[Federal Register Volume 75, Number 62 (Thursday, April 1, 2010)]
[Notices]
[Pages 16564-16574]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-7336]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
High-Speed Intercity Passenger Rail (HSIPR) Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of funding availability.
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SUMMARY: On January 28, 2010, President Obama announced the first
selections for the High-Speed Intercity Passenger Rail (HSIPR) Program.
This notice builds on the program framework established by FRA in the
June 23, 2009 interim program guidance (74 FR 29900), and details the
application requirements and procedures for obtaining funding for high-
speed rail planning activities under the Department of Transportation
Appropriations Act of 2010 (FY 2010 DOT Appropriations Act). This
solicitation is only applicable to the planning funds available under
the FY 2010 appropriation; a future solicitation will be released in
the coming months for the stand-alone project and corridor program
funds under the FY 2010 appropriation. FRA has also concurrently issued
a separate solicitation for projects to be funded with funds available
under the Department of Transportation Appropriations Act of 2009 that
have not yet been allocated to projects. This solicitation is also
published in today's edition of the Federal Register.
DATES: Applications for funding under this solicitation are due no
later than 5 p.m. EST, May 19, 2010 and must be submitted via
Grants.gov (see instructions in Section 3.1). See Section 3 for
additional information regarding the application process. FRA reserves
the right to modify this deadline.
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, SE., MS-20, Room W38-
302, Washington, DC 20590, Att'n: HSIPR Program. Applicants are
encouraged to use special courier services to avoid shipping delays.
Application forms are available at http://www.fra.dot.gov/Pages/2243.shmtl.
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, SE., MS-20, Washington, DC 20590, Att'n: HSIPR Program.
Table of Contents
1. Financial Assistance Description
2. Eligibility Information
3. Application and Submission Information
4. Application Review Information
5. Award Administration Information
6. Questions and Clarifications
Appendix 1: Additional Information on Eligibility
Appendix 2: Additional Information on Award Administrations and
Grant Conditions
Appendix 3: Additional Information on Applicant Budgets
Section 1: Financial Assistance Description
1.1 Authority
This financial assistance announcement pertains to the funding made
available for planning activities under FRA's High-Speed Intercity
Passenger Rail (HSIPR) Program.
The authority for these planning funds is contained in two pieces
of legislation:
The Passenger Rail Investment and Improvement Act of 2008,
under Sections 301, 302, and 501--Intercity Passenger Rail Service
Corridor Capital Assistance (codified at 49 U.S.C. chapter 244); and
The Fiscal Year (FY) 2010 Consolidated Appropriations Act
(``FY 2010 DOT Appropriations Act,'' Title I of Division A of Pub. L.
111-117, December 16, 2009), under the title ``Capital Assistance for
High Speed Rail Corridors and Intercity Passenger Rail Service.''
This document incorporates interim guidance required for this
financial assistance opportunity pursuant to the FY 2010 DOT
Appropriations Act and 49 U.S.C. 24402(a)(2). The funding made
available under this financial assistance announcement was appropriated
under the FY 2010 DOT Appropriations Act. The funding opportunities
described in this guidance are available under Catalog of Federal
Domestic Assistance (CFDA) number 20.319.
1.2 Program Description and Legislative History
As one of President Obama's foremost transportation priorities, the
HSIPR Program is intended to help address the nation's transportation
challenges by investing in an efficient network of high-speed and
intercity passenger rail corridors that connect communities across
America. On January 28, 2010, President Obama announced the first
recipients selected to receive funding under the HSIPR Program. These
initial awards were funded from the $8 billion appropriated under the
American Recovery and Reinvestment Act of 2009 (ARRA or Recovery Act)
and $90 million appropriated under the FY 2009 DOT Appropriations Act.
Within the $90 million of FY 2009 funding, approximately $9 million
worth of planning projects were selected.
Congress established the framework for the HSIPR Program through
the passage of the Passenger Rail Investment and Improvement Act of
2008 (PRIIA). Enacted in October 2008, PRIIA represents the most
sweeping Congressional action on intercity
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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
intercity passenger rail capital improvements, each of which, as
authorized, requires a 20 percent non-Federal match:
Intercity Passenger Rail Service Corridor Capital
Assistance (Section 301)--Under this section, the broadest of PRIIA's
three 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).
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.
Congestion Grants (Section 302)--This program authorizes
grants to States or to Amtrak (in cooperation with States) for
facilities, infrastructure, and equipment for high-priority rail
corridor projects to reduce congestion or facilitate intercity
passenger rail ridership growth.
In the FY 2010 DOT Appropriations Act, Congress built upon the
``jump start'' in funding for high-speed and intercity passenger rail
development provided through the ARRA by appropriating an additional
$2.5 billion for the grant activities authorized under Sections 301,
302, and 501 of PRIIA. However, unlike the special exceptions made in
ARRA, applicants will now be required to provide at least the 20
percent non-Federal match mandated in PRIIA. Additionally, Congress
stipulated that up to $50 million of the funds provided can be used for
planning activities.
