High-Speed Intercity Passenger Rail (HSIPR) Program, 16552-16562 [2010-7340]
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16552
Federal Register / Vol. 75, No. 62 / Thursday, April 1, 2010 / Notices
concerns are made available to the FAA
in a timely manner so that the FAA has
an opportunity to address them.
ADDRESSES: Please submit comments in
writing to: FAA Space Florida
Supplemental EA, c/o ICF International,
9300 Lee Highway, Fairfax, VA 22031.
Comments may also be submitted via email to SpaceFLSEA@icfi.com. For
questions or additional information on
the Draft SEA, please contact Mr. Daniel
Czelusniak, FAA Environmental
Specialist, at (202) 267–5924 or
Daniel.Czelusniak@faa.gov.
mstockstill on DSKH9S0YB1PROD with NOTICES
Additional Information
Under the Proposed Action, the FAA
would issue a Launch Site Operator
License to Space Florida to operate LC–
36 and LC–46 as a commercial space
launch site for vertical launches of both
solid and liquid propellant launch
vehicles. The proposed activities at LC–
46 remain consistent with those
analyzed in the 2008 EA which
analyzed the potential environmental
impacts of the FAA issuing a Launch
Site Operator License to Space Florida
to operate a commercial space launch
site at LC–46. The 2008 EA analyzed the
operation of several types of vertical
launch vehicles from LC–46, including
Athena-1 and Athena-2, Minotaur,
Taurus, Falcon 1, Alliant Techsystems
small launch vehicles, and other
Castor® 120-based or Minutemanderivative booster vehicles. The
Proposed Action also includes
construction and operation activities to
redevelop LC–36 into commercial space
launch site. The Draft SEA expands on
the analysis provided in the 2008 EA to
include an analysis of the potential
environmental impacts of the
construction and operation activities
associated with the redevelopment of
LC–36 into a commercial space launch
site. Redeveloping LC–36 into a multiuse commercial space launch site
involves construction of facilities to
launch a Generic Launch Vehicle (GLV),
which is a conceptual (or ‘‘surrogate’’)
liquid propellant medium class launch
vehicle with a solid propellant second
stage, and a bipropellant third stage,
used for the purposes of the
environmental review. Redevelopment
activities at LC–36 would include
building access roads; erecting a
security fence; reconstituting several
existing facilities; constructing an
elevated launch deck, associated flame
ducts, water storage tank, and water
deluge containment pool; and installing
electrical, communication, and air
systems. Redevelopment would occur in
phases dictated by costs and schedule,
and facility construction or
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modifications would take place only on
previously disturbed ground. The only
alternative to the Proposed Action is the
No Action Alternative. Under this
alternative the FAA would not issue a
Launch Site Operator License to Space
Florida for commercial launches from
LC–36 and LC–46 at CCAFS.
Resource areas were considered to
provide a context for understanding and
assessing the potential environmental
effects of the Proposed Action, with
attention focused on key issues. The
resource areas considered in the Draft
SEA included air quality; biological
resources (terrestrial vegetation and
wildlife, marine species, and protected
species); compatible land use (land use,
light emissions, visual resources, and
coastal resources); cultural resources
and Section 4(f) properties; hazardous
materials, solid waste, and pollution
prevention; noise; socioeconomic
resources; and water resources (surface
water, groundwater, floodplains, and
wetlands). Potential cumulative impacts
of the Proposed Action are also
addressed in the Draft SEA.
FOR FURTHER INFORMATION CONTACT: Mr.
Daniel Czelusniak, Environmental
Specialist, Federal Aviation
Administration, 800 Independence
Avenue, SW., Suite 331, Washington,
DC 20591, by e-mail at
Daniel.Czelusniak@faa.gov, or by phone
at (202) 267–5924.
Issued in Washington, DC on: March 24,
2010.
Michael McElligott,
Manager, Space Systems Development
Division.
[FR Doc. 2010–7129 Filed 3–31–10; 8:45 am]
BILLING CODE 4310–13–P
Table of Contents
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.
SUMMARY: On January 28, 2010,
President Obama announced the first
selections for the High-Speed Intercity
Passenger Rail (HSIPR) Program. This
notice builds on the program framework
established by FRA in the June 23, 2009
interim program guidance (74 FR
29900), and details the application
requirements and procedures for
obtaining the remaining funds available
under the Department of Transportation
Appropriations Act of 2009 that have
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not yet been allocated to projects. This
solicitation is only applicable to the
remaining FY 2009 funds. FRA has
concurrently issued a solicitation for
high-speed rail planning activities
funded under the Department of
Transportation Appropriations Act of
2010, and will release an additional
solicitation in the coming months for
the construction and corridor program
funds provided under the FY 2010
appropriation.
DATES: Applications for funding under
this solicitation are due no later than 5
p.m. EST, May 19, 2010 and must be
submitted via Grants.gov (see
instructions in Section 3.1). See Section
3 for additional information regarding
the application process. FRA reserves
the right to modify this deadline.
ADDRESSES: Supporting materials that
cannot be submitted electronically may
be mailed or hand delivered to: U.S.
Department of Transportation, Federal
Railroad Administration, 1200 New
Jersey Avenue, SE., MS–20, Room W38–
302, Washington, DC 20590 Att’n.
HSIPR Program. Applicants are
encouraged to use special courier
services to avoid shipping delays.
Application forms are available at http:
//www.fra.dot.gov/Pages/2243.shtml.
FOR FURTHER INFORMATION CONTACT: For
further information regarding this notice
and the grants program, please contact
the FRA HSIPR Program Manager via email at HSIPR@dot.gov, or by mail: U.S.
Department of Transportation, Federal
Railroad Administration, 1200 New
Jersey Avenue, SE., MS–20,
Washington, DC 20590 Att’n. HSIPR
Program.
Sfmt 4703
1. Financial Assistance Description
2. Eligibility Information
3. Application and Submission Information
4. Application Review Information
5. Award Administration Information
6. Questions and Clarifications
Appendix 1: Additional Information on
Eligibility
Appendix 2: Additional Information on
Preliminary Engineering
Appendix 3: Additional Information on
Award Administrations
Appendix 4: Additional Information on
Applicant Budgets
Section 1: Financial Assistance
Description
1.1 Authority
This financial assistance
announcement pertains to remaining FY
2009 appropriations for FRA’s HighSpeed Intercity Passenger Rail (HSIPR)
Program. These funds were authorized
and appropriated under the Department
of Transportation Appropriations Act,
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2009 (‘‘FY 2009 DOT Appropriations
Act,’’ Title I of Division I of Pub. L. 111–
8, March 11, 2009), under the title
Capital Assistance to States—Intercity
Passenger Rail Service. The funding
opportunities described in this guidance
are available under Catalog of Federal
Domestic Assistance (CFDA) number
20.317.
1.2 Program Description and
Legislative History
As one of President Obama’s foremost
transportation priorities, the HSIPR
Program is intended to help address the
nation’s transportation challenges by
investing in an efficient network of
high-speed and intercity passenger rail
corridors that connect communities
across America. On January 28, 2010,
President Obama announced the first
recipients selected to receive funding
under the HSIPR Program. These initial
awards were funded from the $8 billion
appropriated under the American
Recovery and Reinvestment Act of 2009
(ARRA or Recovery Act) and $90
million appropriated under the FY 2009
DOT Appropriations Act.
However, most HSIPR Program
applicants sought funding under the
Recovery Act portion of the original
solicitation, and there remains a balance
of approximately $65 million in FY
2009 funding. This financial assistance
announcement is intended to provide
prospective applicants with ‘‘ready-togo’’ projects the opportunity to apply for
the remaining FY 2009 funds prior to
FRA issuing an application solicitation
for FY 2010 construction funds.
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1.3
Funding Approach
The FY 2009 DOT Appropriations Act
appropriated $90 million for intercity
passenger rail grants. These funds were
combined with approximately $1.9
million in unobligated FY 2008 funding
and $8 billion in ARRA funding for the
first HSIPR Program application
solicitation that was issued in June
2009. Of these FY 2009 funds,
approximately $65 million remains. An
additional $2.5 billion was appropriated
for the program in FY 2010. FRA is
separately soliciting applications for the
different components of these
appropriations:
1. Residual FY 2009 funds
(approximately $65 million):
Construction projects with a 50 percent
non-Federal match. This solicitation is
for these funds.
2. FY 2010 planning funds (up to $50
million): Planning projects with a 20
percent non-Federal match. The notice
of funding availability (NOFA) for these
funds is being issued concurrently with
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this solicitation, and can also be found
in this edition of the Federal Register.
3. FY 2010 stand-alone projects (up to
$245 million) and corridor programs (at
least $2,125 million): Stand-alone final
design/construction and/or preliminary
engineering/NEPA projects and corridor
program funding with a 20 percent nonFederal match. The solicitation for these
funds is forthcoming.
1.4 General Award Information
The remaining $65 million in FY 2009
HSIPR Program funds are intended to
assist States with the capital costs of
improving existing intercity passenger
rail service and providing new intercity
passenger rail service.
FRA will make awards for these
intercity passenger rail capital projects
through cooperative agreements.
Cooperative agreements allow for
greater Federal involvement in carrying
out the agreed upon investment. The
substantial Federal involvement for
these projects will include technical
assistance, review of interim work
products, and increased program
oversight.
While there are no predetermined
minimum or maximum dollar
thresholds for awards, FRA anticipates
making one or more awards for the
entire $65 million available.
Section 2: Eligibility Information
Applications under this solicitation
will be required to meet minimum
requirements related to applicant
eligibility, project eligibility, and the
fulfillment of other prerequisites.
To the extent that an application’s
substance exceeds the minimum
eligibility requirements described
below, such qualifications will be
considered in evaluating the merits of
an application.
2.1 Eligible Applicant Types
Only States, including the District of
Columbia, are eligible to apply for funds
included in this solicitation.
2.2 Applicant and Key Partner
Qualifications
For an application submitted by a
State to be considered funding under
this program, it must affirmatively
demonstrate that the applicant has or
will have the legal, financial, and
technical capacity to carry out the
proposal. Additionally, the applicant
must demonstrate that it has or will
have satisfactory continuing control
over the use of equipment or facilities
acquired, constructed, or improved by
the project, and the capability and
willingness to maintain such equipment
or facilities. Further discussion of how
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applicants can demonstrate compliance
with these minimum qualifications
appears in Appendix 1.2.
2.3
Cost Sharing and Matching
2.3.1 Treatment of Applicant Cost
Sharing
Pursuant to the provisions of the FY
2009 DOT Appropriations Act, the
Federal share of the costs of projects
issued cooperative agreements under
this solicitation may not exceed 50
percent.
If an applicant chooses the option of
contributing more than the required 50
percent non-Federal share of the costs of
its proposed project from its own or its
partner project stakeholders’ resources,
such additional contributions will be
considered in evaluating the merit of its
application (See Section 4 for a
complete description of evaluation and
selection criteria).
2.3.2 Requirements for Applicant Cost
Sharing
An applicant’s contribution toward
the cost of its proposed project may be
in the form of cash or, with FRA
approval, in-kind contributions of
services, supplies, equipment, or real
estate. As part of its application, an
applicant offering an in-kind
contribution must provide a
documented estimate of the monetary
value of any such contribution, and its
eligibility under 49 CFR 18.24.
The applicant must provide as part of
its application documentation that
demonstrates that it has committed and
will be able to fulfill any pledged
contribution, including committing any
required financial resources that are
budgeted or planned at the time the
application is submitted. Furthermore,
funds from other Federal financial
assistance programs may not be used to
satisfy the 50 percent match
requirement.
2.4
Eligible Projects
Eligible types of projects under this
program for remaining FY 2009 HSIPR
Program funds include: (1) Acquiring,
constructing, or improving equipment,
track and track structures, or a facility
for use in or for the primary benefit of
intercity passenger rail service
including high-speed rail service, (2)
expenses incidental to the acquisition or
construction (including designing,
engineering, location surveying,
mapping, environmental studies, and
acquiring rights-of-way), (3) highwayrail grade crossing improvements
related to intercity passenger rail
service, (4) mitigating environmental
impacts, (5) communication and
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signalization improvements, and (6)
rehabilitating, remanufacturing, or
overhauling rail rolling stock and
facilities used primarily in intercity
passenger rail service.
2.5
Project Completion
All projects funded under this
solicitation must be completed within 5
years of obligation.
2.6
2.6.1
Other Prerequisites
General Prerequisites
In general, proposals for remaining FY
2009 HSIPR Program funding must meet
the following additional prerequisites:
• Applications must be complete,
including all required forms and
documentation, as defined in this
notice;
• The complete application must
demonstrate that the project has been
identified through a rational planning
process (ideally a High-Speed Intercity
Passenger Rail Service Development
Plan);
• States must include intercity
passenger rail services as an integral
part of statewide transportation
planning as required under 23 U.S.C.
135;
• The project must be consistent with
an overall plan for developing the
benefiting High-Speed Intercity
Passenger Rail service; and
• The project must result in
independent utility.
