[Federal Register Volume 76, Number 182 (Tuesday, September 20, 2011)]
[Notices]
[Pages 58334-58341]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-24125]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Program for Capital Grants for Rail Line Relocation and
Improvement Projects
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of funding availability.
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SUMMARY: This notice details the application requirements and
procedures for obtaining funding for eligible rail line relocation and
improvement projects. The opportunities described in this notice are
available under Catalog of Federal Domestic Assistance (CFDA) number
20.320.
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).
Additionally, applicants should note that the required Project
Narrative/Statement of Work component of the application package may
not exceed 35 pages in length. Failure to adhere to this page
limitation may result in the application being removed from
consideration for award.
DATES: Applications for funding under this solicitation are due no
later than 5 p.m. E.D.T., October 19, 2011, and must be submitted via
Grants.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 grants program, please contact John Winkle via e-mail at
[email protected], or by mail: U.S. Department of Transportation,
Federal Railroad Administration, 1200 New Jersey Avenue, SE., Room W38-
311, Washington, DC 20590 Attention: John Winkle.
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
Appendix 1: Administrative and National Policy Requirements
Appendix 2: Additional Information on Award Administrations and
Grant Conditions
Appendix 3: Additional Information on Applicant Budgets
Section 1: Funding Opportunity Description
1.1 Authority
The purpose of this notice is to solicit applications for eligible
rail line relocation and improvement projects. To assist State and
local governments in mitigating the adverse effects created by the
presence of rail infrastructure, Congress, in the Safe, Accountable,
Flexible, Efficient Transportation Act: A Legacy for Users (SAFETEA-LU)
(Pub. L. 109-59, August 10, 2005, codified at 49 U.S.C. 20154)
authorized the Program for Capital Grants for Rail Line Relocation and
Improvement Projects
[[Page 58335]]
(Program). SAFETEA-LU also directed FRA to promulgate a regulation to
establish the Program. That final rule was published on July 11, 2008
and can be found at 73 FR 39875 (49 CFR part 262). SAFETEA-LU expired
at the end of FY 2009 and has since been authorized by a series of
short-term extensions. The most recent extension was the Surface
Transportation Extension Act of 2011 (Pub. L. 112-5, 125 Stat. 14,
March 4, 2011).
1.2 Funding Approach
At least $11,588,085 is available for awards under this
solicitation, including $10,532,000 provided under the FY 2011
Department of Defense and Full-Year Continuing Appropriations Act (Pub.
L. 112-10, April 15, 2011) and $1,056,085 remaining from a previous
competition for funding provided under the FY 2010 Consolidated
Appropriations Act (Pub. L. 111-117, December 16, 2009). Additional
funding may be available at the time of award, including savings that
result from previously awarded projects that are completed under
budget, funds withdrawn from previously awarded projects that are not
proceeding satisfactorily, or other sources.
Section 2: Award Information
This will be the third round of competitive funding under the
Program. In September 2009, FRA announced the selection of seven
projects to receive a total of $14,315,300. In September 2011, FRA
announced the selection of eight projects to receive $19,446,415. As
with these previous competitions, FRA anticipates making multiple
awards from the $11,588,085 available. As such, FRA expects applicants
to tailor their applications and proposed project scopes accordingly.
There are no minimum or maximum dollar thresholds for awards, and FRA
may choose to award a grant for less than the amount requested in the
application. The funding provided under these grants will be made
available to grantees on a reimbursement basis.
Section 3: Eligibility Information
Applications for rail line relocation and improvement projects 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 (see Section 5 for selection criteria).
3.1 Eligible Applicants
Only States, political subdivisions of States, and the District of
Columbia are eligible for grants under the Program (see 49 CFR 262.3
and 262.7). FRA considers political subdivisions of States to be
entities such as cities, counties, townships, boroughs, and villages.
If an applicant is not one of these traditional political subdivisions,
then the applicant must prove to FRA's satisfaction that, under the
applicable State law, the applicant is a political subdivision of the
State.