1.3 Funding Approach
The FY 2010 DOT Appropriations Act appropriated a total of $2.5
billion for high-speed and intercity passenger rail grants;
additionally, approximately $65 million remains from the FY 2009 DOT
Appropriations Act. FRA is separately soliciting applications for the
different components of these appropriations:
1. FY 2010 planning funds (up to $50 million): Planning projects
with a 20 percent non-Federal match. This solicitation is for these
funds. (The appropriation permits the Secretary to retain a portion of
these funds for Federally-led multi-State planning projects. See
Section 1.4 for more details.)
2. FY 2010 stand-alone projects (up to $245 million) and corridor
programs (at least $2,125 million): Stand-alone final design/
construction and/or preliminary engineering/NEPA projects and corridor
program funding with a 20 percent non-Federal match. The solicitation
for these funds is forthcoming.
3. Residual FY 2009 funds (approximately $65 million): Construction
projects with a 50 percent non-Federal match. The notice of funding
availability (NOFA) for these funds is being issued concurrently with
this solicitation.
1.4 General Award Information
Of the $2.5 billion appropriated by Congress, up to $50 million is
available for planning activities. These planning grants are authorized
under Sections 301, 302, and 501 of PRIIA.
Planning grants are aimed at helping to establish a pipeline of
future HSIPR construction projects and corridor development programs by
advancing planning activities for corridors that are at an earlier
stage of the development process. The grants can also be used for
completion of State rail plans. These planning activities provide
States with an opportunity to complete the prerequisite work needed to
submit applications for future construction grant solicitations.
The FY 2010 DOT Appropriations Act also permits the Secretary of
Transportation to retain a portion of planning funding to facilitate
the preparation of planning documents for high-speed rail corridors
that cross multiple States. Groups of States interested in advancing
ideas for a U.S. DOT-led multi-State planning ``demonstration'' effort
should submit proposals according to a separate and concurrently-issued
notification also included in today's Federal Register.
FRA will make awards for (1) ``passenger rail corridor investment
plans'' that lead directly to completion of both service development
plans (SDPs) and corridor-wide environmental documents, and (2) State
rail plans (see Section 2.4). The awards will be issued through
cooperative agreements. Cooperative agreements allow for greater
Federal involvement in carrying out the agreed upon investment. The
substantial Federal involvement for high-speed intercity passenger rail
planning activities will include agreement on the scope of study,
review of draft studies, and acceptance of final deliverables.
While there are no predetermined minimum or maximum dollar
thresholds for awards, FRA anticipates making multiple awards from the
$50 million available for planning. As such, FRA expects applicants to
tailor their applications and proposed project scopes accordingly.
Section 2: Eligibility Information
Applications for planning activities will be required to meet
minimum requirements related to applicant eligibility, project
eligibility, and the fulfillment of other 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.
2.1 Eligible Applicant Types
An entity seeking assistance for planning activities must meet the
definition of an ``applicant'' under Sections 301, 302 and 501 of
PRIIA. See Appendix 1.1 for more details about applicant eligibility.
Eligible applicant entities are as follows:
States (including the District of Columbia);
Groups of States (Sections 301 and 501);
Interstate Compacts (Sections 301 and 501);
Public agencies established by one or more States and
having responsibility for providing intercity passenger rail service
(Section 301) or high-speed passenger rail service (Section 501);
Amtrak (Section 501); and
Amtrak, in cooperation with States (Sections 301 and 501).
2.2 Applicant and Key Partner Qualifications
For an application submitted by an eligible entity to be considered
for planning funding, it must affirmatively demonstrate that the
applicant has or will have the legal, financial, and technical capacity
to carry out its proposed project. To demonstrate these capacities, the
applicant is required to address the following qualifications:
For an entity other than a State, its legal authority to
undertake the proposed project and apply for and expend Federal
financial assistance;
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The applicant's ability to provide matching funds and 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 planning
projects of a nature similar to that for which funding is being
requested.
2.3 Cost Sharing and Matching
2.3.1 Treatment of Applicant Cost Sharing
Pursuant to the provisions of the FY 2010 DOT Appropriations Act
and Sections 301, 302, and 501 of PRIIA, the Federal share of the costs
of projects funded through cooperative agreements under this
solicitation may not exceed 80 percent.
If an applicant chooses the option of contributing, from its own or
its partner project stakeholders' resources, more than the required 20
percent non-Federal share of the costs of its proposed project, such
additional contributions will be considered in evaluating the merit of
its application (see Section 4 for a complete description of evaluation
and selection criteria).
2.3.2 Requirements for Applicant Cost Sharing
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 or supplies. 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 or 19.23.
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, funds from other Federal financial assistance
programs may not be used to satisfy the 20 percent match requirement.
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 the
cooperative agreement.
2.4 Eligible Projects
There are two types of eligible planning projects: (1) Those that
lead directly to ``passenger rail corridor investment plans'' (which
include both service development plans and corridor-wide environmental
documentation); and (2) those that lead directly to a State rail plan.