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2.6.2 Prerequisites for Construction
Grants
If the applicant is seeking a
construction grant, then the application
must demonstrate all of the following:
• That Preliminary Engineering (PE)
(as defined in Appendix 2 of this notice)
has been completed for the proposed
project, resulting in project designs that
are reasonably expected to conform to
all regulatory, safety, security, and other
design requirements, including those
under the Americans with Disabilities
Act (ADA);
• That a Project NEPA document
(e.g.,. a Categorical Exclusion
worksheet, a completed Environmental
Assessment, or a completed final
Environmental Impact Statement) has
been completed for the proposed
project;
• That the applicant has reached, at a
minimum, agreements in principle with
key project partners, including but not
limited to infrastructure-owning
railroads and the railroad that operates
or will operate the benefiting HighSpeed Intercity Passenger Rail service,
as to the scope of the proposed project
and the realization of the operating
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benefits (e.g., those reflected in changes
to schedules) it is intended to generate;
• That the applicant has developed a
project management plan for managing
the implementation of the proposed
project, including the management and
mitigation of project risks; and
• That the applicant has developed a
Financial Plan for each phase of service
that details the ‘‘sources and uses’’ of
both capital and operating funding.
• For projects in which the physical
improvements are located outside of the
United States; or
• For any expenses associated with
passenger rail operating costs of rail
operators.
Additional funding use restrictions
are fully described in Section 3.4.3 of
this notice.
2.6.3 Prerequisites for Equipment
Procurement or Design Grants
3.1
If the applicant is seeking a grant for
the procurement or design of railroad
equipment, the proposed equipment
should be consistent with Section 305 of
PRIIA, which calls for the establishment
of a standardized next-generation rail
corridor equipment pool. Compliance
with Section 305 of PRIIA will assist in
creating the economies of scale
necessary to achieve the
Administration’s goal, as outlined in
FRA’s Strategic Plan, of developing a
sustainable railroad equipment
manufacturing base in the United States.
2.6.4
Positive Train Control (PTC)
If the project involves improvements
to railroad signaling/control systems,
then the application must demonstrate
that the proposed improvements are
consistent with a comprehensive plan
for complying with the requirements for
PTC implementation under Section 104
of the Rail Safety Improvement Act of
2008 (‘‘RSIA,’’ Division A of Pub. L.
110–432, October 16, 2008, codified at
49 U.S.C. 20147) and with FRA’s final
rule on Positive Train Control Systems
published in the Federal Register on
January 15, 2010 (75 FR 2598).
2.6.5
Inclusion in STIP
Proposed projects must be specifically
included in the applicant’s Statewide
Transportation Improvement Program
(STIP) at the time of application to be
eligible.
2.7
Eligibility Restrictions
Pursuant to the provisions of the FY
2009 DOT Appropriations Act,
applications submitted for the following
activities are ineligible to receive
funding:
• Applications submitted by private
entities (or any entity that is not a State);
• For projects for which commuter
rail passenger transportation is the
primary intended beneficiary;
• For projects involving the
development of State Rail Plans or
Passenger Rail Corridor Investment
Plan;
• For projects involving the
preparation of environmental analyses;
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Section 3: Application and Submission
Information
Applying Online
Applications for these funds will be
submitted through Grants.gov by 5 p.m.
EST on May 19, 2010. Program-specific
application forms (identified in Section
3.3 below) may be downloaded from
FRA’s Web site at https://
www.fra.dot.gov/Pages/2243.shmtl.
To apply for funding through
Grants.gov, applicants must be properly
registered. Complete instructions on
how to register and submit an
application can be found at Grants.gov.
If you experience difficulties at any
point during this process, please call the
Grants.gov Customer Support Hotline at
1–800–518–4726, Monday–Friday from
7 a.m. to 9 p.m. EST.
Registering with Grants.gov is a onetime process; however, processing
delays may occur, and it can take up to
several weeks for first-time registrants to
receive confirmation and a user
password. It is highly recommended
that applicants start the registration
process as early as possible to prevent
delays that may preclude submitting an
application package by the application
deadline specified. Applications will
not be accepted after the due date;
delayed registration is not an acceptable
reason for extensions. In order to apply
for funding under this announcement
and to apply for funding through
Grants.gov, all applicants are required to
complete the following.
1. Acquire a DUNS Number. A Data
Universal Numbering System (DUNS)
number is required for Grants.gov
registration. The Office of Management
and Budget requires that all businesses
and nonprofit applicants for Federal
funds include a DUNS number in their
applications for a new award or renewal
of an existing award. A DUNS number
is a unique nine-digit sequence
recognized as the universal standard for
identifying and keeping track of entities
receiving Federal funds. The identifier
is used for tracking purposes and to
validate address and point of contact
information for Federal assistance
applicants, recipients, and
subrecipients. The DUNS number will
be used throughout the grant life cycle.
Obtaining a DUNS number is a free,
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one-time activity. Obtain a DUNS
number by calling 1–866–705–5711 or
by applying online at https://
www.dunandbradstreet.com.
2. Acquire or Renew Registration with
the Central Contractor Registration
(CCR) Database. All applicants for
Federal financial assistance maintain
current registrations in the Central
Contractor Registration (CCR) database.
An applicant must be registered in the
CCR to successfully register in
Grants.gov. The CCR database is the
repository for standard information
about Federal financial assistance
applicants, recipients, and
subrecipients. Organizations that have
previously submitted applications via
Grants.gov are already registered with
CCR, as it is a requirement for
Grants.gov registration. Please note,
however, that applicants must update or
renew their CCR registration at least
once per year to maintain an active
status, so it is critical to check
registration status well in advance of the
application deadline. Information about
CCR registration procedures can be
accessed at https://www.ccr.gov.
3. Acquire an Authorized
Organization Representative (AOR) and
a Grants.gov Username and Password.
Complete your AOR profile on
Grants.gov and create your username
and password. You will need to use
your organization’s DUNS number to
complete this step. For more
information about the registration
process, go to https://Grants.gov/
applicants/get_registered.jsp.
4. Acquire Authorization for your
AOR from the E–Business Point of
Contact (E–Biz POC). The E–Biz POC at
your organization must log in to
Grants.gov to confirm you as an AOR.
Please note that there can be more than
one AOR for your organization.
5. Search for the Funding Opportunity
on Grants.gov. Please use the following
identifying information when searching
for the funding opportunity on
Grants.gov. The Catalog of Federal
Domestic Assistance (CFDA) number for
this solicitation is #20.317, titled
‘‘Capital Assistance to States—Intercity
Passenger Rail Service’’.
6. Submit an Application Addressing
All of the Requirements Outlined in this
Funding Availability Announcement.
Within 24 to 48 hours after submitting
your electronic application, you should
receive an e-mail validation message
from Grants.gov. The validation message
will tell you whether the application
has been received and validated or
rejected, with an explanation. You are
urged to submit your application at least
72 hours prior to the due date of the
application to allow time to receive the
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16:51 Mar 31, 2010
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validation message and to correct any
problems that may have caused a
rejection notification.
Note: When uploading attachments please
use generally accepted formats such as .pdf,
.doc, .docx, .xls, .xlsx and .ppt. While you
may imbed picture files such as .jpg, .gif, and
.bmp, in your document files, please do not
submit attachments in these formats.
Additionally, the following formats will not
be accepted: .com, .bat, .exe, .vbs, .cfg, .dat,
.db, .dbf, .dll, .ini, .log, .ora, .sys, and .zip.
Experiencing Unforeseen Grants.gov
Technical Issues
If you experience unforeseen
Grants.gov technical issues beyond your
control that prevent you from
submitting your application by the
deadline, you must contact FRA staff at
HSIPR@dot.gov within 24 hours after
the deadline and request approval to
submit your application. At that time,
FRA staff will require you to e-mail the
complete grant application, your DUNS
number, and provide a Grants.gov Help
Desk tracking number(s). After FRA staff
review all of the information submitted,
as well as contact the Grants.gov Help
Desk to validate the technical issues you
reported, FRA staff will contact you to
either approve or deny your request to
submit a late application. If the
technical issues you reported cannot be
validated, your application will be
rejected as untimely.
To ensure a fair competition for
limited discretionary funds, the
following conditions are not valid
reasons to permit late submissions: (1)
Failure to complete the registration
process before the deadline date; (2)
failure to follow Grants.gov instructions
on how to register and apply as posted
on its Web site; (3) failure to follow all
of the instructions in the funding
availability notice; and (4) technical
issues experienced with the applicant’s
computer or information technology (IT)
environment.
3.2 Address To Request/Submit
Application Package
If Internet access is unavailable,
please write to FRA at the following
address to request a paper application:
U.S. Department of Transportation,
Federal Railroad Administration, Attn.
HSIPR Program Information (RDV–10),
Mail Stop 20, 1200 New Jersey Ave.,
SE., Washington, DC 20590.
For supporting documentation
(described in Section 3.3.1.1) that an
applicant is unable to submit
electronically (such as oversized
engineering drawings), applicants may
submit an original and two copies to the
above address. However, due to delays
caused by enhanced screening of mail
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delivered via the U.S. Postal Service,
applicants are advised to use other
means of conveyance (such as courier
service) to assure timely receipt of
materials.
3.3
Content and Form of Application
3.3.1 Application Package
Components
The application package for HSIPR
Program planning applications contains
five required components:
1. HSIPR FD/Construction
Application Form.
2. HSIPR Project Budget and Schedule
Form.
3. OMB Standard Application Forms.
4. FRA’s Assurances Document.
5. Required Supporting
Documentation.
Applicants must complete all five
required components of the application
package; failure to do so may result in
the application being removed from
consideration for award. All five
components of the application package
must be submitted through Grants.gov.
Applicants may also submit
additional documentation to support the
merits of their applications. Inclusion of
such supporting documentation is
optional.
3.3.1.1 HSIPR FD/Construction
Application Form
The most significant component of
the application package is the HSIPR
FD/Construction Application Form, into
which the applicant enters specific
information about the proposed project.
The form includes fields that have been
developed by FRA to capture pertinent
qualitative and quantitative programspecific information that is needed for
FRA to confirm applicant and project
eligibility, as well as information
needed for evaluation and selection of
applications. The HSIPR FD/
Construction Application Form requests
two types of information:
1. General applicant and project
information.
2. Narratives that allow the applicant
to make arguments on the benefits of its
proposed project and other factors that
are used to evaluate the merits of the
application (See Section 4.2 for
evaluation criteria).
The HSIPR FD/Construction
Application Form is available from
FRA’s Web site at: https://
www.fra.dot.gov/Pages/2243.shmtl.
Applicants should download and
complete the form and submit as an
attachment in Grants.gov.
To support the Application Form,
FRA welcomes the submission of any
other available supporting
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documentation that may have been
developed by the applicant. The format
and structure of any additional
supporting documents is at the
discretion of the applicant. Optional
supporting documentation may be
provided one of two ways—(1) as
attachments to the application or (2) in
hard copy for materials that cannot
otherwise be provided electronically.
3.3.1.2 HSIPR Project Budget and
Schedule Form
The HSIPR Project Budget and
Schedule Form is a MS Excel document
that supports the qualitative and
quantitative claims made in the
applicant’s HSIPR FD/Construction
Application Form. In addition to
capturing detailed project budget and
schedule information, the form also
describes the standard cost categories
developed by FRA to assist in
evaluating and comparing projects.
Pursuant to 49 U.S.C. 24402(g), FRA
reserves the right to request changes to
project scopes, schedules, and budgets
of selected projects. See Appendix 4 for
more information on preparing project
budgets.
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3.3.1.3 OMB Standard Application
Forms
The Standard Forms are developed by
OMB and are required of all grant
applicants. These forms should be
submitted electronically through
Grants.gov.
• Standard Form 424, Application for
Federal Assistance.
• Standard Form 424A, Budget
Information—Non-Construction
Programs.
• Standard Form 424B, Assurances—
Non-Construction Programs.
• Standard Form 424C, Budget
Information—Construction.
• Standard Form 424D, Assurances—
Construction Programs.
All applications for construction
projects must use Standard Forms 424C
and 424D. If the application is for
equipment procurement or
refurbishment, the applicant should
instead use Standard Forms 424A and
424B. All applications should also
complete Standard Form 424, regardless
of project type.
3.3.1.4 FRA Assurances Document
FRA’s assurances document contains
standard Department certifications on
grantee suspension and debarment,
drug-free workplace requirements, and
Federal lobbying. The FRA Assurances
document can be obtained from FRA’s
Web site at https://www.fra.dot.gov/
downloads/admin/
assurancesandcertifications.pdf. The
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document should be signed by an
authorized certifying official for the
applicant, scanned into electronic
format, and submitted as an attachment
to the application in Grants.gov.
3.3.1.5 Required Supporting
Documentation
FRA requires the submission of the
following additional supporting
documentation for remaining FY 2009
HSIPR Program construction
applications:
• Preliminary Engineering (PE)
Materials—Applicants should provide
any documents that demonstrate the PE
status (or final design status, if
completed) of the proposed project. The
PE requirements are detailed in
Appendix 2.
• National Environmental Policy Act
(NEPA) Documentation—Applicants
should provide any documents (e.g. a
Categorical Exclusion worksheet, a
completed Environmental Assessment,
or a completed final Environmental
Impact Statement) that demonstrate the
NEPA status of the proposed project.
• Project Management Plan—
Applicants should provide a project
management plan (or equivalent) that
documents assumptions and decisions
regarding the communication,
management processes, execution and
overall project control.
• Stakeholder Agreements—
Applicants should provide documents
that demonstrate the status of all
stakeholder agreements including
agreements with interstate partners, host
railroads, right-of-way owners and
contract railroad operator providing
service. The form and structure of the
stakeholder agreements are at the
discretion of the applicant, however,
agreements should satisfy the eligibility
and award requirements listed in
Appendix 1.1.
