[Federal Register Volume 76, Number 51 (Wednesday, March 16, 2011)]
[Notices]
[Pages 14443-14457]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-6178]
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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 for high-speed and intercity
passenger rail projects.
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SUMMARY: This notice details the application requirements and
procedures for obtaining funding under FRA's High-Speed Intercity
Passenger Rail (HSIPR) program. The funding opportunities described in
this notice are available under Catalog of Federal Domestic Assistance
(CFDA) number 20.319.
Notice to Applicants: FRA recommends applicants read this notice in
its entirety prior to preparing application materials. There are
several administrative prerequisites that applicants must comply with
in order to submit an application (see Section 4 of this notice), which
can take up to ten days to process.
DATES: Applications for funding under this solicitation are due no
later than 8 p.m. EDT on Monday, April 4, 2011, and must be submitted
through http://www.grantsolutions.gov. See Section 4 for additional
information regarding the application process. FRA reserves the right
to modify this deadline.
FOR FURTHER INFORMATION CONTACT: For further information regarding this
notice and the HSIPR 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, MS-20, 1200 New Jersey
Avenue, SE., Washington, DC 20590 Attn: HSIPR Program.
Table of Contents
1. Funding Opportunity Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review Information
6. Award Administration Information
7. Agency Contact
Section 1: Funding Opportunity Description
1.1 Legislative Authority
This financial assistance announcement is intended to solicit
proposals for high-speed and intercity passenger rail projects under
FRA's HSIPR program. The authority for this grant program is contained
in three pieces of legislation:
The Passenger Rail Investment and Improvement Act of 2008
(Div. B of Pub. L. 110-432, October 16, 2008) (PRIIA), under Sections
301, 302, and 501: Intercity Passenger Rail Service Corridor Capital
Assistance (codified at 49 U.S.C. chapter 244), General Passenger Rail
Transportation (codified at 49 U.S.C. 24105), and High-Speed Rail
Assistance (codified at 49 U.S.C. 26106), respectively;
The American Recovery and Reinvestment Act of 2009 (Pub.
L. 111-5, February 17, 2009) (ARRA or the Recovery Act), under the
title ``Capital Assistance for High Speed Rail Corridors and Intercity
Passenger Rail Service;'' and
The Fiscal Year 2010 Consolidated Appropriations Act
(Title I of Div. A of Pub. L. 111-117, December 16, 2009) (FY 2010 DOT
Appropriations Act), under the title ``Capital Assistance for High
Speed Rail Corridors and Intercity Passenger Rail Service.''
1.2 Background
Since enactment of PRIIA, FRA has made approximately $10.6 billion
available under the HSIPR program. Award of these funds has served to
jump-start high-speed and intercity passenger rail projects throughout
the country. However, recently it has become clear that some of the
funds previously announced would not be used to advance the originally
intended projects; in particular, approximately $2.392 billion
announced for the State of Florida.
The purpose of this notice is to solicit applications--for eligible
projects that could immediately proceed to award--for the approximately
$2.392 billion previously announced for Florida and approximately $38
million in remaining unallocated Recovery Act funding. This notice is
also intended to establish a pipeline of meritorious projects that
could receive any other HSIPR funds available at the time of award.
These other funds could include savings that result from previously
awarded projects coming in under budget, funds withdrawn from
previously awarded projects that are not proceeding satisfactorily, any
other appropriated funds authorized under PRIIA and made available
through the remainder of this fiscal year, or other sources.
The approximately $2.392 billion previously announced for Florida
included funds provided both under the Recovery Act and the FY 2010 DOT
Appropriations Act. Additional funds awarded under this notice could be
provided from other sources. Therefore, applicants should not be
concerned with applying for funds from a specific appropriations
statute; rather they should seek to submit the best projects that could
be funded from any or all such sources. Additionally, all applicants
are encouraged to contribute non-Federal matching funds, a factor that
will be considered when evaluating the merit of an application. While
applicants may identify any aspects of their projects that might favor
one or the other appropriations statute (the different requirements for
each source of funding are discussed in Sections 1.3, 3, and 6), FRA
will determine which funding to provide to projects selected for award
at its own discretion. However, applicants should note that any
projects receiving funding under the Recovery Act must be able to be
obligated by September 30, 2012 and completed by September 30, 2017--
both statutory requirements under the Recovery Act.
[[Page 14444]]
Furthermore, while Florida received approximately $2.392 billion
for one project--the Tampa to Orlando High-Speed Rail Service
Development Program--FRA is not requiring the full amount awarded under
this solicitation be provided to one project or one corridor. Rather,
FRA is directing this solicitation to all interested and eligible
applicants, and anticipates making multiple awards with the funding
available. Recognizing the limited funding currently available and
FRA's intention to make multiple awards, applicants would be well-
advised to subdivide higher-cost undertakings into separate project
components or discrete phases that have operational independence in
order to give FRA maximum flexibility in selecting projects (see
Sections 3.5.2 and 4.2.1 for more information on operational
independence and application phasing). In describing these separate
project components or phases, applicants should be sure to describe
both the operational independence of each individual project or phase
and the benefits of completing just the discrete project or phase, even
if the full Service Development Program is not selected for funding in
this award cycle.
FRA is committed to ensuring that the HSIPR program is a success.
