Equitable financial participation in the project's
financing, including, but not limited to, consideration of donated
property interests or services; financial contributions by freight and
commuter rail carriers commensurate with the benefit expected to their
operations; and financial commitments from host railroads, non-Federal
governmental entities, nongovernmental entities, and others; and
     The overall safety of the transportation system, including
the encouragement of the use of PTC technologies, and commitments by
States or railroads of financial resources to improve the safety of
highway/rail grade crossings over which intercity passenger rail
service operates.
<IP_ADDRESS> Economic Recovery Benefits
    Each application will be assessed based on its demonstration of the
proposed project's anticipated positive economic and employment impacts
and

potential to promote economic recovery in a cost-effective manner,
consistent with the purposes and principles of ARRA. Factors to be
considered in assigning a rating will include the contribution the
proposed project would make to:
     Rapidly promoting new or expanding business opportunities
including the short- and long-term creation and preservation of jobs,
during construction and thereafter;
     Increasing efficiency by promoting technological advances;
     Providing long-term economic benefits; and
     Avoiding reductions in State-provided essential services.
<IP_ADDRESS> Other Public Benefits
    Each application will be assessed based on its demonstration of the
proposed project's potential to achieve other public benefits in a
cost-effective manner. Factors to be considered in assigning a rating
will include the contribution the proposed project would make to:
     Environmental quality and energy efficiency and reduction
in dependence on foreign oil, including use of renewable energy
sources, energy savings from traffic diversions from other modes,
employment of green building and manufacturing methods, reductions in
key emissions types, and the purchase and use of environmentally
sensitive, fuel-efficient, and cost-effective passenger rail equipment;
and
     Promoting livable communities, including integration with
existing high-density, livable development (e.g., central business
districts with public transportation, pedestrian, and bicycle
distribution networks, and incorporation of transit-oriented
development).
<IP_ADDRESS> Public Return on Investment for Track 3--Planning
    Planning projects will be evaluated based on the extent to which
they meet the President's strategic transportation goals by leading to
benefits to the public, including transportation accessibility and
interconnectivity. Planning projects for Intercity Passenger Rail
service will be evaluated for the extent that they: (1) Lead to
benefits for Intercity Passenger Rail including travel time reductions,
increased frequencies, and enhanced service quality; (2) resolve safety
issues; (3) resolve intercity passenger rail reliability issues; (4)
are integrated and complementary to the relevant comprehensive planning
process (23 U.S.C. 135); and (5) support livable communities. Proposed
planning projects will also be evaluated for their effectiveness in:
(1) Directly leading to project and/or Service Development Program
applications and (2) leading to NEPA for route selection; and leading
to completion of an SDP.
5.1.2 Project Success Factors
    Applications will be evaluated against the following two criteria
to assess the proposed project's likelihood of successful
implementation and realization of benefits. Evaluation against these
criteria will consider the factors outlined below, which take into
account the thoroughness and quality of the supporting documentation--
the project management plan, financing plan, and SDP (or equivalent
project planning and programming documents)--submitted with the
application.
<IP_ADDRESS> Project Management Approach
    While prioritizing projects that will generate tangible
transportation and economic benefits, each application will also be
assessed to determine the risk associated with the project's delivery
within budget, on time, and as designed. Factors to be considered in
assigning a rating will include:
     The applicant's financial, legal, and technical capacity
to implement the project including whether the application depends upon
receipt of any waiver(s) of Federal railroad safety regulations that
have not been obtained;
     The applicant's experience in administering similar grants
and projects;
     The soundness and thoroughness of the cost methodologies
and assumptions, and estimates for the proposed project;
     The adequacy of any completed engineering work to assess
and manage/mitigate the proposed project's engineering and
constructability risks;
     The reasonableness of the schedule for project
implementation;
     The thoroughness and quality of the project management
plan;
     The sufficiency of system safety and security planning;
     The timing and amount of the project's future noncommitted
investments;
     The project's progress, at the time of application,
towards compliance with environmental protection requirements;
     The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (particularly
infrastructure owning railroads) that will be involved in implementing
the project; and
     The overall completeness and quality of the application,
including the comprehensiveness of its supporting documentation.
<IP_ADDRESS> Sustainability of Benefits
    Each application will be assessed based on the risk associated with
the proposed project's capacity to generate, as planned, its
anticipated transportation and economic benefits. Factors to be
considered in assigning a rating will include:
     The presence and quality of a financial plan that analyzes
the financial viability of the proposed rail service;
     The quality and reasonableness of revenue and operating
and maintenance cost forecasts for the benefiting Intercity Passenger
Rail service(s);
     The availability of any required operating financial
support preferably from dedicated funding sources for the benefiting
Intercity Passenger Rail service(s);
     The quality and adequacy of project identification and
planning;
     The reasonableness of estimates for user and non-user
benefits for the project;
     The reasonableness of the operating service plan,
including its provisions for protecting the future quality of other
services sharing the facilities to be improved; and
     The comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (including the railroad
operating the Intercity Passenger Rail service as well as
infrastructure-owning railroads) that will be involved in the operation
of the benefiting Intercity Passenger Rail service, including the
commitment of any affected host-rail carrier to ensure the realization
of the anticipated benefits, preferably through a commitment by the
affected host-rail carrier(s) to an enforceable on-time performance of
passenger trains of 80 percent or greater.
5.1.3 Other Attributes
    Applications will also be evaluated against the following two
additional criteria.
<IP_ADDRESS> Timeliness of Project Completion
    Each application will be assessed based on the timeliness of its
implementation schedule, including:
     The readiness of the project to be commenced; and
     The timeliness of project completion and the realization
of the project's anticipated benefits.