In making this determination, FRA will look primarily to the intent
of the State legislature when creating the entity. Thus, FRA will
likely find persuasive enabling legislation establishing the entity if
the legislation states clearly that the entity is a political
subdivision of the State. Similarly, FRA will also consider State
appellate court opinions where the court finds that the entity is a
political subdivision of the State. Opinions from the State Attorney
General also may be used to bolster the above authorities. If nothing
conclusively states that the entity is a political subdivision of the
State, FRA will review all submitted information and attempt to
determine eligibility. FRA wants to emphasize that the burden of
establishing eligibility is on the applicant and all information
supporting an applicant's position that it is eligible should be
submitted along with the application. If applicant eligibility is a
potential issue, the applicant is encouraged to contact FRA before
submitting an application and FRA will make an eligibility
determination.
3.2 Cost Sharing and Matching
In accordance with SAFETEA-LU, an approved applicant, or other non-
Federal party, must pay at least 10 percent of the costs of any project
funded by a grant awarded through the Program. Applicants must specify
the non-Federal match amount in their application. Applicants should
indicate whether funding made available through grants provided under
this Program, together with committed funding from other sources,
including the required non-Federal match, will be sufficient to
complete the overall project or a discrete portion of the project.
An applicant's contribution toward the cost of its proposed project
may be in the form of cash or permitted in-kind contributions (see 49
CFR 262.13). 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 262.13.
All in-kind contributions must be allowable, reasonable, allocable, and
in accordance with applicable Office of Management and Budget (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.
3.3 Eligible Projects
In accordance with SAFETEA-LU, eligible projects are construction
projects undertaken for the improvement of the route or structure of a
rail line that either: (1) Are carried out for the purpose of
mitigating the adverse effects of rail traffic on safety, motor vehicle
traffic flow, community quality of life, or economic development; or
(2) involve a lateral or vertical relocation of any portion of the rail
line (see 49 CFR 262.7).
Eligible construction projects are defined in 49 CFR 262.3 as
locating, surveying, and mapping; track and related structure
installation, restoration, and rehabilitation; acquisition of rights-
of-way; relocation assistance, acquisition of replacement housing
sites, and acquisition and rehabilitation, relocation, and construction
of replacement housing; and elimination of obstacles and relocation of
utilities. Pre-construction activities, such as preliminary
engineering, design, and costs associated with project-level compliance
with the National Environmental Policy Act (NEPA), are considered part
of the overall construction project (49 CFR 262.3(6)) and are also
eligible for funding. Because section 9002 of SAFETEA-LU directs that
only construction costs are eligible costs, activities such as planning
studies and feasibility analyses are not eligible for funding.
FRA wants to emphasize that in order for the project to be
eligible, the rail line must be the element that is moved or improved.
Grade separation projects that involve raising or lowering the road,
for example, are not eligible. Similarly, quiet zones and stand-alone
grade crossing improvement projects are not eligible. Station
improvement projects where there is little or no related track work are
also not eligible. As explained in the Final Rule, if station or grade
crossing improvements are part of an otherwise eligible rail line
relocation or improvement project, then the costs associated with the
grade crossing or station work may be eligible (see 73 FR 39879).
However, the majority of the proposed project scope must involve
relocating or improving a rail line.
[[Page 58336]]
If an applicant is undertaking a larger project that would be
eligible, but is applying to FRA for funding for a small portion that
is not eligible (e.g., an applicant is undertaking a large rail
improvement involving upgrading grade crossing equipment and applies to
FRA for funds to cover the grade crossing improvements), the fact that
the larger project would be eligible does not mean that FRA can fund
the smaller, ineligible project.
Finally, if an applicant is applying for an improvement project,
FRA emphasizes that, in accordance with SAFETEA-LU, the project must
mitigate the adverse effects of rail traffic on safety, motor vehicle
traffic flow, community quality of life, or economic development.