In responding to this solicitation, applicants should clearly
demonstrate that the project sponsor and any other relevant stakeholder
directly involved in the project are committed to ensuring the success
of the project proposed for funding.
1.3 Funding Approach
At least $2.43 billion is available for awards under this
solicitation, including $1.63 billion from the Recovery Act and $800
million from the FY 2010 DOT Appropriations Act. FRA is soliciting
grant applications for the following types of projects:
Service Development Programs: A set of inter-related
capital projects that will result in the introduction of new or
substantially improved high-speed or intercity passenger rail services.
Projects funded with Recovery Act appropriations may have a Federal
share of total project costs up to 100 percent and must be completed by
September 30, 2017. Projects funded with FY 2010 annual appropriations
must provide a non-Federal match of at least 20 percent of total
project costs; funding will remain available until expended and
according to the terms and conditions of the cooperative agreement.
Individual Projects: Discrete capital projects that will
result in service benefits or other tangible improvements on a
corridor. These projects include completion of preliminary engineering
(PE), National Environmental Policy Act (NEPA) documentation, final
design (FD), and construction. For the purpose of this solicitation and
the application process, these projects are divided into two
categories: PE/NEPA applications and FD/construction applications (see
Section 3.4.3 for further information). Due to statutory limitations
contained in the FY 2010 DOT Appropriations Act, funding for Individual
Projects is only available under the Recovery Act. These projects may
have a Federal share of total project costs up to 100 percent and must
be completed by September 30, 2017.
Section 2: Award Information
While at least $2.43 billion is currently available for awards (see
Section 1), this solicitation may also serve as the basis for
reallocating other funding under the Recovery Act or the FY 2010 DOT
Appropriations Act, including funds available from previously awarded
projects coming in under budget, from funds withdrawn from previously
awarded projects that are not proceeding satisfactorily, and from any
other appropriated funds authorized under PRIIA and made available
through the remainder of this fiscal year, or from other sources.
The FY 2010 DOT Appropriations Act mandated that not less than 85
percent of the total available funding be allocated to Service
Development Programs. Due to the funding awarded for Individual
Projects under the initial solicitation for FY 2010 appropriations and
announced by the Secretary of Transportation on October 28, 2010, the
$800 million in remaining FY 2010 appropriations will be dedicated
solely to Service Development Programs.
The Recovery Act did not specify what proportion of funding should
be allocated for particular project types. As a result, and consistent
with previous funding solicitations, FRA will not allocate funding
between Service Development Programs and Individual Projects in
advance. FRA will award the $1.63 billion in available Recovery Act
funding to Service Development Programs and Individual Projects based
on the outcomes of the application review and selection (see Section
5).
Applications for projects that were submitted under the initial
solicitations for Recovery Act and FY 2010 annual appropriations
funding may be updated with the most current information available and
resubmitted for consideration. However, applicants should be aware that
all applications will be reviewed and evaluated based on the
requirements contained in this notice.
FRA will make awards for Service Development Programs and
Individual Projects through cooperative agreements. Cooperative
agreements allow for greater Federal involvement in carrying out the
agreed upon investment, including technical assistance, review of
interim work products, and increased program oversight. The funding
provided under these cooperative agreements will be made available to
grantees on a reimbursable basis.
While there are no predetermined minimum or maximum dollar
thresholds for awards, FRA anticipates making multiple awards from the
funding available. As such, FRA expects applicants to tailor their
applications and proposed project scopes accordingly, ensuring that the
proposed level of public investment is commensurate with the expected
public benefits. In order to attain the maximum benefits for the
available funding and promote successful project delivery, applications
offering substantial non-Federal financing options will be looked on
more favorably during the review and selection process (see Section 5).
Pursuant to 49 U.S.C. 24402(g)(1), FRA will establish the net project
cost for the scope of work proposed in an application, based on
engineering materials, studies of economic feasibility, information on
the expected use of equipment or facilities, and other project
information provided in an application. FRA reserves the right to
contact applicants with any questions or comments related to
applications.
Section 3: Eligibility Information
Applications under this solicitation will be required to meet
minimum requirements related to applicant eligibility, project
eligibility, and the fulfillment of other eligibility requirements. To
the extent that an application's substance exceeds the minimum
eligibility requirements described below, such information will be
considered in evaluating the merits of an application (see Section 5
for evaluation and selection criteria).
3.1 Eligible Applicants
Eligible applicant entities are as follows:
States (including the District of Columbia);
Groups of States (Sections 301 and 501 of PRIIA);
Interstate compacts (Sections 301 and 501);
Public agencies established by one or more States and
having responsibility
[[Page 14445]]
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 302;
see 49 U.S.C. 24402(e) for additional information on Amtrak's
eligibility requirements when applying for grants in cooperation with
States).
3.2 Minimum Qualifications for Applicant Eligibility
An applicant must, in addition to demonstrating that it meets the
requirements as an eligible entity, affirmatively demonstrate that the
applicant has or will have the legal, financial, and technical capacity
to carry out the activities proposed within an application. A
prospective applicant that does not fall within the definition of a
State, group of States, or Amtrak will also be required to submit
documentation (such as copies of legislation) demonstrating its legal
authority to provide intercity or high-speed passenger rail service on
behalf of a State or group of States.
In addition, 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.
