[Federal Register: June 23, 2009 (Volume 74, Number 119)]
[Notices]
[Page 29899-29929]
[DOCID:fr23jn09-105]

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Part IV

Department of Transportation

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Federal Railroad Administration

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 High-Speed Intercity Passenger Rail (``HSIPR'') Program; Notice

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2009-0045]

High-Speed Intercity Passenger Rail (``HSIPR'') Program

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).

ACTION: Notice of funding availability; issuance of interim program
guidance.

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SUMMARY: On April 16, 2009, President Obama, together with Vice
President Biden and Secretary of Transportation LaHood, announced a new
vision for developing high-speed rail in America. They called for a
collaborative effort among the Federal Government, States, railroads,
and other key stakeholders to help transform America's transportation
system through a national network of high-speed rail corridors. This
notice builds on this ``Vision for High-Speed Rail'' (available on
FRA's Web site) by detailing the application requirements and
procedures for obtaining funding for high-speed rail projects under the
American Recovery and Reinvestment Act of 2009 (ARRA) and the
Department of Transportation Appropriations Acts of 2008 and 2009 (FY
2008/2009 DOT Appropriations Acts), while laying the foundation for a
longer-term program to establish a network of high-speed rail
corridors.
    The evaluation and selection criteria in this notice are intended
to prioritize projects that deliver transportation, economic recovery
and other public benefits, including energy independence, environmental
quality, and livable communities; ensure project success through
effective project management, financial planning and stakeholder
commitments; and emphasize a balanced approach to project types,
locations, innovation, and timing.
    This notice describes multiple funding paths to accommodate
projects at different stages of development, while also rationalizing
the variety of statutory and administrative requirements underpinning
the program. FRA recognizes the unique challenges and opportunities
presented, and will seek, to the maximum extent permitted under law and
administrative procedures, to work collaboratively with applicants and
stakeholders throughout the process.

DATES:
    Public comments. Public comments on this notice are due no later
than July 10, 2009.
    Preapplications. Preapplications for all funding Tracks are due no
later than July 10, 2009. (FRA encourages earlier submission of
preapplications).
    Applications. Applications for funding for Track 1 (Projects),
Track 3 (Planning), and Track 4 (FY2009 Appropriations Projects) are
due no later than August 24, 2009; applications for funding Track 2
(Service Development Programs) are due no later than October 2, 2009.
(See Section 1.6 in the SUPPLEMENTARY INFORMATION section of this
notice for descriptions of each funding Track, and Section 4.3.6 in the
SUPPLEMENTARY INFORMATION section of this notice for additional
information on deadlines for both preapplications and applications.)
FRA reserves the right to modify these deadlines, based on comments
received on this notice.

ADDRESSES:
    Public comments. To ensure that comments are not entered into the
docket more than once, please submit comments, identified by docket
number [FRA-2009-0045], by only one of the following methods:
     Web site: The U.S. Government electronic docket site is
http://www.regulations.gov. Go to this Web site and follow the
instructions for submitting comments into docket number [FRA-2009-
0045];
     Mail: Mail comments to U.S. Department of Transportation,
1200 New Jersey Avenue, SE., Docket Operations, MS-30, Room W12-140,
Washington, DC 20590;
     Hand delivery or courier: Bring comments to the U.S.
Department of Transportation, 1200 New Jersey Avenue, SE., Docket
Operations, West Building Ground Floor, Room W12-140, Washington, DC
20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays; or
     Fax: Telefax comments to<PHONE_NUMBER>.
    Instructions for submitting public comments: The agency name
(Federal Railroad Administration) and the docket number [FRA-2009-0045]
for this notice must be submitted with any comments. If comments are
submitted by mail or by hand, please submit two copies of the comments.
For confirmation that the Federal Railroad Administration has received
the comments, a self-addressed stamped postcard must be included. Note
that all comments received by any method will be posted without change
to http://www.regulations.gov, including any personal information
provided, and will be available to Internet users. The Department's
complete Privacy Act Statement is available for review in the Federal
Register published April 11, 2000, (65 FR 19477), or by visiting http:/
/www.regulations.gov.
    Preapplications. Preapplications must be submitted to the HSIPR
Program Manager electronically via e-mail at<EMAIL_ADDRESS>Pre-
applicants should receive a confirmation e-mail, but are advised to
request a return receipt to confirm transmission. Only preapplications
received via e-mail as provided above shall be deemed properly filed.
    Applications. Applications and supporting documentation must be
submitted through http://www.grantsolutions.gov. If problems with
http://www.grantsolutions.gov are encountered, applications and
supporting documentation may be submitted to the HSIPR Program Manager
electronically via e-mail at<EMAIL_ADDRESS>Supporting materials that
cannot be submitted electronically may be mailed or hand delivered to:
U.S. Department of Transportation, Federal Railroad Administration,
1200 New Jersey Avenue, MS-20, Room W38-202, SE., Washington, DC 20590
Attn. HSIPR Program. Applicants are encouraged to use special courier
services to avoid shipping delays. Pre-application and application
forms are available at http://www.fra.dot.gov/us/content/2243.

FOR FURTHER INFORMATION CONTACT: For further information regarding this
notice and the grants program, please contact the FRA HSIPR Program
Manager via e-mail at<EMAIL_ADDRESS>or by mail: U.S. Department of
Transportation, Federal Railroad Administration, 1200 New Jersey
Avenue, MS-20, SE., Washington, DC 20590 Attn. HSIPR Program.

SUPPLEMENTARY INFORMATION:

Table of Contents

Overview
1. Funding Opportunity Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review Information
6. Award Administration Information
7. FRA Contacts
List of Acronyms Appendix 1: Additional Information on Eligibility
Appendix 2: Additional Information on Planning and Engineering
Appendix 3: Additional Information on Award Administrations and
Grant Conditions

Overview

    FRA is soliciting public comment on this document through Docket
Number FRA-2009-0045 (http://www.regulations.gov). While the interim
guidance in this document does not

constitute a rulemaking, FRA will consider all comments received by
July 10, 2009 and will publish any resultant clarifications or
revisions to this document in the Federal Register and on FRA's Web
site (http://www.fra.dot.gov). FRA began this comment process during
its outreach sessions in May and June, in which over 1,100 stakeholders
attended seven sessions around the country; in addition, a public
docket was established for comment, and 110 comments were received as
of June 15, 2009. FRA has already adjusted the approach contained
herein based on this initial feedback.
    Preapplications are required and the deadline for submissions (for
all Tracks) is July 10, 2009. Applications may not be considered if
preapplications are received after July 10, 2009; FRA encourages
submission of preapplications earlier than the July 10 deadline. FRA
will work with pre-applicants if necessary during the period prior to
the application deadlines to ensure eligibility, appropriateness of
application Track, and structure of project or program; applicants
should work on completing full grant applications concurrent with
preparation and review of preapplications.
    Deadlines for submission of full grant applications under the four
Tracks (see Section 1.6 for track descriptions) are: Track 1
(Projects), Track 3 (Planning), and Track 4 (FY2009 Appropriations
Projects)--August 24, 2009; Track 2 (High-Speed Rail/Intercity
Passenger Rail Service Development Programs)--October 2, 2009. To give
prospective applicants adequate time to complete their applications
(while incorporating any guidance clarifications or revisions), FRA may
adjust application dates to allow for a minimum of 30 days for
application submission following any material changes to guidance that
arise from comments. For full details on these deadlines and how to
satisfy them, prospective applicants should consult Section 4.3.6 of
this guidance.

Section 1: Funding Opportunity Description

1.1 Authority

    This program guidance and financial assistance announcement
pertains to FRA's new High-Speed Intercity Passenger Rail Program
(``HSIPR''), which consolidates the following recently-authorized and
closely-related programs:
     The High-Speed Rail Corridor Development program,
authorized under Section 501 of the Passenger Rail Investment and
Improvement Act of 2008 (``PRIIA,'' Division B of Pub. L. 110-432,
October 16, 2008, codified at 49 U.S.C. 26106);
     The Intercity Passenger Rail Service Corridor Capital
Assistance program, authorized under Section 301 of PRIIA (codified at
49 U.S.C. chapter 244);
     The Congestion Grants program, authorized under Section
302 of PRIIA (codified at 49 U.S.C. 24105);
     The Fiscal Year (FY) 2009 Capital Assistance to States--
Intercity Passenger Rail Service program, authorized and funded under
the Department of Transportation Appropriations Act, 2009 (``FY 2009
DOT Appropriations Act,'' Title I of Division I of Pub. L. 111-8, March
11, 2009); and
     The FY 2008 Capital Assistance to States--Intercity
Passenger Rail Service program, authorized and funded under the
Department of Transportation Appropriations Act, 2008 (``FY 2008 DOT
Appropriations Act,'' Title I of Division K of Pub. L. 110-161,
December 26, 2007).
    This document incorporates both (i) interim guidance required for
this program pursuant to the American Recovery and Reinvestment Act of
2009 (``ARRA,'' Pub. L. 111-5, February 17, 2009); and (ii) interim
guidance required pursuant to 49 U.S.C. 24402(a)(2). The funding made
available under this financial assistance announcement was appropriated
under ARRA, and the FY 2008/2009 DOT Appropriations Act. The funding
opportunities described in this guidance are available under Catalog of
Federal Domestic Assistance (CFDA) numbers 20.317 and 20.319.

1.2 Program Description and Legislative History

    This program guidance and funding opportunity announcement
represents the second major milestone in the implementation of the new
HSIPR Program. It follows and builds upon Vision for High-Speed Rail in
America, the Administration's April 2009 high-speed rail strategic plan
for the implementation of this program (available at http://
www.fra.dot.gov/us/content/31).
    As one of President Obama's foremost transportation priorities, the
HSIPR Program helps to address the nation's transportation challenges
by investing in an efficient High-Speed Rail/Intercity Passenger Rail
network that connects communities across America.
    Congress established the framework for the program through the
passage of three key pieces of legislation:
     Capital Assistance to States--Intercity Passenger Rail
Service--In the FY 2008 DOT Appropriations Act, Congress established a
new pilot program for joint Federal-State intercity passenger rail
capital investment, known as Capital Assistance to States--Intercity
Passenger Rail Service. Under this program, $30 million in Federal
funding was made available to States on a competitive basis to fund up
to 50 percent of the capital cost of improving Intercity Passenger Rail
service; up to 10 percent of the $30 million was available for rail
corridor planning grants. An additional $90 million was appropriated
under similar terms as part of the FY 2009 DOT Appropriations Act.
     Passenger Rail Investment and Improvement Act of 2008
(PRIIA)--Enacted in October 2008, PRIIA represents the most sweeping
Congressional action on intercity passenger rail since those that
created the National Railroad Passenger Corporation (Amtrak) and the
Northeast Corridor Improvement Project during the 1970s. In addition to
reauthorizing Amtrak, PRIIA established three new competitive grant
programs for funding High-Speed Rail/Intercity Passenger Rail capital
improvements, each of which, as authorized, require a 20 percent non-
Federal match:
    [cir] Intercity Passenger Rail Service Corridor Capital Assistance
(Section 301)--Under this section, the broadest of PRIIA's three new
funding programs, States (including the District of Columbia), groups
of States, interstate compacts, and public Intercity Passenger Rail
agencies established by one or more State(s) may apply for grants for
capital improvements to benefit all types of Intercity Passenger Rail
service, including high-speed service. Amtrak may participate through a
cooperative agreement with a State(s). To be eligible for funding under
this program, proposed projects must meet a number of requirements
(e.g., inclusion in a State Rail Plan).
    [cir] High-Speed Rail Corridor Development (Section 501)--Although
similar in structure, criteria, and conditions to Section 301,
eligibility for this program is restricted to projects intended to
develop Federally-designated High-Speed Rail corridors for Intercity
Passenger Rail services that may reasonably be expected to reach speeds
of at least 110 miles per hour (mph). Applicant eligibility under
Section 501 is broadened from Section 301 to include Amtrak as well.
    [cir] Congestion Grants (Section 302)--This program authorizes
grants to States or to Amtrak (in cooperation with States) for
facilities, infrastructure, and

equipment for high-priority rail corridor projects to reduce congestion
or facilitate Intercity Passenger Rail ridership growth.
     American Recovery and Reinvestment Act of 2009 (ARRA)--The
$8 billion in High-Speed Rail/Intercity Passenger Rail funding under
ARRA ``jump starts'' the widespread improvement of High-Speed Rail/
Intercity Passenger Rail service in the United States. The
appropriation references the authorities included in Sections 301, 302,
and 501 of PRIIA but states the ``Federal share of the costs for which
a grant is made * * * shall be, at the option of the recipient, up to
100 percent.'' It also does not require that proposed projects be
included in a State Rail Plan (and it excludes the costs of preparing
such plans from eligibility for ARRA funding).