• Financial Plan—Applicants should
provide a financial plan (or equivalent).
3.3.1.6
Other Required Documentation
For any other documentation required
prior to award that is not specified in
this notice, FRA will make individual
arrangements with applicants for the
submission of the required
documentation.
3.3.2 Additional Information Required
Prior to Award
3.3.2.1
Construction Projects
A project NEPA determination
document (a Record of Decision,
Finding of No Significant Impact, or CE
determination) must have been issued
by FRA prior to award of a construction
grant.
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3.3.2.2
All Projects
Applicants are required to submit
comprehensive executed partnership
agreements, fulfilling all requirements
for such agreements as set forth in
Appendix 1.1, prior to award.
3.4 Additional Application
Information
3.4.1
Submission Dates and Times
Complete applications must be
submitted to Grants.gov (as specified in
Section 3.1) no later than 5 p.m. EST,
May 19, 2010. Grants.gov will send the
applicant an automated e-mail
confirming receipt of the application.
Supporting documentation that cannot
be submitted electronically may be sent
by courier service with a waybill receipt
stamped no later than 5 p.m. EST, May
19, 2010. FRA will e-mail the applicant
to confirm receipt of supporting
documentation sent by courier service.
Subject to demonstration of
unanticipated extenuating
circumstances, FRA may consider
application materials submitted after the
deadlines prescribed above.
FRA reserves the right to contact
applicants with any concerns,
questions, or comments related to
applications.
3.4.2
Intergovernmental Review
This program has not been designated
as subject to Executive Order 12372,
pursuant to 49 CFR part 17.
3.4.3
Funding Restrictions
In general, only those costs
considered allowable pursuant to OMB
Circular A–87, ‘‘Cost Principles for
State, Local, and Indian Tribal
Governments’’ (codified at 2 CFR part
225) will be considered for funding.
Additionally, the following funding
restrictions will apply to cooperative
agreements, and must be taken into
consideration in the development of
budget information submitted as part of
applications.
• Funding may not be used to fund
expenses associated with the operation
of intercity passenger rail service;
• Funding may not be used for firstdollar liability costs for insurance
related to the provision of intercity
passenger rail service;
• While there is no cap on grant
recipient’s use of grant funds for
management and administrative costs,
such costs must be allowable,
reasonable, allocable, and in accordance
with applicable OMB cost principles
cited above.
FRA will also consider
reimbursement of pre-award costs
incurred as early as the enactment of the
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FY 2009 DOT Appropriations Act
(March 11, 2009). However, such costs
will be considered for reimbursement
only to the extent that they are
otherwise allowable under the
applicable cost principles, and involve
either eligible activities (e.g. FD), or
construction activities that were subject
to a NEPA determination made by FRA
prior to the commencement of such
construction activities. Projects for
which construction activities
commenced prior to receipt of an FRA
environmental determination under
NEPA will not be eligible for funding.
Section 4: Application Review
Information
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4.1
Review Criteria
Complete applications are due by 5
p.m. EST, May 19, 2010. All
applications will proceed through a
three-step process:
1. Screening for completeness and
eligibility;
2. Evaluation review by a technical
panel applying ‘‘evaluation criteria;’’ and
3. Final review and selection by the
FRA Administrator, applying ‘‘selection
criteria.’’
All applications will first be screened
for completeness, and applicant and
project eligibility. Applications
determined to be both complete and
eligible will be referred to a technical
panel consisting of subject-matter
experts for a merit-based evaluation
review. The panels will be comprised of
professional staff employed by FRA and
other DOT modal administrations, as
appropriate.
Applications will be individually
reviewed and assessed against the
evaluation criteria outlined in Section
4.2. For each of the criteria, the panel
will assign a rating of between zero and
three points, based on the application’s
fulfillment of the objectives of each
criterion. These individual criterion
ratings will then be combined according
to priority of criteria, to arrive at an
overall rating for the application.
The evaluation criteria, in order of
priority, are:
1. Transportation Benefits.
2. Project Management Approach.
3. Sustainability of Benefits.
4. Timeliness of Project Completion.
5. Other Public Benefits.
In addition to the ratings assigned by
the technical evaluation panels, the FRA
Administrator may take into account
several cross-cutting and comparative
selection criteria to determine awards.
The Administrator will review the
preliminary results to ensure that the
scoring has been applied consistently,
and that the collective results meet
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several key priorities essential to the
success and sustainability of the
program (see Section 4.3). The four
selection criteria are:
1. Region/Location.
2. Innovation/Resource Development.
3. Partnerships/Participation.
4. Prior HSIPR Funding Decisions
and/or State Investments.
4.2 Evaluation Criteria
Careful economic analysis that
quantifies and demonstrates the
monetary value of user benefits and, if
available, public benefits will be
particularly useful to FRA in evaluating
the applications. The systematic process
of comparing expected benefits and
costs helps decision-makers organize
information about, and evaluate tradeoffs between, alternative transportation
investments. FRA will consider benefits
and costs using standard data provided
by applicants and seek to evaluate
applications in a manner consistent
with Executive Order 12893, Principles
for Federal Infrastructure Investments,
59 FR 4233, to base infrastructure
investments on systematic analysis of
expected benefits and costs, including
both quantitative and qualitative
measures.
4.2.1 Transportation Benefits
Evaluation against this criterion will
consider the qualitative factors outlined
below, as supported by key quantitative
metrics. As described in Section 3,
applicants must provide information
quantifying the anticipated benefits of
the proposed project using service
output data (delay reduction, schedule
improvement, or capacity increases).
Each application will be assessed
based on its demonstration of the
proposed project’s potential to meet the
purpose and need and to achieve
transportation benefits in a costeffective manner, as set forth through
the President’s strategic transportation
goals and the objectives of PRIIA.
Factors to be considered in assigning a
rating will include the contribution the
proposed project would make to:
• Supporting the development of
intercity high-speed rail service;
• Generating improvements to
intercity passenger rail service, as
reflected by estimated increases in
ridership (as measured in passengermiles), increased on-time performance
(as measured in reductions in delays),
reduced trip time, additional service
frequency to meet anticipated or
existing demand, and other factors;
• Generating cross-modal benefits,
including anticipated favorable impacts
on air or highway traffic congestion,
capacity, or safety, and cost avoidance
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or deferral of planned investments in
aviation and highway systems;
• Creating an integrated intercity
passenger rail network, including
integration with existing intercity
passenger rail services, allowance for
and support of future network
expansion, and promotion of technical
interoperability and standardization
(including standardizing operations,
equipment and signaling);
• Encouragement of intermodal
integration through provision of direct,
efficient transfers among intercity
transportation and local transit
networks at train stations, including
connections at airports, bus terminals,
subway stations, ferry ports, and other
modes of transportation;
• Enhancing intercity travel options;
• Ensuring a state of good repair of
key intercity passenger rail assets;
• Promoting standardized equipment
(or rolling stock), signaling,
communications and power;
• Improved freight or commuter rail
operations, in relation to proportional
cost-sharing (including donated
property) by those other benefiting rail
users;
• Equitable financial participation in
the project’s financing, including, but
not limited to, consideration of donated
property interests or services; financial
contributions by freight and commuter
rail carriers commensurate with the
benefit expected to their operations; and
financial commitments from host
railroads, non-Federal governmental
entities, nongovernmental entities, and
others; and
• The overall safety of the
transportation system, including the
encouragement of the use of PTC
technologies, and commitments by
States or railroads of financial resources
to improve the safety of highway/rail
grade crossings over which intercity
passenger rail service operates.
4.2.2 Project Management Approach
Applications will be evaluated against
the following criterion to assess the
proposed project’s likelihood of
successful implementation and
realization of benefits. Each application
will be assessed to determine the risk
associated with the project’s delivery
within budget, on time, and as designed.
Evaluation against these criteria will
consider the factors outlined below,
which take into account the
thoroughness and quality of the
supporting documentation submitted
with the application.
• The applicant’s financial, legal, and
technical capacity to implement the
project including whether the
application depends upon receipt of any
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waiver(s) of Federal railroad safety
regulations that have not been obtained;
• The applicant’s experience in
administering similar grants and
projects;
• The soundness and thoroughness of
the cost methodologies and
assumptions, and estimates for the
proposed project;
• The adequacy of any completed
engineering work to assess and manage/
mitigate the proposed project’s
engineering and constructability risks;
• The reasonableness of the schedule
for project implementation;
• The thoroughness and quality of the
project management plan;
• The sufficiency of system safety and
security planning;
• The timing and amount of the
project’s future noncommitted
investments;
• The project’s progress, at the time of
application, towards compliance with
environmental protection requirements;
and
• The comprehensiveness and
sufficiency, at the time of application, of
agreements with key partners
(particularly infrastructure owning
railroads) that will be involved in
implementing the project; and
• The overall completeness and
quality of the application, including the
comprehensiveness of its supporting
documentation.
4.2.3 Sustainability of Benefits
Each application will be assessed
based on the risk associated with the
proposed project’s capacity to generate,
as planned, its anticipated
transportation and economic benefits.
Factors to be considered in assigning a
rating will include:
• The presence and quality of a
Financial plan that analyzes the
financial viability of the proposed rail
service;
• The quality and reasonableness of
revenue and operating and maintenance
cost forecasts for the benefiting Intercity
Passenger Rail service(s);
• The availability of any required
operating financial support preferably
from dedicated funding sources for the
benefiting Intercity Passenger Rail
service(s);
• The quality and adequacy of project
identification and planning;
• The reasonableness of estimates for
user and non-user benefits for the
project;
• The reasonableness of the operating
service plan, including its provisions for
protecting the future quality of other
services sharing the facilities to be
improved;
• The comprehensiveness and
sufficiency, at the time of application, of
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agreements with key partners (including
the railroad operating the Intercity
Passenger Rail service as well as
infrastructure-owning railroads) that
will be involved in the operation of the
benefiting Intercity Passenger Rail
service, including the commitment of
any affected host-rail carrier to ensure
the realization of the anticipated
benefits, preferably through a
commitment by the affected host-rail
carrier(s) to an enforceable on-time
performance of passenger trains of 80
percent or greater; and
• The applicant’s contribution of a
cost share greater than the required
minimum of 50 percent.
4.2.4
Timeliness of Project Completion
Each application will be assessed
based on the timeliness of its
implementation schedule, including:
• The readiness of the project to be
commenced; and
• The timeliness of project
completion and the realization of the
project’s anticipated benefits.
4.2.5
Other Public Benefits
Each application will be assessed
based on its demonstration of the
proposed project’s potential to achieve
other public benefits in a cost-effective
manner. Factors to be considered in
assigning a rating will include the
contribution the proposed project would
make to:
• Environmental quality and energy
efficiency and reduction in dependence
on foreign oil, including use of
renewable energy sources, energy
savings from traffic diversions from
other modes, employment of green
building and manufacturing methods,
reductions in key emissions types, and
the purchase and use of
environmentally sensitive, fuel-efficient,
and cost-effective passenger rail
equipment; and
• Promoting livable communities,
including integration with existing highdensity, livable development (e.g.,
central business districts with public
transportation, pedestrian, and bicycle
distribution networks, and
incorporation of transit-oriented
development).
4.3
Election Criteria
4.3.1
Region/Location
• Ensuring appropriate level of
regional balance across the country.
• Ensuring promotion of livable
communities in urban and rural
locations.
• Ensuring consistency with national
transportation and rail network
objectives.
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• Ensuring integration with other rail
services and transportation modes.
4.3.2 Innovation/Resource
Development
• Pursuing new technology and
innovation where the public return on
investment is favorable, while ensuring
delivery of near-term transportation,
public and economic recovery benefits.
• Advancing the state of the art in
modeling techniques for assessing
potential intercity passenger rail costs
and benefits.
• Promoting domestic manufacturing,
supply and industrial development,
including U.S.-based manufacturing and
supply industries.
• Developing professional railroad
engineering, operating, planning and
management capacity needed for
sustainable high-speed intercity
passenger rail development.
4.3.3
Partnerships/Participation
• Where corridors span multiple
States, emphasizing those that have
organized multi-State partnerships with
joint planning and prioritization of
investments.
• Employing creative approaches to
ensure workforce diversity and use of
disadvantaged and minority business
enterprises.
• Engaging local communities and a
variety of other stakeholder groups in
the project, where applicable.
4.3.4 Prior HSIPR Funding Decisions
and/or State Investments
• Assessing how a proposed project
would complement previous
construction or planning grants made by
the HSIPR program.
• Assessing how the proposed project
would complement previous State
investments in high-speed intercity
passenger rail.
Section 5: Award Administration
Information
5.1
Award Notices
Upon approval of an application,
notification will be sent to the grant
recipient through Grants.gov and via a
mailed letter.
FRA will publicly announce selected
projects. For projects that were not
selected, FRA will notify the applicants
of the decision and provide the
following:
• Suggestions on application
revisions for any subsequent
resubmission rounds (if desired by
applicant); and
• Guidance regarding subsequent
rounds of funding.
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5.2 Administrative and National
Policy Requirements
5.4
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, drugfree workplace, FRA’s and OMB’s
Assurances and Certifications, ADA,
buy America, environmental protection,
NEPA, and environmental justice. For
additional details on these
administrative and national policy
requirements, please refer to FRA’s
HSIPR Notice of Grant Award Example
under the high-speed rail link on FRA’s
Web page at https://www.fra.dot.gov/
Pages/2243.shmtl, which includes a
sample copy of FRA’s current model
grant/cooperative agreement.