For an applicant to demonstrate the legal, financial, and technical
capacity to carry out the activities proposed in the application, the
applicant will be required to address the following qualifications:
The applicant's ability to absorb potential cost overruns
or financial shortfalls;
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
project development activities of a nature similar to those 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, the applicant 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 enforceable contractual agreements
providing satisfactory continuing control in place with the entity or
entities (e.g., one or more railroads, or a local government) 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, the applicant will
be required to show:
That it has made progress toward, and will have
contractual agreements in place with, any entity or entities (e.g., one
or more railroads, or a local government) 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 use and maintenance for the useful life of the
asset;
That, to the extent financial responsibility will fall to
the applicant, a viable funding source(s) has been identified to cover
maintenance costs; and
The applicant's experience in maintaining assets with
similar financial and operational maintenance requirements as those
assets for which funding is being requested.
Information and documentation demonstrating the fulfillment of the
minimum qualifications described above must be submitted as part of the
application (see Section 4.2).
3.3 Cost Sharing
3.3.1 Applicant Cost Sharing
While the minimum required non-Federal share of total project costs
will vary based on the source of funding, all applicants are encouraged
to contribute non-Federal matching funds from their own, their partner
project sponsors', or other interested parties' resources. Matching
funds provided in excess of the minimum requirements will be considered
in evaluating the merit of an application.
FRA may chose to award funds under the Recovery Act, FY 2010 DOT
appropriations, other sources, or a combination at its discretion,
regardless of any preferences expressed by the applicant. The Federal
share of the costs of projects selected to receive Recovery Act awards
may be up to 100 percent. The Federal share of the costs of projects
selected to receive FY 2010 DOT appropriations awards shall not exceed
80 percent.
3.3.2 Requirements for Applicant Cost Sharing
Whether optional (for Recovery Act funding) or mandatory (for FY
2010 funding), 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 related to the activities
proposed for funding. 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. However, all in-kind contributions must be
allowable, reasonable, allocable, and in accordance with applicable OMB
cost principles, and must not represent double-counting of costs
otherwise accounted for in an indirect cost rate pursuant to which the
applicant will seek reimbursement.
The applicant must provide, as part of its application,
documentation that demonstrates that it has committed and will be able
to fulfill any required or pledged contribution, including committing
any required financial resources that are budgeted or planned at the
time the application is submitted.
All applicants will be required to identify a viable funding
source(s) at the time of application to absorb any cost overruns and
deliver the proposed project with no Federal funding or financial
assistance beyond that provided in the cooperative agreement.
3.4 Eligible Projects
3.4.1 Definition of Capital Projects
Capital projects are defined by 49 U.S.C. 24401(2) and 49 U.S.C.
26106(b)(3) as acquiring, constructing, improving, or inspecting
equipment, track and track structures, or a facility for use in or for
the primary benefit of high-speed and intercity passenger 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 and intercity passenger
rail service, mitigating environmental impacts, communication and
signalization improvements, relocation assistance, acquiring
replacement housing sites, acquiring, constructing, relocating, and
rehabilitating replacement housing, rehabilitating, remanufacturing or
overhauling rail rolling stock and facilities used primarily in
intercity passenger rail service; providing access to rolling stock
[[Page 14446]]
for nonmotorized transportation and storage capacity in trains for such
transportation, equipment, and other luggage. FRA will not fund
activities not included in this definition nor consider the funding of
any such activities in calculating an applicant's required cost share.
3.4.2 Eligible Service Development Programs
Eligible Service Development Programs under this funding
announcement must consist of a coordinated and comprehensive grouping
of capital projects that will result in the introduction of new high-
speed or intercity passenger rail services or significant improvements
to existing corridor services (see Section 3.4.1 for more information
about capital projects). These investments will generally address, in a
comprehensive manner, the construction and acquisition of
infrastructure, equipment, and stations, and other facilities necessary
to operate high-speed and intercity passenger rail service.
To be considered eligible for HSIPR program funding, an applicant
applying for funding for a Service Development Program must have
completed and submitted a NEPA document satisfying FRA's ``Service
NEPA'' requirement with its application. Project PE, site-specific
NEPA, final design, and construction activities are eligible to receive
funding.
For applications for Service Development Programs that are intended
to advance directly into final design, FRA requires project NEPA
documents and all PE for project components to be completed and
submitted with the application.
3.4.3 Eligible Individual Projects
Individual Projects are discrete capital projects that will result
in service benefits or other tangible improvements on a corridor (see
Section 3.4.1 for more information about capital projects). Eligible
Individual Project activities under this funding announcement include
completion of PE/NEPA documentation, FD, and construction activities.
These activities are broken into two categories for the purpose of this
solicitation and the application process:
PE/NEPA completion: Activities proposed in an application
must include all remaining work needed to complete both PE and NEPA
documentation to be eligible. The resulting PE/NEPA documents must be
sufficiently developed to support immediate commencement of final
design or construction activities; however, these final design and
construction activities would not be funded as part of the grant award.
FD/Construction activities: Applications should include
the design, construction, and full implementation of projects that have
completed PE/NEPA requirements. FRA may consider funding only final
design for projects that represent a critical strategic investment for
HSIPR service, are sufficiently complex and broad in scope, and for
which final design would constitute a substantial step in implementing
the project.