1.3 Selection Process and Priorities

    The application process begins with a preapplication. The
preapplication is a simple form intended to give FRA an early
assessment of the universe of projects and programs, and to provide
pre-applicants with any feedback necessary to complete their
applications (e.g., eligibility issues, most appropriate application
Track to pursue, etc.). It also allows FRA and preapplicants to start a
collaborative process for ensuring early program success.
Preapplications should be submitted as early as possible, but no later
than July 10, 2009; applicants should not wait for submission of, or
any comments on, a preapplication before preparing their full
applications. In recognition of a variety of considerations, including
the urgency of project implementation as reflected in ARRA and the
complexities of launching a new HSIPR program, FRA considers the
preapplication to be an essential component of the application
submission and decision making processes. As a result, FRA will only
consider applications that were not supported by a timely filed
preapplication only if there are special, compelling circumstances.
Complete applications for Tracks 1, 3 and 4 are due on August 24, 2009
and for Track 2 on October 2, 2009. Once an application is received, it
will proceed through a three-step process.
     Screening for completeness and eligibility (both applicant
and project eligibility);
     Evaluation panel review process, applying ``evaluation
criteria''; and
     Final review and selection, applying ``selection''
criteria.
    See Section 5 for a full description of the review process and
criteria.
1.3.1 Application Screening
    Screening will confirm applicant and project eligibility, and
ensure that the application provides complete and sufficient
information for the evaluation process.
1.3.2 Evaluation Criteria
    Eligible applications in all Tracks will be individually reviewed
and assessed against seven evaluation criteria--organized into three
categories--detailed below. For each of the applicable criteria, the
application will be assigned a rating of between one and five points,
based on the application's fulfillment of the objectives of each
criterion. These individual criterion ratings will then be accounted
according to priority of criteria (which vary by Track, as described in
Section 5), to arrive at an overall rating for the application.
    FRA will require a rigorous analysis of benefits and costs of
proposed projects, with a focus on the transportation service and
output measures that are fundamental to estimating other public
benefits. Applicants must provide requested benefit and cost
information the best available tools in order to ensure adequate
assessment of business cases for projects.
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    \1\ See Section 4 for a detailed summary of submission
requirements, and Section 5 for additional detail on evaluation and
selection criteria.

                                               Evaluation Criteria
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  Evaluation criteria\1\                 Example factors                           Key documentation
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                                           Public Return on Investment
----------------------------------------------------------------------------------------------------------------
1. Transportation           Improved Intercity Passenger Rail   Service Development Plan
 Benefits                   service                                     (including business case; assessment of
                            Transportation network              benefits and public investment).
                            integration (including intermodal
                            connections)
                            Transportation safety benefits
2. Economic Recovery        Preserving and creating jobs--      Quantitative output measures
                            particularly in economically-distressed     (service--reliability, schedule,
                            areas                                       capacity; and transportation--passenger-
                                                                        miles, including sources--aviation,
                                                                        highway, induced).
3. Other Public Benefits    Environmental quality
                            Energy efficiency
                            Livable communities
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                                             Project Success Factors
----------------------------------------------------------------------------------------------------------------
1. Project Management       Organizational capacity             Project management plan.
 Approach                   Track record of comparable          Financial plan (capital and
2. Sustainability of        projects                                    operating).
 Benefits                   Adequacy of engineering             Stakeholder agreements.
                            Reasonableness of schedule
                            Progress toward NEPA compliance
                            Thoroughness of management plan
                            Sufficiency of safety and
                            security planning
                            Sufficiency of stakeholder
                            agreements
                            Reasonableness of financial
                            estimates
                            Availability of operating
                            financial support
                            Quality of planning process
----------------------------------------------------------------------------------------------------------------

                                                Other Attributes
----------------------------------------------------------------------------------------------------------------
1. Timeliness of Project    Project readiness                   Project schedule.
 Completion                 Reasonableness of completion
                            schedule
----------------------------------------------------------------------------------------------------------------

1.3.3 Selection Criteria
    After being assessed against the evaluation criteria, applications
for each Track will collectively be reviewed to ensure consistency and
to balance projects against national priorities and schedules. For this
review, the FRA Administrator may consider several cross-cutting
comparative criteria before final award determinations are made. The
table below summarizes these additional selection criteria.

                           Selection Criteria
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    Selection criteria (balance and
               diversity)                        Example factors
------------------------------------------------------------------------
1. Region/location.....................   Geography and economic
                                          conditions.
2. Innovation..........................   Technology and
                                          industrial/capacity
                                          development.
3. Partnerships........................   Multi-State
                                          agreements.
4. Tracks and round timing.............   Project costs and
                                          schedules.
------------------------------------------------------------------------

1.4 Program Implementation Opportunities and Challenges

    In addition to the fiscal constraints currently affecting States,
local governments, and businesses, the development of a comprehensive
High-Speed Rail/Intercity Passenger Rail network faces challenges
specific to this program and the rail industry. For instance, FRA
recognizes the challenges associated with the need for agreements among
multiple States and with private railroad companies, as well as the
shortage of engineering professionals, planners, and managers with
experience in High-Speed Rail/Intercity Passenger Rail development with
project implementation in the United States.
    The intent to establish a pipeline of future High-Speed Rail/
Intercity Passenger Rail programs and projects poses a further
challenge. The traditional pipeline for major transportation
investments progresses from alternatives analysis to investment
planning, preliminary engineering (PE) and environmental clearance,
final design (FD), construction, and operations. With very narrow
exceptions, States have historically lacked a Federal funding partner
in High-Speed Rail/Intercity Passenger Rail development; thus, many
States have no High-Speed Rail/Intercity Passenger Rail program at all,
and others find their limited High-Speed Rail/Intercity Passenger Rail
development efforts stalled at various points along the typical
progression.
    This situation necessitates a Federal funding approach that is
flexible enough to support the High-Speed Rail/Intercity Passenger Rail
development efforts of each State--whether, for example, the State has
just initiated High-Speed Rail/Intercity Passenger Rail planning, or
has prepared for capital investments to enhance existing services, or
has readied itself to construct new infrastructure to accommodate new
High-Speed Rail/Intercity Passenger Rail service. With such disparate
situations among the States, the Federal funding approach must
accommodate different situations, offering an array of possibilities to
dovetail with the States' diverse aspirations, capabilities, and
resources.

1.5 Environmental Review and Approval

    Central to High-Speed Rail/Intercity Passenger Rail Program
implementation--and crucial to each applicant's choice of Track for a
proposal--is the environmental review process required by the National
Environmental Policy Act (NEPA) and related laws and regulations.\2\
NEPA applies to all federal grant programs and requires Federal
agencies to integrate environmental values into their decision-making
processes by considering the environmental impacts of their proposed
actions and reasonable alternatives to those actions. Agencies must
also make information on these impacts and alternatives publicly
available before decisions are made and actions occur. NEPA also
mandates that all reasonable alternatives be considered, and to that
end, an alternatives analysis is typically conducted during the
environmental review process.
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    \2\ The National Historic Preservation Act, Clean Water Act, 49
U.S.C. 303 relating to parks, wildlife refuges and historic sites
(commonly referred to as Section 4(f)), and the Endangered Species
Act are examples.
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    FRA--as the Federal sponsoring agency--has primary responsibility
for assuring NEPA compliance while accomplishing the purposes,
priorities, and requirements of the HSIPR Program. While NEPA
compliance is a Federal agency responsibility and the ultimate
decisions remain with the Federal sponsoring agency, FRA encourages
applicants to take a leadership role in NEPA documentation development,
consistent with existing law and regulations. In the varied and
flexible HSIPR Program, with its four Tracks and multiple
authorizations, no single approach to NEPA compliance will work for
every proposal and applicant. Therefore, FRA will work closely with
applicants to assist in the timely and effective completion of the NEPA
process in the manner most pertinent to the applicant's proposal.
    NEPA reviews should focus on the issues that are ripe for decision
at each stage of project or program development. To help focus
environmental reviews, the Council on Environmental Quality encourages
agencies to tier their environmental reviews, whereby general matters
or broader programs are covered in a Tier I NEPA document, such as a
corridor-wide (or ``service'') environmental impact statement (EIS) or
environmental assessment (EA); and narrower more site-specific projects
or actions are addressed in site-specific EISs, EAs or categorical
exclusion (CE) documents.

1.6 Funding Approach

    In order to accommodate the variety of potential applicant goals
and stages of

project development, while meeting the statutory and program
constraints, this guidance provides four funding ``tracks'' in which
applications may be submitted. FRA has adopted this four-Track approach
to aid in near-term economic recovery efforts and to establish the path
to realize a fully-developed national High-Speed Rail/Intercity
Passenger Rail network. The deadlines for FRA obligation and project(s)
completion for each Track reflect the imperatives of ARRA, balanced
with the longer-term development goals. (See DATES above.)
1.6.1 Track 1--Intercity Passenger Rail Projects Funded Under ARRA
(``Track 1--Projects'')
    This track is aimed at chiefly addressing the economic recovery
goals of ARRA through--(a) FD/construction of ``ready-to-go''
projects--i.e., those with completed site-specific NEPA documentation
(project-level final EIS, final EA or CE documentation) along with PE;
and (b) completion of project-level NEPA and PE to prepare projects for
FD/construction grants that may be available under future
solicitations. Track 1 projects should be completed within two years of
award. These projects are funded through either Section 301 (Intercity
Passenger Rail Corridor Capital Assistance) or Section 302 (Congestion
Grants) of PRIIA, for the benefit of existing services, including those
that support development of High-Speed Rail. Eligible projects include
infrastructure, facilities, and equipment, and must have independent
utility.\3\ The Federal funding share can be up to 100 percent,
although evaluation criteria favor projects that leverage federal
funding with non-federal investments.
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    \3\ While ARRA-funded projects are exempt from State Rail Plan
requirements, evaluation preference is given to those that are part
of a planning process that includes a prioritized list of capital
projects supporting a corridor service development plan; equipment
projects should be consistent with Section 305 of PRIIA, which calls
for the establishment of a standardized next-generation rail
corridor equipment pool (see Section 3.6.3).
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1.6.2 Track 2--High-Speed Rail/Intercity Passenger Rail Service
Development Programs (``Track 2--Programs'')
    This track is aimed at developing new High-Speed Rail corridor and
Intercity Passenger Rail services, or substantial upgrades to existing
corridor services, eligible under Section 501 (High-Speed Rail Corridor
Development) and Section 301 (Intercity Passenger Rail Corridor Capital
Assistance) of PRIIA. It is intended to fund development of a set of
inter-related projects that constitute the entirety or a distinct phase
(or geographic section) of a long-range service development plan--
projects which collectively produce benefits greater than the sum of
each individual project.\4\ Under this Track, not all projects need to
be ready-to-go; the Federal Government provides a commitment to fund
the entire program, generally through a Letter of Intent (LOI), and
obligates funds for FD/construction projects through cooperative
agreements as soon as they are deemed ready-to-go. Track 2 LOIs and
cooperative agreements must include specific milestone deadlines for
completion of environmental, engineering, design and other work.
---------------------------------------------------------------------------

    \4\ A group of projects that collectively advance the entirety,
or a ``phase'' or ``geographic section,'' of a corridor service
development plan are referred to here as a ``program.''
---------------------------------------------------------------------------

    To be eligible for awards under Track 2, Service Development
Programs (``SDP''--defined in Section 2.2) must include completed: (a)
A corridor-wide ``service'' NEPA study, such as a programmatic or Tier
I EIS; and (b) a High-Speed Rail/Intercity Passenger Rail SDP, or an
equivalent approach that provides a business and investment
justification with sufficient project cost and benefit estimates. Key
elements of an SDP or equivalent business case include: (i) An overview
of program rationale (including purpose and need); (ii) a service and
operations plan, and a prioritized capital investment plan for
infrastructure, fleet and stations/facilities; and (iii) an
implementation approach, including schedule, project management plan,
stakeholder agreements, and a financial plan for funding both capital
and operations. See Appendix 2.1 for a summary of expectations for a
SDP.
    Track 2 programs will generally address infrastructure, equipment
and stations/facilities investments in a comprehensive fashion. While
these programs are the most complicated and need a particularly
rigorous project management approach, Track 2 programs represent the
long-term emphasis of the HSIPR Program, and thus FRA expects to focus
its collaborative efforts on this Track. The Federal funding share can
be up to 100 percent, although evaluation criteria favor projects that
leverage federal funding with non-federal investments.