5.2 Review and Selection Process

5.2.1 Application Evaluation Process
    Submitted applications will be screened for eligibility and
completeness. Applications determined to be both complete and eligible
will be referred to a technical evaluation panel consisting of subject-
matter experts for assignment of ratings, as described in Section 5.1.
Panel members will use a merit-based approach to review applications
based on the above evaluation criteria. Ratings assigned by the
evaluation panels will serve as the basis for a presentation of
applications to the FRA Administrator, who will determine the final
selection of applications for awards.
5.2.2 Additional Selection Criteria
    In addition to the ratings against evaluation criteria assigned by
the technical evaluation panels, the FRA Administrator may take into
account several cross-cutting and comparative selection criteria to
determine awards of funding. The Administrator will review the
preliminary results to ensure that the scoring has been applied
consistently, and that the collective results meet several key
priorities essential to the success and sustainability of the program
as detailed below.

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

    Following evaluation of each application by review panels, the
Administrator will review the preliminary results to ensure that the
scoring has been applied consistently, and that the collective results
meet several key priorities essential to the success and sustainability
of the program. To ensure a balanced national program, this review will
include:
<IP_ADDRESS> Region/Location
     Ensuring appropriate level of regional balance across the
country.
     Ensuring appropriate level of balance among large and
small population centers.
     Ensuring integration and augmentation of the nationwide
transportation network.
     Addressing the ARRA requirement to provide assistance to
economically-distressed regions most impacted by the recession.
<IP_ADDRESS> Innovation
     Pursuing new technology and innovation where the public
return on investment is favorable, while ensuring delivery of near-term
transportation, public and recovery benefits.
     Promoting domestic manufacturing, supply and industrial
development, including U.S.-based equipment manufacturing and supply
industries.
     Developing professional railroad engineering, operating,
planning and management capacity needed for sustainable Intercity
Passenger Rail development.
<IP_ADDRESS> Partnerships
     Where corridors span multiple States, emphasizing those
that have organized multi-State partnerships with joint planning and
prioritization of investments.
     Employing creative approaches to ensure workforce
diversity and use of disadvantaged and minority business enterprises.
<IP_ADDRESS> Preservation of Funding for Track 2 Program and Future Award
Rounds
     While ready-to-go projects are critical for delivering
early program benefits, the longer-term future of the program depends
on strong Track 2 corridor program development. Sufficient funds will
be set aside for Track 2 and, if possible, for future rounds of
funding.