5.3
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 3.1.
Freedom of Information Act (FOIA)
As a Federal agency, the FRA is
subject to the Freedom of Information
Act (FOIA) (5 U.S.C. 552), which
generally provides that any person has
a right, enforceable in court, to obtain
access to Federal agency records, except
to the extent that such records (or
portions of them) are protected from
public disclosure by one of nine
exemptions or by one of three special
law enforcement record exclusions.
Grant applications and related materials
submitted by applicants pursuant to this
guidance would become agency records
and thus subject to the FOIA and to
public release through individual FOIA
requests. FRA also recognizes that
certain information submitted in
support of an application for funding in
accordance with this guidance could be
exempt from public release under FOIA
as a result of the application of one of
the FOIA exemptions, most particularly
Exemption 4, which protects trade
secrets and commercial or financial
information obtained from a person that
is privileged or confidential (5 U.S.C.
552(b)(4)). In the context of this grant
program, commercial or financial
16559
information obtained from a person
could be confidential if disclosure is
likely to cause substantial harm to the
competitive position of the person from
whom the information was obtained
(see National Parks & Conservation
Ass’n v. Morton, 498 F.2d 765, 770 (DC
Cir. 1974)). Entities seeking exempt
treatment must provide a detailed
statement supporting and justifying
their request and should follow FRA’s
existing procedures for requesting
confidential treatment in the railroad
safety context found at 49 CFR 209.11.
As noted in the Department’s FOIA
implementing regulation (49 CFR part
7), the burden is on the entity requesting
confidential treatment to identify all
information for which exempt treatment
is sought and to persuade the agency
that the information should not be
disclosed (see 49 CFR 7.17). The final
decision as to whether the information
meets the standards of Exemption 4
rests with the FRA.
Section 6: Questions and Clarifications
Questions about this guidance and the
application process should be submitted
to the HSIPR Program Manager via email at HSIPR@dot.gov.
LIST OF ACRONYMS
Acronym
Meaning
ACF .................................................
ADA .................................................
ARRA ..............................................
CAST ...............................................
CCR ................................................
CE ...................................................
CFS report ......................................
Administration for Children and Families.
Americans with Disabilities Act.
American Recovery and Reinvestment Act of 2009 (Public Law 111–5).
Custom Applications Support and Training Unit (GrantSolutions).
Central Contractor Registration database.
Categorical Exclusion—a class of action for the NEPA process.
Commercial Feasibility Study, Federal Railroad Administration, High-Speed Ground Transportation for
America, September 1997; available at: https://www.fra.dot.gov/us/content/515.
The U.S. Department of Transportation.
Data Universal Number System.
Environmental Assessment—a NEPA document.
Environmental Impact Statement—the most extensive type of NEPA document.
Final Design.
Finding of No Significant Impact—a possible decision concluding the NEPA process.
Federal Railroad Administration—an Operating Administration of the U.S. Department of Transportation.
Federal Transit Administration.
Fiscal Year.
Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2008—Title I
of Division K of Public Law 110–161, December 26, 2007.
Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2009—Title I
of Division I of Public Law 111–8, March 11, 2009.
Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2010—Title I
of Division A of Public Law 111–117, December 16, 2009.
GrantSolutions Grants Management System.
Interstate Commerce Commission.
Letter of Intent.
Miles per Hour.
National Environmental Policy Act.
National Transit Database.
On-time performance.
Preliminary engineering.
Passenger Rail Investment and Improvement Act of 2008 (Division B of Public Law 110–432).
Positive Train Control.
Record of Decision—a possible decision concluding of the NEPA process.
Rail Safety Improvement Act of 2008 (Division A of Pub. L. 110–432, October 16, 2008).
State Department of Transportation.
Department .....................................
DUNS ..............................................
EA ...................................................
EIS ..................................................
FD ...................................................
FONSI .............................................
FRA .................................................
FTA .................................................
FY ....................................................
FY 2008 DOT Appropriations Act ...
FY 2009 DOT Appropriations Act ...
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FY 2010 DOT Appropriations Act ...
GS ...................................................
ICC ..................................................
LOI ..................................................
mph .................................................
NEPA ..............................................
NTD .................................................
OTP .................................................
PE ...................................................
PRIIA ...............................................
PTC .................................................
ROD ................................................
RSIA ................................................
State DOT .......................................
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LIST OF ACRONYMS—Continued
Acronym
Meaning
State Capital Grant Program ..........
Capital Assistance to States—Intercity Passenger Rail Service program—established in FY 2008 DOT Appropriations Act and continued in the FY 2009 DOT Appropriations Act.
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Appendix 1: Additional Information on
Eligibility
Appendix 1.1 Minimum Qualifications for
Applicant Eligibility
An applicant must, in addition to
demonstrating that it is of an eligible type for
the project, affirmatively demonstrate that it
has or will have the legal, financial, and
technical capacity to carry out the proposal.
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.
In the following discussion of the means by
which applicants can satisfy these minimum
requirements, the term ‘‘project’’ refers
generally to the substance of the applicant’s
proposal.
For an applicant to demonstrate the legal,
financial, and technical capacity to carry out
its proposed project, it will be required to
address the following qualifications:
• 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 projects of a nature
similar to that for which funding is being
requested.
For an applicant to demonstrate that it has
or will have satisfactory continuing control
over the use of equipment or facilities
acquired, constructed, or improved by the
project, it will be required to show either:
• That the applicant has or will have direct
ownership of the equipment or facilities
acquired, constructed, or improved by the
project; or
• That the applicant has secured or has
made progress towards securing and will
have contractual agreements in place with
the entity or entities (e.g., a local government,
or one or more private railroads) that have or
will have direct ownership of such assets.
For an applicant to demonstrate that it has
or will have the capability and willingness to
maintain the equipment or facilities
acquired, constructed, or improved by the
project, it will be required to show:
• That it has made progress towards, and
will have contractual agreements in place
with, any entity or entities (e.g., a local
government, or one or more private railroads)
that have or will have direct ownership of the
equipment or facilities acquired, constructed,
or improved by the project, which address
financial and operational responsibility for
asset maintenance;
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• That to the extent financial
responsibility will fall to the applicant, the
applicant has the ability to cover
maintenance costs; and
• The applicant’s experience in
maintaining assets with similar financial and
operational maintenance requirements as
those for the assets for which funding is
being requested;
Information and documentation
demonstrating the fulfillment of the
minimum qualifications described above will
be required to be submitted as part of full
application.
Appendix 1.2 Definition of Intercity
Passenger Rail
‘‘Intercity rail passenger transportation’’ is
defined at 49 U.S.C. 24102(4) as ‘‘rail
passenger transportation except commuter
rail passenger transportation.’’ Likewise,
‘‘commuter rail passenger transportation’’ is
defined at 49 U.S.C. 24102(3) as ‘‘short-haul
rail passenger transportation in metropolitan
and suburban areas usually having reduced
fare, multiple ride, and commuter tickets and
morning and evening peak period
operations.’’ In common use, the general
definition of ‘‘rail passenger transportation’’
excludes types of local or regional rail transit
such as light rail, streetcars, and heavy rail.
Similarly, both Intercity Passenger Rail
transportation and commuter rail passenger
transportation exclude single-purpose scenic
or tourist railroad operations.
The since-terminated Interstate Commerce
Commission (ICC) established six features to
aid in classifying a service as ‘‘commuter’’
rather than ‘‘intercity’’ rail passenger
transportation: 1
• The passenger service is primarily being
used by patrons traveling on a regular basis
either within a metropolitan area or between
a metropolitan area and its suburbs;
• The service is usually characterized by
operation performed at morning and peak
periods of travel;
• The service usually honors commutation
or multiple-ride tickets at a fare reduced
below the ordinary coach fare and carries the
majority of its patrons on such a reduced fare
basis;
• The service makes several stops at short
intervals either within a zone or along the
entire route;
• The equipment used may consist of little
more than ordinary coaches; and
• The service should not extend more than
100 miles at the most, except in rare
instances; although service over shorter
distances may not be commuter or short haul
within the meaning of this exclusion.
1 Penn Central Transportation Company
Discontinuance or Change in Service of 22 Trains
between Boston, Mass, and Providence R.I.,
February 10, 1971, I.C.C. 338, 318–333.
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FTA further refined the definition of
commuter rail in the glossary for its National
Transit Database (NTD) 2 Reporting Manual.
In particular, FTA refined the ICC’s third
‘‘feature’’ by specifying that ‘‘predominantly
commuter [rail passenger] service means that
for any given trip segment (i.e., distance
between any two stations), more than 50
percent of the average daily ridership travels
on the train at least three times a week.’’
In judging the eligibility of an application
under this solicitation, FRA will determine
whether the rail passenger service that is
primarily intended to benefit from the
proposal constitutes ‘‘intercity passenger rail
transportation’’ under the statutory definition
and ICC and FTA interpretations. FRA may
also take into account whether the primary
intended benefiting service has been or is
currently the direct and intended beneficiary
of funding provided by another Federal
agency (e.g., FTA) for the purpose of
improving commuter rail passenger
transportation and whether the service in
question is or will be operated by or on
behalf of a local, regional, or State entity
whose primary rail transportation mission is
the provision of commuter or transit service.
Appendix 2: Additional Information on
Preliminary Engineering
PE completion is a prerequisite for projects
submitted under this solicitation. PE entails
sufficient engineering design to define a
project, including identification of all
environmental impacts, design of all critical
project elements at a level sufficient to assure
reliable cost estimates and schedules (in turn
sufficient to complete project management
and financial plans), and definition of
procurement requirements and strategies.
The PE development process starts with
the evaluation of project design alternatives
(a range of rail improvements, specific
alignments, and project designs) sufficient to
support subsequent NEPA analysis. The
NEPA environmental determination is a
prerequisite for FRA to obligate construction
funds. FRA acknowledges the complexity of
the work required for PE, and that it will vary
depending on the project scope. Thus, FRA
does not pre-determine the form and
structure of the PE work. FRA has opted to
specify the illustrative contents of PE—thus
allowing the applicant discretion to pursue
the most workable approach tailored to its
needs and suitable for the proposed project.
PE results in detailed estimates of project
costs, benefits, and impacts of the preferred
alternative that merit a higher degree of
confidence than those prepared in earlier
stages of planning. FRA considers that PE for
2 In addition to serving as a reference database,
the NTD captures data that serve as the basis for
apportioning and allocating funding to eligible
grantees under FTA’s formula grant programs.
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a major capital investment project is
complete when:
• The signed environmental Record of
Decision (ROD) or Finding of No Significant
Impact (FONSI) signals that the NEPA
process has been completed;
• The project scope, capital cost estimates,
and financial plan are finalized;
• The project sponsor has adequately
demonstrated its technical capability to
advance the project into FD and construction;
• The project sponsor has adequately
demonstrated its process and schedule for
filing any safety regulatory waivers necessary
to implement the project; and
• The project sponsor has provided an
adequate system safety program plan and any
necessary collision/derailment hazard
analysis.
The products of PE will include:
Engineering designs; a detailed project
description, including provisions for
compliance with the ADA; a highly accurate
project cost estimate (including a description
of methodologies and assumptions employed
in developing the estimate) that identifies
major components and that includes
contingencies that are reduced from previous
estimates and are broken down by phase and
functional area, a thorough project
management plan suitable for this phase of
project development; and a solid project
financial plan that includes Federal and nonFederal funding committed to the project.
PE documentation will typically include:
(1) Scale maps or scale aerial photography of
existing conditions at a scale of one inch =
100 to 500 feet depending on location (builtup vs. undeveloped areas); and (2) design
plan drawings overlaid on the maps/
photography. These design drawings will
typically show: (i) Existing railroad right-ofway limits along with the railroad
ownership; (ii) Proposed track changes
including track removals and track
installations showing track centers, turnout
sizes, curve and spiral data, etc.; (iii) Vertical
profiles and grades of existing and proposed
construction; (iv) Public and private at-grade
highway crossings; and (v) Passenger
stations, building(s), platforms, parking,
access to the primary highway system in the
area, and public transit services and
facilities.
The detailed project description developed
in the PE typically includes an assessment of
the physical condition and location of the
existing project area (generally two to three
miles beyond the project construction limits)
and elements associated with the design(s).
These elements may include: Bridges (rail
and highway); track including the number
and location of previously existing railroad
tracks on a roadbed; buildings (stations and
maintenance facilities, etc.); signal systems
and interlocked detectors, switches, derails,
and snow melters; utility systems on, over,
adjacent to or under the rail line and
agreements concerning them; electrification
systems, if any; description of highway
crossing warning systems (if any) and daily
traffic counts at public and private at-grade
highway crossings; existing and proposed
railroad operations and routes of freight,
commuter and intercity trains with train
daily numbers of trains by type; a safety and
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security management plan; and STRACNET
routes and/or moves for commercial high and
wide loads. For maintenance facilities, the PE
outputs will describe and provide drawings
that show the location, track and facility
layout, specialized equipment (if any), office
and employee welfare facilities, etc.
FRA will be available, subject to available
resources, to assist applicants in clarifying
whether the PE is complete and encourages
applicants to contact FRA to discuss PE.