2.4.1 Passenger Rail Corridor Investment Plans
Passenger rail corridor investment plans include both a service
development plan (SDP) and corridor-wide environmental documentation.
Groups of States submitting proposals should identify whether they are
proposing that FRA lead the development of both documents, a stand-
alone SDP, or corridor-wide environmental document.
Applicants seeking planning funds to develop a passenger rail
corridor investment plan must apply for any necessary work to develop
both a service development plan and corridor-wide environmental
documentation. If the applicant has already completed one of these
documents or a component thereof, FRA must have accepted that document
as meeting the minimum requirements outlined herein in order for the
applicant to receive a grant to complete the remaining component(s).
2.4.1.1 Service Development Plan
Service Development Plans (SDPs) should support future corridor
development. SDPs funded through this solicitation must include the
following elements:
Corridor Development Program Rationale--Description of the
corridor's transportation challenges and opportunities, based on
current and forecasted travel demand and capacity conditions,
demonstrating how the proposed project/program would cost-effectively
address transportation and other needs. Development of the program
rationale should consider multimodal system alternatives (highway, air,
other, as applicable), including a qualitative and quantitative
assessments of the costs, benefits and impacts and risks of the
alternatives. Program rationale may also explore synergies between the
proposed service and large-scale goals and development plans within its
service region and communities.
Service Plan--Detail on the train service alternatives to
be provided for each phase of new or improved HSIPR service, including:
the service frequency, timetable (including time-distance
``stringline'' diagrams), general station locations, intermodal
connections, and train consists. The Service Plan will rely on or
include operational analyses, including, where appropriate, 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. If the
proposed service makes use of facilities that would be shared with
freight, commuter rail, or other intercity passenger rail services, the
planning study should consider the existing and future characteristics
of those services, as developed cooperatively with freight, commuter,
and intercity passenger rail partners.
Capital Investment Needs Assessment--Identification of
infrastructure, rolling stock and facilities improvements for each
discrete phase of new or improved service implementation, including any
sequence or prioritization. The plan will include cost estimates for
specific capital investments needed to achieve and sustain the service
plan.
Financial Forecast--Operating financial projections for
each phase of the planned service, with documentation of the methods,
assumptions and outputs of the following: travel demand forecasts,
projected revenue, and operating expenses, including maintenance of
way, maintenance of equipment, transportation (train movement),
passenger traffic and services (marketing, ticketing, station, and on-
board services), and general/administrative expenses. Cost-sharing
arrangements with infrastructure owners and rail operators should also
be included.
Public Benefits Assessment--Description of user and non-
user benefits and, to the extent readily quantifiable, the estimated
economic value of those benefits, with particular attention to job
creation and retention, ``green'' environmental outcomes, potential
energy savings, and effects on community livability.
Program Management Approach--A phased program
implementation strategy including 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.
[[Page 16567]]
2.4.1.2 Corridor-Wide Environmental Documents
Eligible planning projects include those that lead directly to
completion of NEPA and related environmental documentation for corridor
programs. Environmental documentation funded through this solicitation
must satisfy Service NEPA requirements. FRA has defined Service NEPA as
at least a programmatic/Tier 1 environmental review (using tiered
reviews and documents), or a project environmental review, that also
addresses broader questions and likely environmental effects for the
entire corridor relating to the type of service(s) being proposed,
including cities and stations served, route alternatives, service
levels, types of operations (speed, electric, or diesel powered),
ridership projections, and major infrastructure components. Simple
corridor programs are often best addressed with project NEPA
documentation, while more complex corridor programs may need a tiering
approach. FRA is responsible for establishing the scope of the
environmental review, including the use of tiering or use of project
NEPA documentation.
2.4.2 State Rail Plans
Eligible planning projects include those that result in completion
of State rail plans. The contents of State rail plans funded through
this solicitation must satisfy Chapter 227 of Title 49 and include the
following:
The State's goals for a multimodal system, the role of
rail within that system, and current freight and passenger rail
activities.
A description of the existing freight and passenger
system, current operating objectives for freight and passenger rail,
and the system performance.
A discussion of the institutional structure of the rail
program, ongoing safety and security programs, and a general analysis
of the economic and environmental impacts of rail within the State.
A summary of all passenger and freight rail proposals
under consideration in the State for commuter and intercity markets,
their capital costs, timing, phasing and funding, public and private
benefits, supporting studies and reports, and how they would address
rail system deficiencies.
A description of the vision for rail transportation in the
State, how it relates to the national rail plan (if available in its
final form by the time of the planning activities) and regional plans,
and how it would be carried out through rail agencies, supporting
legislation, and any new rail programs within the State.
A 5-year and 20-year rail service and investment program
and a discussion of their effects on State transportation, rail
capacity and congestion, other modes, safety and congestion, energy and
greenhouse gas emissions, environmental, economic and employment
conditions, and the distribution of benefits to communities in terms of
livability.
Specific information for the passenger element of the
service and investment program including: Financing plan, service
development plan, and 5 and 20-year public and private benefits.
Specific information for the freight element of the
service and investment program, including: Financing plan and 5 and 20-
year public private benefits.