Section 6: Award Administration Information

6.1 Award Notices

    Upon approval of an application, notification will be sent to the
grant recipient through GS that the award is waiting acceptance.
    FRA will publicly announce selected projects and funding levels.
For projects that were not selected, FRA will notify the applicant of
their decision and provide the following:
     Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
     Guidance regarding subsequent rounds (e.g., new/revised
guidance, application due dates).

6.2 Administrative and National Policy Requirements

    Grant recipients must follow all administrative and national policy
requirements including: procurement standards, compliance with federal
civil rights laws and regulations, disadvantaged business enterprises
(DBE), FRA's and OMB's Assurances and Certifications, ADA, and NEPA.
For a complete list of all administrative and national policy
requirements, refer to Appendix 3.2.

6.3 ARRA-Specific Grant Requirements

    Grant recipients receiving ARRA-funded grants must comply with all
requirements detailed in ARRA including: The prohibition on using funds
for certain activities, signage requirements, and certification
requirements. For a complete list of all ARRA-specific grant
requirements, refer to Appendix 3.3.

6.4 Program-Specific Grant Requirements

    Grant recipients receiving PRIIA-authorized grants must comply with
all requirements set forth in PRIIA, including adhering to: Buy
America, Labor Protection, and Davis-Bacon Act. For a complete list of
all PRIIA-specific grant requirements, refer to Appendix 3.4.

6.5 General Requirements

    Grant recipients must comply with reporting requirements and, where
applicable, ARRA-specific reporting requirements. All post-award
information pertaining to reporting, auditing, monitoring, and the
close-out process is detailed in Appendix 3.5.

Section 7: Questions and Clarifications

    Questions about this guidance and the application process should be
submitted to the HSIPR Program Manager via email at<EMAIL_ADDRESS>

                            List of Acronyms
------------------------------------------------------------------------
           Acronym                              Meaning
------------------------------------------------------------------------
ACF..........................  Administration for Children and Families.
ADA..........................  Americans with Disabilities Act.
April 2009 Strategic Plan....  U.S. Department of Transportation,
                                Federal Railroad Administration, Vision
                                for High-Speed Rail in America, High-
                                Speed Rail Strategic Plan [under] the
                                American Recovery and Reinvestment Act
                                of 2009, April 16, 2009; available at:
                                http://www.fra.dot.gov/Downloads/
                                Finalpercent20FRApercent20HSRpercent20St
                                ratpercent20Plan.pdf.
ARRA.........................  American Recovery and Reinvestment Act of
                                2009 (Pub. L. 111-5).
CAST.........................  Custom Applications Support and Training
                                Unit (GrantSolutions).
CCR..........................  Central Contractor Registration database.
CE...........................  Categorical Exclusion--a class of action
                                for the NEPA process.
CFS report...................  Federal Railroad Administration, High-
                                Speed Ground Transportation for America,
                                September 1997; available at: http://
                                www.fra.dot.gov/us/content/515.
Department...................  The U.S. Department of Transportation.
DUNS.........................  Data Universal Number System.
EA...........................  Environmental Assessment--a NEPA
                                document.
EIS..........................  Environmental Impact Statement-- the most
                                extensive type of NEPA document.
FD...........................  Final Design.
FONSI........................  Finding of No Significant Impact--a
                                possible decision concluding the NEPA
                                process.
FRA..........................  Federal Railroad Administration--an
                                Operating Administration of the U.S.
                                Department of Transportation.
FTA..........................  Federal Transit Administration.
FY...........................  Fiscal Year.
FY 2008 DOT Appropriations     Transportation, Housing and Urban
 Act.                           Development, and Related Agencies
                                Appropriations Act, 2008 --Title I of
                                Division K of Public Law 110-161,
                                December 26, 2007.
FY 2009 DOT Appropriations     Transportation, Housing and Urban
 Act.                           Development, and Related Agencies
                                Appropriations Act, 2009 --Title I of
                                Division I of Public Law 111-8, March
                                11, 2009.
GS...........................  GrantSolutions Grants Management System.
ICC..........................  Interstate Commerce Commission.
LOI..........................  Letter of Intent.
mph..........................  miles per hour.
NEPA.........................  National Environmental Policy Act.
NTD..........................  National Transit Database.
OTP..........................  On-time performance.
PE...........................  Preliminary engineering.
PRIIA........................  Passenger Rail Investment and Improvement
                                Act of 2008 (Division B of Pub. L. 110-
                                432).
PTC..........................  Positive Train Control.
ROD..........................  Record of Decision--a possible decision
                                concluding of the NEPA process.
RSIA.........................  Rail Safety Improvement Act of 2008
                                (Division A of Pub. L. 110-432, October
                                16, 2008).
State DOT....................  State Department of Transportation.
State Grant Program..........  Capital Assistance to States--Intercity
                                Passenger Rail Service program--
                                established in FY 2008 DOT
                                Appropriations Act and continued in the
                                FY 2009 DOT Appropriations Act.
------------------------------------------------------------------------