Projects that construct new rail infrastructure solely for the purposes
of promoting or attracting economic development are not eligible, as
they do not mitigate the adverse effects of rail traffic. Relocation
projects are not subject to this requirement. If project eligibility is
a potential issue, applicants are encouraged to contact FRA before
submitting an application and FRA will make an eligibility
determination.
Section 4: Application and Submission Information
4.1 Application Procedures
4.1.1 Applying Online
All applications must be submitted through Grants.gov by 5 p.m.
E.D.T. on October 19, 2011. Applicants are strongly encouraged to apply
early to ensure that all materials are received before this deadline.
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.
Registering with Grants.gov is a one-time process; however, it can
take up to several weeks for first-time registrants to receive
confirmation and a user password. FRA recommends that applicants start
the registration process as early as possible to prevent delays that
may preclude submitting an application package by the application
deadline. Applications will not be accepted after the due date. Delayed
registration is not an acceptable justification for an application
extension.
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 sub recipients. The DUNS number
will be used throughout the grant life cycle. Obtaining a DUNS number
is a free, one-time activity. Applicants may obtain a DUNS number by
calling 1-866-705-5711 or by applying online at http://www.dnb.com/us.
2. Acquire or Renew Registration With the Central Contractor
Registration (CCR) Database. All applicants for Federal financial
assistance must 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 sub recipients. 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 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. Applicants must complete an AOR
profile on Grants.gov and create a username and password. Applicants
must use the organization's DUNS number to complete this step.
Additional information about the registration process is available at
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 Applicant's E-Biz POC must log in to
Grants.gov to confirm a representative as an AOR. Please note that
there can be more than one AOR at an organization.
5. Search for the Funding Opportunity on Grants.gov. The Catalog of
Federal Domestic Assistance (CFDA) number for this opportunity is
20.320. It is titled ``Rail Line Relocation and Improvement.''
6. Submit an Application Addressing All of the Requirements
Outlined in This Funding Availability Announcement. Within 24 to 48
hours after submitting an electronic application, an applicant should
receive an email validation message from Grants.gov. The validation
message will explain whether the application has been received and
validated or rejected, with an explanation. Applicants are urged to
submit an 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.
If you experience difficulties at any point during this process,
please call the Grants.gov Customer Center Hotline at 1-800-518-4726,
24 hours a day, 7 days a week (closed on Federal holidays).
Note: Please use generally accepted formats such as .pdf, .doc,
.docx, .xls, .xlsx and .ppt, when uploading attachments. While
applicants may imbed picture files, such as .jpg, .gif, and .bmp, in
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.
4.1.2 Address To Request/Submit Application Package
To request a hard copy of the application package, please contact
John Winkle, Office of Railroad Policy and Development (RPD-11),
Federal Railroad Administration, 1200 New Jersey Avenue, SE., Room W38-
311, Washington, DC 20590. Phone: (202) 493-6360; Fax: (202) 493-6333;
E-mail: [email protected].
4.2 Content of Application
Required documents for the application package are outlined in the
checklist below. Applications for construction activities or eligible
pre-construction activities (preliminary engineering, design, project-
level NEPA compliance) require the submission of different OMB Standard
Forms. If an application is requesting funding for both pre-
construction and construction activities, submit only the forms
required for construction projects. Further information on the
requirements for completing the Project Narrative/Statement of Work and
Detailed Budget are provided in Sections 4.2.1 and 4.2.2, respectively.
[[Page 58337]]
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Project type
Documents ---------------------------------
Construction PE/design/NEPA
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FRA Forms
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[ballot] Project Narrative/Statement [check] [check]
of Work (see 4.2.1)..................
[ballot] Detailed Budget (see 4.2.2).. [check] [check]
[ballot] FRA's Additional Assurance [check] [check]
and Certifications (available at
http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf).....
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OMB Standard Forms
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[ballot] Application for Federal [check] [check]
Assistance...........................
[ballot] SF 424A: Budget Information- ............... [check]
Non Construction.....................
[ballot] SF 424B: Assurances-Non ............... [check]
Construction.........................
[ballot] SF 424C: Budget Information- [check] ...............