1.6.3 Track 3--Service Planning Activities funded under the FY 2009 and
FY 2008 DOT Appropriations Acts (``Track 3--Planning'')
    This track is aimed at helping establish a pipeline of future High-
Speed Rail/Intercity Passenger Rail projects and service development
programs by advancing planning activities for applicants at an earlier
stage of the development process. Under Track 3, FRA will enter into
cooperative agreements for preparation of SDPs, State Rail Plans and
service-level environmental documents.\5\ This Track provides States an
opportunity to complete the prerequisite work needed to submit
applications under Tracks 1 and 2, so that applicants may be ready for
potential future solicitations. Under the terms of the FY 2008/2009 DOT
Appropriations acts, planning activities funded under this Track
require a 50 percent non-Federal match.
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    \5\ Project-level NEPA documents are eligible for funding under
Tracks 1 and 2.
---------------------------------------------------------------------------

1.6.4 Track 4--FY2009 Appropriations-Funded Projects (``Track 4--FY2009
Appropriations Projects'') \6\
    Track 4 provides an alternative for projects that would otherwise
fit under Track 1, but for State applicants offering at least a 50
percent non-Federal share of financing. This Track offers applicants
simplified grant agreement terms, and up to five years to complete
projects (vs. two years under Track 1). Applicants providing at least a
50-percent project match are strongly encouraged to submit project
applications under Track 4 (those submitting project application(s)
under Track 4 may also request concurrent consideration of such
application(s) under Track 1).
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    \6\ A total of $90 million was appropriated under the FY 2009
DOT Appropriations Act under the heading of Capital Assistance to
States--Intercity Passenger Service, of which no more than ten
percent, or $9 million, may be made available for planning
activities. In addition, a total of $540,500 in planning funding,
and at least $1,352,573 in FD/construction funding also remained
available until expended following the award of grants under the FY
2008 Capital Assistance to States--Intercity Passenger Service
program.
---------------------------------------------------------------------------

1.7 Opportunity for Public Comment

    FRA is soliciting public comment on this document through Docket
Number FRA-2009-0045 (at http://www.regulations.gov). While the interim
guidance in this document does not constitute a rulemaking, FRA will
consider all comments received no later than July 10, 2009 and will
publish any resultant clarifications or revisions to

this document in the Federal Register and on FRA's Web site (http://
www.fra.dot.gov). FRA began this comment process during its outreach
sessions in May and June, in which over 1,100 stakeholders attended
seven sessions around the country; in addition, a public docket was
established for comment, and 110 comments were received as of June 15,
2009. FRA has already revised the approach contained herein based on
this initial feedback. To give prospective applicants adequate time to
complete their applications (while incorporating any guidance
clarifications or revisions), FRA may adjust application dates to allow
for a minimum of 30 days for application submission following any
material changes to this guidance that arise from comments.

Section 2: Award Information

2.1 General Award Information

    ARRA appropriated a total of $8 billion under three Intercity
Passenger Rail capital investment programs authorized by the PRIIA:
Section 501 (High-Speed Rail Corridor Development), Section 301
(Intercity Passenger Rail Service Corridor Capital Assistance), and
Section 302 (Congestion Grants). ARRA left the mix of funding among the
three PRIIA programs to the discretion of the Secretary of
Transportation. As described in the Department's April 2009 strategic
plan for high-speed rail, Vision for High-Speed Rail in America, FRA
will not allocate funding among the three PRIIA programs in advance,
but will cumulate the amounts under each PRIIA section from the funding
sources identified in the selected applications, subject to the overall
$8 billion ARRA limit. In addition to the ARRA appropriation for High-
Speed Rail/Intercity Passenger Rail, this funding opportunity
announcement also solicits applications for up to $9,540,500 for
Intercity Passenger Rail planning activities, and at least $82,352,573
in FD/construction funding appropriated under the FY 2008/2009 DOT
Appropriations Acts.\7\
---------------------------------------------------------------------------

    \7\ A total of $90 million was appropriated under the FY 2009
DOT Appropriations Act to remain available and unexpended under the
heading of Capital Assistance to States--Intercity Passenger
Service, of which no more than 10 percent, or $9 million, may be
made available for planning activities. In addition, a total of
$540,500 in planning funding, and at least $1,352,573 in FD/
construction funding also remained available until expended
following the award of grants under the FY 2008 Capital Assistance
to States--Intercity Passenger Service program.
---------------------------------------------------------------------------

    This funding and announcement solicits applications for funding
appropriated through ARRA, the FY 2008/2009 DOT Appropriations Acts
under the four distinct Tracks described above:
     Track 1--Projects (ARRA funds);
     Track 2--Programs (ARRA funds);
     Track 3--Planning (annual appropriations funds for
Interstate Passenger Rail planning from FY 2009 and remaining from FY
2008); and
     Track 4--FY2009 Appropriations Projects (annual
appropriations funds for Interstate Passenger Rail non-planning from FY
2009 and remaining from FY 2008).
    FRA anticipates making multiple awards under each of the four
Tracks. While the entire $9,540,500 under Track 3 and at least
$82,352,573 under Track 4 may be awarded, FRA may choose not to award
through this solicitation the full amount available for Tracks 1 and 2,
to allow for potential future rounds of solicitations and awards which
occur after 2009. There is no predetermined allocation between Tracks 1
and 2 or between this and any future solicitations; all such
distributions will cumulatively reflect the nature and timing of the
selected applications (as referenced in Section 5, selection criteria).

2.2 Definitions of Key Terms, Concepts, and Milestones for Track
Selection

    A prospective applicant under this solicitation should first
determine into which Track the applicant's proposal would most
appropriately fit. The choice of Track largely reflects the scope of
the proposed undertaking and the proposed effort's achievement of key
milestones within the project development process. Below are
definitions of key terms, concepts, and milestones for the HSIPR
Program that affect the selection of a Track. Section 2.3 is then
intended to assist an applicant in selecting a Track based on the
proposed investment's relationship to these terms, concepts, and
milestones.
    Corridor--For the specific purposes of the HSIPR Program, a
corridor is an existing or proposed Intercity Passenger Rail route of
approximately 100-600 miles in total length, linking population centers
at its endpoints and typically points in between. Corridors may cross
State or national boundaries and thus require a regional, multi-
jurisdictional approach to planning and development.\8\
---------------------------------------------------------------------------

    \8\ Federal investment in corridor projects may be limited to
the United States.
---------------------------------------------------------------------------

    Final Design--The last phase of project development, including:
right-of-way acquisition, utility relocation, the preparation of final
design plans, construction management plans, system safety plans for
construction management & operations, safety certification, any
required collision hazard analysis, final construction cost estimates,
and detailed specifications, as well as procurement of construction
services and equipment. During this phase, any remaining uncertainties
or risks associated with minor changes to design scope and the
procurement processes are fully addressed, and plans for financing the
project or program would be updated and refined to reflect accurately
the expected year-of-expenditure costs and cash flow projections.
    Financial Plan--The financial plan documents the recent and
forecasted financial condition of the applicant agency and other key
partners that will provide capital or operating funding for project
development and/or implementation. The Financial Plan describes the
current financial health of the aforementioned agencies, documents
projected capital and operating costs and revenues, and details key
assumptions and methodologies. A financial plan also details the
sources, reliability and feasibility of funding for both capital and
operating expenses and provides an overview of the project sponsor's
strategies to address potential project cost increases.
    FRA Obligation--Commitment of Federal funding made through
execution of a grant agreement or cooperative agreement.
    High-Speed Rail--Intercity Passenger Rail service that ``is
reasonably expected to reach speeds of at least 110 mph'' (49 U.S.C.
26106(b)(4)).
    Independent Utility--A project, group of projects, or Service
Development Program (or phase of a Service Development Program) is
considered to have independent utility if it will result, upon
completion, in the creation of new or substantially improved High-Speed
Rail/Intercity Passenger Rail service, and will provide tangible and
measurable benefits even if no additional investments in the same High-
Speed Rail/Intercity Passenger Rail service are made. Typical examples
of these benefits would include on-time performance improvements,
travel-time reductions, and higher service frequencies resulting in
increased ridership.
    Intercity Passenger Rail--Defined in statue as ``rail passenger
transportation except commuter rail passenger transportation'' (49
U.S.C. 24102(4)); it subsumes both High-Speed Rail and conventional
intercity passenger