3.4.4 Previously-Selected Projects
FRA will not make awards for activities or component projects under
this solicitation that were selected to receive HSIPR program funding
under any previous solicitation. However, applicants may submit an
application to augment a project or component thereof that was selected
under a previous solicitation. In this instance, the application must
demonstrate the following:
The applicant has, at the time it submits the new
application, sufficiently refined the scope of previously-selected
elements of the project to ensure those elements will have operational
independence, as defined in Section 3.5.2 of this notice;
Any new elements of a project proposed in the current
application will also have operational independence;
The applicant possesses the capacity and capability to
manage and implement the proposed increase in scope of the project in
addition to the scope of work previously selected to receive funding;
and
There is a demonstrated current need for additional
funding to implement the proposed increase in scope of the project and
the ability to expend the original and additional funds in the near
term.
3.5 Additional Eligibility Requirements
3.5.1 Project Planning
All projects must be identified through a transparent, inclusive
planning process that analyzes the investment needs and objectives for
the intercity passenger rail service that the project is intended to
benefit.
For Service Development Programs, this planning process must be
documented in a detailed Service Development Plan (SDP) that lays out
the overall scope and approach for the proposed service. Individual
Projects must be identified through a Service Development Plan, State
Rail Plan, or similar planning document that comprehensively analyzes
the service improvement needs on a specific corridor.
At a minimum, the planning process for both Service Development
Programs and Individual Projects must demonstrate that the project has
been identified as the best solution for solving a specific existing
transportation problem, and make the case for investing in the proposed
solution. In doing so, the planning process must encompass activities
such as identifying the purpose and need for the project and analyzing
the costs, benefits, and impacts of a range of alternatives for
implementing the project.
3.5.2 Operational Independence
All projects that are proposed to be advanced using HSIPR program
funding must have operational independence. A project is considered to
have operational independence if, upon implementation, it will have
tangible and measurable benefits, either independently of other
investments or cumulatively with projects selected to receive awards
under previous HSIPR program solicitations (see Section 3.4.4 for more
information about previously-selected projects). Examples of tangible
and measurable benefits include operational reliability improvements,
travel-time reductions, and additional service frequencies resulting in
increased ridership. Additionally, a Service Development Program may
demonstrate operational independence by resulting in tangible and
measurable progress in implementing new or substantially improved high-
speed or intercity passenger rail service.
3.5.3 Availability of Funds
FRA intends to select applications for projects that can promptly
proceed to award. Statutorily, FRA must obligate all Recovery Act funds
by September 30, 2012. If funding announced under FY 2010 annual
appropriations is not obligated within 2 years of the date of the
announcement, FRA may redistribute the funds to other HSIPR projects at
the FRA Administrator's discretion (49 U.S.C. 24402(h)). Similarly, FRA
may require the return of obligated funds that remain unexpended if the
grantee is not making satisfactory progress in implementing the project
or program as provided for in the cooperative agreement.
3.5.4 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.
[[Page 14447]]
Additionally, the following funding restrictions will apply to
cooperative agreements awarded under this solicitation and must be
taken into consideration in the development of budget information
submitted as part of an application:
Funding may not be used for expenses associated with the
operation of intercity passenger rail service;
Funding may not be used for projects that primarily
benefit commuter rail passenger transportation;
Funding may not be used for projects in which the physical
improvements are located outside the United States; and
While there is no cap on a 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
after the enactment of the applicable appropriations legislation
(February 17, 2009, for the Recovery Act or December 16, 2009, for the
FY 2010 DOT Appropriations Act). However, such costs will be considered
for reimbursement only to the extent that they are otherwise allowable
under the applicable cost principles. To the extent such pre-award
costs are incurred prior to the date of submission of an application,
the application must show in detail what costs have been incurred in
order for such costs to be considered for reimbursement. Projects for
which construction activities commenced prior to receipt of an FRA
environmental determination under NEPA will not be eligible for
funding.
Additionally, a grant recipient may not generally expend any of the
funds provided in an award on construction or other activities that
represent an irretrievable commitment of resources to a particular
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 FRA has provided the grant
recipient with a written notice authorizing it to proceed.
3.5.5 Standards 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
specifications developed by the Next Generation Corridor Equipment Pool
Committee. This Committee was established under Section 305 of PRIIA to
develop a pool of standardized next-generation rail corridor equipment.
3.5.6 Positive Train Control (PTC)
If, as a component of an investment intended to benefit high-speed
or intercity passenger rail service, a project involves installation
and/or improvements to railroad signaling/control systems, 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. 20157) and with FRA's
final rule on Positive Train Control Systems published in the Federal
Register on January 15, 2010 (75 FR 2598) and September 27, 2010 (75 FR
59108).
Section 4: Application and Submission Information
4.1 Application Procedures
4.1.1 Applying Online Through GrantSolutions
All applications must be submitted to FRA through GrantSolutions
(GS). To access the system, go to https://www.grantsolutions.gov. All
potential applicants should immediately complete the following three
steps, which are required prior to submitting an application through
GS. These steps can take up to ten days for the systems/information-
owners to process:
Register in GS. Go to https://www.grantsolutions.gov and
select ``Register'' on the right side of the page to register, if not
previously registered.
Obtain a Data Universal Number System (DUNS) number. 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.
Register in the Central Contractor Registration (CCR)
database. 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 or GrantSolutions
should already be registered with CCR. Please note 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.