A description of public, agency, and interested party
participation in the plan development, how their recommendations were
addressed in process, and how rail planning is coordinated with other
State transportation planning and programs, including Section 135 of
Title 23.
2.5 Project Completion
FRA encourages all planning projects to be completed within 1 to 2
years of obligation.
2.6 Eligibility Restrictions
Pursuant to the provisions of the FY 2010 DOT Appropriations Act
and Sections 301, 302, and 501 of PRIIA, planning activities outlined
below are ineligible to receive funding:
Applications for planning activities submitted by private
entities other than Amtrak;
Projects for which commuter rail passenger transportation
is the primary intended beneficiary; and
For any expenses associated with passenger rail operating
costs.
Additional funding use restrictions are fully described in Section
3.4.3 of this notice.
Section 3: Application and Submission Information
3.1 Applying Online
Applications for these funds will be submitted through Grants.gov
by 5 p.m. EST on May 19, 2010. Program-specific application forms
(identified in Section 3.3 below) may be downloaded from FRA's Web site
at http://www.fra.dot.gov/Pages/2243.shmtl.
To apply for funding through Grants.gov, applicants must be
properly registered. Complete instructions on how to register and
submit an application can be found at Grants.gov. If you experience
difficulties at any point during this process, please call the
Grants.gov Customer Support Hotline at 1-800-518-4726, Monday-Friday
from 7 a.m. to 9 p.m. EST.
Registering with Grants.gov is a one-time process; however,
processing delays may occur and it can take up to several weeks for
first-time registrants to receive confirmation and a user password. It
is highly recommended that applicants start the registration process as
early as possible to prevent delays that may preclude submitting an
application package by the application deadline specified. Applications
will not be accepted after the due date; delayed registration is not an
acceptable reason for extensions. In order to apply for funding under
this announcement and to apply for funding through Grants.gov, all
applicants are required to complete the following.
1. Acquire a DUNS Number. A Data Universal Numbering System (DUNS)
number is required for Grants.gov registration. The Office of
Management and Budget requires that all businesses and nonprofit
applicants for Federal funds include a DUNS number in their
applications for a new award or renewal of an existing award. A DUNS
number is a unique nine-digit sequence 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 life cycle. Obtaining a DUNS number
is a free, one-time activity. Obtain a DUNS number by calling 1-866-
705-5711 or by applying online at http://www.dunandbradstreet.com.
2. Acquire or Renew Registration with the Central Contractor
Registration (CCR) Database. All applicants for Federal financial
assistance maintain current registrations in the Central Contractor
Registration (CCR) database. An applicant must be registered in the CCR
to successfully register in Grants.gov. The CCR database is the
repository for standard information about Federal financial assistance
applicants, recipients, and subrecipients. Organizations that have
previously submitted applications via Grants.gov are already registered
with CCR, as it is a requirement for 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, so it
is critical to check
[[Page 16568]]
registration status well in advance of the application deadline.
Information about CCR registration procedures can be accessed at http://www.ccr.gov.
3. Acquire an Authorized Organization Representative (AOR) and a
Grants.gov Username and Password. Complete your AOR profile on
Grants.gov and create your username and password. You will need to use
your organization's DUNS number to complete this step. For more
information about the registration process, go to http://www.grants.gov/applicants/get_registered.jsp.
4. Acquire Authorization for your AOR from the E-Business Point of
Contact (E-Biz POC). The E-Biz POC at your organization must log in to
Grants.gov to confirm you as an AOR. Please note that there can be more
than one AOR for your organization.
5. Search for the Funding Opportunity on Grants.gov. Please use the
following identifying information when searching for the funding
opportunity on Grants.gov. The Catalog of Federal Domestic Assistance
(CFDA) number for this solicitation is 20.319 titled ``High-
Speed Rail Corridors and Intercity Passenger Rail Service--Capital
Assistance Grants.''
6. Submit an Application Addressing All of the Requirements
Outlined in this Funding Availability Announcement. Within 24 to 48
hours after submitting your electronic application, you should receive
an e-mail validation message from Grants.gov. The validation message
will tell you whether the application has been received and validated
or rejected, with an explanation. You are urged to submit your
application at least 72 hours prior to the due date of the application
to allow time to receive the validation message and to correct any
problems that may have caused a rejection notification.
Note: When uploading attachments please use generally accepted
formats such as .pdf, .doc, .docx, .xls, .xlsx and .ppt. While you
may imbed picture files such as .jpg, .gif, and .bmp, in your
document files, please do not submit attachments in these formats.
Additionally, the following formats will not be accepted: .com,
.bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora,
.sys, and .zip.
Experiencing Unforeseen Grants.gov Technical Issues
If you experience unforeseen Grants.gov technical issues beyond
your control that prevent you from submitting your application by the
deadline, you must contact FRA staff at [email protected] within 24 hours
after the deadline and request approval to submit your application. At
that time, FRA staff will require you to e-mail the complete grant
application, your DUNS number, and provide a Grants.gov Help Desk
tracking number(s). After FRA staff review all of the information
submitted, as well as contact the Grants.gov Help Desk to validate the
technical issues you reported, FRA staff will contact you to either
approve or deny your request to submit a late application. If the
technical issues you reported cannot be validated, your application
will be rejected as untimely.
