency thereof) that
planned, as of February 17, 2009, to expend State funds on the project
receiving a High-Speed Rail/Intercity Passenger Rail grant under this
guidance during the period between February 17, 2009, and September 30,
2010.
Section 1511: Transparency and Oversight
For grant funds made available to State or local governments for
infrastructure investments, the Governor, mayor, or other chief
executive, as appropriate, must certify that the infrastructure
investment (1) received the full review and vetting required by law;
and (2) that the chief executive accepts responsibility that it is an
appropriate use of taxpayer dollars. This certification must be
executed and posted on a Web site and linked to http://www.recovery.gov
prior to the recipient of a High-Speed Rail/Intercity Passenger Rail
grant receiving grant funds. If the project is not included in the
STIP, a separate certification for the potential High-Speed Rail/
Intercity Passenger Rail project must be executed, attaching the
relevant information or linking to a public Web site where the
information may be obtained. This certification must include a
description of the investment, the estimated total cost, and the amount
of covered funds to be used, and must be posted online and linked to
the Web site http://www.recovery.gov. The certification must also state
that the projects have been properly reviewed and vetted and are an
appropriate use of taxpayer dollars.
Section 1607: Additional Funding Distribution and Assurance of
Appropriate Use of Funds
Section 1607 required that Governors of States receiving funding
under the Recovery Act certify by April 3, 2009, that, for grant funds
provided to any State or State agency, the State would request and use
the funds provided in the Recovery Act and that such funds would be
used to create jobs and promote economic growth. Alternatively, the
State legislature could have acted to accept such funds by the adoption
of a concurrent resolution. States or State agencies ultimately
receiving High-Speed Rail/Intercity Passenger Rail grant funds must
ensure that this certification has been completed.
Submission of Certifications Under Sections 1201, 1511, and 1607
All Certifications, once executed, shall be submitted to the
Secretary of Transportation, c/o Joel Szabat, Deputy Assistant
Secretary for Transportation Policy, at [email protected].
Certifications may be submitted via e-mail as electronic, scanned
copies, with original signed versions to follow via U.S. mail. As
required by ARRA, certifications under Section 1511 shall be
immediately posted on a Web site and linked to the Web site http://www.recovery.gov.
Appendix 3.3.4 Whistleblower Protections
The grant recipient will be required to provide the whistleblower
protections required by Section 1553 of ARRA.
Appendix 3.3.5 False Claims Act
The grant recipient and sub-recipients will be required to promptly
refer to the DOT's Inspector General credible evidence that a
principal, employee, agency, contractor, sub-contractor, or other
person has submitted a false claim under the False Claims Act or has
committed a criminal or civil violation of laws pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct
involving ARRA funds.
Appendix 3.3.6 Contracting Provisions
To the maximum extent possible, contracts funded under ARRA shall
be awarded as fixed-price contracts through the use of competitive
procedures. Grant recipients will be required to provide a summary of
any contract awarded with ARRA funds that is not fixed-price and not
awarded using competitive procedures for posting on the Recovery
Accountability and Transparency Board's Web site.
Appendix 3.4 Program-Specific Grant Requirements
These apply to PRIIA-authorized grants, including ARRA grants only,
and do not necessarily pertain to grants under Track 3 and Track 4 ARRA
funding is provided through several existing FRA programs principally
based on programs authorized in PRIIA, and PRIIA includes a number of
additional program-specific grant requirements, including:
Appendix 3.4.1 Buy America
Grant recipients must comply with the Buy America provisions set
forth in 49 U.S.C. 24405(a) which specifically provide that the
Secretary of Transportation may obligate ARRA funds for a High-Speed
Rail/Intercity Passenger Rail or congestion project only if the steel,
iron, and manufactured goods used in the project are produced in the
United States. The Secretary (or the Secretary's delegate, the FRA
Administrator) may waive this requirement if the Secretary finds that
applying this requirement would be inconsistent with the public
interest; the steel, iron, and goods produced in the United States are
not produced in a sufficient and reasonably available amount or are not
of a satisfactory quality; rolling stock or power train equipment
cannot be bought and delivered in the United States within a reasonable
time; or including domestic material will increase the cost of the
overall project by more than 25 percent. For purposes of implementing
these requirements, in calculating the components' costs, labor costs
involved in final assembly shall not be included in the calculation. If
the Secretary determines that it is necessary to waive the application
of the Buy America requirements, the Secretary is required before the
date on which such finding takes effect to publish in the Federal
Register a detailed written justification as to why the waiver is
needed; and provide notice of such finding and an opportunity for
public comment on such finding, for a reasonable period of time, not to
exceed 15 days. The Secretary may not make a waiver for goods produced
in a foreign country if the Secretary, in consultation with the United
States Trade Representative, decides that the government of that
foreign country has an agreement with the United States Government
under which the Secretary has waived the requirement of this
subsection, and the government of that foreign country has violated the
agreement by discriminating against goods to which this subsection
applies that are produced in the United States and to which the
agreement applies. The Buy America requirements described in this
section shall only apply to projects for which the costs exceed
$100,000.