Appendix 1: Additional Information on Eligibility

Appendix 1.1 Applicant Types

    State--A State department of transportation (State DOT) which is
the State-wide instrumentality or agency of a State, in the form of a
department, commission, board, or official of any State, charged by its
laws with the responsibility for transportation-related matters within
the State, including high-speed rail/intercity passenger rail.
    Group of States--A group of two or more States in which an
agreement has been established to work in coordination to build and
operate rail projects within specified boundaries and within the
duration of agreement. The agreement should specify the commitments
(financial and otherwise) of all parties to developing and maintaining
rail operations for a specified corridor. This type of agreement
requires the backing of several political and administrative entities
within each State. Such agreement should include but not be limited to
the following: identification of all parties involved, the duration of
the agreement, governance arrangements, commitment of partners, risk
and benefits sharing arrangements, liabilities, level of service per
partner or client, services to be provided, dispute resolution,
substandard performance, termination, signatories. A group of States
wishing to submit an application must designate one State within the
group to serve as the lead State for the application. This lead State
would be responsible for submitting the application and administrating
any grant that is awarded to the group of States.
    Interstate Compact--An entity created through an agreement between
two or more States. Frequently, these compacts create a new
governmental agency that is responsible for administering or improving
some shared resource, such as public transportation infrastructure. In
some cases, a compact serves simply as a coordination mechanism between
independent authorities in the member States. Article I, Section 10 of
the United States Constitution provides that no State shall enter into
an agreement or compact with another State without the consent of
Congress. Interstate compacts for the purpose of Intercity Passenger
Rail development have been established previously, based on the implied
general consent of Congress expressed through Public Law 98-358, in
which Congress explicitly granted consent to the creation of an
interstate compact between the States of Ohio, Indiana, Michigan,
Pennsylvania, Illinois, West Virginia, and Kentucky for the purpose of
developing Intercity Passenger Rail.
    Public Agencies, established by one or more States (Having
responsibility for providing Intercity Passenger Rail service)--A
publicly created and owned, not-for-profit agency, other than direct
instrumentalities of States or agencies created under an interstate

compact, having responsibility for providing or developing Intercity
Passenger Rail service. Such agencies would include public authorities
and joint powers authorities created and authorized under State law,
and may have responsibilities over a limited geographic scope (such as
a region within a State), or related to a specific service, project, or
development effort (such as the construction of a specific
infrastructure project).
    Amtrak, in cooperation with States--The National Railroad Passenger
Corporation undertaking a project subject to an agreement with one or
more States (as defined above).