services. Commuter rail is defined at as ``short-haul rail passenger
transportation in metropolitan and suburban areas usually having
reduced fare, multiple ride, and commuter tickets and morning and
evening peak period operations'' (49 U.S.C. 24102(3)); Federal funding
for commuter rail projects is available from Federal Transit
Administration programs.
    Intercity Passenger Rail Service--An Intercity Passenger Rail
service consists of a group of one or more scheduled trains
(roundtrips) that provide Intercity Passenger Rail transportation
between bona fide travel markets (not constrained by State or
jurisdictional boundaries), generally with similar quality and level-
of-service specifications, within a common (but not necessarily
exclusive or identical) set of identifiable geographic markets. An
Intercity Passenger Rail service is considered ``substantially
changed'' when its inherent nature or market focus is altered, or when
its operating frequencies (roundtrips per day) are increased
significantly; a substantial change in service may include adding
short-distance corridor-type trains where only long-distance service
operates, or service restoration where trains ceased to operate several
years before. See Appendix 1.3 for further discussion of the definition
of Intercity Passenger Rail.
    Letter of Intent (LOI)--Represents a contingent financial
commitment by FRA to provide up to a prescribed amount of funding to
fully implement a service development program (or specific phases of
such a program), with defined milestones for completion of work
necessary to ensure successful and timely program development.
    National Environmental Policy Act (NEPA) Documentation--Includes
four principal levels (with respect to the HSIPR Program):
     Tier I, ``programmatic,'' or service-level environmental
impact statement (Tier I EIS)--Addresses actions at a broad level, such
as a program concept for an entire corridor, and typically does not
lead directly to project construction.
     Site-specific, or project EIS--Addresses specific
environmental issues associated with a site or project, and is intended
to lead directly to construction once applicable permits are secured.
     Environmental assessment (EA)--May be programmatic or
site-specific, and concisely provides sufficient evidence and analysis
of the proposal to determine whether to prepare an EIS or a finding of
no significant impact (FONSI).
     Categorical exclusion (CE)--Documentation that shows how a
proposal fits a category of predefined actions which do not
individually or cumulatively have a significant effect on the human
environment and for which neither an EIS nor an environmental
assessment are required.
    Planning--Activities that support the case for investing in
project(s) or program(s), such as: identification of purpose and need;
analysis comparing the costs, benefits, and impacts of a range of
transportation alternatives; studies that assess different levels of
rail service and investment; service-level, programmatic, or Tier I
NEPA studies; Service Development Plans; and State Rail Plans.
    Preliminary Engineering (PE)--Sufficient engineering design to
define a project, including identification of all environmental
impacts, design of all critical project elements at a level sufficient
to assure reliable cost estimates and schedules (in turn sufficient to
complete project management and financial plans), and definition of
procurement requirements and strategies. The PE development process
starts with specific project design alternatives that allow for
assessment of a range of rail improvements, specific alignments, and
project designs--sufficient to support subsequent NEPA analysis. PE is
prerequisite to final design (FD) and construction. Appendix 2.2
contains additional information about PE.
    Project--A High-Speed Rail/Intercity Passenger Rail project is a
discrete action that has a distinct purpose, such as adding track to an
existing railroad line, or the purchase of one or more pieces of
rolling stock.
    Project Management Plan--Approach for ensuring successful
implementation of a project or program, including: (i) Identification
of a manager accountable for project or program delivery; (ii) an
organization/resource plan that describes (e.g., through an
organization chart) the relationships among entities involved in the
proposed program and a description of the relationships among the
entities responsible for the financing, design, construction,
operation, and maintenance of the proposed program; (iii) any new legal
entities required, how they would be structured, and their relationship
to existing entities; (iv) stakeholder agreements with owners of right-
of-way, operators, or other entities critical to successful project/
program delivery;(v) required governmental actions and approvals; and,
(vi) an appropriate system safety plan for the entire project lifecycle
consistent with FTA guidance for safety and security management plans.
The project management plan should address the safety certification
process and any required collision hazard analysis consistent with the
FRA guidance. A project management plan generally should also include
metrics by which the success of the project is defined.
    Right-of-Way--Railroad infrastructure within the property lines of
an existing, or within the presumed property lines of a proposed,
railroad useful for Intercity Passenger Rail service.
    Service Development Plan (SDP)--A plan for developing High-Speed
Rail/Intercity Passenger Rail service, either initiating new service or
improving existing service (e.g., adding train frequencies and/or
reducing trip times)--typically developed around distinct phases and/or
geographic sections of service improvement. A High-Speed Rail/Intercity
Passenger Rail SDP or equivalent covers three general topics: (i)
Rationale (including purpose and need), (ii) service/operating plan and
prioritized capital plan, and (iii) implementation plan (including
project management approach, stakeholder agreements and financial
plan). The precise structure of an SDP can vary, but these elements
must be covered in some fashion. (See Appendix 2.1 for additional
explanation).
    Service Development Program (``Program'')--Implementation of a
High-Speed Rail/Intercity Passenger Rail SDP, generally broken into
discrete phases or geographic sections. Such programs may be for new
service on an existing or new railroad alignment, or for improved
service on an existing railroad alignment.

2.3 Guide to Track Selection

    The table below should be used by applicants as a guide for
determining the appropriate Track for application submissions.

                                              Track Selection Guide
----------------------------------------------------------------------------------------------------------------
Funding track determination questions        Response (yes/no)                       Funding track
----------------------------------------------------------------------------------------------------------------
Has new or improved Intercity          No...........................  Track 3--Service Planning.
 Passenger Rail service been selected
 as a promising alternative in the
 transportation corridor where the
 project is located?
                                       Yes..........................  Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
Does the project(s) lead to--          No...........................  Proceed to Next Question.
 introduction of High-Speed Rail/
 Intercity Passenger Rail service
 within a corridor where no service
 of that type currently exists, or to
 a substantial change in an existing
 service?
                                       Yes..........................  Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Does the project(s) include the        No...........................  Proceed to Next Question.
 rerouting of an existing Intercity
 Passenger Rail service onto a new,
 expanded, or previously abandoned
 right-of-way?
                                       Yes..........................  Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Does the investment encompass          No...........................  Proceed to Next Question.
 multiple dispersed projects intended
 to produce a significant benefit to
 one or more Intercity Passenger Rail
 services?
                                       Yes..........................  Track 2--Programs.
----------------------------------------------------------------------------------------------------------------
Even if no Service Development Plan    No...........................  Track 3--Service Planning.
 exists, have specific Intercity
 Passenger Rail investment projects
 been identified for implementation?
                                       Yes..........................  Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
Have preliminary engineering (PE) and  No...........................  Track 1--PE/NEPA only.
 a project-level NEPA document been
 completed for the proposed project?
                                       Yes..........................  Proceed to Next Question.
----------------------------------------------------------------------------------------------------------------
If PE and project-level NEPA           No...........................  Track 1--FD/Construction.
 documentation is complete, is a 50
 percent (or greater) non-Federal
 match available?
                                       Yes..........................  Track 4--FY 2008/2009 Appropriations
                                                                       Projects (or Track 1--Projects).
----------------------------------------------------------------------------------------------------------------

    After selecting the appropriate application Track, prospective
applicants should consult the relevant Track-specific and general
information contained in the balance of this document.

2.4 Anticipated Award Amounts

    Tracks 1 and 2--Awards under Tracks 1 and 2 will be made using a
portion of the $8 billion appropriated through ARRA. FRA anticipates
making multiple awards under Track 1 as a result of this solicitation;
however, FRA will not award all of the available $8 billion to Track 1
applicants. Funds will be reserved for award to Track 2 applications
under this solicitation, and likely to Tracks 1 and 2 in potential
future rounds of solicitations--as described in Section 5. As the
authorizations underlying Tracks 1 and 2 are new, the FRA cannot
provide an average amount of funding per award in previous years.
    Tracks 3 and 4--Awards under Tracks 3 and 4 will be made using the
$90 million dedicated to Capital Grants to States--Intercity Passenger
Rail Service in the FY 2009 DOT Appropriations Act, plus the remaining
funds appropriated for the same purpose in the Capital Assistance to
States--Intercity Passenger Service Program in the FY 2008 DOT
Appropriations Act (currently estimated at $1,893,073). In accordance
with the provisions of the Appropriations Acts, no more than 10 percent
of appropriated amounts in each fiscal year ($9,540,500 of the
available funds) may be allocated to Track 3--Planning, with the
balance available for Track 4--FY2009 Appropriations Projects. These
funds require a non-Federal match of at least 50 percent of total
project cost.

2.5 Types of Awards

    The table below summarizes the characteristics of funding awards by
Track. For specific grant conditions, refer to section 6 and appendix
3.

                                              Award Characteristics
----------------------------------------------------------------------------------------------------------------
                                                                                Track 4--FY 2009
                                   Track 1--projects   Track 2--programs   Track 3--planning    appropriations
                                                                                projects
----------------------------------------------------------------------------------------------------------------
Legislative Funding Source......   ARRA.....   ARRA.....   FY 2009,    FY 2009,
                                                                           2008 DOT            2008 DOT
                                                                           Appropriations      Appropriations
                                                                           Act.                Act.
Available Funding...............   Portion     Portion     Up to       No less
                                   of $8 B.            of $8 B.            $9.54 M.            than $82.3 M.
Instrument of Commitment........   Final       Letters                 Final
                                   Design/             of Intent.          Cooperative         Design/
                                   Construction                    Agreements.         Construction
                                   Grants.             Cooperative                             Grants.
                                   PE/NEPA     Agreements.
                                   Cooperative
                                   Agreements.
Match Requirement...............   Up to       Up to       At least    At least
                                   100% Federal        100% Federal        50% non-Federal     50% non-Federal
                                   share.              share.              match.              match.
----------------------------------------------------------------------------------------------------------------

2.5.1 Track 1
    The FRA will make awards under Track 1 through either: (a) Grant
agreements supporting FD and project construction; or (b) cooperative
agreements for completion of PE and/or project-level NEPA
documentation. Construction grants will fund both FD (if not already
completed) and construction of projects for which PE and project-level
NEPA documentation is complete at the time of application.\9\ FD/
construction grant recipients will be required to obtain FRA approval
prior to the commencement of construction activities (the process will
be set out in the grant agreement). The grant agreement can also be
structured to cover alternative construction scenarios, such as through
a design-build type approach. Applicants under Track 1 will be
considered for funding under either Intercity Passenger Rail Corridor
Capital Assistance Grants (Section 301 of PRIIA), or Congestion Grants
(Section 302 of PRIIA). Eligible projects intended to reduce congestion
by alleviating major rail capacity bottlenecks, particularly those that
benefit multiple railroad operators (e.g. Intercity Passenger Rail,
rail freight, and commuter rail) in a congested corridor, will likely
be considered for funding under the Congestion Grant program. Note that
where multiple railroad operations benefit from project(s), FRA will
expect the costs for such project(s) to be shared proportional to the
benefit each operator accrues from the investment.
---------------------------------------------------------------------------

    \9\ If substantial progress on NEPA documentation has been made
on NEPA documentation, application may be reviewed for FD/
Construction grant funding; in any case, project-level NEPA
documentation must be complete at time of grant agreement.
---------------------------------------------------------------------------

    Under Track PE/NEPA cooperative agreements, FRA will be more
involved in the project through collaborative work with the recipient.
In addition to providing technical assistance to the recipient, FRA
will participate in key project meetings, and will assist in the
preparation of engineering and environmental documents. FRA will also
be responsible for approving project deliverables at key milestones,
and providing authorization for progressing with subsequent stages of
the project.
2.5.2 Track 2
    Under Track 2, FRA may issue Letters of Intent (LOI) for Service
Development Programs, and make subsequent awards for program components
through cooperative agreements.
    The issuance of a LOI represents the expression of FRA's full
support of a Service Development Program, and the funding contingently
committed through an LOI will be reserved for that Service Development
Program from the $8 billion in available ARRA funding. An LOI will
include milestones for completion of work needed to advance the program
into obligation and completion; if milestone deadlines are not met,
funding reserved under an LOI will be returned to the pool of funds
available for future solicitations.
    As milestones under an LOI are reached, FRA will obligate funding
to implement approved portions of the program through a cooperative
agreement. Funding to complete remaining PE and project-level NEPA
would be awarded immediately following the issuance of the LOI. Funding
for FD/construction would be awarded through a grant or cooperative
agreement as milestones are reached (e.g., completion of PE and NEPA
for project(s) with independent utility. Even after funds are converted
from LOI into a cooperative/grant agreement (i.e., obligated), grantees
will be required to obtain FRA approval prior to the commencement of
construction activities. This process will be included in the grant
agreement (which could also be structured to address options such as a
design-build implementation approach).
    Recognizing the unique challenges posed by complex new corridor
programs, a higher level of Federal oversight and support will be
involved than under standard grant agreements. The substantial Federal
involvement of FRA will extend across all aspects of Service
Development Programs and will include technical assistance, review of
interim work products, support for environmental reviews, review of PE
and FD, and continuous program oversight.
2.5.3 Track 3
    FRA will make awards under Track 3 using the $9,540,500 available
under the FY 2008/2009 DOT Appropriations Acts through cooperative
agreements. The substantial Federal involvement for Intercity Passenger
Rail planning activities would include agreement on the scope of study,
review of draft studies, and acceptance of final deliverables.
Recognizing the importance of planning to the long-term success of the
HSIPR Program and the limited funding available under existing
appropriations, FRA will favorably consider applicant expenditures for
High-Speed Rail/Intercity Passenger Rail project planning when
evaluating the State share or matching contributions component of an
evaluation under subsequent solicitations.
2.5.4 Track 4
    Awards under Track 4 will be made using $82 million available under
the FY 2009 DOT Appropriations Act for non-planning Intercity Passenger
Rail Capital Assistance to States, as well as remaining non-planning
funding under the analogous FY 2008 DOT Appropriations Act funding. FRA
anticipates making one or more awards, and awarding the entire $82
million under Track 4 as a result of this solicitation.
    Funding under Track 4 cannot exceed 50 percent of a project's total
cost. States are the only eligible applicants under Track 4, and must
be able to certify in their applications as to the availability of the
matching funds. As the source of the Federal funds is a regular annual
appropriation rather than ARRA, requirements specific to ARRA (e.g.,
job retention and creation as an evaluation factor, and various
reporting requirements) need not be met, although States are encouraged
to do so.
    The average amount of Federal funding per non-planning award in the
analogous FY 2008 program was $2.75 million.