Appendix 3: Additional Information on
Award Administration
Appendix 3.1 General Requirements
Appendix 3.1.1 Standard Reporting
Requirements
• Progress Reports—Progress reports are to
be submitted quarterly. These reports must
relate the state of completion of items in the
statement of work to expenditures of the
relevant budget elements. The grant recipient
must furnish the quarterly progress report to
the FRA on or before the 30th calendar day
of the month following the end of the quarter
being reported. Grantees must submit reports
for the periods: January 1–March 31, April 1–
June 30, July 1–September 30, and October
1–December 31. Each quarterly report must
set forth concise statements concerning
activities relevant to the project, and should
include, but not be limited to, the following:
(a) An account of significant progress
(findings, events, trends, etc.) made during
the reporting period; (b) a description of any
technical and/or cost problem(s) encountered
or anticipated that will affect completion of
the grant within the time and fiscal
constraints as set forth in this agreement,
together with recommended solutions or
corrective action plans (with dates) to such
problems, or identification of specific action
that is required by the FRA, or a statement
that no problems were encountered; and (c)
an outline of work and activities planned for
the next reporting period.
• Quarterly Federal Financial Report (SF–
425)—The Grantee must submit a quarterly
Federal financial report electronically in the
GrantSolutions system, on or before the
thirtieth (30th) calendar day of the month
following the end of the quarter being
reported (e.g., for quarter ending March 31,
the SF–425 is due no later than April 30). A
report must be submitted for every quarter of
the period of performance, including partial
calendar quarters, as well as for periods
where no grant activity occurs. The Grantee
must use SF–425, Federal Financial Report,
in accordance with the instructions
accompanying the form, to report all
transactions, including Federal cash, Federal
expenditures and unobligated balance,
recipient share, and program income.
• Interim Report(s)—If required, interim
reports will be due at intervals specified in
the statement of work and must be submitted
electronically in the GrantSolutions system.
• Final Report(s)—Within 90 days of the
Project completion date or termination by
FRA, the Grantee must submit a Summary
Project Report in the GrantSolutions system.
A final version of this report, detailing the
results and benefits of the Grantee’s
improvement efforts, must be furnished by
the expiration date of the project period.
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Appendix 3.1.2 Audit Requirements
Grant recipients that expend $500,000 or
more of Federal funds during their fiscal year
are required to submit an organization-wide
financial and compliance audit report. The
audit must be performed in accordance with
U.S. Government Accountability Office,
Government Auditing Standards, located at
https://www.gao.gov/govaud/ybk01.htm, and
OMB Circular A–133, Audits of States, Local
Governments, and Non-Profit Organizations,
located at https://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 3.1.3 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.
Appendix 3.1.4 Closeout Process
Project closeout occurs when all required
project work and all administrative
procedures described in 49 CFR part 18, or
49 CFR part 19, as applicable, have been
completed, and when FRA notifies the grant
recipient and forwards the final Federal
assistance payment, or when FRA
acknowledges the grant recipient’s
remittance of the proper refund. Project
closeout should not invalidate any
continuing obligations imposed on the
Grantee by an award or by the FRA’s final
notification or acknowledgment. Within 90
days of the Project completion date or
termination by FRA, Grantees agree to submit
a final Federal Financial Report (Standard
Form 425), a certification or summary of
project expenses, a final report, and third
party audit reports, as applicable.
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Appendix 4: Additional Information on
Application Budgets
Applicants must present a detailed budget
for the proposed project that includes both
Federal funds and matching funds. Items of
cost included in the budget must be
reasonable, allocable and necessary for the
project. At a minimum, the budget should
separate total cost of the project into the
following categories:
• Personnel: List each position by title and
name of employee, if available, 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
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 formal, written Procurement
Policy (see 49 CFR 18.36 or 19.40–19.48) 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.
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• Other: List items (rent, reproduction,
telephone, janitorial or security services, etc.)
by major type and the basis of the
computation. For example, provide the
square footage and the cost per square foot
for rent, or provide the monthly rental cost
and how many months to rent.
• Indirect Costs: Indirect costs are allowed
only if the applicant has a Federally
approved indirect cost rate. A copy of the
rate approval, (a fully executed, negotiated
agreement), must be attached. If the applicant
does not have an approved rate, one can be
requested by contacting the applicant’s
cognizant Federal agency, which will review
all documentation and approve a rate for the
applicant organization.
Issued in Washington, DC, on March 29,
2010.
Karen Rae,
Deputy Administrator.
[FR Doc. 2010–7340 Filed 3–31–10; 8:45 am]
BILLING CODE 4910–06–P
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 solicitation for
proposals for Federally-led multi-state
passenger rail corridor planning
demonstration projects.
SUMMARY: On January 28, 2010,
President Obama announced the first
grant awards for the High-Speed
Intercity Passenger Rail (HSIPR)
Program. The Department of
Transportation Appropriations Act of
2010 (FY 2010 DOT Appropriations Act)
allocated an additional $2.5 billion for
the HSIPR Program, of which up to $50
million can be used for planning
activities. The appropriations act
permits the Secretary of Transportation
to retain a portion of this planning
funding to facilitate, at the Federal level,
the preparation of planning documents
for high-speed rail corridors that cross
multiple States. This is a solicitation for
proposals from groups of States that
wish to be considered for this
innovative approach to planning multistate passenger rail corridors.
Concurrent with this solicitation, FRA
has issued a notice of funding
availability (NOFA) for the FY 2010
planning funds, also published in this
edition of the Federal Register.
DATES: Proposals are due no later than
5 p.m. EST, May 19, 2010 and must be
submitted via e-mail to HSIPR@dot.gov.
The form for these proposals can be
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found at https://www.fra.dot.gov/Pages/
2243.shtml.
Materials that cannot be submitted
electronically may be mailed or hand
delivered to: U.S. Department of
Transportation, Federal Railroad
Administration, 1200 New Jersey
Avenue, SE., MS–20, Room W38–302,
Washington, DC, 20590 Attn. HSIPR
Program. States are encouraged to use
special courier services to avoid
shipping delays. Materials must be postmarked by May 19, 2010 to be eligible
for consideration.
Overview: FRA is seeking proposals
from groups of States interested in
participating in a FRA-led
demonstration project that could
provide a future model for Federal
collaboration with States on complex,
multi-state corridor planning efforts.
The planning project would be
identified by the States, but funded and
managed by FRA in close coordination
with the States and other stakeholders.
Proposals are sought for projects that
would result in a ‘‘passenger rail
corridor investment plan.’’ A passenger
rail corridor investment plan provides
the comprehensive information
necessary to support a decision to
proceed with funding and
implementation of a major investment
in a passenger rail corridor. Feasibility
studies alone would not satisfy this
requirement.
Passenger rail corridor investment
plans include both a service
development plan (SDP) and corridorwide environmental documentation.
Groups of states submitting proposals
should identify whether they are
proposing that FRA lead the
development of both documents, a
stand-alone SDP, or corridor-wide
environmental document.
Service Development Plan
Service Development Plans (SDPs)
should support future corridor
development and must include the
following elements:
• Corridor Development Program
Rationale—Description of the corridor’s
transportation challenges and
opportunities, based on current and
forecasted travel demand and capacity
conditions, demonstrating how the
proposed project/program would costeffectively address transportation and
other needs. Development of the
program rationale should consider
multimodal system alternatives
(highway, air, other, as applicable),
including a qualitative and quantitative
assessments of the costs, benefits and
impacts and risks of the alternatives.
Program rationale may also explore
synergies between the proposed service
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Agencies
[Federal Register Volume 75, Number 62 (Thursday, April 1, 2010)]
[Notices]
[Pages 16552-16562]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-7340]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
SUMMARY: On January 28, 2010, President Obama announced the first
selections for the High-Speed Intercity Passenger Rail (HSIPR) Program.
This notice builds on the program framework established by FRA in the
June 23, 2009 interim program guidance (74 FR 29900), and details the
application requirements and procedures for obtaining the remaining
funds available under the Department of Transportation Appropriations
Act of 2009 that have not yet been allocated to projects. This
solicitation is only applicable to the remaining FY 2009 funds. FRA has
concurrently issued a solicitation for high-speed rail planning
activities funded under the Department of Transportation Appropriations
Act of 2010, and will release an additional solicitation in the coming
months for the construction and corridor program funds provided under
the FY 2010 appropriation.
DATES: Applications for funding under this solicitation are due no
later than 5 p.m. EST, May 19, 2010 and must be submitted via
Grants.gov (see instructions in Section 3.1). See Section 3 for
additional information regarding the application process. FRA reserves
the right to modify this deadline.
ADDRESSES: Supporting materials that cannot be submitted electronically
may be mailed or hand delivered to: U.S. Department of Transportation,
Federal Railroad Administration, 1200 New Jersey Avenue, SE., MS-20,
Room W38-302, Washington, DC 20590 Att'n. HSIPR Program. Applicants are
encouraged to use special courier services to avoid shipping delays.
Application forms are available at https://www.fra.dot.gov/Pages/2243.shtml.
FOR FURTHER INFORMATION CONTACT: For further information regarding this
notice and the grants program, please contact the FRA HSIPR Program
Manager via e-mail at HSIPR@dot.gov, or by mail: U.S. Department of
Transportation, Federal Railroad Administration, 1200 New Jersey
Avenue, SE., MS-20, Washington, DC 20590 Att'n. HSIPR Program.
Table of Contents
1. Financial Assistance Description
2. Eligibility Information
3. Application and Submission Information
4. Application Review Information
5. Award Administration Information
6. Questions and Clarifications
Appendix 1: Additional Information on Eligibility
Appendix 2: Additional Information on Preliminary Engineering
Appendix 3: Additional Information on Award Administrations
Appendix 4: Additional Information on Applicant Budgets
Section 1: Financial Assistance Description
1.1 Authority
This financial assistance announcement pertains to remaining FY
2009 appropriations for FRA's High-Speed Intercity Passenger Rail
(HSIPR) Program. These funds were authorized and appropriated under the
Department of Transportation Appropriations Act,
[[Page 16553]]
2009 (``FY 2009 DOT Appropriations Act,'' Title I of Division I of Pub.
L. 111-8, March 11, 2009), under the title Capital Assistance to
States--Intercity Passenger Rail Service. The funding opportunities
described in this guidance are available under Catalog of Federal
Domestic Assistance (CFDA) number 20.317.
1.2 Program Description and Legislative History
As one of President Obama's foremost transportation priorities, the
HSIPR Program is intended to help address the nation's transportation
challenges by investing in an efficient network of high-speed and
intercity passenger rail corridors that connect communities across
America. On January 28, 2010, President Obama announced the first
recipients selected to receive funding under the HSIPR Program. These
initial awards were funded from the $8 billion appropriated under the
American Recovery and Reinvestment Act of 2009 (ARRA or Recovery Act)
and $90 million appropriated under the FY 2009 DOT Appropriations Act.
However, most HSIPR Program applicants sought funding under the
Recovery Act portion of the original solicitation, and there remains a
balance of approximately $65 million in FY 2009 funding. This financial
assistance announcement is intended to provide prospective applicants
with ``ready-to-go'' projects the opportunity to apply for the
remaining FY 2009 funds prior to FRA issuing an application
solicitation for FY 2010 construction funds.
1.3 Funding Approach
The FY 2009 DOT Appropriations Act appropriated $90 million for
intercity passenger rail grants. These funds were combined with
approximately $1.9 million in unobligated FY 2008 funding and $8
billion in ARRA funding for the first HSIPR Program application
solicitation that was issued in June 2009. Of these FY 2009 funds,
approximately $65 million remains. An additional $2.5 billion was
appropriated for the program in FY 2010. FRA is separately soliciting
applications for the different components of these appropriations:
1. Residual FY 2009 funds (approximately $65 million): Construction
projects with a 50 percent non-Federal match. This solicitation is for
these funds.
2. FY 2010 planning funds (up to $50 million): Planning projects
with a 20 percent non-Federal match. The notice of funding availability
(NOFA) for these funds is being issued concurrently with this
solicitation, and can also be found in this edition of the Federal
Register.
3. FY 2010 stand-alone projects (up to $245 million) and corridor
programs (at least $2,125 million): Stand-alone final design/
construction and/or preliminary engineering/NEPA projects and corridor
program funding with a 20 percent non-Federal match. The solicitation
for these funds is forthcoming.
1.4 General Award Information
The remaining $65 million in FY 2009 HSIPR Program funds are
intended to assist States with the capital costs of improving existing
intercity passenger rail service and providing new intercity passenger
rail service.
FRA will make awards for these intercity passenger rail capital
projects through cooperative agreements. Cooperative agreements allow
for greater Federal involvement in carrying out the agreed upon
investment. The substantial Federal involvement for these projects will
include technical assistance, review of interim work products, and
increased program oversight.
While there are no predetermined minimum or maximum dollar
thresholds for awards, FRA anticipates making one or more awards for
the entire $65 million available.
Section 2: Eligibility Information
Applications under this solicitation will be required to meet
minimum requirements related to applicant eligibility, project
eligibility, and the fulfillment of other prerequisites.
To the extent that an application's substance exceeds the minimum
eligibility requirements described below, such qualifications will be
considered in evaluating the merits of an application.
2.1 Eligible Applicant Types
Only States, including the District of Columbia, are eligible to
apply for funds included in this solicitation.