To ensure a fair competition for limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(1) Failure to complete the registration process before the deadline
date; (2) failure to follow Grants.gov instructions on how to register
and apply as posted on its Web site; (3) failure to follow all of the
instructions in the funding availability notice; and (4) technical
issues experienced with the applicant's computer or information
technology (IT) environment.
3.2 Address To Request/Submit 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.
For optional supporting documentation (described in Section 3.3.1)
that an applicant is unable to submit electronically (such as oversized
engineering drawings), applicants may submit an original and two copies
to the above address. However, 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.
3.3 Content of Application
3.3.1 Application Package Components
The application package for HSIPR Program planning applications
contains three required components:
1. HSIPR Planning Application Form.
2. OMB Standard Application Forms.
3. FRA's Assurances Document.
Applicants must complete all three required components of the
application package; failure to do so may result in the application
being removed from consideration for award. All three components of the
application package must be submitted through Grants.gov.
Applicants may also submit additional documentation to support the
merits of their applications. Inclusion of such supporting
documentation is optional.
3.3.1.1 HSIPR Planning Application Form
The most significant component of the application package is the
HSIPR Planning Application Form, into which the applicant enters
specific information about the proposed project. The form includes
fields that have been developed by FRA to capture pertinent qualitative
and quantitative program-specific information that is needed for FRA to
confirm applicant and project eligibility, as well as information
needed for evaluation and selection of applications. The HSIPR Planning
Application Form requests three types of information:
1. General applicant and project information.
2. Narratives that allow the applicant to make arguments on the
benefits of its proposed planning activities and other factors that are
used to evaluate the merits of the application (See Section 4.2 and 4.3
for a summary of evaluation and selection criteria).
3. A Statement of Work (SOW)--scope, schedule and budget--that
provides a description of the work that will be completed under the
cooperative agreement, including the planning objectives, deliverables,
milestones, project management information, and a budget broken down by
deliverables and milestones that includes the assumptions used to
develop the estimates. Pursuant to 49 U.S.C. 24402(g), FRA reserves the
right to request changes to project scopes, schedules, and budgets of
selected projects. See Appendix 3 for more information on preparing
project budgets.
The HSIPR Planning Application Form is available from FRA's Web
site at: http://www.fra.dot.gov/Pages/2243.shtml. Applicants should
download and complete the form and submit as an attachment in
Grants.gov.
In support of any information provided in the Application Form, FRA
welcomes the submission of any other available supporting documentation
that may have been developed by the applicant. The format and structure
of any additional supporting documents is at the discretion of the
applicant. Optional supporting documentation may be provided one of two
ways--(1) as attachments to the application, or (2) in hard copy for
materials that cannot otherwise be provided electronically. Applicants
should provide notifications of any documentation being submitted in
hard copy in the appropriate section
[[Page 16569]]
of the HSIPR Program Application Form.
Optional supporting documentation could include items such as maps,
preliminary engineering documents, environmental work, implementation
plans, stakeholder agreements, or financial plans.
3.3.1.2 OMB Standard Application Forms
The Standard Forms are developed by OMB and are required of all
grant applicants. These forms should be submitted electronically
through Grants.gov.
Standard Form 424, Application for Federal Assistance.
Standard Form 424A, Budget Information--Non-Construction
Programs.
Standard Form 424B, Assurances--Non-Construction Programs.
3.3.1.3 FRA Assurances Document
FRA's assurances document contains standard Department
certifications on grantee suspension and debarment, drug-free workplace
requirements, and Federal lobbying. The FRA assurances document 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
Grants.gov.
3.3.1.4 Other Required Documentation
For any other documentation required prior to award that is not
specified in this notice, FRA will make individual arrangements with
applicants for the submission of the required documentation.
3.4 Additional Application Information
3.4.1 Submission Dates and Times
Complete applications must be submitted to Grants.gov (as specified
in Section 3.1) no later than 5 p.m. EST, May 19, 2010. Grants.gov 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 5 p.m. EST, May 19, 2010. FRA will e-mail the
applicant to confirm receipt of supporting documentation sent by
courier service.
Subject to demonstration of unanticipated extenuating
circumstances, FRA may consider application materials submitted after
the deadlines prescribed above.
FRA reserves the right to contact applicants with any concerns,
questions, or comments related to applications.
3.4.2 Intergovernmental Review
This program has not been designated as subject to Executive Order
12372, pursuant to 49 CFR part 17.
3.4.3 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
cooperative agreements awarded for planning activities, 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;
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.
FRA will also consider reimbursement of pre-award costs incurred as
early as the enactment of the FY 2010 DOT Appropriations Act (December
16, 2009). However, such costs will be considered for reimbursement
only to the extent that they are otherwise allowable under the
applicable cost principles.