Appendix 1.2 Minimum Qualifications for Applicant Eligibility

    An applicant must, in addition to demonstrating that it is of an
eligible type for the track and funding source under which it is
applying, affirmatively demonstrate that it has or will have the legal,
financial, and technical capacity to carry out the proposal. In
addition, for non-planning applications under Track 1, Track 2, and
Track 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.
    In the following discussion of the means by which applicants can
satisfy these minimum requirements, the term ``project'' refers
generally to the substance of the applicant's proposal, regardless of
the Track under which it is being advanced.
    For an applicant to demonstrate the legal, financial, and technical
capacity to carry out its proposed project, it will be required to
address the following qualifications:
     For an entity other than a State, its legal authority to
undertake the proposed project and apply for Federal financial
assistance;
     The applicant's ability to absorb potential cost overruns
or financial shortfalls. For entities other than States, the
demonstration of such ability should include a description of the
entity's own financial resources, its ability to raise revenue through
taxation, dedicated funding sources, or other means, and/or explicit
financial backing by one or more State governments;
     The applicant's experience in effectively administering
grants of similar scope and value (including timely completion of grant
deliverables, compliance with grant conditions, and quality and cost
controls); and
     The applicant's experience in managing railroad investment
projects of a nature similar to that for which funding is being
requested.
    For an applicant to demonstrate that it has or will have
satisfactory continuing control over the use of equipment or facilities
acquired, constructed, or improved by the project, it will be required
to show either:
     That the applicant has or will have direct ownership of
the equipment or facilities acquired, constructed, or improved by the
project; or
     That the applicant has secured or has made progress
towards securing and will have contractual agreements in place with the
entity or entities (e.g., a local government, or one or more private
railroads) that have or will have direct ownership of such assets.
    For an applicant to demonstrate that it has or will have the
capability and willingness to maintain the equipment or facilities
acquired, constructed, or improved by the project, it will be required
to show:
     That it has made progress towards, and will have
contractual agreements in place with, any entity or entities (e.g., a
local government, or one or more private railroads) that have or will
have direct ownership of the equipment or facilities acquired,
constructed, or improved by the project, which address financial and
operational responsibility for asset maintenance;
     That to the extent financial responsibility will fall to
the applicant, the applicant has the ability to cover maintenance
costs. For entities other than States, the demonstration of such
ability should include a description of the entity's own financial
resources, ability to raise revenue through taxation, and/or explicit
financial backing by one or more State governments; and
     The applicant's experience in maintaining assets with
similar financial and operational maintenance requirements as those for
the assets for which funding is being requested.
    Information and documentation demonstrating the fulfillment of the
minimum qualifications described above will be required to be submitted
as part of full application (see Section <IP_ADDRESS>).

Appendix 1.3 Definition of Intercity Passenger Rail

    ``Intercity rail passenger transportation'' is defined at 49 U.S.C.
24102(4) as ``rail passenger transportation except commuter rail
passenger transportation.'' Likewise, ``commuter rail passenger
transportation'' is defined at 49 U.S.C. 24102(3) as ``short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple ride, and commuter tickets and morning
and evening peak period operations.'' In common use, the general
definition of ``rail passenger transportation'' excludes types of local
or regional rail transit such as light rail, streetcars, and heavy
rail. Similarly, both Intercity Passenger Rail transportation and
commuter rail passenger transportation exclude single-purpose scenic or
tourist railroad operations.
    The since-terminated Interstate Commerce Commission (ICC)
established six features to aid in classifying a service as
``commuter'' rather than ``intercity'' rail passenger transportation:
\13\
---------------------------------------------------------------------------

    \13\ Penn Central Transportation Company Discontinuance or
Change in Service of 22 Trains between Boston, Mass, and Providence
R.I., February 10, 1971, I.C.C. 338, 318-333.
---------------------------------------------------------------------------