4.1.2 Address To Request Paper Application Package
If Internet access is unavailable, please write to FRA at the
address below to request a paper application.
U.S. Department of Transportation, Federal Railroad Administration,
Attn: HSIPR Program Information (RPD-10), Mail Stop 20, 1200 New Jersey
Avenue, SE., Washington, DC 20590.
4.2 Application Package
Required documents for the application package are summarized in
the checklist below.
BILLING CODE 4910-06-P
[[Page 14448]]
Application Checklist
[GRAPHIC] [TIFF OMITTED] TN16MR11.006
[[Page 14449]]
[GRAPHIC] [TIFF OMITTED] TN16MR11.007
BILLING CODE 4910-06-C
Applicants must complete and submit all components of the
application package; failure to do so may result in the application
being removed from consideration for award. All components of the
application package must be submitted through GrantSolutions (including
optional supporting documentation), as described in Section 4.1.1. 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.
Program-specific forms and requirements for supporting
documentation may be downloaded from FRA's Web site at http://www.fra.dot.gov/rpd/passenger/477.shtml. Specific instructions for
completing these forms can be found within each document. Further
information regarding the required supporting documentation may be
found with the relevant application forms.
Standard OMB forms 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 these required application materials. In
addition, applicants can apply online through this screen.
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 through
GrantSolutions.
4.2.1 Application Phasing
It is in the best interest of each applicant--particularly those
submitting an application for a Service Development Program that is
exceptionally complex, long-term, or broad in scope--to recognize the
limited funding available. Therefore, an application's competitiveness
may be improved by demonstrating how a proposed project could be
divided into discrete phases, each with operational independence, based
on geographic section, type of activity, discrete benefits and costs,
or other appropriate criteria. Applicants pursuing this option should
submit a single application that identifies the discrete phases,
component projects, and resulting benefits of each phase. This approach
will provide FRA the flexibility to select for funding those phases
that are sufficiently developed to realize significant benefits, rather
than selecting or not selecting the entire project based on
insufficient development of some constituent parts.
4.2.2 Optional Supporting Documentation
To support the application, FRA welcomes the submission of other
relevant and available supporting documentation that may have been
developed by the applicant. The format and structure of any optional
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 to the address in
Section 4.5 for materials that cannot otherwise be provided
electronically. Applicants should provide notification of any
documentation being submitted in hard copy in the appropriate section
of the HSIPR Narrative Application Form.
4.3 Submission Dates and Times
Applications for these funds must be submitted through
GrantSolutions by 8 p.m. EDT on Monday, April 4, 2011.
4.4 Intergovernmental Review
This program has not been designated as subject to Executive Order
12372 pursuant to 49 CFR part 17.
4.5 Other Submission Information
As detailed in Section 4.1.1, all application materials, including
supporting documentation, should be submitted through GrantSolutions.
Should an applicant encounter technological difficulties using the
GrantSolutions system, please contact the GrantSolutions Help Desk at
1-866-577-0771 or via e-mail at [email protected]. If the
applicant experiences technological issues that may cause the applicant
to miss the application deadline, the applicant must contact FRA at
[email protected] immediately, and prior to the application deadline, to
request consideration to submit the application after the deadline. FRA
staff may ask the applicant to e-mail the complete grant application,
the DUNS number, and provide a GrantSolutions Customer Support tracking
number(s). After FRA reviews all of the information submitted and
contacts the GrantSolutions Customer Support to validate the technical
issues reported, FRA will contact the applicant to either approve or
deny the request to submit a late application. If the issues reported
cannot be validated, the application may be rejected as untimely. For
applications submitted by e-mail, the applicant should print, sign,
scan into electronic format (preferably Adobe Portable Document Format
(.pdf)), and attach to the submission e-mail copies
[[Page 14450]]
of all application forms requiring the applicant's signature.
For optional supporting documentation that an applicant is unable
to submit electronically (such as oversized engineering drawings), an
applicant may submit an original and two copies to the address below.
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.
U.S. Department of Transportation, Federal Railroad Administration,
Attn: HSIPR Program Information (RPD-10) Room 38-302, Mail Stop 20,
1200 New Jersey Avenue, SE., Washington, DC 20590.
Section 5: Application Review Information
5.1 Application Review and Selection
Complete applications are due by 8 p.m. EDT on Monday, April 4,
2011. Applications will proceed through a three-part review process:
1. Screening for completeness and eligibility;
2. Review of eligible applications by technical panels applying
evaluation criteria; and
3. Project selection by the FRA Administrator applying additional
selection criteria.
Each application will first be screened for completeness
(containing all required documentation outlined in Section 4.2) and
eligibility (requirements outlined in Section 3). Eligible and complete
applications will then be reviewed and assessed against the evaluation
criteria outlined in Section 5.2. Due both to statutory requirements
and the overall objectives of the Recovery Act, FRA intends to select
projects that can promptly proceed to award. As such, the evaluation
criteria, ranked in order of priority, are:
1. Project Readiness.
2. Public Benefits.
3. Project Delivery Approach.
4. Sustainability of Benefits.
The ratings assigned for the four evaluation criteria above will
not in themselves constitute the final award determination. The agency
will also take into consideration several cross-cutting and comparative
selection criteria (see Section 5.3) to determine awards. In accordance
with 49 U.S.C. 24402(c), FRA may also consider ``other relevant factors
as determined by the Secretary'' of Transportation.