Section 4: Application Review Information
4.1 Application Review Process
Complete applications are due by 5 p.m. EST, May 19, 2010. All
applications will proceed through a three-step process:
1. Screening for completeness and eligibility;
2. Evaluation review by a technical panel applying ``evaluation
criteria;'' and
3. Final review and selection by the FRA Administrator, applying
``selection criteria.''
All applications will first be screened for completeness, as well
as applicant and project eligibility. Applications determined to be
both complete and eligible will be referred to a technical panel
consisting of subject-matter experts for a merit-based evaluation
review. The panels will be comprised of professional staff employed by
FRA and other DOT modal administrations, as appropriate.
Applications will be individually reviewed and assessed against the
evaluation criteria outlined in Section 4.2. For each of the criteria,
the panel will assign a rating of between zero and three points, based
on the application's fulfillment of the objectives of each criterion.
These individual criterion ratings will then be combined according to
priority of criteria, to arrive at an overall rating for the
application.
The evaluation criteria, in order of priority, are:
1. Potential Transportation and Public Benefits.
2. Future Program Viability and Sustainability.
3. Project Delivery Approach.
Applications will be reviewed based on both the underlying projects
being studied and the quality of the planning activities being
proposed. These criteria relate to the underlying projects or corridors
that are the subject of the planning activities as well as the proposed
planning activities themselves.
In addition to the ratings assigned by the technical evaluation
panels, the FRA Administrator may take into account several cross-
cutting and comparative selection criteria to determine awards. 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 (see Section 4.3). The four selection criteria are:
1. Region/Location.
2. Innovation/Resource Development.
3. Partnerships/Participation.
4. Prior HSIPR Funding Decisions and/or State Investments.
4.2 Evaluation Criteria
4.2.1 Potential Transportation and Public Benefits
The review panel will consider how the proposed service would
result in future transportation and public benefits by evaluating the
characteristics of the underlying projects or corridors that are the
subjects of the study.
Some of the factors that may be considered for passenger rail
corridor investment programs include:
The clarity and detail with which the applicant has
identified the problem to be addressed by the proposed service;
The market potential of the corridor being studied, taking
into consideration
[[Page 16570]]
such factors as population, density, economic activity, and travel
patterns;
The potential for the corridor to deliver high-speed and
intercity passenger rail service benefits, including ridership, on-time
performance, travel time, service frequencies, safety and other
factors;
The potential of the corridor program to promote economic
development, including contributions to a sustainable U.S.
manufacturing and supply base;
The potential of the corridor program to enhance energy
efficiency and environmental quality;
The potential of the corridor program to promote
interconnected livable communities, including complementing local or
State efforts to concentrate higher-density, mixed-use, development in
areas proximate to multi-modal transportation options (including
intercity passenger rail stations); and
The consideration of other transportation modes in the
planning process.
Some of the factors that may be considered for State rail plans
include:
The clarity and detail with which the applicant has
identified the problems to be addressed by the State's vision for rail
transportation and rail investment program;
The potential for the State rail plan to lead to passenger
and freight rail service benefits, including ridership, on-time
performance, travel time, service frequencies, goods movement, safety
and other factors;
The potential of the State rail plan to promote economic
development, including contributions to a sustainable U.S.
manufacturing and supply base;
The potential of the State rail plan to enhance energy
efficiency and environmental quality;
The potential of the State rail plan to promote
interconnected livable communities, including complementing local or
State efforts to concentrate higher-density, mixed-use, development in
areas proximate to multi-modal transportation options (including
intercity passenger rail stations); and
The integration of the State rail plan with the planning
processes of other transportation modes.
4.2.2 Future Program Viability and Sustainability
This criterion will be used to evaluate the extent to which the
planning project will support a viable and sustainable high-speed rail
program, including consideration of:
The likelihood that the final deliverables (Service
Development Plan, Environmental Document, or State Rail Plan) will be
ready and capable of being implemented;
The demonstrated commitment of the State and other
stakeholders to quickly execute the program once planning is complete;
The degree to which the planning process meaningfully
incorporates input from affected communities, local governments,
regional councils and planning organizations, neighboring States,
railroads, transportation modal partners, environmental interests, the
public and other stakeholders--early and throughout the process;
The likelihood that the corridor programs being studied
can yield measurable service and public benefits in a reasonable period
of time;
The demonstrated ability of the applicant to support the
future capital and operating needs of the corridor(s) being studied;
The thoroughness of the proposed deliverables;
The quality of proposed methodology and assumptions; and
The applicant's contribution of a cost share greater than
the required minimum of 20 percent.
4.2.3 Project Delivery Approach
Applications will be evaluated on the applicant's ability and
approach to deliver the planning study successfully and in a timely
fashion, including consideration of:
The applicant's financial, legal, and technical capacity
to implement the project;
The applicant's experience in administering similar grants
and planning efforts;
The soundness and thoroughness of the cost methodologies
and assumptions, and estimates for the proposed planning activities;
The reasonableness and timeliness of the milestone and
completion schedule;
The thoroughness and quality of the Statement of Work;
The timing and amount of the project's future noncommitted
investments;
The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners that will be involved in
conducting the planning effort; and
The overall completeness and quality of the application,
including the comprehensiveness of its supporting documentation.