     The passenger service is primarily being used by patrons
traveling on a regular basis either within a metropolitan area or
between a metropolitan area and its suburbs;
     The service is usually characterized by operation
performed at morning and peak periods of travel;
     The service usually honors commutation or multiple-ride
tickets at a fare reduced below the ordinary coach fare and carries the
majority of its patrons on such a reduced fare basis;
     The service makes several stops at short intervals either
within a zone or along the entire route;
     The equipment used may consist of little more than
ordinary coaches; and
     The service should not extend more than 100 miles at the
most, except in rare instances; although service over shorter distances
may not be commuter or short haul within the meaning of this exclusion.
    FTA further refined the definition of commuter rail in the glossary
for its National Transit Database (NTD) \14\ Reporting Manual. In
particular, FTA refined the ICC's third ``feature'' by specifying that
``predominantly commuter [rail passenger] service means that for any
given trip segment (i.e., distance between any two stations), more than
50 percent of the average daily ridership travels on the train at least
three times a week.''
---------------------------------------------------------------------------

    \14\ In additional to serving as a reference database, the NTD
captures data that serve as the basis for apportioning and
allocating funding to eligible grantees under FTA's formula grant
programs.
---------------------------------------------------------------------------

    In judging the eligibility of an application under this
solicitation, FRA will determine whether the rail passenger service
that is primarily intended to benefit from the proposal

constitutes ``intercity passenger rail transportation'' under the
statutory definition and ICC and FTA interpretations. FRA may also take
into account whether the primary intended benefiting service has been
or is currently the direct and intended beneficiary of funding provided
by another Federal agency (e.g., FTA) for the purpose of improving
commuter rail passenger transportation and whether the service in
question is or will be operated by or on behalf of a local, regional,
or State entity whose primary rail transportation mission is the
provision of commuter or transit service.

Appendix 2: Additional Information on Planning and Engineering

Appendix 2.1 Service Development Plan (or equivalent)

    A Service Development Plan (SDP) is 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 focused on distinct phases and/
or geographic sections of service improvement. A 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 completion of a SDP is a pre-requisite for eligibility for
applications for Track 2-Programs. FRA acknowledges the inherent
complexity of the planning efforts required to develop a SDP. The
precise structure of a SDP can vary at the discretion of the applicant;
FRA does not pre-determine SDP form and structure. Only certain
illustrative topics need to be included in a SDP--thus the applicant
has the flexibility to tailor the SDP to the needs of their program.
    After receiving the preapplications for Track 2, subject to
available resources, FRA will be available for a kick-off discussion
with the prospective applicant that will include a review of the
contents of the SDP. FRA will provide assistance to Track 2 applicants
in clarifying whether the information necessary for the SDP is
complete. FRA will also discuss submission requirements with
prospective applicants.
    A complete SDP is a planning approach that would need to address
such topics as the following:
     Illustrative topics dealing with program rationale--The
SDP includes a description of the corridor's transportation challenges
and opportunities based on current and forecasted travel demand and
capacity conditions. Through the SDP, the applicant has the opportunity
to show FRA and its constituents how the proposed HSIPR Service
Development Program can cost-effectively address transportation and
other needs considering system alternatives (highway, air, other, as
applicable). Qualitative and quantitative assessments of the costs,
benefits and impacts and risks of the alternatives will provide
decision makers with sufficient information. The SDP might also explore
synergies between the High-Speed Rail/Intercity Passenger Rail proposal
and large-scale goals and development plans within its service region
and communities.
     Illustrative topics dealing with operations--The SDP
describes the train service to be provided for each phase of new or
improved Intercity Passenger Rail service including: the service
frequency, timetable (including time-distance ``stringline'' diagrams),
general station locations, intermodal connections, and train consists.
The SDP would describe the underlying operational analyses, including
railroad operation simulations and equipment and crew scheduling
analyses, which in turn reflect such variables as travel demand and
rolling stock configuration. The planning horizon should be consistent
with the anticipated useful lives of the improvements to be introduced.
     Illustrative topics dealing with capital needs--The SDP
describes the rail equipment and infrastructure improvements for each
discrete phase of service implementation. If applicable, the SDP would
prioritize improvements for each phase. The SDP presents estimated
capital costs for projects and project groups, with documentation of
assumptions and methods. Initial capital expenditures estimates to
bring the service to its full operating capability, accommodation of
future traffic growth and ongoing expenditures for replacement of
system components should be included.
     Illustrative topics dealing with operating and financial
results--The SDP includes operating and financial projections for each
phase of the planned intercity passenger rail service. The SDP will
address the methods, assumptions and outputs for travel demand
forecasts, the expected revenue from the service, and all operating
expenses for the train service including maintenance of way,
maintenance of equipment, transportation (train movement), passenger
traffic and services (marketing, reservations/information, station, and
on-board services), and general/administrative expenses. Cost-sharing
arrangements with infrastructure owners and rail operators should also
be included.
     Illustrative topics dealing with public benefits--The SDP
includes a description of user and non-user benefits and, to the extent
readily quantifiable, the estimated economic value of those benefits,
with particular attention to topics prominent in ARRA, i.e., job
creation and retention and potential energy savings.
     Illustrative topics dealing with program implementation--
The SDP presents a Service Development Program schedule for carrying
out each phase; a preliminary description of the intended techniques of
project management that will assure quality, cost, and budget control;
and the financing and organizational plans for carrying out the
proposed strategy.
    If the High-Speed Rail/Intercity Passenger Rail service
contemplated under the SDP makes use of facilities that would be shared
with freight, commuter rail, or other Intercity Passenger Rail
services, the existing and future characteristics of those services--as
developed cooperatively with freight, commuter, and Intercity Passenger
Rail partners--would need to be integral to the High-Speed Rail/
Intercity Passenger Rail SDP. In particular, the SDP needs to show how
the proposed Service Development Program will protect the quality of
those other services through a planning horizon year and under
assumptions mutually agreed to with the other partners.