For applications for funding for Service Development Programs or
FD/Construction activities, the project readiness, benefit, delivery,
and cross-cutting and comparative criteria will be applied to the
proposed projects. For applications for funding for PE/NEPA completion,
these criteria will be applied to the underlying projects that will be
the subject of PE/NEPA development, except where explicitly indicated.
5.2 Evaluation Criteria
5.2.1 Project Readiness
The following factors will be considered in assessing the readiness
of the proposed project to proceed promptly to award:
The applicant's progress, at the time of application, in
reaching compliance with NEPA for the proposed project. Although a NEPA
decision document (Record of Decision, Finding of No Significant
Impact, Categorical Exclusion determination) is not required at the
time of application, applications for Service Development Programs and
Individual FD/Construction Projects that are accompanied by a final
NEPA determination will be looked upon favorably during the application
review and selection process;
The applicant's progress, at the time of application, in
reaching final service outcomes agreements (where necessary) with key
project partners. Applicants that own and/or control the infrastructure
to be improved by the project or have a service outcomes agreement in
place with the infrastructure owning railroad for the proposed project,
or an executed agreement that could be amended with the infrastructure
owning railroad for a project(s) located on the same corridor as the
proposed project, will be looked upon favorably during the application
review and selection process; and
The quality and completeness of the project's Statement of
Work (included in the HSIPR Narrative Application Form), including
whether the Statement of Work provides a sufficient level of detail
regarding scope, schedule, and budget to immediately advance the
project to award.
5.2.2 Public Benefits
Economic analysis that quantifies and demonstrates the monetary
value of user benefits and, if available, broader public benefits will
be particularly relevant to FRA in evaluating 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 may consider
benefits and costs using standard data provided by applicants and will
evaluate applications in a manner consistent with Executive Order
12893, Principles for Federal Infrastructure Investments, 59 FR 4233
(January 31, 1994).
Evaluation against the public benefits criterion will consider the
qualitative factors outlined below, as supported by key quantitative
metrics.
5.2.2.1 Transportation Benefits
The following factors will be considered in assessing a proposed
project's achievement of transportation benefits:
Generating improvements to existing high-speed and
intercity passenger rail service, as reflected by estimated increases
in ridership, increases in operational reliability, reductions in trip
times, additional service frequencies to meet anticipated or existing
demand, and other related 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 high-speed and intercity passenger
rail network;
Encouragement of intermodal connectivity and integration,
including a focus on convenient connection to local transit and street
networks, as well as coordination with local land use and station area
development;
Ensuring a state of good repair of key intercity passenger
rail assets;
Promoting standardized rolling stock, signaling,
communications, and power equipment;
Improved freight or commuter rail operations, in relation
to proportional cost-sharing (including donated property) by those
other benefiting rail users;
Equitable financial participation from benefiting entities
in the project's financing;
Encouragement of the implementation of positive train
control (PTC) technologies (with the understanding that 49 U.S.C. 20147
requires all Class I railroads and entities that provide regularly
scheduled intercity or commuter rail passenger services to fully
institute interoperable PTC systems by December 31, 2015); and
Incorporating private investment in the financing of
capital projects or service operations.
5.2.2.2 Other Public Benefits
The following factors will be considered in assessing the proposed
[[Page 14451]]
project's achievement of other public benefits:
The extent to which the project is expected to create and
preserve jobs and stimulate increases in economic activity;
Promoting environmental quality, energy efficiency, and
reduction in dependence on oil, including the 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 coordination between the planning and investment
in transportation, housing, economic development, and other
infrastructure decisions along the corridor, as identified in the six
livability principles developed by DOT with the Department of Housing
and Urban Development and the Environmental Protection Agency as part
of the Partnership for Sustainable Communities, which are listed fully
at http://www.dot.gov/affairs/2009/dot8009.htm.
5.2.3 Project Delivery Approach
The following factors will be considered in assessing the risk
associated with the proposed project's delivery within budget,
schedule, and as designed (for applications to complete PE/NEPA
documentation, the following factors will be applied to the proposed
PE/NEPA development activities rather than to the underlying project):
The timeliness of project completion and the realization
of the project's benefits;
The applicant's financial, legal, and technical capacity
to implement the project;
The applicant's experience in administering similar grants
and projects;
The soundness and thoroughness of the cost methodologies,
assumptions, and estimates;
The thoroughness and quality of the Project Management
Plan;
The timing and amount of the project's future noncommitted
investments;
The adequacy of any completed engineering work to assess
and manage/mitigate the proposed project's engineering and
constructability risks (does not apply to PE/NEPA projects); and
The sufficiency of system safety and security planning
(does not apply to PE/NEPA projects).
5.2.4 Sustainability of Benefits
The following factors will be considered in assessing the
likelihood of realizing the proposed project's benefits:
The applicant's financial contribution to the project;
The quality of a Financial Plan that analyzes the
financial viability of the proposed rail service;
The quality and reasonableness of revenue, operating, and
maintenance cost forecasts;
The availability of any required operating financial
support, preferably from dedicated funding sources;
The quality and adequacy of project identification and
planning;
The reasonableness of estimates for user and non-user
benefits for the project; and
The reasonableness of the operating service plan.