4.3 Selection Criteria
4.3.1 Region/Location
Ensuring appropriate level of regional balance across the
country.
Ensuring promotion of livable communities in urban and
rural locations.
Ensuring consistency with national transportation and rail
network objectives.
Ensuring integration with other rail services and
transportation modes.
4.3.2 Innovation/Resource Development
Advancing the state of the art in modeling techniques for
assessing potential intercity passenger rail costs and benefits.
Promoting domestic manufacturing, supply and industrial
development, including U.S.-based manufacturing and supply industries.
Developing professional railroad engineering, operating,
planning and management capacity needed for sustainable high-speed
intercity passenger rail development.
Utilizing innovative planning techniques, such as new
methods for engaging the public.
4.3.3 Partnerships/Participation
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.
Engaging local communities and a variety of other
stakeholder groups in the planning process.
4.3.4 Prior HSIPR Funding Decisions and/or State Investments
Assessing how a proposed project would complement previous
construction or planning grants made by the HSIPR program.
Assessing how the proposed project would complement
previous State investments in high-speed intercity passenger rail.
Section 5: Award Administration Information
5.1 Award Notices
Upon approval of an application, notification will be sent to the
grant recipient through Grants.gov and via a mailed letter.
FRA will publicly announce selected projects. For projects that
were not selected, FRA will notify the applicants
[[Page 16571]]
of the decision and provide the following:
Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
Guidance regarding subsequent rounds of funding.
5.2 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), debarment and suspension, drug-free workplace, FRA's and OMB's
Assurances and Certifications, ADA, buy America, environmental
protection, NEPA, and environmental justice. For additional details on
these administrative and national policy requirements, please refer to
FRA's HSIPR Notice of Grant Award Example under the high-speed rail
link on FRA's Web page at http://www.fra.dot.gov/Pages/2374.shmtl,
which includes a sample copy of FRA's current model grant/cooperative
agreement.
5.3 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 2.1.
5.4 General Requirements
Grant recipients must comply with reporting requirements. All post-
award information pertaining to reporting, auditing, monitoring, and
the close-out process is detailed in Appendix 2.2.
Section 6: Questions and Clarifications
Questions about this guidance and the application process should be
submitted to the HSIPR Program Manager via e-mail at [email protected].
List of Acronyms
------------------------------------------------------------------------
Acronym Meaning
------------------------------------------------------------------------
ACF.......................... Administration for Children and Families.
ADA.......................... Americans with Disabilities Act.
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................... ``Commercial Feasibility Study,'' Federal
Railroad Administration, High-Speed
Ground Transportation for America,
September 1997; available at: http://www.fra.dot.gov/Pages/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.
FY 2010 DOT Appropriations Transportation, Housing and Urban
Act. Development, and Related Agencies
Appropriations Act, 2010--Title I of
Division A of Public Law 111-117,
December 16, 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 Public Law
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 Capital 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 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
[[Page 16572]]
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 will 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 entity 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 owned not-for-profit agency created and authorized under
State law and responsible for providing intercity passenger rail
service (under PRIIA Section 301) or high-speed rail service (under
PRIIA Section 501).
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) (under PRIIA Sections 301
or 302).
Amtrak--The National Railroad Passenger Corporation undertaking
a project authorized under PRIIA Section 501.
Appendix 1.2 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:\1\
---------------------------------------------------------------------------
\1\ 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) \2\ 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.''
---------------------------------------------------------------------------
\2\ 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.
---------------------------------------------------------------------------
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 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 or 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 Award Administration and Grant
Conditions
Appendix 2.1 Program Specific Grant Requirements
PRIIA established a series of grant conditions applicable to
intercity passenger rail grant awards (see 49 U.S.C. 24405) and the
FY 2010 DOT Appropriations Act applies these conditions also to
congestion and high-speed rail grants. While these requirements may
have limited applicability with respect to the planning activities
to be funded under this solicitation, they are set out below for the
information of the applicants.
Appendix 2.1.1 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
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.
Appendix 2.1.2 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 2.1.3 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
[[Page 16573]]
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 2.1.4 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 2.1.5 Davis-Bacon Act
Projects funded through PRIIA are required to comply with the
Davis-Bacon Act (40 U.S.C. 3141 et seq.) (see 49 U.S.C.
24405(c)(2)). 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.
Appendix 2.1.6 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 2.2 General Requirements
Appendix 2.2.1 Standard Reporting Requirements
Progress Reports--Progress reports are to be submitted
quarterly. These reports must relate the state of completion of
items in the statement of work to expenditures of the relevant
budget elements. The grant recipient must 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. Grantees must
submit reports for the periods: January 1-March 31, April 1-June 30,
July 1-September 30, and October 1-December 31. Each quarterly
report must set forth concise statements concerning activities
relevant to the project, and should 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 the 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 Federal Financial Report (SF-425)--The
Grantee must submit a quarterly Federal financial report
electronically in the GrantSolutions system, on or before the
thirtieth (30th) calendar day of the month following the end of the
quarter being reported (e.g., for quarter ending March 31, the SF-
425 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 Grantee must use SF-425, Federal Financial Report, in
accordance with the instructions accompanying the form, to report
all transactions, including Federal cash, Federal expenditures and
unobligated balance, recipient share, and program income.