Section 3: Eligibility Information

    Applications will be required to meet minimum requirements for each
Track in terms of applicant eligibility, project eligibility, and the
fulfillment of other Track-specific application prerequisites.
    To the extent that an application's substance exceeds the minimum
eligibility requirements described below, such qualifications will be
considered in evaluating the merits of an application.

3.1 Eligible Applicant Types

    Eligibility of different types of applicants varies by Track and
authorization, as summarized below.

                                              Applicant Eligibility
----------------------------------------------------------------------------------------------------------------
                                    Track 1--projects     Track 2--programs       Track 3--     Track 4--FY 2008/
                                 --------------------------------------------     planning            2009
                                                                             ------------------  Appropriations
                                                                                projects
                                    PRIIA      PRIIA      PRIIA      PRIIA       FY2008/2009   -----------------
                                   Section    Section    Section    Section    Appropriations      FY2008/2009
                                     301        302        301        501           acts         Appropriations
                                                                                acts
----------------------------------------------------------------------------------------------------------------
States..........................   [check]    [check]    [check]    [check]           [check]           [check]
Groups of States................   [check]   .........   [check]    [check]   ................  ................
Interstate Compacts.............   [check]   .........   [check]    [check]   ................  ................
Public agencies established by     [check]   .........   [check]   .........  ................  ................
 one or more States and having
 responsibility for providing
 Intercity Passenger Rail
 service........................
Public agencies established by    .........  .........  .........   [check]   ................  ................
 one or more States and having
 responsibility for providing
 High-speed Passenger Rail
 service........................
Amtrak..........................   [check]    [check]   .........   [check]   ................  ................
                                       \*\       \**\
----------------------------------------------------------------------------------------------------------------
\*\ Amtrak may enter into a cooperative agreement with one or more States to carry out an eligible project
\**\ Amtrak is eligible in cooperation with States.

    Further detail on the definitions of ``eligible applicants'' is
available in Appendix 3 under ``Applicant Types.''
3.1.1 Track 1
    An entity seeking assistance under Track 1 must meet the definition
of an ``applicant'' under the funding authorization that would pertain
to its proposal(s)--either Section 301 (Intercity Passenger Rail
Corridor Capital Assistance) or Section 302 (Congestion Grants) of
PRIIA. Eligible applicant entities under those sections are as follows:
     Intercity Passenger Rail Corridor Capital Assistance
(Section 301)--States (including the District of Columbia), groups of
States, Interstate Compacts, and public agencies established by one or
more States and having responsibility for providing intercity passenger
rail service.
     Congestion Grants (Section 302)--States (including the
District of Columbia), or Amtrak (in cooperation with States).
3.1.2 Track 2
    An entity seeking assistance under Track 2 must meet the definition
of an ``applicant'' under the funding authorization that would pertain
to its proposal(s)--either Section 301 (Intercity Passenger Rail
Corridor Capital Assistance) or Section 501 (High-Speed Rail Corridor
Development) of PRIIA. Eligible applicant entities under those sections
are as follows:
     Intercity Passenger Rail Corridor Capital Assistance
(Section 301)--States (including the District of Columbia), groups of
States, interstate compacts, and public agencies established by one or
more States and having responsibility for providing Intercity Passenger
Rail service.
     High-Speed Rail Corridor Development (Section 501)--States
(including the District of Columbia), groups of States, interstate
compacts, and public agencies established by one or more States and
having responsibility for providing High-Speed Rail service, or Amtrak.
3.1.3 Tracks 3 and 4
    Only States, including District of Columbia, are eligible to apply
under Tracks 3 and 4.

3.2 Applicant and Key Partner Qualifications

    For an application submitted by an eligible entity to be considered
under any Track, it must affirmatively demonstrate that the applicant
has or will have the legal, financial, and technical capacity to carry
out the proposal. In addition, for FD/construction applications under
Tracks 1, 2, and 4, the applicant must demonstrate that it has or will
have satisfactory continuing control over the use of equipment or
facilities acquired, constructed, or improved by the project, and the
capability and willingness to maintain such equipment or facilities.
Further discussion of how applicants can demonstrate compliance with
these minimum qualifications appears in Appendix 1.2.
    Entities other than States must submit information and
documentation demonstrating the fulfillment of the minimum applicant
qualifications described in this section as part of a preapplication
(see Section 4.3. for complete preapplication information and
documentation requirements). On the basis of such information, FRA will
issue a written decision on the entity's eligibility as an applicant.

3.3 Cost Sharing and Matching

3.3.1 Treatment of Applicant Cost Sharing
<IP_ADDRESS> Track 1
    Pursuant to the provisions of the ARRA appropriation for High-Speed
Rail/Intercity Passenger Rail, the Federal share of the costs of
projects issued grants under Track 1 of this solicitation will be, at
the option of the recipient, up to 100 percent.
    The evaluation criteria provide preference to applicants, should
the applicant choose the option of leveraging federal funds with
contributions from its own project partners' resources toward the costs
of its proposed project. These contributions may be considered in
evaluating the merit of its application (See section 5 for a complete
description of evaluation and selection criteria).
<IP_ADDRESS> Track 2
    As in the case for Track 1, the Federal share of the costs of
projects issued grants under Track 2 of this solicitation shall be, at
the option of the recipient, up to 100 percent.
    Again, the evaluation criteria provide preference to applicants
that leverage federal funding with non-Federal investment. Applicants
for Service Development Programs who do not choose to contribute their
own or their project partners' resources toward the costs of the
proposed project, and who (i) have not demonstrated continuous,
sustained support to the proposed program, and (ii) do not have a
demonstrable history of capital investment in intercity passenger rail,
may, as a condition of the obligation of

funding for FD/construction activities, be required to establish a
Capital Reserve Account funded by their own dedicated financial
resources. Funds deposited by recipients into a Capital Reserve Account
would be used to pay for any project cost overruns.
<IP_ADDRESS> Tracks 3 and 4
    Pursuant to the provisions of the FY 2008/2009 DOT Appropriations
Acts, the Federal share of the costs of projects issued grants under
Tracks 3 and 4 of this solicitation may not exceed 50 percent.
    If an applicant chooses the option of contributing, from its own or
its partner project stakeholders' resources, more than 50 percent of
the costs of its proposed project, such additional contributions will
be considered in evaluating the merit of its application (See Section 5
for a complete description of evaluation and selection criteria).
3.3.2 Requirements for Applicant Cost Sharing
    Whether optional (under Tracks 1 and 2) or mandatory (under Tracks
3 and 4), an applicant's contribution toward the cost of its proposed
project may be in the form of cash or, with FRA approval, in-kind
contributions of services, supplies, equipment, or real estate. As part
of its application, an applicant offering an in-kind contribution must
provide a documented estimate of the monetary value of any such
contribution, and its eligibility under 49 CFR 18.24.
    The applicant must provide as part of its application documentation
that demonstrates that it has committed and will be able to fulfill any
pledged contribution, including committing any required financial
resources that are budgeted or planned at the time the application is
submitted. Furthermore, any applicant under Tracks 1 and 2 who seeks to
contribute toward its proposed project funds from another Federal
financial assistance program that itself requires a match, should be
aware of the prohibition in many such programs of using any Federal
funding (such as that being applied for under this program) as a
matching share (See 49 CFR 18.24(b)(3)). Funds from other Federal
financial assistance programs may not be used to satisfy the 50 percent
match requirement under Tracks 3 and 4.

3.4 Grantee Responsibility for Project Delivery, Cost Overruns, and
Contributions Due From States under PRIIA Section 209

    All applicants will be required to demonstrate the ability to:
     Absorb any cost overruns and deliver the proposed project
with no Federal funding or financial assistance beyond that provided in
grant or cooperative agreement; and
     Cover all future cash needs associated with the service
benefiting from the proposed program/project and allocated to States as
a result of the costing methodology to be developed under Section 209
of the PRIIA.

3.5 Eligible Projects

3.5.1 Track 1
    Track 1 consists of two sub-Tracks: Track 1 FD/construction and
Track 1 PE/NEPA work in support of construction projects. To be
eligible under either Track 1 FD/construction or Track 1 PE/NEPA a
project for which construction or PE/NEPA funding is sought must be
eligible under Section 301 (Intercity Passenger Rail Corridor Capital
Assistance) and/or Section 302 (Congestion Grants) of PRIIA.
<IP_ADDRESS> Intercity Passenger Rail Corridor Capital Assistance (PRIIA
Section 301) Eligible Projects
    Eligible projects for Intercity Passenger Rail Corridor Capital
Assistance funding under Track 1 include:
     Acquiring, constructing, improving, or inspecting
equipment, track and track structures, or a facility for use in or for
the primary benefit of Intercity Passenger Rail service, including
High-Speed Rail; expenses incidental to the acquisition or construction
(including designing, engineering, location surveying, mapping,
inspecting, environmental studies, and acquiring rights-of-way);
payments for the capital portions of rail trackage rights agreements;
highway-rail grade crossing improvements related to Intercity Passenger
Rail service; mitigating environmental impacts; communication and
signalization improvements; and relocation assistance, acquiring
replacement housing sites, and acquiring, constructing, relocating, and
rehabilitating replacement housing;
     Rehabilitating, remanufacturing, or overhauling rail
rolling stock and facilities used primarily in Intercity Passenger Rail
service; and
     Projects to provide access to Intercity Passenger Rail
service rolling stock for nonmotorized transportation, including
bicycles and recreational equipment, and to provide storage capacity in
intercity passenger trains for such transportation, equipment, and
other luggage, to ensure passenger safety.
<IP_ADDRESS> Congestion Grants (PRIIA Section 302) Eligible Projects
    Eligible projects for Congestion Grants funding under Track 1
include facilities, infrastructure, and equipment for high-priority
rail corridor projects necessary to reduce congestion or facilitate
ridership growth in Intercity Passenger Rail transportation, including
High-Speed Rail, as mandated in PRIIA Section 302.
    To be eligible for Congestion Grant program funding in Track 1, an
applicant must demonstrate that the proposed project:
     Has been identified by Amtrak as necessary to reduce
congestion or facilitate ridership growth in Intercity Passenger Rail
transportation along heavily traveled rail corridors; or
     Is sufficiently advanced to fulfill the PRIIA Section 302
purposes on an expedited schedule.
    Applicants should give particular consideration to applying for
Congestion Grants funding under circumstances in which the proposed
project meets the eligibility requirements described above and:
     Is anticipated to result in significant joint benefits for
multiple railroad operators (e.g., Intercity Passenger Rail, rail
freight, and commuter rail) in a congested corridor, with proportional
cost sharing among the operators;
     Involves the construction or improvement of infrastructure
that will significantly benefit, but which will not be directly used
by, Intercity Passenger Rail service (e.g., freight bypasses); and/or
     Will benefit service within one State, but will be
physically located within another State--under such circumstances, the
benefiting State may choose to cooperate with Amtrak or through a
regional compact to put forward an application for the proposed
project.
3.5.2 Track 2
    Service Development Programs and phases of such programs, that are
applied for under Track 2 must consist of a coordinated and
comprehensive grouping of projects intended to result in the
introduction of new services or significant improvements to existing
services that are eligible under PRIIA Section 301 and/or Section 501.
<IP_ADDRESS> Intercity Passenger Rail Corridor Capital Assistance (PRIIA
Section 301)
    Eligible Projects
    These are listed under Track 1, above.