Appendix 2.2 Preliminary Engineering (PE)

    PE completion is a prerequisite for projects submitted under Track
1--FD/Construction projects, Track 2--Programs, and Track 4. PE entails
sufficient engineering design to define a project, including
identification of all environmental impacts, design of all critical
project elements at a level sufficient to assure reliable cost
estimates and schedules (in turn sufficient to complete project
management and financial plans), and definition of procurement
requirements and strategies.
    The PE development process starts with the evaluation of project
design alternatives (a range of rail improvements, specific alignments,
and project designs) sufficient to support subsequent NEPA analysis.
The NEPA environmental determination is a prerequisite for FRA to
obligate

construction funds. As with the SDP, FRA acknowledges the complexity of
the work required for PE, and that it will vary depending on the
project scope. Thus, FRA does not pre-determine the form and structure
of the PE work. FRA has opted to specify the illustrative contents of
PE--thus allowing the applicant discretion to pursue the most workable
approach tailored to its needs and suitable for the proposed project.
    PE results in detailed estimates of project costs, benefits, and
impacts of the preferred alternative that merit a higher degree of
confidence than those prepared in earlier stages of planning. FRA
considers that PE for a major capital investment project is complete
when:
     The signed environmental Record of Decision (ROD) or
Finding of No Significant Impact (FONSI) signals that the NEPA process
has been completed;
     The project scope, capital cost estimates, and financial
plan are finalized;
     The project sponsor has adequately demonstrated its
technical capability to advance the project into FD and construction;
     The project sponsor has adequately demonstrated its
process and schedule for filing any safety regulatory waivers necessary
to implement the project; and
     The project sponsor has provided an adequate system safety
program plan and any necessary collision/derailment hazard analysis.
    The products of PE will include: engineering designs; a detailed
project description, including provisions for compliance with the ADA;
a highly accurate project cost estimate (including a description of
methodologies and assumptions employed in developing the estimate) that
identifies major components and that includes contingencies that are
reduced from previous estimates and are broken down by phase and
functional area, a thorough project management plan suitable for this
phase of project development; and a solid project financial plan that
includes Federal and non-Federal funding committed to the project.
    PE documentation will typically include: (1) Scale maps or scale
aerial photography of existing conditions at a scale of one inch = 100
to 500 feet depending on location (built-up vs. undeveloped areas); and
(2) design plan drawings overlaid on the maps/photography. These design
drawings will typically show: (i) Existing railroad right-of-way limits
along with the railroad ownership; (ii) Proposed track changes
including track removals and track installations showing track centers,
turnout sizes, curve and spiral data, etc.; (iii) Vertical profiles and
grades of existing and proposed construction; (iv) Public and private
at-grade highway crossings; and (v) Passenger stations, building(s),
platforms, parking, access to the primary highway system in the area,
and public transit services and facilities.
    The detailed project description developed in the PE typically
includes an assessment of the physical condition and location of the
existing project area (generally two to three miles beyond the project
construction limits) and elements associated with the design(s). These
elements may include: bridges (rail and highway); track including the
number and location of previously existing railroad tracks on a
roadbed; buildings (stations and maintenance facilities, etc.); signal
systems and interlocked detectors, switches, derails, and snow melters;
utility systems on, over, adjacent to or under the rail line and
agreements concerning them; electrification systems, if any;
description of highway crossing warning systems (if any) and daily
traffic counts at public and private at-grade highway crossings;
existing and proposed railroad operations and routes of freight,
commuter and intercity trains with train daily numbers of trains by
type; a safety and security management plan; and STRACNET routes and/or
moves for commercial high and wide loads. For maintenance facilities,
the PE outputs will describe and provide drawings that show the
location, track and facility layout, specialized equipment (if any),
office and employee welfare facilities, etc.
    FRA will be available, subject to available resources, to assist
applicants in clarifying whether the PE is complete and encourages
applicants to contact FRA to discuss PE.