Construction.........................
[ballot] SF 424D: Assurances- [check] ...............
Construction.........................
[ballot] SF LLL: Disclosure of [check] [check]
Lobbying Activities..................
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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. FRA welcomes the submission
of other relevant supporting documentation that may have been developed
by the applicant (planning, NEPA, engineering and design documentation,
etc.), and encourages the applicant to submit such supporting
documentation as an attachment to the application via Grants.gov. For
any required or supporting application materials that an applicant is
unable to submit via Grants.gov (such as oversized engineering
drawings), an applicant may submit an original and two (2) copies to
the address listed under Section 4.1.2. 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.
4.2.1 Project Narrative/Statement of Work
The following points describe the minimum content which will be
required in the Project Narrative/Statement of Work elements of grant
applications. These requirements must be satisfied through a narrative
statement submitted by the applicant, and may be supported by
spreadsheet documents, tables, drawings, and other materials, as
appropriate. FRA recommends that applicants read this section carefully
and submit all required information. If an application does not address
each of these requirements to FRA's satisfaction, the application may
be considered incomplete and removed from consideration for award. Each
Project Narrative/Statement of Work must:
1. Designate a point of contact for the applicant and provide his
or her name and contact information, including phone number, mailing
address and e-mail address. The point of contact must be an employee of
an eligible applicant (i.e., a State employee, or an employee of a
political subdivision of a State, or an employee of the District of
Columbia).
2. Indicate the amount of Federal funding requested from the
Program, proposed non-Federal match, and total project cost.
Additionally, identify any other sources of Federal funds committed to
the project, as well as any pending Federal requests. Finally, specify
whether Federal funding has ever previously been sought for the project
and not secured, and name the Federal program and fiscal year from
which the funding was requested.
3. Explain how the applicant is an eligible applicant. For a full
discussion of how an applicant can meet this burden, see Section 3.1
Eligible Applicants, above.
4. Include a detailed project description with an explanation of
how the project is an eligible project. For a full discussion of how an
applicant can meet this burden, see Section 3.3 Eligible Projects,
above.
5. Include a thorough discussion of how the project meets all of
the selection criteria. Applicants should note that FRA evaluates
applications based upon the selection criteria. If an application does
not sufficiently address the selection criteria, FRA will have little
or no basis on which to evaluate the application; thus, it will likely
not be a competitive application. The selection criteria are described
in detail in Section 5.2, below.
6. Provide a detailed scope of work for the proposed project and
include the anticipated project schedule. Describe the proposed
project's physical location (as applicable), and include any drawings,
plans, or schematics that have been prepared relating to the proposed
project. If the funding from the Program is only going to be a
component of the overall funding for the project, describe the complete
project and specify which component will involve FRA funding.
Applications should include feasibility determinations and cost
estimates, if completed. FRA will more favorably consider applications
that include these types of studies, as they demonstrate that an
applicant has a definite understanding of the scope and cost of the
project. In submitting applications, applicants should be mindful that
the Program, as created by Congress and, as further described in the
Final Rule, is focused upon construction projects (see 49 CFR 262.3 and
262.7). If FRA approves a project for funding, allowable costs (i.e.,
costs that can qualify for reimbursement from Federal funds or as part
of the required non-Federal match) will have to directly support
project construction. Section 262.3 identifies the types of activities
that are associated with ``construction'' and thus are potentially
allowable. In terms of project development, FRA will consider as
potentially allowable any costs associated with the preparation of
architectural and engineering plans, project cost estimates, and
project-specific construction-related costs (including costs associated
with securing environmental clearance as described in Sec. 262.15 of
the Final Rule). As discussed above under Section 3.3 Eligible
Projects, FRA will not consider any costs associated with planning
studies and similar analyses as allowable costs. For approved projects,
FRA may also consider reimbursement of eligible construction-related
[[Page 58338]]
expenditures incurred after the enactment of the FY 2011 Department of
Defense and Full-Year Continuing Appropriations Act (April 15, 2011).