<IP_ADDRESS> High-Speed Rail Corridor Development (PRIIA Section 501
Eligible Projects)
    Eligible projects for High-Speed Rail Corridor funding under Track
2 include:
     Acquiring, constructing, improving or inspecting
equipment, track and track structures, or a facility for use in or for
the primary benefit of High-Speed Rail service; expenses incidental to
the acquisition or construction (including designing, engineering,
location surveying, mapping, environmental studies, and acquiring
rights-of-way); payments for the capital portions of rail trackage
rights agreements; highway-rail grade crossing improvements related to
High-Speed Rail service; mitigating environmental impacts;
communication and signalization improvements; and relocation
assistance, acquiring replacement housing sites, and acquiring,
constructing, relocating, and rehabilitating replacement housing.
Projects must be located on a high-speed rail corridor designated by
the Secretary pursuant to 23 U.S.C. 104(d)(2).
3.5.3 Track 3
    Eligible planning studies are those that:
     Lead to the completion of a SDP to support future
applications under Track 2--Programs;
     Identify and compare the costs, benefits, and impacts of a
range of transportation alternatives, including High-Speed Rail and/or
Intercity Passenger Rail, as a means of providing decision makers with
the information necessary to implement appropriate transportation
solutions;
     Support the preparation of environmental documents that
are prerequisite to the fulfillment of Service NEPA; and
     Consist of operational analyses and simulations, and
projections of future service requirements, leading to systematic and
rational priority lists of projects that could be eligible for PRIIA
Section 301 or 302 funding, and could ultimately contribute to SDPs.
3.5.4 Track 4
    To be eligible for funding under Track 4, a proposed project must
be specifically included in the applicant State's Statewide
Transportation Improvement Plan (STIP) at the time of application.
Eligible types of projects under Track 4 include (1) acquiring,
constructing, or improving equipment, track and track structures, or a
facility for use in or for the primary benefit of Intercity Passenger
Rail service including High-Speed Rail service, (2) expenses incidental
to the acquisition or construction (including designing, engineering,
location surveying, mapping, environmental studies, and acquiring
rights-of-way), (3) highway-rail grade crossing improvements related to
Intercity Passenger Rail service, (4) mitigating environmental impacts,
(5) communication and signalization improvements, and (6)
rehabilitating, remanufacturing, or overhauling rail rolling stock and
facilities used primarily in Intercity Passenger Rail service.
3.5.5 Rail Operating Expenses
    In no cases are Federal funds eligible to be used for rail
operating expenses.

3.6 Other Prerequisites

3.6.1 General Prerequisites
    In general, proposals under all Tracks must meet the following
additional prerequisites:
     Applications must be complete, as defined in this notice;
     The complete application must demonstrate that the project
has been identified through a rational planning process (ideally a
High-Speed Rail/Intercity Passenger Rail SDP);
     The project (except for a planning project under Track 3)
must be consistent with an overall plan for developing the benefiting
High-Speed Rail/Intercity Passenger Rail service; and
     The project (except for a planning project under Track 3)
must result in independent utility, as defined under Section 2.2 of
this notice.
3.6.2 Prerequisites for Construction Grants
    If the applicant is seeking a construction grant, then the
application must demonstrate all of the following:
     That PE (as defined under Section 2.2 of this notice) has
been completed for the proposed project, resulting in project designs
that are reasonably expected to conform to all regulatory, safety,
security, and other design requirements, including those under the
Americans with Disabilities Act (ADA);
     That a Project NEPA document (e.g., a CE exclusion
worksheet, a completed EA, or a completed final EIS, as defined under
Section 2.2 of this notice) has been completed for the proposed
project;
     That the applicant has reached, at a minimum, agreements
in principle with key project partners, including but not limited to
infrastructure-owning railroads and the railroad that operates or will
operate the benefiting High-Speed Rail/Intercity Passenger Rail
service, as to the scope of the proposed project and the realization of
the operating benefits (e.g., those reflected in changes to schedules)
it is intended to generate; and
     That the applicant has developed a project management plan
for managing the implementation of the proposed project, including the
management and mitigation of project risks; and
     That the applicant has developed a Financial Plan--for
each phase of service that details the ``sources and uses'' of both
capital and operating funding.
3.6.3 Prerequisites for Equipment Procurement or Design Grants
    If the applicant is seeking a grant for the procurement or design
of railroad equipment, the proposed equipment should be consistent with
Section 305 of PRIIA, which calls for the establishment of a
standardized next-generation rail corridor equipment pool. Compliance
with Section 305 of PRIIA will assist in creating the economies of
scale necessary to achieve the Administration's goal, as outlined in
FRA's Strategic Plan, of developing a sustainable railroad equipment
manufacturing base in the United States.
3.6.4 Selection of Proposed Operator (Tracks 1 and 2 only)
    If the applicant has not selected the proposed operator of the
benefiting High-Speed Rail/Intercity Passenger Rail service
competitively, then the application must demonstrate why the proposed
operator is the best choice, taking into account all relevant
quantitative and qualitative factors, and that use of the proposed
operator will not needlessly increase the cost of the project or of the
operations that it enables or improves.
3.6.5 Service Development Plan (Track 2 Only; Desirable for Other
Tracks)
    All applicants under Track 2 are required to have completed all the
components of an High Speed Rail/Intercity Passenger Rail SDP, as
defined in Appendix 2.1 of this guidance.
3.6.6 Positive Train Control (PTC)
    If the project involves improvements to railroad signaling/control
systems, then the application must demonstrate that the proposed
improvements are consistent with a comprehensive plan for complying
with the requirements for PTC implementation under Section 104 of the
Rail Safety Improvement Act of 2008 (``RSIA,'' Division A of Pub. L.
110-432, October 16, 2008, codified at 49 U.S.C. 20147).

3.6.7 Inclusion in STIP (Tracks 3 and 4 Only)
    Proposed projects must be specifically included in the applicant
State's STIP at the time of application to be eligible.

3.7 Eligibility Restrictions

    Pursuant to the provisions of PRIIA and ARRA, and the funding
approach described in Section 1.6 of this notice, certain types of
applications would be subject to various eligibility restrictions. The
following table shows ineligible types of applications by Track.

                                            Eligibility Restrictions
----------------------------------------------------------------------------------------------------------------
                                                                              Ineligible under track
                                                                 -----------------------------------------------
                                                                       1           2           3           4
----------------------------------------------------------------------------------------------------------------
Applications submitted by private entities other than Amtrak.             x           x           x           x
 Amtrak's eligibility as an applicant is restricted to PRIIA
 Section 302 (in cooperation with a State) and Section 501......
For projects for which commuter rail passenger transportation is          x           x           x           x
 the primary intended beneficiary;..............................
For projects involving the development of State Rail Plans or             x           x   ..........          x
 High-Speed Rail/Intercity Passenger Rail SDPs;.................
For projects intended to support the introduction of a new                x   ..........  ..........          x
 Intercity Passenger Rail service (as defined under Section 2.2
 of this notice);...............................................
For projects involving significant construction of railroad               x   ..........  ..........          x
 infrastructure on a new (e.g., greenfield, outside of existing
 railroad rights-of-way) or previously abandoned alignment;.....
For multiple discrete projects that would collectively yield a            x   ..........  ..........          x
 significant benefit to Intercity Passenger Rail services
 operating in one or more corridors. FRA will consider the
 magnitude of the service improvement (e.g., travel-time savings
 and frequency increases), the total cost of the investment, and
 the geographic scope of the proposed projects (e.g., at
 multiple versus contiguous sites within the corridor) in
 determining whether an application (or group of applications)
 falls within the scope of this restriction; or.................
For projects in which the physical improvements are located               x   ..........  ..........          x
 outside of the United States. However, in the case of a joint
 project of a State or group of States and a foreign government,
 in which construction of all physical improvements outside the
 United States will be paid for by the foreign participants,
 planning, PE and NEPA work applicable to both the U.S. and
 foreign portions of the project is eligible if funded on a
 proportional basis.............................................
For any expenses associated with passenger rail operating costs           x           x           x           x
 of rail operators..............................................
----------------------------------------------------------------------------------------------------------------

    Additional restrictions are fully described in Section 4.3.8 of
this notice.

Section 4: Application and Submission Information

4.1 Applying Online

    FRA participates in the Grants Management Line of Business (GMLoB)
E-Gov initiative. As part of that initiative, FRA uses the
Administration for Children and Families' (ACF) GrantSolutions (GS)
Grants Management System. All applications must be submitted to FRA
through GrantSolutions. To access the system, go to https://
www.grantsolutions.gov. If you have any problems accessing GS, please
contact the Custom Applications Support and Training Unit (CAST)
helpdesk at 1-800-618-0223 or<EMAIL_ADDRESS>     Applicants must register in GS, obtain a Data Universal
Number System (DUNS) number and register their organization with the
Central Contractor Registration (CCR) database prior to applying in GS.
Applicants should begin the process immediately to meet the application
submission deadlines.
     Standard application forms (identified in Section
<IP_ADDRESS>), will be available electronically on the Funding Opportunity
page at http://www.GrantSolutions.gov. The Funding Opportunity screen
provides applicants with general announcement information and access to
all application kit materials in order to view and print application
forms and information. In addition, applicants can apply online through
this screen.
     Program-specific preapplication and application forms
(also identified in Sections 4.3 and 4.4 below) may be downloaded from
FRA's Web site at http://www.fra.dot.gov/HSR_IPR_Program.

4.2 Address to Request Application Package

    If Internet access is unavailable, please write to FRA at the
following address to request a paper application:
U.S. Department of Transportation,
Federal Railroad Administration,
Attn: HSIPR Program Information (RDV-10),
Mail Stop 20,
1200 New Jersey Ave., SE.,
Washington, DC 20590.

4.3 Content and Form of Application

4.3.1 Preapplication
    All prospective applicants for all Tracks must submit a
preapplication in order to establish communication with FRA, and to
afford FRA an opportunity to provide feedback to the prospective
applicant as to the suitability of their proposed project under the
Track that the applicant proposes to use. Preapplications should be
submitted as early as possible, but no later than July 10, 2009, and
applicants should not wait for submission of, or any comments on, a
preapplication before preparing their full applications. Prospective
applicants for potential future funding rounds of solicitations are not
required to submit a preapplication at this time. FRA will announce any
corresponding application as needed.
    Preapplications consist of the following components:
     Project Description--A brief overview of the project's
main features, type of proposed improvement, location, purpose,
expected outcome, cost, ownership arrangements and the Intercity
Passenger Rail service(s) that will benefit from the project;
     Project Development Status--The status of key project
development elements, such as completion of the planning documents
through which the project was identified, engineering work, and NEPA
documentation; and
     Applicant Eligibility--Answers to questions regarding cost
sharing, and applicant and key partners' legal, financial, and
technical capacity to carry out their proposed project.
    Prospective applicants that do not fall within the definition of a
State will also