[[Page 29927]]
Appendix 3.4.2 Operators Deemed Rail Carriers
A person that conducts rail operations over rail infrastructure
constructed or improved with funding provided in whole or in part in a
grant made under this program shall be considered a rail carrier as
defined in Section 49 U.S.C. 10102(5) for purposes of title 49 of the
United States Code and any other statute that adopts the definition
found in 49 U.S.C. 10102(5) including the Railroad Retirement Act of
1974 (45 U.S.C. 231 et seq.); the Railway Labor Act (43 U.S.C. 151 et
seq.); and the Railroad Unemployment Insurance Act (45 U.S.C. 351 et
seq.) (see 49 U.S.C. 24405(b))
Appendix 3.4.3 Railroad Agreements
As a condition of receiving a grant under this program for a
project that uses rights-of-way owned by a railroad, the grant
recipient shall have in place a written agreement between the grant
recipient and the railroad regarding such use and ownership, including
any compensation for such use; assurances regarding the adequacy of
infrastructure capacity to accommodate both existing and future freight
and passenger operations; an assurance by the railroad that collective
bargaining agreements with the railroad's employees (including terms
regulating the contracting of work) will remain in full force and
effect according to their terms for work performed by the railroad on
the railroad transportation corridor; and an assurance that the grant
recipient complies with liability requirements consistent with 49
U.S.C. 28103. Grant recipients that use rights-of-way owned by a
railroad must comply with FRA guidance regarding how to establish a
written agreement between the applicant and the railroad regarding use
and ownership as discussed in Appendix 3.2.11. (See 49 U.S.C.
24405(c)).
Appendix 3.4.4 Labor Protection
As a condition of receiving a grant under this program for a
project that uses rights-of-way owned by a railroad, the grant
recipient must agree to comply with the standards of 49 U.S.C. 24312,
as such section was in effect on September 1, 2003, with respect to the
project in the same manner that Amtrak is required to comply with those
standards for construction work financed under an agreement made under
49 U.S.C. 24308(a) and the protective arrangements established under
Section 504 of the Railroad Revitalization and Regulatory Reform Act of
1976 (45 U.S.C. 836) with respect to employees affected by actions
taken in connection with the project to be financed in whole or in part
by grants under this program. (see 49 U.S.C. 24405(c)).
Appendix 3.4.5 Davis-Bacon Act
Projects funded through ARRA are required to comply with the Davis-
Bacon Act (40 U.S.C. 3141 et seq.). The Davis-Bacon Act is a measure
that fixes a floor under wages on Federal government projects and
provides, in pertinent part, that the minimum wages to be paid for
classes of workers under a contract for the construction, alteration,
and/or repair of a Federal public building or public work, must be
based upon wage rates determined by the Secretary of Labor to be
prevailing for corresponding classes of workers employed on projects of
a character similar to the contract work in the civil subdivision of
the State in which the work is to be performed.
Two provisos related to the Davis-Bacon Act are included in ARRA
related to HSIPR service. The first requires that funded projects must
comply with the requirements of subchapter IV of chapter 31 of title
40, United States Code. The second provides that 49 U.S.C. 24405 shall
also apply to the funded projects. The first proviso mandates
compliance with the Davis-Bacon Act generally since it is included in
subchapter IV of Chapter 31 of title 40. The second proviso also
mandates compliance the Davis-Bacon Act through subsection 24405(c)
which provides that the Secretary shall require as a condition of
making any grant that uses rights-of-way owned by a railroad that the
applicant agree to comply with the standards of Section 24312 of title
49 with respect to the project in the same manner that Amtrak is
required to comply with those standards for construction work financed
under an agreement made under 49 U.S.C. 24308(a). Section 24312
provides that Amtrak shall ensure that laborers and mechanics employed
by contractors and subcontractors in construction work financed under
an agreement made under Section 24308 will be paid wages not less than
those prevailing on similar construction in the locality, as determined
by the Secretary of Labor under Sections 3141-3144, 3146 and 3147 of
title 40 and that wages in a collective bargaining agreement negotiated
under the Railway Labor Act are deemed to comply with Sections 3141-
3144, 3146, and 3147 of title 40. Section 24308 authorizes Amtrak to
enter into agreements with rail carriers or regional transportation
authorities to use facilities of and have services provided by the
carrier or authority under terms on which the parties agree.