5.3 Selection Criteria
The FRA Administrator will also use the criteria below to further
ensure that the projects selected for funding will advance key
priorities for the development of high-speed and intercity passenger
rail and contribute positively to the success and sustainability of the
HSIPR program.
5.3.1 Fulfillment of DOT Strategic Goals
Improving transportation safety.
Maintaining transportation infrastructure in a state of
good repair.
Promoting economic competitiveness.
Fostering livable communities.
Advancing environmentally sustainable transportation
policies.
5.3.2 Region/Location
Ensuring appropriate level of regional balance across the
country.
Ensuring consistency with national transportation and rail
network objectives.
Ensuring integration with other rail services and
transportation modes.
5.3.3 Innovation/Resource Development
Pursuing new rail technologies that result in favorable
public return on investment and ensure delivery of project benefits.
Promoting innovations that demonstrate the value of new
approaches to, among other things, transportation funding and finance,
contracting, project delivery, congestion management, safety
management, asset management, or long-term operations and maintenance.
Advancing the state of the art in modeling techniques for
assessing costs and benefits.
Promoting domestic manufacturing, supply, and industrial
development.
Developing professional railroad engineering, operating,
planning, and management capacity.
5.3.4 Partnerships/Participation
Where corridors span multiple States, emphasizing those
that have organized multi-State partnerships with joint planning and
prioritization of investments.
Where Amtrak is the applicant, considering the
partnerships with and/or demonstrated support for the project by
entities authorized to plan, design, construct, operate, maintain and/
or finance intercity or high-speed passenger rail in the affected
States.
Employing creative approaches to ensure workforce
diversity and use of disadvantaged and minority business enterprises.
Engaging local communities and other stakeholder groups in
the project.
5.3.5 Project Delivery/Integration
Assessing the applicant's means for achieving satisfactory
continuing control over project assets in a timely manner, including,
but not limited to, public ownership of project assets or service
outcomes agreements with railroad operator(s) and infrastructure-owning
railroad(s) at the time of application.
Assessing the quality and completeness of the Statement of
Work (included in the HSIPR Narrative Application Form), including
whether the Statement of Work provides a sufficient level of detail
regarding scope, schedule, and budget to immediately advance the
project to award;
Assessing how a proposed project would complement previous
awards made under the HSIPR or related programs.
Assessing how the proposed project would complement
previous State investments in high-speed intercity passenger rail.
Assessing the applicant's track record in sustainable
funding and project delivery, both within the HSIPR program and other
Federal financing programs.
Section 6: Award Administration Information
6.1 Award Notices
Applications selected for funding will be announced after the
application review period. FRA will contact applicants with successful
applications after announcement with information and instructions about
the award process. Notification of a selected
[[Page 14452]]
application is not an authorization to begin proposed project
activities.
6.2 Administrative and National Policy Requirements
The provisions of this section apply to grant recipients of the
HSIPR program.
6.2.1 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.
6.2.2 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 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 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) Sections 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.
6.2.3 Disadvantaged Business Enterprises (DBE)
The grant recipient will be required to provide maximum practicable
opportunities for small businesses, including veteran-owned small
businesses and service disabled veteran-owned small businesses and
implement best practices, consistent with our nation's civil rights and
equal opportunity laws, for ensuring that all individuals--regardless
of race, gender, age, disability, and national origin--benefit from the
activities funded under the HSIPR program. The DOT Disadvantaged
Business Enterprises (DBE) regulation (49 CFR part 26) applies only to
certain categories of Federal highway, Federal transit, and airport
funds, however, incorporating key elements of this DBE program in
contracts awarded by grant recipients under the HSIPR program would be
an excellent example of a best practice for ensuring that all
individuals, regardless of race, gender, age, disability, and national
origin, benefit from the program. The grant recipient will be required
to provide FRA with a plan for ensuring the use of contractors owned
and controlled by socially and economically disadvantaged individuals
and to submit information to the FRA Office of Civil Rights concerning
its activities with respect to DBEs in implementing a grant award.
6.2.4 Assurances and Certifications
Upon acceptance of the grant by FRA, all certifications and
assurances provided by the grant recipient through the application
process are incorporated in and become part of the cooperative
agreement. Applicable forms include SF 424(A)/(B), SF 424(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.
6.2.5 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 (Financial Assistance)'' (49 CFR part 32).
6.2.6 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.
6.2.7 Americans With Disabilities Act (ADA)
Grant recipients must agree to use funds provided under the
cooperative 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.
6.2.8 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.
[[Page 14453]]
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 cooperative 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 FRA 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 $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.
6.2.9 National Environmental Policy Act (NEPA)
The following is a description of FRA's standard grant provisions
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 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 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 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 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 FRA in complying with these
requirements of 49 U.S.C. 303(c).
6.2.10 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.
6.2.11 Operating and Access Agreements
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 showing that the recipient will
have satisfactory continuing control over the use of the equipment and
facilities necessary to implement the project and the capability and
willingness to maintain the equipment and facilities. 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 achieve, to the extent it has control, the
anticipated project benefits. If an agreement between the grant
recipient and the owner that substantially addresses the above-
referenced issues is already in place as of the date of execution of
the cooperative 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 the obligation of funding for
construction-related activities.
6.2.12 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) that 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
[[Page 14454]]
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.