be required to provide copies of documentation (or references (URLs) to
such documentation that is located on the Internet) that supports the
answers provided in the preapplication form. Such supporting
documentation should include (to the extent available), but need not be
limited to, copies of laws that established the applicant as a legal
entity, contractual agreements between States (either as a group of
States or an interstate compact), financial statements and audit
reports, and technical reports demonstrating the applicant's technical
capacity and experience in carrying out projects similar to that
proposed.
    In an effort to focus application efforts and remedy concerns, FRA
may contact potential applicants if there are any questions that arise
from the information submitted in a preapplication, or if the
information raises questions as to the eligibility of the proposed
project or its proper classification by Track. For preapplications
submitted by applicants that do not fall within the definition of a
State, and for preapplications under Track 2, FRA will contact the
prospective applicants to kick-off discussions for the preparation of
the application.
4.3.2 Application Administrative Requirements
    Prior to submitting an application, prospective applicants must
have completed two administrative requirements: Establishment of a DUNS
(Data Universal Numbering System) number, and registration in the
Central Contractor Registration (CCR) database. These requirements need
not be completed prior to submitting a preapplication, but FRA
encourages applicants to begin the process immediately to meet the
application submission deadlines.
    All applicants must include a DUNS number in their application.
Applications without a DUNS number are incomplete. A DUNS number is a
unique nine-digit number recognized as the universal standard for
identifying and keeping track of entities receiving Federal funds. The
identifier is used for tracking purposes and to validate address and
point of contact information for Federal assistance applicants,
recipients and subrecipients. The DUNS number will be used throughout
the grant lifecycle. Obtaining a DUNS number is a free, simple, one-
time activity. Obtain a number by calling 1-866-705-5177 or by applying
online at http://fedgov.dnb.com/webform/displayHomePage.do.
    FRA also requires that all applicants (other than individuals) for
Federal financial assistance maintain current registrations in the CCR
database. The CCR database is the repository for standard information
about Federal financial assistance applicants, recipients and
subrecipients. Organizations that have previously submitted
applications via http://www.grants.gov are already registered with CCR,
as it is a requirement for www.grants.gov registration. Please note,
however, that applicants must update or renew their CCR registration at
least once per year to maintain an active status. Information about
registration procedures can be accessed at http://www.ccr.gov.
4.3.3 Application Package Components
    The application package for the HSIPR Program consists of three
components--(1) program-specific application forms--Narrative and
Templates Form--available from FRA's Web site at: http://
www.fra.dot.gov/us/content/2243, (2) supporting documentation, and (3)
standard application forms available through http://
www.GrantSolutions.gov. Applicants must complete all three components
of the application package as required by Track and listed in the
section 4.2.5 application checklist; failure to do so may result in the
application being removed from consideration for award. Both the
standard application forms and the Narrative and Templates Form must be
submitted through http://www.GrantSolutions.gov_with standard forms
submitted directly as electronic forms, and program-specific forms
submitted as attachments to the application.
<IP_ADDRESS> Narrative and Templates Form
    The most significant component of the application package is the
Narrative and Templates Forms, forms into which the applicant enters
specific information about the proposed project. The forms include
templates that have been developed by FRA to capture pertinent
qualitative and quantitative program-specific information needed for
FRA to confirm applicant and project's eligibility for the HSIPR
Program, and information needed for evaluation and selection of
applications. These forms will be used to conduct a comprehensive
benefit cost analysis. The forms allow for the applicant to make
quantitative and qualitative arguments of the public return on
investment. In order to conduct this analysis FRA requires specific
quantitative data relating to service outputs (delay reduction,
schedule improvement, or capacity increases), and transportation
outputs (increases in passenger-miles traveled on Intercity Passenger
Rail services, including shifts from other modes of transportation).
    The information entered into the Narrative and Templates Form falls
into two categories: (1) Narrative information, provided in response to
specific application questions, with length limitations for each
response; and (2) structured and/or quantitative information, which is
entered into tables contained in the Forms. Applicants may track and
submit the Narrative and Templates Forms through GrantSolutions.
Separate Track-specific Narrative and Template Forms are tailored to
corresponding tracks.
    Information requested in the Narrative and Templates Form includes
information on project overview, planning, purpose and need, project
development status, project benefits--economic recovery,
transportation, environmental and livable communities--project
estimate/budget, applicant qualifications, stakeholder agreements and
financial and operation information. Completing the FRA-developed forms
is expected to facilitate information input for required OMB standard
forms described in section <IP_ADDRESS> below.
<IP_ADDRESS> Application Supporting Documentation
    In order to provide information referenced in the Narrative and
Templates Form, applicants must submit additional documentation
supporting their entries on the forms and confirming their eligibility
under the proposed Track. The supporting documentation should largely
include information that applicants developed during project planning
activities thus, the format and structure of supporting documents is at
the discretion of the applicant. Supporting documentation may be
provided one of three ways--(1) as attachments to the application; (2)
as Internet references (URLs) to documentation that is available
online; or (3) in hard copy for materials that cannot otherwise be
provided (such as oversized engineering drawings). Applicants should
provide any URL references for supporting documentation, along with
notifications of any documentation being submitted in hard copy, in the
appropriate section of the narrative and templates form. The supporting
documentation includes items as specified below:
     PE Materials--Applicants should provide any documents that

demonstrate the PE status (or FD, if completed) of the proposed
project. The PE requirements are detailed in Section 2.2 and Appendix
2.2. The submission of PE Materials is required for Track 1 FD/
construction, Track 2 and Track 4. PE Materials should be submitted as
attachments to the application in GrantSolutions. If large-format
materials cannot be submitted electronically, they should be mailed to
FRA as described in Section 4.3.9
     NEPA Documentation--Applicants should provide any
documents that demonstrate the NEPA status of the proposed project. The
NEPA requirements are defined in Appendix 3.2.9 and detailed by track
in Section 1.6. The submission of NEPA documentation is required for
Track 1 FD/construction, Track 2 and Track 4.
     Project Management Plan--Applicants should provide a
project management plan (or equivalent) that documents assumptions and
decisions regarding the communication, management processes, execution
and overall project control. The project management plan shall be
submitted by applicants to Tracks 1 FD/construction, Track 2 and Track
4. The form and structure of the project management plan (or
equivalent) is at the discretion of the applicant.
     Stakeholder Agreements--Applicants should provide
documents that demonstrate the status of all stakeholder agreements
including agreements with interstate partners, host railroads, right-
of-way owners and contract railroad operator providing service. The
form and structure of the stakeholder agreements are at the discretion
of the applicant however, agreements should satisfy the eligibility and
award requirements listed in Appendix 1.1 and 1.2. Stakeholder
agreements should be submitted for applicants to Track 1 FD/
construction, Track 2 and Track 4.
     Financial Plan--Applicants should provide a financial plan
(or equivalent) as per the description of the Financial Plan in Section
2.2. A financial plan (or equivalent) shall be submitted for
applications to Track 1 FD/construction, Track 2 and Track 4.
     Service Development Plan--Applicant should provide a
Service Development Plan (or equivalent) that covers three general
topics regarding the underlying Service Development Program: its
rationale, its operating strategy, and its path to implementation. The
Service Development Plan (or equivalent) is required for Track 2
applicants only, and is described in more detail in Appendix 2.1.
     Economic Stimulus--Consistent with ARRA, the Office of
Management and Budget (OMB) Updated ARRA Implementing Guidance (April
3, 2009), and Federal laws guaranteeing equal opportunity, applicants
are encouraged to provide information to assist FRA in assessing (1)
whether the applicant's proposal will promote the creating of job
opportunities for low-income workers through the use of best practice
hiring programs and apprenticeship (including pre-apprenticeship)
programs; (2) whether the project will provide maximum practicable
opportunities for small businesses and disadvantaged business
enterprises, including veteran-owned small businesses and service
disabled veteran-owned small businesses; (3) whether the project will
make effective use of community-based organizations in connecting
disadvantaged workers with economic opportunities; (4) whether the
project will support entities that have a sound track record on labor
practices and compliance with Federal laws ensuring that American
workers are safe and treated fairly; and (5) whether the project
implements best practices, consistent with the civil rights and equal
opportunity laws, for ensuring that all individuals--regardless of
race, gender, age, disability, and national origin--benefit from ARRA.
     Job Creation--Applicants should provide information
indicating whether the applicant's proposal promotes the short- or
long-term creation or preservation of jobs and new or expanded business
opportunities during construction of the project and thereafter,
including the total amount of funds that will be expended on
construction and construction-related activities by all of the entities
participating in the project and, to the extent measurable, the number
and type of jobs to be created and/or preserved by the project during
construction and thereafter, and an identification of any business
enterprises to be created or benefited by the project during its
construction and once it becomes operational. To the extent possible,
applicants should indicate whether the populations most likely to
benefit from the creation or preservation of jobs or new or expanded
business opportunities are from Economically Distressed Areas. In
addition, to the extent possible, applicants should indicate whether
the project's procurement plan is likely to create follow-on jobs and
economic stimulus for manufacturers and suppliers that support the
construction industry.
<IP_ADDRESS> Standard Forms
    The Standard Forms are developed by OMB and are required of all
grant applicants. These forms are available on www.forms.gov and should
be submitted as attachments to the application in GrantSolutions. Some
of the information required for these form will be in provided with the
Narrative and Template Form.
     Standard Form 424, Application for Federal Assistance--
This form should be scanned and submitted as an attachment to the
application in GrantSolutions. This form should be completed by all
applicants.
     Standard Form 424A, Budget Information--Non-Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants where applicable.
     Standard Form 424B, Assurances--Non-Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants to Track 1 PE/NEPA and Track 3.
     Standard Form 424C, Budget Information--Construction
Programs--This form should be scanned and submitted as an attachment to
the application in GrantSolutions. This form should be completed by
applicants where applicable.
     Standard Form 424D, Assurances--Construction Programs--
This form should be scanned and submitted as an attachment to the
application in GrantSolutions. This form should be completed by
applicants to Track 1 FD/construction, Track 2 and Track 4.
     FRA Assurances Document--This form can be obtained from
FRA's Web site at http://www.fra.dot.gov/downloads/admin/
assurancesandcertifications.pdf. The document should be signed by an
authorized certifying official for the applicant, scanned into
electronic format, and submitted as an attachment to the application in
GrantSolutions. This form should be completed by all applicants.
4.3.4 Additional Information Required Prior to Award
<IP_ADDRESS> For Construction Grants (Tracks 1, where applicable, and Track
4)
    A project NEPA determination document (a Record of Decision,
Finding of No Significant Impact, or CE determination) must have been
issued by FRA prior to award of a construction grant. In addition to
the supporting documentation required to be included

with an application, applicants will also be required to submit the
following documentation prior to their receipt of an award under Track
1.
<IP_ADDRESS> For all Tracks
    Comprehensive executed partnership agreements, fulfilling all
requirements for such agreements as set forth in Appendix 1.2.
<IP_ADDRESS> For Tracks 1 and 2
    As a condition of award, to the extent applicable, grant recipients
must comply with the certification requirements of ARRA. These include
Section 1201 (Maintenance of Effort); Section 1511 (Transparency and
Oversight); and Section 1607 (Additional Funding Distribution and
Assurance of Appropriate Use of Funds). On February 27, 2009, Secretary
of Transportation LaHood sent a letter to the Governors of each State
providing guidance and a template for the certifications required by
ARRA, a copy of which is available on DOT's ARRA Web site, at http://
www.dot.gov/recovery/. All applicable certifications must be submitted
to the DOT at<EMAIL_ADDRESS>Certifications may be submitted
via email as electronic, scanned copies, with original signed versions
to follow via U.S. mail. Additional guidance regarding these
certifications is included in Appendix 3.2.4.
4.3.5 Application Package Requirements Checklist
    The following application requirements checklist can be used by
applicants to verify the documents necessary for submission under each
Track:

                                                                  Application Checklist
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Applicable track
                                                                                ---------------------------------------------------------------------
                                                                                Track 1--projects
               Required document                               Format              ----------------------------   Track 2--     Track 3--     Track 4--
                                                                                FD/                      programs      planning    FY09 funding
                                                                                construction    PE/ NEPA
--------------------------------------------------------------------------------------------------------------------------------------------------------
Program Forms
    [ballot] Preapplication....................  Template.........................      [check]       [check]       [check]       [check]       [check]
    [ballot] Narratives and Templates Workbook   Template.........................      [check]       [check]       [check]       [check]       [check]
     (includes information on Project Benefits
     and Cost).
Supporting Documentation
    [ballot] Service Development Plan (SDP) (or  No Specified Format..............  ............  ............      [check]   ............  ............
     equivalent).
    [ballot] Preliminary Engineering (PE)        No Specified Format..............      [check]   ............      [check]   ............      [check]
     Materials.
    [ballot] NEPA Documentation................  No Specified Format..............      [check]   ............      [check]   ............      [check]
    [ballot] Project Management Plan (or         No Specified Format..............      [check]   ............      [check]   ............      [check]
     equivalent).
    [ballot] Stakeholder Agreements............  No Specified Format..............      [check]   ............      [check]   ............      [check]
    [ballot] Financial Plan (or equivalent)....  No Specified Format..............      [check]   ............      [check]   ............      [check]
Standard Forms
    [ballot] SF 424: Application for Federal     Form.............................      [check]       [check]       [check]       [check]       [check]
     Assistance.
    [ballot] SF 424A: Budget Information--Non    Form.............................  ............      [check]   ............      [check]   ............
     Construction.
    [ballot] SF 424B: Assurances--Non            Form.............................  ............      [check]   ............      [check]   ............
     Construction.
    [ballot] SF 424C: Budget Information--       Form.............................      [check]   ............      [check]   ............      [check]
     Construction.
    [ballot] SF 424D: Assurances--Construction.  Form.............................      [check]   ............      [check]   ............      [check]
    [ballot] FRA Assurances Document...........  Form.............................      [check]       [check]       [check]       [check]       [check]
--------------------------------------------------------------------------------------------------------------------------------------------------------