Interim Report(s)--If required, interim reports will be
due at intervals specified in the statement of work and must be
submitted electronically in the GrantSolutions system.
Final Report(s)--Within 90 days of the Project
completion date or termination by FRA, the Grantee must submit a
Summary Project Report in the GrantSolutions system. A final version
of this report, detailing the results and benefits of the Grantee's
improvement efforts, must be furnished by the expiration date of the
project period.
Appendix 2.2.2 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. Government 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. Currently, audit reports must 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 must 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 must 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 2.2.3 Monitoring Requirements
Grant recipients will be monitored periodically by FRA to ensure
that the project goals, objectives, performance requirements,
timelines, milestones, budgets, and other related program criteria
are being met. FRA will conduct monitoring activities through a
combination of office-based reviews and onsite monitoring visits.
Monitoring will involve the review and analysis of the financial,
programmatic, 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, including sub-awards and sub-grantees, to provide
reasonable assurance that the award is being administered in
compliance with Federal requirements. Financial monitoring
responsibilities include the accounting of recipients and
expenditures, cash management, maintaining of adequate financial
records, and refunding expenditures disallowed by audits.
Appendix 2.2.4 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 should 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 Federal Financial Report (SF-425), a certification or
summary of project expenses, a final report, and third party audit
reports, as applicable.
Appendix 2.3 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
[[Page 16574]]
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. 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 (DC 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.
Appendix 3: Additional Information on Application Budgets
Applicants must present a detailed budget for the proposed
project that includes both Federal funds and matching funds. Items
of cost included in the budget must be reasonable, allocable and
necessary for the project. At a minimum, the budget should separate
total cost of the project into the following categories:
Personnel: List each position by title and name of
employee, if available, and show the annual salary rate and the
percentage of time to be devoted to the project. Compensation paid
for employees engaged in grant activities must be consistent with
that paid for similar work within the applicant organization.
Fringe Benefits: Fringe benefits should be based on
actual known costs or an established formula. Fringe benefits are
for personnel listed in the ``Personnel'' budget category and only
for the percentage of time devoted to the project.
Travel: Itemize travel expenses of project personnel by
purpose (training, interviews, and meetings). Show the basis of
computation (e.g., X people to Y-day training at $A airfare, $B
lodging, $C subsistence).
Equipment: List nonexpendable items that are to be
purchased. Nonexpendable equipment is tangible property having a
useful life of more than two years and an acquisition cost of $5,000
or more per unit. (Note: Organization's own capitalization policy
may be used for items costing less than $5,000.) Expendable items
should be included either in the ``Supplies'' category or in the
``Other'' category. Applicants should analyze the cost benefits of
purchasing versus leasing equipment, especially high cost items and
those subject to rapid technical advances. Rented or leased
equipment should be listed in the ``Contractual'' category. Explain
how the equipment is necessary for the success of the project.
Attach a narrative describing the procurement method to be used.
Supplies: List items by type (office supplies, postage,
training materials, copying paper, and expendable equipment items
costing less than $5,000) and show the basis for computation. (Note:
Organization's own capitalization policy may be used for items
costing less than $5,000.) Generally, supplies include any materials
that are expendable or consumed during the course of the project.
Consultants/Contracts: Indicate whether applicant's
written procurement policy (see 49 CFR 18.36) or the Federal
Acquisition Regulations (FAR) are followed. Consultant Fees: For
each consultant enter the name, if known, service to be provided,
hourly or daily fee (8-hour day), and the estimated time on the
project. Consultant Expenses: List all expenses to be paid from the
grant to the individual consultants in addition to their fees
(travel, meals, and lodging). Contracts: Provide a description of
the product or service to be procured by contract and an estimate of
the cost. Applicants are encouraged to promote free and open
competition in awarding contracts. A separate justification must be
provided for sole source contracts in excess of $100,000.
Other: List items (rent, reproduction, telephone,
janitorial or security services) by major type and the basis of the
computation. For example, provide the square footage and the cost
per square foot for rent, or provide the monthly rental cost and how
many months to rent.
Indirect Costs: Indirect costs are allowed only if the
applicant has a Federally approved indirect cost rate. A copy of the
rate approval (a fully executed, negotiated agreement) must be
attached. If the applicant does not have an approved rate, one can
be requested by contacting the applicant's cognizant Federal agency,
which will review all documentation and approve a rate for the
applicant organization.
Issued in Washington, DC, on March 29, 2010.
Karen Rae,
Deputy Administrator.
[FR Doc. 2010-7336 Filed 3-31-10; 8:45 am]
BILLING CODE 4910-06-P