2.2 Applicant and Key Partner Qualifications
For an application submitted by a State to be considered funding
under this program, it must affirmatively demonstrate that the
applicant has or will have the legal, financial, and technical capacity
to carry out the proposal. Additionally, the applicant must demonstrate
that it has or will have satisfactory continuing control over the use
of equipment or facilities acquired, constructed, or improved by the
project, and the capability and willingness to maintain such equipment
or facilities. Further discussion of how applicants can demonstrate
compliance with these minimum qualifications appears in Appendix 1.2.
2.3 Cost Sharing and Matching
2.3.1 Treatment of Applicant Cost Sharing
Pursuant to the provisions of the FY 2009 DOT Appropriations Act,
the Federal share of the costs of projects issued cooperative
agreements under this solicitation may not exceed 50 percent.
If an applicant chooses the option of contributing more than the
required 50 percent non-Federal share of the costs of its proposed
project from its own or its partner project stakeholders' resources,
such additional contributions will be considered in evaluating the
merit of its application (See Section 4 for a complete description of
evaluation and selection criteria).
2.3.2 Requirements for Applicant Cost Sharing
An applicant's contribution toward the cost of its proposed project
may be in the form of cash or, with FRA approval, in-kind contributions
of services, supplies, equipment, or real estate. As part of its
application, an applicant offering an in-kind contribution must provide
a documented estimate of the monetary value of any such contribution,
and its eligibility under 49 CFR 18.24.
The applicant must provide as part of its application documentation
that demonstrates that it has committed and will be able to fulfill any
pledged contribution, including committing any required financial
resources that are budgeted or planned at the time the application is
submitted. Furthermore, funds from other Federal financial assistance
programs may not be used to satisfy the 50 percent match requirement.
2.4 Eligible Projects
Eligible types of projects under this program for remaining FY 2009
HSIPR Program funds include: (1) Acquiring, constructing, or improving
equipment, track and track structures, or a facility for use in or for
the primary benefit of intercity passenger rail service including high-
speed rail service, (2) expenses incidental to the acquisition or
construction (including designing, engineering, location surveying,
mapping, environmental studies, and acquiring rights-of-way), (3)
highway-rail grade crossing improvements related to intercity passenger
rail service, (4) mitigating environmental impacts, (5) communication
and
[[Page 16554]]
signalization improvements, and (6) rehabilitating, remanufacturing, or
overhauling rail rolling stock and facilities used primarily in
intercity passenger rail service.
2.5 Project Completion
All projects funded under this solicitation must be completed
within 5 years of obligation.
2.6 Other Prerequisites
2.6.1 General Prerequisites
In general, proposals for remaining FY 2009 HSIPR Program funding
must meet the following additional prerequisites:
Applications must be complete, including all required
forms and documentation, as defined in this notice;
The complete application must demonstrate that the project
has been identified through a rational planning process (ideally a
High-Speed Intercity Passenger Rail Service Development Plan);
States must include intercity passenger rail services as
an integral part of statewide transportation planning as required under
23 U.S.C. 135;
The project must be consistent with an overall plan for
developing the benefiting High-Speed Intercity Passenger Rail service;
and
The project must result in independent utility.
2.6.2 Prerequisites for Construction Grants
If the applicant is seeking a construction grant, then the
application must demonstrate all of the following:
That Preliminary Engineering (PE) (as defined in Appendix
2 of this notice) has been completed for the proposed project,
resulting in project designs that are reasonably expected to conform to
all regulatory, safety, security, and other design requirements,
including those under the Americans with Disabilities Act (ADA);
That a Project NEPA document (e.g.,. a Categorical
Exclusion worksheet, a completed Environmental Assessment, or a
completed final Environmental Impact Statement) has been completed for
the proposed project;
That the applicant has reached, at a minimum, agreements
in principle with key project partners, including but not limited to
infrastructure-owning railroads and the railroad that operates or will
operate the benefiting High-Speed Intercity Passenger Rail service, as
to the scope of the proposed project and the realization of the
operating benefits (e.g., those reflected in changes to schedules) it
is intended to generate;
That the applicant has developed a project management plan
for managing the implementation of the proposed project, including the
management and mitigation of project risks; and
That the applicant has developed a Financial Plan for each
phase of service that details the ``sources and uses'' of both capital
and operating funding.
2.6.3 Prerequisites for Equipment Procurement or Design Grants
If the applicant is seeking a grant for the procurement or design
of railroad equipment, the proposed equipment should be consistent with
Section 305 of PRIIA, which calls for the establishment of a
standardized next-generation rail corridor equipment pool. Compliance
with Section 305 of PRIIA will assist in creating the economies of
scale necessary to achieve the Administration's goal, as outlined in
FRA's Strategic Plan, of developing a sustainable railroad equipment
manufacturing base in the United States.
2.6.4 Positive Train Control (PTC)
If the project involves improvements to railroad signaling/control
systems, then the application must demonstrate that the proposed
improvements are consistent with a comprehensive plan for complying
with the requirements for PTC implementation under Section 104 of the
Rail Safety Improvement Act of 2008 (``RSIA,'' Division A of Pub. L.
110-432, October 16, 2008, codified at 49 U.S.C. 20147) and with FRA's
final rule on Positive Train Control Systems published in the Federal
Register on January 15, 2010 (75 FR 2598).
2.6.5 Inclusion in STIP
Proposed projects must be specifically included in the applicant's
Statewide Transportation Improvement Program (STIP) at the time of
application to be eligible.
2.7 Eligibility Restrictions
Pursuant to the provisions of the FY 2009 DOT Appropriations Act,
applications submitted for the following activities are ineligible to
receive funding:
Applications submitted by private entities (or any entity
that is not a State);
For projects for which commuter rail passenger
transportation is the primary intended beneficiary;
For projects involving the development of State Rail Plans
or Passenger Rail Corridor Investment Plan;
For projects involving the preparation of environmental
analyses;
For projects in which the physical improvements are
located outside of the United States; or
For any expenses associated with passenger rail operating
costs of rail operators.
Additional funding use restrictions are fully described in Section
3.4.3 of this notice.
Section 3: Application and Submission Information
3.1 Applying Online
Applications for these funds will be submitted through Grants.gov
by 5 p.m. EST on May 19, 2010. Program-specific application forms
(identified in Section 3.3 below) may be downloaded from FRA's Web site
at https://www.fra.dot.gov/Pages/2243.shmtl.
To apply for funding through Grants.gov, applicants must be
properly registered. Complete instructions on how to register and
submit an application can be found at Grants.gov. If you experience
difficulties at any point during this process, please call the
Grants.gov Customer Support Hotline at 1-800-518-4726, Monday-Friday
from 7 a.m. to 9 p.m. EST.
Registering with Grants.gov is a one-time process; however,
processing delays may occur, and it can take up to several weeks for
first-time registrants to receive confirmation and a user password. It
is highly recommended that applicants start the registration process as
early as possible to prevent delays that may preclude submitting an
application package by the application deadline specified. Applications
will not be accepted after the due date; delayed registration is not an
acceptable reason for extensions. In order to apply for funding under
this announcement and to apply for funding through Grants.gov, all
applicants are required to complete the following.
1. Acquire a DUNS Number. A Data Universal Numbering System (DUNS)
number is required for Grants.gov registration. The Office of
Management and Budget requires that all businesses and nonprofit
applicants for Federal funds include a DUNS number in their
applications for a new award or renewal of an existing award. A DUNS
number is a unique nine-digit sequence recognized as the universal
standard for identifying and keeping track of entities receiving
Federal funds. The identifier is used for tracking purposes and to
validate address and point of contact information for Federal
assistance applicants, recipients, and subrecipients. The DUNS number
will be used throughout the grant life cycle. Obtaining a DUNS number
is a free,
[[Page 16555]]
one-time activity. Obtain a DUNS number by calling 1-866-705-5711 or by
applying online at https://www.dunandbradstreet.com.
2. Acquire or Renew Registration with the Central Contractor
Registration (CCR) Database. All applicants for Federal financial
assistance maintain current registrations in the Central Contractor
Registration (CCR) database. An applicant must be registered in the CCR
to successfully register in Grants.gov. The CCR database is the
repository for standard information about Federal financial assistance
applicants, recipients, and subrecipients. Organizations that have
previously submitted applications via Grants.gov are already registered
with CCR, as it is a requirement for Grants.gov registration. Please
note, however, that applicants must update or renew their CCR
registration at least once per year to maintain an active status, so it
is critical to check registration status well in advance of the
application deadline. Information about CCR registration procedures can
be accessed at https://www.ccr.gov.
3. Acquire an Authorized Organization Representative (AOR) and a
Grants.gov Username and Password. Complete your AOR profile on
Grants.gov and create your username and password. You will need to use
your organization's DUNS number to complete this step. For more
information about the registration process, go to https://Grants.gov/applicants/get_registered.jsp.
4. Acquire Authorization for your AOR from the E-Business Point of
Contact (E-Biz POC). The E-Biz POC at your organization must log in to
Grants.gov to confirm you as an AOR. Please note that there can be more
than one AOR for your organization.
5. Search for the Funding Opportunity on Grants.gov. Please use the
following identifying information when searching for the funding
opportunity on Grants.gov. The Catalog of Federal Domestic Assistance
(CFDA) number for this solicitation is 20.317, titled
``Capital Assistance to States--Intercity Passenger Rail Service''.
6. Submit an Application Addressing All of the Requirements
Outlined in this Funding Availability Announcement. Within 24 to 48
hours after submitting your electronic application, you should receive
an e-mail validation message from Grants.gov. The validation message
will tell you whether the application has been received and validated
or rejected, with an explanation. You are urged to submit your
application at least 72 hours prior to the due date of the application
to allow time to receive the validation message and to correct any
problems that may have caused a rejection notification.
Note: When uploading attachments please use generally accepted
formats such as .pdf, .doc, .docx, .xls, .xlsx and .ppt. While you
may imbed picture files such as .jpg, .gif, and .bmp, in your
document files, please do not submit attachments in these formats.
Additionally, the following formats will not be accepted: .com,
.bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora,
.sys, and .zip.
Experiencing Unforeseen Grants.gov Technical Issues
If you experience unforeseen Grants.gov technical issues beyond
your control that prevent you from submitting your application by the
deadline, you must contact FRA staff at HSIPR@dot.gov within 24 hours
after the deadline and request approval to submit your application. At
that time, FRA staff will require you to e-mail the complete grant
application, your DUNS number, and provide a Grants.gov Help Desk
tracking number(s). After FRA staff review all of the information
submitted, as well as contact the Grants.gov Help Desk to validate the
technical issues you reported, FRA staff will contact you to either
approve or deny your request to submit a late application. If the
technical issues you reported cannot be validated, your application
will be rejected as untimely.
To ensure a fair competition for limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(1) Failure to complete the registration process before the deadline
date; (2) failure to follow Grants.gov instructions on how to register
and apply as posted on its Web site; (3) failure to follow all of the
instructions in the funding availability notice; and (4) technical
issues experienced with the applicant's computer or information
technology (IT) environment.
3.2 Address To Request/Submit Application Package
If Internet access is unavailable, please write to FRA at the
following address to request a paper application: U.S. Department of
Transportation, Federal Railroad Administration, Attn. HSIPR Program
Information (RDV-10), Mail Stop 20, 1200 New Jersey Ave., SE.,
Washington, DC 20590.
For supporting documentation (described in Section 3.3.1.1) that an
applicant is unable to submit electronically (such as oversized
engineering drawings), applicants may submit an original and two copies
to the above address. However, due to delays caused by enhanced
screening of mail delivered via the U.S. Postal Service, applicants are
advised to use other means of conveyance (such as courier service) to
assure timely receipt of materials.
3.3 Content and Form of Application
3.3.1 Application Package Components
The application package for HSIPR Program planning applications
contains five required components:
1. HSIPR FD/Construction Application Form.
2. HSIPR Project Budget and Schedule Form.
3. OMB Standard Application Forms.
4. FRA's Assurances Document.
5. Required Supporting Documentation.
Applicants must complete all five required components of the
application package; failure to do so may result in the application
being removed from consideration for award. All five components of the
application package must be submitted through Grants.gov.
Applicants may also submit additional documentation to support the
merits of their applications. Inclusion of such supporting
documentation is optional.
3.3.1.1 HSIPR FD/Construction Application Form
The most significant component of the application package is the
HSIPR FD/Construction Application Form, into which the applicant enters
specific information about the proposed project. The form includes
fields that have been developed by FRA to capture pertinent qualitative
and quantitative program-specific information that is needed for FRA to
confirm applicant and project eligibility, as well as information
needed for evaluation and selection of applications. The HSIPR FD/
Construction Application Form requests two types of information:
1. General applicant and project information.
2. Narratives that allow the applicant to make arguments on the
benefits of its proposed project and other factors that are used to
evaluate the merits of the application (See Section 4.2 for evaluation
criteria).
The HSIPR FD/Construction Application Form is available from FRA's
Web site at: https://www.fra.dot.gov/Pages/2243.shmtl. Applicants should
download and complete the form and submit as an attachment in
Grants.gov.
To support the Application Form, FRA welcomes the submission of any
other available supporting
[[Page 16556]]
documentation that may have been developed by the applicant. The format
and structure of any additional supporting documents is at the
discretion of the applicant. Optional supporting documentation may be
provided one of two ways--(1) as attachments to the application or (2)
in hard copy for materials that cannot otherwise be provided
electronically.