4.3.6 Submission Dates and Times
<IP_ADDRESS> For Tracks 1, 3, and 4
     Preapplications must be submitted to FRA via e-mail
<EMAIL_ADDRESS>(as specified in Section 4.3.9) no later than 11:59 p.m.
EDT, Friday, July 10, 2009.
     The submission date and time will be determined based on
email header information. FRA will email the applicant to confirm
receipt of preapplication submissions.
     Full applications must be submitted to GrantSolutions
(also as specified in 4.1) no later than 11:59 p.m. EDT, Friday, August
24, 2009. GrantSolutions will send the applicant an automated email
confirming receipt of the application.
     Supporting documentation that cannot be submitted
electronically through GrantSolutions may be sent by courier service
with a waybill receipt stamped no later than 11:59 p.m. EDT, Friday,
August 24, 2009. FRA will email the applicant to confirm receipt of
supporting documentation sent by courier service.
<IP_ADDRESS> For Track 2
     Preapplications must be submitted to FRA via e-mail
<EMAIL_ADDRESS>(as specified in Section 4.3.9) no later than 11:59 p.m.
EDT, Friday, July 10, 2009.
     The submission date and time will be determined based on
e-mail header information. FRA will e-mail the applicant to confirm
receipt of preapplication submissions.
     Full applications must be submitted to GrantSolutions
(also as specified in Section 4.1) no later than 11:59 p.m. EDT,
Friday, October 2, 2009? GrantSolutions will send the applicant an
automated e-mail confirming receipt of the application.
     Supporting documentation that cannot be submitted
electronically may be sent by courier service with a waybill receipt
stamped no later than 11:59 p.m. EDT, Friday, October 2, 2009. FRA will
e-mail the applicant to confirm receipt of supporting documentation
sent by courier service.

                                                 Track Deadlines
----------------------------------------------------------------------------------------------------------------
                                                                                Track 4--FY2009
                                   Track 1--projects   Track 2--programs   Track 3--planning    appropriations
                                                                                projects
----------------------------------------------------------------------------------------------------------------
Preapplication..................  July 10, 2009.....  July 10, 2009.....  July 10, 2009.....  July 10, 2009.
Application.....................  August 24, 2009...  October 2, 2009...  August 24, 2009...  August 24, 2009.
FRA Obligation..................  ASAP after          No later than       ASAP after          ASAP after
                                   selection (No       September 30,       selection.          selection.
                                   later than          2011.
                                   September 30,
                                   2010).
Project(s) Completion...........  Within 2 years of   September 30, 2017  Within 2 years of   Within 5 years of
                                   obligation.         *.                  obligation.         obligation.
----------------------------------------------------------------------------------------------------------------
* The FRA account shall be closed on that date and any remaining balance (whether obligated or unobligated) in
  the account shall be cancelled and no funds shall thereafter be available for obligation or expenditure for
  any purpose (31 U.S.C. 1552).

<IP_ADDRESS> For All Tracks
     FRA will make individual arrangements with applicants for
the submission of other information required prior to award.
     Subject to demonstration of unanticipated extenuating
circumstances, FRA may consider application materials submitted after
the deadlines prescribed above.
4.3.7 Intergovernmental Review
    This program has not been designated as subject to Executive Order
12372 pursuant to 49 CFR part 17.
4.3.8 Funding Restrictions
    In general, only those costs considered allowable pursuant to OMB
Circular A-87, ``Cost Principles for State, Local, and Indian Tribal
Governments'' (codified at 2 CFR part 225) will be considered for
funding. Additionally, the following funding restrictions will apply to
grants awarded under all Tracks, and must be taken into consideration
in the development of budget information submitted as part of
applications.
     Funding may not be used to fund expenses associated with
the operation of Intercity Passenger Rail service;
     Funding may not be used for first-dollar liability costs
for insurance related to the provision of Intercity Passenger Rail
service;
     Funding may not be for any casino or other gambling
establishment, aquarium, zoo, golf course, or swimming pool; this
restriction will be applied generally in this program, regardless of
the source of funds, and;
     While there is no cap on grant recipient's use of grant
funds for management and administrative costs, such costs must be
allowable, reasonable, allocable, and in accordance with applicable OMB
cost principles cited above.
    For Tracks funded under ARRA, FRA will also consider reimbursement
of pre-award costs incurred as early as the enactment of ARRA (February
17, 2009). However, such costs will only be considered for
reimbursement to the extent they are otherwise appropriate under
allowable costs principles, are directly related to the award, and
involve either pre-construction activities (e.g., PE, NEPA, or FD), or
construction activities that were subject to an environmental
determination under NEPA made by FRA prior to the commencement of such
construction activities. Projects for which construction activities
commenced prior to receipt of an FRA environmental determination under
NEPA will not be eligible for funding.
    For Tracks funded under the FY 2008/2009 DOT Appropriations, FRA
will also consider reimbursement of pre-award costs incurred as early
as the enactment of the FY 2009 DOT Appropriations Act (March 11,
2009). However, such costs will only be considered for reimbursement to
the extent they are otherwise appropriate under allowable cost
principles, are directly related to the award, and involve either pre-
construction activities (e.g., PE, NEPA, or FD), or construction
activities that were subject to an environmental determination under
NEPA made by FRA prior to the commencement of such construction
activities. Projects for which construction activities commenced prior
to receipt of an FRA environmental determination under NEPA will not be
eligible for funding.
4.3.9 Other Submission Requirements
    Preapplications should be submitted by e-mail to<EMAIL_ADDRESS>As
detailed in Section 4.1 of this guidance, applications, including
supporting documentation, should be submitted through GrantSolutions.
Should an applicant encounter technical difficulties using the
GrantSolutions system that may cause the applicant to miss the
application deadline, the application may be submitted by e-mail to
<EMAIL_ADDRESS>For applications submitted by email, the applicant
should print, sign, scan into electronic format (preferably Adobe
Portable Document Format (.pdf)), and attach to the submission e-mail
copies of all application forms requiring the applicant's signature.
    For supporting documentation (described in Section 4.3.3 2 of this)
that an applicant is unable to submit electronically (such as oversized
engineering drawings), applicants may submit an original and two copies
to the following address:

U.S. Department of Transportation,
Federal Railroad Administration,
Attn: HSIPR Program Information (RDV-10),
Mail Stop 20, Room W38-202,
1200 New Jersey Ave., SE.,
Washington, DC 20590.

    Due to delays caused by enhanced screening of mail delivered via
the U.S. Postal Service, applicants are advised to use other means of
conveyance (such as courier service) to assure timely receipt of
materials.

Section 5: Application Review Information

5.1 Review Criteria

    Once an application is screened for completeness and eligibility
(both applicant and project eligibility), it will go through a review
process. This process will involve two steps (detailed further in
Section 5.2): (i) Evaluation and (ii) selection. For evaluation,
applications in all Tracks will be individually reviewed and assessed
against up to seven evaluation criteria--organized into three
categories--outlined below.\10\ For each of the applicable criteria,
the application will be assigned a rating of between one and five
points, based on the application's fulfillment of the objectives of
each criterion. The ratings will be assigned by professional staff
employed by FRA and other DOT modal administration

staff as needed. Experts outside of DOT may also be considered.\11\
---------------------------------------------------------------------------

    \10\ Tracks for which the sources of funding antedated the ARRA
(i.e., Tracks 3 and 4) will not be rated on Criterion A.2, Economic
Recovery Benefits.
    \11\ Experts will be selected based on relevant qualifications
and assurance of lack of conflict of interest.
---------------------------------------------------------------------------

    These individual criterion ratings will then be combined according
to priority of criteria (which vary by Track), to arrive at an overall
rating for the application. The comparative priorities appear in the
table below.

                                         Evaluation Criteria Priorities
----------------------------------------------------------------------------------------------------------------
                                                                                Priority
                                                                 -----------------------------------------------
                       Evaluation criteria                                                  Track 3
                                                                    Track 1     Track 2      \12\       Track 4
----------------------------------------------------------------------------------------------------------------
Public Return on Investment.....................................
    1. Transportation Benefits..................................          2           1           1           1
    2. Economic Recovery Benefits...............................          1           5         n/a         n/a
    3. Other Public Benefits....................................          6           2         n/a           5
Project Success Factors.........................................
    1. Project Management Approach..............................          3           3           2           2
    2. Sustainability of Benefits...............................          5           4         n/a           3
Other Attributes................................................
    1. Timeliness of Project Completion.........................          4           6           3           4
----------------------------------------------------------------------------------------------------------------
\12\ The specifics of the relevant Track 3 Planning evaluation criteria will vary somewhat from those of Tracks
  1, 2 and 4 to reflect the unique character of planning activities.

5.1.1 Public Return on Investment
    Applications will be evaluated against the following three criteria
to assess the proposed project's ability to produce a public return on
investment, taking into account both forecasted benefits, the overall
cost of the proposed project, and the amount of Federal funding
requested. Evaluation against these criteria will consider the
qualitative factors outlined below, as supported by key quantitative
metrics. As described in Section 4, applicants for Tracks 1, 2, and 4
must provide information quantifying the anticipated benefits of the
proposed project; for Tracks 1 and 4, using service output data (delay
reduction, schedule improvement, or capacity increases), and for Track
2, using transportation output data (increases in passenger-miles
traveled on Intercity Passenger Rail services, including shifts from
other modes of transportation). For Track 3, public return on
investment criteria are limited to transportation benefits.
    Careful economic analysis that quantifies and demonstrates the
monetary value of user benefits and, if available, public benefits will
be particularly useful to FRA in evaluating the applications. The
systematic process of comparing expected benefits and costs helps
decision-makers organize information about, and evaluate trade-offs
between, alternative transportation investments. FRA will consider
benefits and costs using standard data provided by applicants and seek
to evaluate applications in a manner consistent with Executive Order
12893, Principles for Federal Infrastructure Investments, 59 FR 4233,
to base infrastructure investments on systematic analysis of expected
benefits and costs, including both quantitative and qualitative
measures.
<IP_ADDRESS> Transportation Benefits
    Each application will be assessed based on its demonstration of the
proposed project's potential to meet the purpose and need and to
achieve transportation benefits in a cost-effective manner, as set
forth through the President's strategic transportation goals and the
objectives of PRIIA. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
     Supporting the development of intercity high-speed rail
service;
     Generating improvements to Intercity Passenger Rail
service, as reflected by estimated increases in ridership (as measured
in passenger-miles), increased on-time performance (as measured in
reductions in delays), reduced trip time, additional service frequency
to meet anticipated or existing demand, and other factors;
     Generating cross-modal benefits, including anticipated
favorable impacts on air or highway traffic congestion, capacity, or
safety, and cost avoidance or deferral of planned investments in
aviation and highway systems;
     Creating an integrated Intercity Passenger Rail network,
including integration with existing Intercity Passenger Rail services,
allowance for and support of future network expansion, and promotion of
technical interoperability and standardization (including standardizing
operations, equipment and signaling);
     Encouragement of intermodal integration through provision
of direct, efficient transfers among intercity transportation and local
transit networks at train stations, including connections at airports,
bus terminals, subway stations, ferry ports, and other modes of
transportation;
     Enhancing intercity travel options;
     Ensuring a state of good repair of key Intercity Passenger
Rail assets;
     Promoting standardized equipment (or rolling stock),
signaling, communications and power;
     Improved freight or commuter rail operations, in relation
to proportional cost-sharing (including donated property) by those
other benefiting rail users;