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.
7. Describe proposed project implementation and project management
arrangements. Include descriptions of expected arrangements for project
contracting, contract oversight, change-order management, risk
management, and conformance to Federal requirements for project
progress reporting.
8. Describe the anticipated public and private benefits associated
with the proposed project and the applicant's assessment of how those
benefits outweigh the costs of the proposed project (see 49 CFR
262.11(b)). Identify any financial contributions or commitments the
applicant has secured from private entities that are expected to
benefit from the project. Although FRA will weigh all of the selection
criteria, potential applicants should be aware that FRA is seeking the
maximum public benefit from these limited funds. Moreover, in directing
FRA to establish the Program, Congress instructed FRA to consider the
feasibility of seeking financial contributions or commitments from
private entities involved with projects in proportion to the expected
benefits that would accrue to those entities. As FRA explained in the
preamble to the Final Rule, however, FRA will apply all the selection
criteria and will not disfavor one application over another because of
the amount requested.
9. Describe anticipated environmental or historic preservation
impacts associated with the proposed project, any environmental or
historic preservation analyses that have been prepared, and progress
toward completing any environmental documentation or clearance required
for the proposed project under the National Environmental Policy Act
(NEPA), the National Historic Preservation Act (NHPA), section 4(f) of
the DOT Act, the Clean Water Act, or other applicable Federal or State
laws. Refer to 49 CFR 262.15 for further guidance.
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 NEPA, the NHPA (16
U.S.C. 470(f)), 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.
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).
Applicants are advised to consult with the FRA's Office of Railroad
Policy and Development before initiating any NEPA, NHPA or Section 4(f)
environmental or historic preservation reviews.
10. Format: Excluding spreadsheets, drawings, and tables, the
Project Narrative/Statement of Work for grant applications may not
exceed 35 pages in length. Failure to adhere to this page limitation
may result in the application being removed from consideration for
award. With the exclusion of oversized engineering drawings (which may
be submitted in hard copy to the FRA at the address above), all
application materials should be submitted as attachments through
Grants.gov. Spreadsheets consisting of budget or financial information
should be submitted via Grants.gov as Microsoft Excel (or compatible)
documents.
4.4.2 Detailed Budget
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.
For a construction project, at a minimum, the budget should
separate total cost of the project into the following categories, if
applicable: (1) Administrative and legal expenses; (2) Land,
structures, rights-of-way, and appraisals; (3) Relocation expenses and
payments; (4) Architectural and engineering fees; (5) Project
inspection fees; (6) Site work; (7) Demolition and removal; (8)
Construction labor, supervision, management, and materials, by type
(e.g. ties, rail, signals, switches); (9) Equipment; (10)
Miscellaneous; and (11) Contingencies.
For a non-construction project (i.e. a project involving only
eligible pre-construction activities such as preliminary engineering,
design, project-level NEPA compliance), at a minimum, the budget should
separate total cost of the project into the following categories, if
applicable: (1) Personnel; (2) Fringe Benefits; (3) Travel; (4)
Equipment; (5) Supplies; (6) Consultants/Contracts; (7) Other; and (8)
Indirect Costs.
See Appendix 3 of this solicitation for more information on project
budgets.
4.3 Submission Dates and Times
Complete applications must be submitted to Grants.gov (as specified
in Section 4.1) no later than 5 p.m. E.D.T., October 19, 2011.
Grants.gov will send the applicant an automated email 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. E.D.T., October 19, 2011. FRA will
email the applicant to confirm receipt of supporting documentation sent
by courier service.
Subject to demonstration of unanticipated extenuating
circumstances, FRA may, but is not obligated to, 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.
4.4 Intergovernmental Review
Executive Order 12372 requires applicants from State and local
units of
[[Page 58339]]
government or other organizations providing services within a State to
submit a copy of the application to the State Single Point of Contact
(SPOC), if one exists, and if this program has been selected for review
by the State. Applicants must contact their State SPOC to determine if
the program has been selected for State review. Executive Order 12372
can be referenced at http://www.fws.gov/policy/library/rgeo12372.pdf.