3.3.1.2 HSIPR Project Budget and Schedule Form
The HSIPR Project Budget and Schedule Form is a MS Excel document
that supports the qualitative and quantitative claims made in the
applicant's HSIPR FD/Construction Application Form. In addition to
capturing detailed project budget and schedule information, the form
also describes the standard cost categories developed by FRA to assist
in evaluating and comparing projects. Pursuant to 49 U.S.C. 24402(g),
FRA reserves the right to request changes to project scopes, schedules,
and budgets of selected projects. See Appendix 4 for more information
on preparing project budgets.
3.3.1.3 OMB Standard Application Forms
The Standard Forms are developed by OMB and are required of all
grant applicants. These forms should be submitted electronically
through Grants.gov.
Standard Form 424, Application for Federal Assistance.
Standard Form 424A, Budget Information--Non-Construction
Programs.
Standard Form 424B, Assurances--Non-Construction Programs.
Standard Form 424C, Budget Information--Construction.
Standard Form 424D, Assurances--Construction Programs.
All applications for construction projects must use Standard Forms
424C and 424D. If the application is for equipment procurement or
refurbishment, the applicant should instead use Standard Forms 424A and
424B. All applications should also complete Standard Form 424,
regardless of project type.
3.3.1.4 FRA Assurances Document
FRA's assurances document contains standard Department
certifications on grantee suspension and debarment, drug-free workplace
requirements, and Federal lobbying. The FRA Assurances document can be
obtained from FRA's Web site at https://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf. The document should be signed by an
authorized certifying official for the applicant, scanned into
electronic format, and submitted as an attachment to the application in
Grants.gov.
3.3.1.5 Required Supporting Documentation
FRA requires the submission of the following additional supporting
documentation for remaining FY 2009 HSIPR Program construction
applications:
Preliminary Engineering (PE) Materials--Applicants should
provide any documents that demonstrate the PE status (or final design
status, if completed) of the proposed project. The PE requirements are
detailed in Appendix 2.
National Environmental Policy Act (NEPA) Documentation--
Applicants should provide any documents (e.g. a Categorical Exclusion
worksheet, a completed Environmental Assessment, or a completed final
Environmental Impact Statement) that demonstrate the NEPA status of the
proposed project.
Project Management Plan--Applicants should provide a
project management plan (or equivalent) that documents assumptions and
decisions regarding the communication, management processes, execution
and overall project control.
Stakeholder Agreements--Applicants should provide
documents that demonstrate the status of all stakeholder agreements
including agreements with interstate partners, host railroads, right-
of-way owners and contract railroad operator providing service. The
form and structure of the stakeholder agreements are at the discretion
of the applicant, however, agreements should satisfy the eligibility
and award requirements listed in Appendix 1.1.
Financial Plan--Applicants should provide a financial plan
(or equivalent).
3.3.1.6 Other Required Documentation
For any other documentation required prior to award that is not
specified in this notice, FRA will make individual arrangements with
applicants for the submission of the required documentation.
3.3.2 Additional Information Required Prior to Award
3.3.2.1 Construction Projects
A project NEPA determination document (a Record of Decision,
Finding of No Significant Impact, or CE determination) must have been
issued by FRA prior to award of a construction grant.
3.3.2.2 All Projects
Applicants are required to submit comprehensive executed
partnership agreements, fulfilling all requirements for such agreements
as set forth in Appendix 1.1, prior to award.
3.4 Additional Application Information
3.4.1 Submission Dates and Times
Complete applications must be submitted to Grants.gov (as specified
in Section 3.1) no later than 5 p.m. EST, May 19, 2010. Grants.gov will
send the applicant an automated e-mail confirming receipt of the
application. Supporting documentation that cannot be submitted
electronically may be sent by courier service with a waybill receipt
stamped no later than 5 p.m. EST, May 19, 2010. FRA will e-mail the
applicant to confirm receipt of supporting documentation sent by
courier service.
Subject to demonstration of unanticipated extenuating
circumstances, FRA may consider application materials submitted after
the deadlines prescribed above.
FRA reserves the right to contact applicants with any concerns,
questions, or comments related to applications.
3.4.2 Intergovernmental Review
This program has not been designated as subject to Executive Order
12372, pursuant to 49 CFR part 17.
3.4.3 Funding Restrictions
In general, only those costs considered allowable pursuant to OMB
Circular A-87, ``Cost Principles for State, Local, and Indian Tribal
Governments'' (codified at 2 CFR part 225) will be considered for
funding. Additionally, the following funding restrictions will apply to
cooperative agreements, and must be taken into consideration in the
development of budget information submitted as part of applications.
Funding may not be used to fund expenses associated with
the operation of intercity passenger rail service;
Funding may not be used for first-dollar liability costs
for insurance related to the provision of intercity passenger rail
service;
While there is no cap on grant recipient's use of grant
funds for management and administrative costs, such costs must be
allowable, reasonable, allocable, and in accordance with applicable OMB
cost principles cited above.
FRA will also consider reimbursement of pre-award costs incurred as
early as the enactment of the
[[Page 16557]]
FY 2009 DOT Appropriations Act (March 11, 2009). However, such costs
will be considered for reimbursement only to the extent that they are
otherwise allowable under the applicable cost principles, and involve
either eligible activities (e.g. FD), or construction activities that
were subject to a NEPA determination made by FRA prior to the
commencement of such construction activities. Projects for which
construction activities commenced prior to receipt of an FRA
environmental determination under NEPA will not be eligible for
funding.
Section 4: Application Review Information
4.1 Review Criteria
Complete applications are due by 5 p.m. EST, May 19, 2010. All
applications will proceed through a three-step process:
1. Screening for completeness and eligibility;
2. Evaluation review by a technical panel applying ``evaluation
criteria;'' and
3. Final review and selection by the FRA Administrator, applying
``selection criteria.''
All applications will first be screened for completeness, and
applicant and project eligibility. Applications determined to be both
complete and eligible will be referred to a technical panel consisting
of subject-matter experts for a merit-based evaluation review. The
panels will be comprised of professional staff employed by FRA and
other DOT modal administrations, as appropriate.
Applications will be individually reviewed and assessed against the
evaluation criteria outlined in Section 4.2. For each of the criteria,
the panel will assign a rating of between zero and three points, based
on the application's fulfillment of the objectives of each criterion.
These individual criterion ratings will then be combined according to
priority of criteria, to arrive at an overall rating for the
application.
The evaluation criteria, in order of priority, are:
1. Transportation Benefits.
2. Project Management Approach.
3. Sustainability of Benefits.
4. Timeliness of Project Completion.
5. Other Public Benefits.
In addition to the ratings assigned by the technical evaluation
panels, the FRA Administrator may take into account several cross-
cutting and comparative selection criteria to determine awards. The
Administrator will review the preliminary results to ensure that the
scoring has been applied consistently, and that the collective results
meet several key priorities essential to the success and sustainability
of the program (see Section 4.3). The four selection criteria are:
1. Region/Location.
2. Innovation/Resource Development.
3. Partnerships/Participation.
4. Prior HSIPR Funding Decisions and/or State Investments.
4.2 Evaluation Criteria
Careful economic analysis that quantifies and demonstrates the
monetary value of user benefits and, if available, public benefits will
be particularly useful to FRA in evaluating the applications. The
systematic process of comparing expected benefits and costs helps
decision-makers organize information about, and evaluate trade-offs
between, alternative transportation investments. FRA will consider
benefits and costs using standard data provided by applicants and seek
to evaluate applications in a manner consistent with Executive Order
12893, Principles for Federal Infrastructure Investments, 59 FR 4233,
to base infrastructure investments on systematic analysis of expected
benefits and costs, including both quantitative and qualitative
measures.
4.2.1 Transportation Benefits
Evaluation against this criterion will consider the qualitative
factors outlined below, as supported by key quantitative metrics. As
described in Section 3, applicants must provide information quantifying
the anticipated benefits of the proposed project using service output
data (delay reduction, schedule improvement, or capacity increases).
Each application will be assessed based on its demonstration of the
proposed project's potential to meet the purpose and need and to
achieve transportation benefits in a cost-effective manner, as set
forth through the President's strategic transportation goals and the
objectives of PRIIA. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
Supporting the development of intercity high-speed rail
service;
Generating improvements to intercity passenger rail
service, as reflected by estimated increases in ridership (as measured
in passenger-miles), increased on-time performance (as measured in
reductions in delays), reduced trip time, additional service frequency
to meet anticipated or existing demand, and other factors;
Generating cross-modal benefits, including anticipated
favorable impacts on air or highway traffic congestion, capacity, or
safety, and cost avoidance or deferral of planned investments in
aviation and highway systems;
Creating an integrated intercity passenger rail network,
including integration with existing intercity passenger rail services,
allowance for and support of future network expansion, and promotion of
technical interoperability and standardization (including standardizing
operations, equipment and signaling);
Encouragement of intermodal integration through provision
of direct, efficient transfers among intercity transportation and local
transit networks at train stations, including connections at airports,
bus terminals, subway stations, ferry ports, and other modes of
transportation;
Enhancing intercity travel options;
Ensuring a state of good repair of key intercity passenger
rail assets;
Promoting standardized equipment (or rolling stock),
signaling, communications and power;
Improved freight or commuter rail operations, in relation
to proportional cost-sharing (including donated property) by those
other benefiting rail users;
Equitable financial participation in the project's
financing, including, but not limited to, consideration of donated
property interests or services; financial contributions by freight and
commuter rail carriers commensurate with the benefit expected to their
operations; and financial commitments from host railroads, non-Federal
governmental entities, nongovernmental entities, and others; and
The overall safety of the transportation system, including
the encouragement of the use of PTC technologies, and commitments by
States or railroads of financial resources to improve the safety of
highway/rail grade crossings over which intercity passenger rail
service operates.
4.2.2 Project Management Approach
Applications will be evaluated against the following criterion to
assess the proposed project's likelihood of successful implementation
and realization of benefits. Each application will be assessed to
determine the risk associated with the project's delivery within
budget, on time, and as designed. Evaluation against these criteria
will consider the factors outlined below, which take into account the
thoroughness and quality of the supporting documentation submitted with
the application.
The applicant's financial, legal, and technical capacity
to implement the project including whether the application depends upon
receipt of any
[[Page 16558]]
waiver(s) of Federal railroad safety regulations that have not been
obtained;
The applicant's experience in administering similar grants
and projects;
The soundness and thoroughness of the cost methodologies
and assumptions, and estimates for the proposed project;
The adequacy of any completed engineering work to assess
and manage/mitigate the proposed project's engineering and
constructability risks;
The reasonableness of the schedule for project
implementation;
The thoroughness and quality of the project management
plan;
The sufficiency of system safety and security planning;
The timing and amount of the project's future noncommitted
investments;
The project's progress, at the time of application,
towards compliance with environmental protection requirements; and
The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (particularly
infrastructure owning railroads) that will be involved in implementing
the project; and
The overall completeness and quality of the application,
including the comprehensiveness of its supporting documentation.
4.2.3 Sustainability of Benefits
Each application will be assessed based on the risk associated with
the proposed project's capacity to generate, as planned, its
anticipated transportation and economic benefits. Factors to be
considered in assigning a rating will include:
The presence and quality of a Financial plan that analyzes
the financial viability of the proposed rail service;
The quality and reasonableness of revenue and operating
and maintenance cost forecasts for the benefiting Intercity Passenger
Rail service(s);
The availability of any required operating financial
support preferably from dedicated funding sources for the benefiting
Intercity Passenger Rail service(s);
The quality and adequacy of project identification and
planning;
The reasonableness of estimates for user and non-user
benefits for the project;
The reasonableness of the operating service plan,
including its provisions for protecting the future quality of other
services sharing the facilities to be improved;
The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (including the railroad
operating the Intercity Passenger Rail service as well as
infrastructure-owning railroads) that will be involved in the operation
of the benefiting Intercity Passenger Rail service, including the
commitment of any affected host-rail carrier to ensure the realization
of the anticipated benefits, preferably through a commitment by the
affected host-rail carrier(s) to an enforceable on-time performance of
passenger trains of 80 percent or greater; and
The applicant's contribution of a cost share greater than
the required minimum of 50 percent.
4.2.4 Timeliness of Project Completion
Each application will be assessed based on the timeliness of its
implementation schedule, including:
The readiness of the project to be commenced; and
The timeliness of project completion and the realization
of the project's anticipated benefits.
4.2.5 Other Public Benefits
Each application will be assessed based on its demonstration of the
proposed project's potential to achieve other public benefits in a
cost-effective manner. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
Environmental quality and energy efficiency and reduction
in dependence on foreign oil, including use of renewable energy
sources, energy savings from traffic diversions from other modes,
employment of green building and manufacturing methods, reductions in
key emissions types, and the purchase and use of environmentally
sensitive, fuel-efficient, and cost-effective passenger rail equipment;
and
Promoting livable communities, including integration with
existing high-density, livable development (e.g., central business
districts with public transportation, pedestrian, and bicycle
distribution networks, and incorporation of transit-oriented
development).
4.3 Election Criteria
4.3.1 Region/Location
Ensuring appropriate level of regional balance across the
country.
Ensuring promotion of livable communities in urban and
rural locations.
Ensuring consistency with national transportation and rail
network objectives.
Ensuring integration with other rail services and
transportation modes.
4.3.2 Innovation/Resource Development
Pursuing new technology and innovation where the public
return on investment is favorable, while ensuring delivery of near-term
transportation, public and economic recovery benefits.