FRA has concluded that the two Davis-Bacon requirements can be
reconciled in a manner that allows the HSIPR Program to be implemented
in a way that is both reasonable and consistent with current practices.
For projects that use or propose to use rights-of-way owned by a
railroad, the specific provisions of 24405(c) would apply and
applicants would be required to comply with the standards of 49 U.S.C.
24312 (prevailing wages) in the same manner that Amtrak is required to
comply with those standards for construction projects it might
undertake. It follows that wages in a collective bargaining agreement
negotiated under the Railway Labor Act would be deemed to comply with
Davis-Bacon Act requirements for these projects. For projects that do
not propose to use rights-of-way owned by a railroad, normal Davis-
Bacon Act requirements would apply and there would be no specific
exemption for wages arrived at through a collective bargaining
agreement negotiated under the Railway Labor Act. Wage rates on these
projects would have to meet the Secretary of Labor's prevailing wage
standards as described above.
Appendix 3.4.6 Project Labor Agreements
Executive Order 13502, Use of Project Labor Agreements for Federal
Construction Projects, issued by President Obama on February 6, 2009,
authorizes Federal agencies in awarding any contract in connection with
large-scale Federal government construction projects to, on a project-
by-project basis, require the use of a project labor agreement by a
contractor where use of such an agreement will (i) advance the Federal
Government's interest in achieving economy and efficiency in Federal
procurement, producing labor-management stability, and ensuring
compliance with laws and regulations governing safety and health, equal
employment opportunity, labor and employment standards, and other
matters, and (ii) be consistent with law. At this time, the Executive
Order does not apply directly to recipients of financial assistance to
either require or preclude the use of a project labor agreement.
Rather, the Order directs the Director of OMB, in consultation with the
Secretary of Labor and with other officials as appropriate, to provide
the President within 180 days of the date of the Order (August 5, 2009)
with recommendations about whether broader use of project labor
agreements, with respect to both construction
[[Page 29928]]
projects undertaken under Federal contracts and construction projects
receiving Federal financial assistance, would help to promote the
economical, efficient, and timely completion of such projects. FRA will
issue additional guidance to applicants following submission of the
required report and any further action by the President or OMB.
Appendix 3.4.7 Replacement of Existing Intercity Passenger Rail Service
Grant recipients providing Intercity Passenger Rail transportation
that begins operations after October 16, 2008 on a project funded in
whole or in part by grants made under this program, that replaces
Intercity Passenger Rail service that was provided by Amtrak, unless
such service was provided solely by Amtrak to another entity as of such
date, are required to enter into a series of agreements with the
authorized bargaining agent or agents for adversely affected employees
of the predecessor provider. (see 49 U.S.C. 24405(d)).
Appendix 3.5 General Requirements
Appendix 3.5.1 Standard Reporting Requirements
Progress Reports--Progress reports must accompany each
request for payment, and at a minimum are to be submitted quarterly.
These reports shall relate the state of completion of items in the
scope of work to expenditures of the relevant budget elements. The
grant recipient shall furnish the quarterly progress report to the FRA
on or before the 30th calendar day of the month following the end of
the quarter being reported. Each quarterly report shall set forth
concise statements concerning activities relevant to the project, and
shall include, but not be limited to, the following: (a) An account of
significant progress (findings, events, trends, etc.) made during the
reporting period; (b) a description of any technical and/or cost
problem(s) encountered or anticipated that will affect completion of
the grant within the time and fiscal constraints as set forth in this
agreement, together with recommended solutions or corrective action
plans (with dates) to such problems, or identification of specific
action that is required by the FRA, or a statement that no problems
were encountered; and (c) an outline of work and activities planned for
the next reporting period.