The names and addresses of the SPOCs are listed on OMB's home page
available at http://www.whitehouse.gov/omb/grants/spoc.html.
Section 5: Application Review Information
5.1 Application Review and Selection Process
Applications will proceed through a three-part review process:
1. Screening for completeness and eligibility;
2. Evaluation of eligible applications by technical panels applying
the selection criteria; and
3. Project selection by the FRA Administrator.
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 evaluated by technical panels consisting of
subject-matter experts against the selection criteria (outlined in
Section 5.2). The ratings assigned by the technical panels will not in
themselves constitute the final award determination. In accordance with
49 CFR 262.9(f), the FRA Administrator may take into account other
factors determined to be relevant to achieving the goals of the Program
when making final award decisions.
5.2 Selection Criteria
FRA will consider the following selection factors in evaluating
applications for grants under this program (see 49 CFR 262.9):
1. The capability of the applicant to fund the project without
Federal grant funding;
2. The effects of the rail line, relocated or improved as proposed,
on motor vehicle and pedestrian traffic, safety, community quality of
life, and area commerce;
3. The effects of the rail line, relocated or improved as proposed,
on the freight rail and passenger rail operations on the line;
4. Equitable treatment of the various regions of the United States;
5. Any other factors FRA determines to be relevant in assessing the
effectiveness and/or efficiency of the grant application, including the
cost-effectiveness of the proposed project in terms of benefits
achieved in relation to the funds expended. In the preamble to the
Final Rule, FRA provided an extensive, but not exhaustive, list of
possible data items that could be used to support a cost-effectiveness
determination. That list can be found at 73 FR 39875.
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 application is not an
authorization to begin proposed project activities.
The period of performance for this grant program is dependent on
the project. However, any unobligated funds will be deobligated at the
end of the 90 day close-out period, provided for in Appendix 2.4.
Extensions to the period of performance will be considered only through
written requests to FRA with specific and compelling justifications why
an extension is required.
6.2 Administrative and National Policy Requirements
The grantee and any subgrantee shall comply with all applicable
laws and regulations. For a non-exclusive list of regulations commonly
applicable to FRA grants refer to Appendix 1.
6.3 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.
Section 7: Agency Contact
For further information regarding this notice and the grants
program, please contact John Winkle via e-mail at [email protected],
or by mail: U.S. Department of Transportation, Federal Railroad
Administration, 1200 New Jersey Avenue, SE., Room W38-311, Washington,
DC 20590 Attention: John Winkle.
Appendix 1: Administrative and National Policy Requirements
Appendix 1.1 Standard Financial and Program Administration Requirements
Grant recipients must follow all standard financial and program
administration requirements, including:
Administrative Requirements
49 CFR part 18, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments.
49 CFR part 19, Uniform Administrative Requirements for
Grants and Cooperative Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (OMB
Circular A-110).
Cost Principles
2 CFR part 225, Cost Principles for State, Local, and
Indian Tribal Governments (OMB Circular A-87).
2 CFR part 220, Cost Principles for Educational
Institutions (OMB Circular A-21).
2 CFR part 230, Cost Principles for Non-Profit
Organizations (OMB A-122).
Federal Acquisition Regulations (FAR), part 31.2
Contract Cost Principles and Procedures, Contracts with Commercial
Organizations.
Audit Requirements
OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations.
Appendix 1.2 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, Americans
with Disabilities Act (ADA), environmental protection, National
Environmental Policy Act (NEPA), and environmental justice.
Appendix 1.3 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 guidance will become agency records, and
thus are 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,
[[Page 58340]]
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
Association v. Morton, 498 F.2d 765, 770 (D.C. Cir. 1974)). Entities
seeking exempt treatment must provide a detailed statement
supporting and justifying the 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.
Appendix 2: Additional Information on Award Administration and Grant
Conditions
Appendix 2.1 Reporting Requirements
Reporting requirements must be met throughout the life of the
grant (additional detail will be included in the award package
provided to selected applicants).