6.2.13 Freedom of Information Act (FOIA)
As a Federal agency, 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 notice of funding availability 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 notice
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 FRA.
6.2.14 Security Planning and Oversight
The grant recipient must comply with any Federal regulations, laws,
policy, and other guidance that FRA, DOT, or the Department of Homeland
Security may issue pertaining to security oversight in general and that
FRA or DOT may issue regarding the performance of any grant award in
particular. Prior to FRA issuing a cooperative agreement for a Service
Development Program or an Individual FD/construction project, an
applicant must complete a System Security Plan.
6.2.15 Project Labor Agreements
Executive Order 13502, Use of Project Labor Agreements for Federal
Construction Projects, issued by President Obama on February 6, 2009,
encourages Federal agencies in awarding any contract in connection with
large-scale Federal government construction projects to, on a project-
by-project basis, consider requiring 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.
6.2.16 Distracted Driving Safety Policy
Grant recipients are encouraged to adopt and enforce workplace
safety policies to decrease crashes caused by distracted drivers
including policies that bar text messaging while driving company-owned
or -rented vehicles, or government-owned, leased, or rented vehicles or
privately-owned vehicles when on official government business or when
performing any work for or on behalf of the Government. See Executive
Order 13513 ``Federal Leadership on Reducing Text Messaging While
Driving'', Oct. 1, 2009 (available at http://edocket.access.gpo.go/2009/E9-24203.htm) and DOT Order 3902.1 ``Text Messaging While
Driving'', Dec. 30, 2009 (available at http://dotnet.gov.gov), as
implemented by Financial Assistance Policy Letter (No. FAP-2010-01,
Feb. 2, 2010). This includes, but is not limited to, Grant recipients:
(1) Considering new rules and programs or re-evaluating existing
programs to prohibit text messaging while driving;
(2) Conducting education, awareness, and other outreach for
employees about the safety risks associated with texting while driving;
(3) Encouraging voluntary compliance with the agency's text
messaging policy while off duty.
6.3 Program-Specific Grant Requirements
6.3.1 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 funds for a HSIPR 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 14455]]
6.3.2 Operators Deemed Rail Carriers
With the exception of entities falling within the exclusions set
forth in 49 U.S.C. 24405(e), 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 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)).
6.3.3 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
(a) any compensation for such use; (b) assurances regarding the
adequacy of infrastructure capacity to accommodate both existing and
future freight and passenger operations; (c) 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
(d) an assurance that the grant recipient complies with liability
requirements consistent with 49 U.S.C. 28103. 49 U.S.C. 24405(c).
Applicants shall also provide assurance that it has or will have the
legal, financial and technical capacity to carry out the project,
including, but not limited to, public ownership of necessary equipment
and facilities or access agreements with railroad operator(s) and
infrastructure-owning railroads evidencing that the grant recipient
will have continued access to necessary equipment and facilities. 49
U.S.C. 24402(b). Applicants should further provide assurance that
service outcomes specified to result from the project, and for which
the railroad is necessary for delivery, will be delivered, including a
mechanism to enforce the specified service outcomes. 49 U.S.C.
24402(c).
6.3.4 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)).
6.3.5 Davis-Bacon Act
Projects funded through the Recovery Act and all projects funded
through PRIIA that use rights-of-way owned by a railroad are required
to comply with the Davis-Bacon Act (40 U.S.C. 3141 et seq.) as provided
for in 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.
6.3.6 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 and 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)).
6.4 Reporting
6.4.1 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 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 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)--Grantees must
submit a quarterly Federal financial report 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. Grantees 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, grantees must submit a Summary Project
Report, detailing the results and benefits of the grantee's improvement
efforts, as well as a final Federal Financial Report (SF-425).
6.4.2 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. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/
[[Page 14456]]
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, DOT's Office of the Inspector
General, 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
subgrantees 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.
6.4.3 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 subgrantees, 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.
6.4.4 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 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.
6.5 ARRA-Specific Grant Requirements (Applies to ARRA-Funded Grants
Only)
ARRA contains several specific requirements associated with funding
provided in that statute. These include:
6.5.1 Prohibited Activities
None of the ARRA funds appropriated or otherwise made available in
the cooperative 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.
6.5.2 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).
6.5.3 Whistleblower Protections
The grant recipient will be required to provide the whistleblower
protections required by Section 1553 of ARRA.
6.5.4 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.
6.5.5 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.
6.5.6 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, 2012. The Periodic Reports
shall include information describing: (1) The amount of Federal funds
appropriated, allocated, obligated, and outlayed under the cooperative
agreement; (2) the number of projects that have been put out to bid
under the cooperative agreement and the amount of Federal funds
associated with such projects; (3) the number of projects for which
contracts have been awarded under the cooperative 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; and (6) the
number of direct, on-project jobs created or sustained by the Federal
funds provided for projects under the cooperative 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.
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,
[[Page 14457]]
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 ARRA, grant
recipients may be required to provide 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.
Section 7: Agency Contact
For further information regarding this notice and the HSIPR
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, MS-20, 1200 New Jersey Avenue, SE.,
Washington, DC 20590 Attn: HSIPR Program.
Issued in Washington, DC, on March 11, 2011.
Joseph C. Szabo,
Administrator.
[FR Doc. 2011-6178 Filed 3-14-11; 11:15 am]
BILLING CODE 4910-06-P