Quarterly Financial Status Report (SF-269)--Grant
recipients must report obligations and expenditures on a quarterly
basis using the SF-269, which is due within 30 days of the end of each
calendar quarter (e.g., for quarter ending March 31, the SF-269 is due
no later than April 30). A report must be submitted for every quarter
of the period of performance, including partial calendar quarters, as
well as for periods where no grant activity occurs. The final SF-269 is
due 90 days after the end date of the period of performance. Financial
Status Reports (SF-269) must be filed online through GrantSolutions.
Quarterly Federal Cash Transactions Report--Grant
recipients will be required to submit a SF-272, Federal Cash
Transaction Report (and when necessary the continuation sheet SF-272a),
for grants paid by Treasury Check Advances, or Electronic Transfer of
Funds. FRA will use this report to monitor cash advanced to the Grantee
and to obtain disbursement or outlay information. Forecasts of Federal
cash outlays are required in the ``Remarks'' section of the report.
Grantees will furnish the quarterly Federal cash transaction report to
the FRA on or before the 30th calendar day of the month following the
end of the quarter being reported.
Interim and/or Final Report(s)--Upon project completion,
grant recipients will be required to furnish to the FRA a Summary
Project Report detailing the results and benefits of the grant
recipient's improvement efforts due by the expiration date of the
grant.
Appendix 3.5.2 ARRA-Specific Reporting Requirements
ARRA Section 1201 Report--Periodic Reports--Each grant
recipient will be required to submit periodic reports to the FRA as
described in this paragraph not later than February 17, 2010, February
17, 2011, and February 17, 2012. The Periodic Reports shall include
information describing: (1) The amount of Federal funds appropriated,
allocated, obligated, and outlayed under the grant agreement; (2) the
number of projects that have been put out to bid under the grant
agreement and the amount of Federal funds associated with such
projects; (3) the number of projects for which contracts have been
awarded under the grant agreement and the amount of Federal funds
associated with such contracts; (4) the number of projects for which
work has begun under such contracts and the amount of Federal funds
associated with such contracts; (5) the number of projects for which
work has been completed under such contracts and the amount of Federal
funds associated with such contracts; (6) the number of direct, on-
project jobs created or sustained by the Federal funds provided for
projects under the grant agreement and, to the extent possible, the
estimated indirect jobs created or sustained in the associated
supplying industries, including the number of jobs created and the
total increase in employment since February 17, 2009; and (7)
information tracking the actual aggregate expenditures by the grant
recipient from its own sources for projects eligible for funding under
this agreement during the period beginning on February 17, 2009 through
September 30, 2010, as compared to the level of such expenditures that
were planned to occur during such period as of February 17, 2009. DOT
or FRA may issue additional guidance on the preparation and submission
of Periodic Reports.
Section 1512(c)--Jobs Accountability Reports--Not later
than 10 days after the end of each quarter, each grant recipient will
be required to submit a Jobs Accountability Report to the FRA that
contains: (1) The total amount of ARRA funds received pursuant to this
agreement; (2) the amount of ARRA funds received that were expended or
obligated to projects or activities; and (3) a detailed list of all
projects or activities for which ARRA funds were expended or obligated,
including--(A) the name of the project or activity; (B) a description
of the project or activity; (C) an evaluation of the completion status
of the project or activity; (D) an estimate of the number of jobs
created and the number of jobs retained by the project or activity; and
(E) detailed information on any subcontracts or subgrants awarded by
the grant recipient to include the data elements required to comply
with the Federal Funding Accountability and Transparency Act of 2006
(Pub. L. 109-282), allowing aggregate reporting on awards below $25,000
or to individuals, as prescribed by the Director of OMB. OMB may issue
additional guidance on the preparation and submission of Jobs
Accountability Reports. The grant recipient must also register with the
CCR database or complete other registration requirements as determined
by the Director of OMB.
Section 1609: Environmental Reporting--Section 1609(c) of
ARRA requires that Federal agencies report via the President
(specifically, to the White House Council on Environmental Quality)
every 90 days following enactment of ARRA on the status of projects
funded under ARRA with respect to compliance with NEPA. Grant
recipients may be requested to submit information to assist FRA in
completing this report.
Additional Information--To satisfy the purposes of the
ARRA, grant recipients may be required to provide
[[Page 29929]]
additional information in response to requests from OMB, the
Congressional Budget Office, the Government Accountability Office, or
the Department's Inspector General. FRA will inform grant recipients if
and when such additional reports or information are required.