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 FRA's web-based grant management system,
GrantSolutions, 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 to FRA.
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. This report
should detail the results and benefits of the Grantee's improvement
efforts.
Reports, Presentations and Other Deliverables--Whether
for technical examination, administrative review, or publication,
all submittals shall be of a professional quality and suitable for
their intended purpose. Due dates for submittals shall be based on
the specified intervals or days from the effective date of the
agreement.
Appendix 2.2 Audit Requirements
Grant recipients that expend $500,000 or more of Federal funds
during their fiscal year, combined from all sources, are required to
submit an organization-wide financial and compliance audit report.
The audit must be performed in accordance with U.S. General
Accountability Office, Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits
of States, Local Governments, and Non-Profit Organizations, located
at http://www.whitehouse.gov/omb/circulars/a133/a133.html.
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 2.3 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 may 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 2.4 Closeout Process
Project closeout occurs when all required project work and all
administrative procedures described in 49 CFR section 262.19, 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 3: Additional Information on Applicant Budgets
The information contained in this appendix is intended to assist
applicants with developing the SOW budget and OMB Standard Forms
424A: Budget Information--Non-Construction Programs and 424C: Budget
Information--Construction Programs, as described in Section 4.2.
Appendix 3.1 Non-Construction Project 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 and provide
a basis of computation for each cost:
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 non-expendable items that are to be
purchased. Nonexpendable equipment is tangible property having a
[[Page 58341]]
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.
Appendix 3.2 Construction Project 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 and provide
a basis of computation for each cost:
Administrative and Legal Expenses: List the estimated
amounts needed to cover administrative expenses. Do not include
costs which are related to the normal functions of government.
Allowable legal costs are generally only those associated with the
purchases of land which is allowable for Federal participation and
certain services in support of construction of the project. This may
include:
[cir] Hours/Rate and total cost of local government staff.
[cir] Hours/Rate and total cost of outside counsel fees.
[cir] Hours/Rate and total cost of consultants.
Land, structures, rights-of-way, appraisals, and
related items: List the estimate site and right(s)-of-way
acquisition costs (this includes purchase, lease, and/or easements).
If possible, include details of number of acres, acre cost, square-
footage, and square footage cost.
Relocation expenses and payments: List the estimated
costs relation to relocation advisory assistance, replacement of
housing, relocation payments to displaces persons and businesses,
etc. This may include:
o The gross salaries and wages of employees for the grantee who
will be directly engaged in performing demolition or removal of
structures from developed land.
Architectural and engineering fees: List the estimated
basic engineering fees related to construction (this includes start-
up services and preparation of project performance work plan).
Other architectural and engineering fees: List the
estimated engineering costs, such as surveys, tests, soil borings,
etc.
Project inspection fees: List the estimated engineering
inspection costs. This may include:
[cir] Rate of project inspector.
[cir] Construction monitoring.
[cir] Audit or construction programs.
Site Work: List the estimated costs of site preparation
and restoration which are not included in the basic construction
contract. This may include:
[cir] Clearing.
[cir] Erosion control.
[cir] Reseeding.
Demolition and removal: List the estimated costs
related to demolition activities.
Construction: List the estimated cost of the
construction contract. This may include costs for:
[cir] Labor costs, e.g., associated with site preparation and
installation of grade crossings, highway warning signs, etc.
[cir] Equipment rental/purchase, e.g., an excavator or bulldozer
[cir] Materials, e.g., Rail anchors, retaining walls, etc.
Equipment: List the estimated cost of office, shop,
laboratory, safety equipment, etc. to be used at the facility, if
such costs are not included in the construction contract.
Miscellaneous: List the estimated miscellaneous costs.
Contingencies: List the estimated contingency costs.
Issued in Washington, DC, on September 14, 2011.
Joseph C. Szabo,
Administrator.
[FR Doc. 2011-24125 Filed 9-19-11; 8:45 am]
BILLING CODE 4910-06-P