Advancing the state of the art in modeling techniques for
assessing potential intercity passenger rail costs and benefits.
Promoting domestic manufacturing, supply and industrial
development, including U.S.-based manufacturing and supply industries.
Developing professional railroad engineering, operating,
planning and management capacity needed for sustainable high-speed
intercity passenger rail development.
4.3.3 Partnerships/Participation
Where corridors span multiple States, emphasizing those
that have organized multi-State partnerships with joint planning and
prioritization of investments.
Employing creative approaches to ensure workforce
diversity and use of disadvantaged and minority business enterprises.
Engaging local communities and a variety of other
stakeholder groups in the project, where applicable.
4.3.4 Prior HSIPR Funding Decisions and/or State Investments
Assessing how a proposed project would complement previous
construction or planning grants made by the HSIPR program.
Assessing how the proposed project would complement
previous State investments in high-speed intercity passenger rail.
Section 5: Award Administration Information
5.1 Award Notices
Upon approval of an application, notification will be sent to the
grant recipient through Grants.gov and via a mailed letter.
FRA will publicly announce selected projects. For projects that
were not selected, FRA will notify the applicants of the decision and
provide the following:
Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
Guidance regarding subsequent rounds of funding.
[[Page 16559]]
5.2 Administrative and National Policy Requirements
Grant recipients must follow all administrative and national policy
requirements including: procurement standards, compliance with Federal
civil rights laws and regulations, disadvantaged business enterprises
(DBE), debarment and suspension, drug-free workplace, FRA's and OMB's
Assurances and Certifications, ADA, buy America, environmental
protection, NEPA, and environmental justice. For additional details on
these administrative and national policy requirements, please refer to
FRA's HSIPR Notice of Grant Award Example under the high-speed rail
link on FRA's Web page at https://www.fra.dot.gov/Pages/2243.shmtl,
which includes a sample copy of FRA's current model grant/cooperative
agreement.
5.3 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 3.1.
5.4 Freedom of Information Act (FOIA)
As a Federal agency, the FRA is subject to the Freedom of
Information Act (FOIA) (5 U.S.C. 552), which generally provides that
any person has a right, enforceable in court, to obtain access to
Federal agency records, except to the extent that such records (or
portions of them) are protected from public disclosure by one of nine
exemptions or by one of three special law enforcement record
exclusions. Grant applications and related materials submitted by
applicants pursuant to this guidance would become agency records and
thus subject to the FOIA and to public release through individual FOIA
requests. FRA also recognizes that certain information submitted in
support of an application for funding in accordance with this guidance
could be exempt from public release under FOIA as a result of the
application of one of the FOIA exemptions, most particularly Exemption
4, which protects trade secrets and commercial or financial information
obtained from a person that is privileged or confidential (5 U.S.C.
552(b)(4)). In the context of this grant program, commercial or
financial information obtained from a person could be confidential if
disclosure is likely to cause substantial harm to the competitive
position of the person from whom the information was obtained (see
National Parks & Conservation Ass'n v. Morton, 498 F.2d 765, 770 (DC
Cir. 1974)). Entities seeking exempt treatment must provide a detailed
statement supporting and justifying their request and should follow
FRA's existing procedures for requesting confidential treatment in the
railroad safety context found at 49 CFR 209.11. As noted in the
Department's FOIA implementing regulation (49 CFR part 7), the burden
is on the entity requesting confidential treatment to identify all
information for which exempt treatment is sought and to persuade the
agency that the information should not be disclosed (see 49 CFR 7.17).
The final decision as to whether the information meets the standards of
Exemption 4 rests with the FRA.
Section 6: Questions and Clarifications
Questions about this guidance and the application process should be
submitted to the HSIPR Program Manager via e-mail at HSIPR@dot.gov.
List of Acronyms
------------------------------------------------------------------------
Acronym Meaning
------------------------------------------------------------------------
ACF............................... Administration for Children and
Families.
ADA............................... Americans with Disabilities Act.
ARRA.............................. American Recovery and Reinvestment
Act of 2009 (Public Law 111-5).
CAST.............................. Custom Applications Support and
Training Unit (GrantSolutions).
CCR............................... Central Contractor Registration
database.
CE................................ Categorical Exclusion--a class of
action for the NEPA process.
CFS report........................ Commercial Feasibility Study,
Federal Railroad Administration,
High-Speed Ground Transportation
for America, September 1997;
available at: https://www.fra.dot.gov/us/content/515.
Department........................ The U.S. Department of
Transportation.
DUNS.............................. Data Universal Number System.
EA................................ Environmental Assessment--a NEPA
document.
EIS............................... Environmental Impact Statement--the
most extensive type of NEPA
document.
FD................................ Final Design.
FONSI............................. Finding of No Significant Impact--a
possible decision concluding the
NEPA process.
FRA............................... Federal Railroad Administration--an
Operating Administration of the
U.S. Department of Transportation.
FTA............................... Federal Transit Administration.
FY................................ Fiscal Year.
FY 2008 DOT Appropriations Act.... Transportation, Housing and Urban
Development, and Related Agencies
Appropriations Act, 2008--Title I
of Division K of Public Law 110-
161, December 26, 2007.
FY 2009 DOT Appropriations Act.... Transportation, Housing and Urban
Development, and Related Agencies
Appropriations Act, 2009--Title I
of Division I of Public Law 111-8,
March 11, 2009.
FY 2010 DOT Appropriations Act.... Transportation, Housing and Urban
Development, and Related Agencies
Appropriations Act, 2010--Title I
of Division A of Public Law 111-
117, December 16, 2009.
GS................................ GrantSolutions Grants Management
System.
ICC............................... Interstate Commerce Commission.
LOI............................... Letter of Intent.
mph............................... Miles per Hour.
NEPA.............................. National Environmental Policy Act.
NTD............................... National Transit Database.
OTP............................... On-time performance.
PE................................ Preliminary engineering.
PRIIA............................. Passenger Rail Investment and
Improvement Act of 2008 (Division B
of Public Law 110-432).
PTC............................... Positive Train Control.
ROD............................... Record of Decision--a possible
decision concluding of the NEPA
process.
RSIA.............................. Rail Safety Improvement Act of 2008
(Division A of Pub. L. 110-432,
October 16, 2008).
State DOT......................... State Department of Transportation.
[[Page 16560]]
State Capital Grant Program....... Capital Assistance to States--
Intercity Passenger Rail Service
program--established in FY 2008 DOT
Appropriations Act and continued in
the FY 2009 DOT Appropriations Act.
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Appendix 1: Additional Information on Eligibility
Appendix 1.1 Minimum Qualifications for Applicant Eligibility
An applicant must, in addition to demonstrating that it is of an
eligible type for the project, affirmatively demonstrate that it has
or will have the legal, financial, and technical capacity to carry
out the proposal. 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.
In the following discussion of the means by which applicants can
satisfy these minimum requirements, the term ``project'' refers
generally to the substance of the applicant's proposal.
For an applicant to demonstrate the legal, financial, and
technical capacity to carry out its proposed project, it will be
required to address the following qualifications:
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 projects of a nature similar to that for which funding is
being requested.
For an applicant to demonstrate that it has or will have
satisfactory continuing control over the use of equipment or
facilities acquired, constructed, or improved by the project, it
will be required to show either:
That the applicant has or will have direct ownership of
the equipment or facilities acquired, constructed, or improved by
the project; or
That the applicant has secured or has made progress
towards securing and will have contractual agreements in place with
the entity or entities (e.g., a local government, or one or more
private railroads) that have or will have direct ownership of such
assets.
For an applicant to demonstrate that it has or will have the
capability and willingness to maintain the equipment or facilities
acquired, constructed, or improved by the project, it will be
required to show:
That it has made progress towards, and will have
contractual agreements in place with, any entity or entities (e.g.,
a local government, or one or more private railroads) that have or
will have direct ownership of the equipment or facilities acquired,
constructed, or improved by the project, which address financial and
operational responsibility for asset maintenance;
That to the extent financial responsibility will fall
to the applicant, the applicant has the ability to cover maintenance
costs; and
The applicant's experience in maintaining assets with
similar financial and operational maintenance requirements as those
for the assets for which funding is being requested;
Information and documentation demonstrating the fulfillment of
the minimum qualifications described above will be required to be
submitted as part of full application.
Appendix 1.2 Definition of Intercity Passenger Rail
``Intercity rail passenger transportation'' is defined at 49
U.S.C. 24102(4) as ``rail passenger transportation except commuter
rail passenger transportation.'' Likewise, ``commuter rail passenger
transportation'' is defined at 49 U.S.C. 24102(3) as ``short-haul
rail passenger transportation in metropolitan and suburban areas
usually having reduced fare, multiple ride, and commuter tickets and
morning and evening peak period operations.'' In common use, the
general definition of ``rail passenger transportation'' excludes
types of local or regional rail transit such as light rail,
streetcars, and heavy rail. Similarly, both Intercity Passenger Rail
transportation and commuter rail passenger transportation exclude
single-purpose scenic or tourist railroad operations.
The since-terminated Interstate Commerce Commission (ICC)
established six features to aid in classifying a service as
``commuter'' rather than ``intercity'' rail passenger
transportation: \1\
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\1\ Penn Central Transportation Company Discontinuance or Change
in Service of 22 Trains between Boston, Mass, and Providence R.I.,
February 10, 1971, I.C.C. 338, 318-333.
---------------------------------------------------------------------------
The passenger service is primarily being used by
patrons traveling on a regular basis either within a metropolitan
area or between a metropolitan area and its suburbs;
The service is usually characterized by operation
performed at morning and peak periods of travel;
The service usually honors commutation or multiple-ride
tickets at a fare reduced below the ordinary coach fare and carries
the majority of its patrons on such a reduced fare basis;
The service makes several stops at short intervals
either within a zone or along the entire route;
The equipment used may consist of little more than
ordinary coaches; and
The service should not extend more than 100 miles at
the most, except in rare instances; although service over shorter
distances may not be commuter or short haul within the meaning of
this exclusion.
FTA further refined the definition of commuter rail in the
glossary for its National Transit Database (NTD) \2\ Reporting
Manual. In particular, FTA refined the ICC's third ``feature'' by
specifying that ``predominantly commuter [rail passenger] service
means that for any given trip segment (i.e., distance between any
two stations), more than 50 percent of the average daily ridership
travels on the train at least three times a week.''
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\2\ In addition to serving as a reference database, the NTD
captures data that serve as the basis for apportioning and
allocating funding to eligible grantees under FTA's formula grant
programs.
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In judging the eligibility of an application under this
solicitation, FRA will determine whether the rail passenger service
that is primarily intended to benefit from the proposal constitutes
``intercity passenger rail transportation'' under the statutory
definition and ICC and FTA interpretations. FRA may also take into
account whether the primary intended benefiting service has been or
is currently the direct and intended beneficiary of funding provided
by another Federal agency (e.g., FTA) for the purpose of improving
commuter rail passenger transportation and whether the service in
question is or will be operated by or on behalf of a local,
regional, or State entity whose primary rail transportation mission
is the provision of commuter or transit service.
Appendix 2: Additional Information on Preliminary Engineering
PE completion is a prerequisite for projects submitted under
this solicitation. PE entails sufficient engineering design to
define a project, including identification of all environmental
impacts, design of all critical project elements at a level
sufficient to assure reliable cost estimates and schedules (in turn
sufficient to complete project management and financial plans), and
definition of procurement requirements and strategies.
The PE development process starts with the evaluation of project
design alternatives (a range of rail improvements, specific
alignments, and project designs) sufficient to support subsequent
NEPA analysis. The NEPA environmental determination is a
prerequisite for FRA to obligate construction funds. FRA
acknowledges the complexity of the work required for PE, and that it
will vary depending on the project scope. Thus, FRA does not pre-
determine the form and structure of the PE work. FRA has opted to
specify the illustrative contents of PE--thus allowing the applicant
discretion to pursue the most workable approach tailored to its
needs and suitable for the proposed project.
PE results in detailed estimates of project costs, benefits, and
impacts of the preferred alternative that merit a higher degree of
confidence than those prepared in earlier stages of planning. FRA
considers that PE for
[[Page 16561]]
a major capital investment project is complete when:
The signed environmental Record of Decision (ROD) or
Finding of No Significant Impact (FONSI) signals that the NEPA
process has been completed;
The project scope, capital cost estimates, and
financial plan are finalized;
The project sponsor has adequately demonstrated its
technical capability to advance the project into FD and
construction;
The project sponsor has adequately demonstrated its
process and schedule for filing any safety regulatory waivers
necessary to implement the project; and
The project sponsor has provided an adequate system
safety program plan and any necessary collision/derailment hazard
analysis.
The products of PE will include: Engineering designs; a detailed
project description, including provisions for compliance with the
ADA; a highly accurate project cost estimate (including a
description of methodologies and assumptions employed in developing
the estimate) that identifies major components and that includes
contingencies that are reduced from previous estimates and are
broken down by phase and functional area, a thorough project
management plan suitable for this phase of project development; and
a solid project financial plan that includes Federal and non-Federal
funding committed to the project.
PE documentation will typically include: (1) Scale maps or scale
aerial photography of existing conditions at a scale of one inch =
100 to 500 feet depending on location (built-up vs. undeveloped
areas); and (2) design plan drawings overlaid on the maps/
photography. These design drawing