Appendix 3.5.3 Audit Requirements
Grant recipients that expend $500,000 or more of Federal funds
during their fiscal year are required to submit an organization-wide
financial and compliance audit report. The audit must be performed in
accordance with U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB
Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations, located at http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are currently to be submitted to the Federal
Audit Clearinghouse no later than nine months after the end of the
recipient's fiscal year. In addition, FRA and the Comptroller General
of the United States shall have access to any books, documents, and
records of grant recipients for audit and examination purposes. The
grant recipient will also give FRA or the Comptroller, through any
authorized representative, access to, and the right to examine all
records, books, papers or documents related to the grant. Grant
recipients shall require that sub-grantees comply with the audit
requirements set forth in OMB Circular A-133. Grant recipients are
responsible for ensuring that sub-recipient audit reports are received
and for resolving any audit findings.
Appendix 3.5.4 Monitoring Requirements
Grant recipients will be monitored periodically by FRA, both
programmatically and financially, to ensure that the project goals,
objectives, performance requirements, timelines, milestone completion,
budgets, and other related program criteria are being met. Monitoring
will be accomplished through a combination of office-based reviews and
onsite monitoring visits. Monitoring will involve the review and
analysis of the financial, programmatic, performance and administrative
issues relative to each program and will identify areas where technical
assistance and other support may be needed. The recipient is
responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in
compliance with requirements. Responsibilities include the accounting
of recipients and expenditures, cash management, maintaining of
adequate financial records, and refunding expenditures disallowed by
audits.
Appendix 3.5.5 Closeout Process
Project closeout occurs when all required project work and all
administrative procedures described in 49 CFR part 18, or 49 CFR part
19, as applicable, have been completed, and when FRA notifies the grant
recipient and forwards the final Federal assistance payment, or when
FRA acknowledges the grant recipient's remittance of the proper refund.
Project closeout shall not invalidate any continuing obligations
imposed on the Grantee by an award or by the FRA's final notification
or acknowledgment. Within 90 days of the Project completion date or
termination by FRA, Grantees agree to submit a final Financial Status
Report (Standard Form 269), a certification or summary of project
expenses, and third party audit reports, as applicable.
Appendix 3.6 Freedom of Information Act (FOIA)
As a Federal agency, the FRA is subject to the Freedom of
Information Act (FOIA) (5 U.S.C. 552), which generally provides that
any person has a right, enforceable in court, to obtain access to
Federal agency records, except to the extent that such records (or
portions of them) are protected from public disclosure by one of nine
exemptions or by one of three special law enforcement record
exclusions. Grant applications and related materials submitted by
applicants pursuant to this guidance would become agency records and
thus subject to the FOIA and to public release through individual FOIA
requests. ARRA also mandates broad public dissemination of information
related to the expenditure of funds through reporting requirements and
website postings that are addressed in other sections of this guidance.
President Obama's March 20, 2009 Memorandum for the Heads of Executive
Departments and Agencies on Ensuring Responsible Spending of Recovery
Act Funds mandates the strongest possible efforts to ensure public
transparency and accountability of ARRA expenditures. Consistent with
these mandates, it is FRA's intention to employ a transparent process
in distributing and overseeing the expenditure of ARRA funds. FRA also
recognizes that certain information submitted in support of an
application for funding in accordance with this guidance could be
exempt from public release under FOIA as a result of the application of
one of the FOIA exemptions, most particularly Exemption 4, which
protects trade secrets and commercial or financial information obtained
from a person that is privileged or confidential (5 U.S.C. 552(b)(4)).
In the context of this grant program, commercial or financial
information obtained from a person could be confidential if disclosure
is likely to cause substantial harm to the competitive position of the
person from whom the information was obtained (see National Parks &
Conservation Ass'n v. Morton, 498 F.2d 765, 770 (D.C. Cir. 1974)).
Entities seeking exempt treatment must provide a detailed statement
supporting and justifying their request and should follow FRA's
existing procedures for requesting confidential treatment in the
railroad safety context found at 49 CFR 209.11. As noted in the
Department's FOIA implementing regulation (49 CFR part 7), the burden
is on the entity requesting confidential treatment to identify all
information for which exempt treatment is sought and to persuade the
agency that the information should not be disclosed (see 49 CFR 7.17).
The final decision as to whether the information meets the standards of
Exemption 4 rests with the FRA.
Issued in Washington, DC, on June 17, 2009.
Joseph C. Szabo,
Administrator.
[FR Doc. E9-14692 Filed 6-22-09; 8:45 am]
BILLING CODE 4910-06-P