Appendix 3: Additional Information on Award Administration and Grant
Conditions

Appendix 3.1 Award Notices

    Upon approval of an application, notification will be sent to the
grant recipient through GrantSolutions that the award is waiting
acceptance.
    FRA will publicly announce selected projects and funding levels.
For projects that were not selected, FRA will notify the applicant of
its decision and provide the following:
     Suggestions on application revisions for any subsequent
resubmission rounds (if desired by applicant); and
     Guidance regarding subsequent rounds (i.e., new/revised
guidance, application due dates)

Appendix 3.2 Administrative and National Policy Requirements

    FRA will make funds available to the grant recipient through a
grant or cooperative agreement. FRA will decide which vehicle to use
based upon the level of anticipated FRA involvement in the project. FRA
will use a grant agreement where limited Federal involvement is
anticipated and a cooperative agreement in those situations involving
greater Federal participation.
    Below is a discussion of some of the more important specific
requirements that are a feature of FRA's typical grant agreement and
will likely be included in every grant agreement under this program
(FRA's use of the term grant herein is intended to encompass both grant
and cooperative agreements):
Appendix 3.2.1 Contracting Information
    A grant recipient's procurement of goods and services must comply
with the Procurement Standards requirements set forth at 49 CFR 18.36
or 49 CFR 19.40 through 19.48, whichever is applicable depending on the
type of grantee (part 18 covers State and local governments and part 19
covers non-profit and for-profit entities), and with applicable
supplementary U.S. DOT or FRA directives or regulations.
Appendix 3.2.2 Compliance With Federal Civil Rights Laws and
Regulations
    The grant recipient must comply with all civil rights laws and
regulations, in accordance with applicable Federal directives, except
to the extent that the FRA determines otherwise in writing. These
include, but are not limited to, the following: (a) Title VI of the
Civil Rights Act of 1964 (Pub. L. 88-352) (as implemented by 49 CFR
part 21), which prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. 1681-1683, and 1685-1686), which prohibits
discrimination on the basis of sex, (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age Discrimination
Act of 1975, as amended (42 U.S.C. 1601-1607), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (Pub. L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the

Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (Pub. L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
Sec. Sec.  523 and 527 of the Public Health Service Act of 1912 (42
U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality
of alcohol and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 U.S.C. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing, (i) 49
U.S.C. 306, which prohibits discrimination on the basis of race, color,
national origin, or sex in railroad financial assistance programs; (j)
any other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance was made; and (k) the
requirements of any other nondiscrimination statute(s) which may apply
to the grant recipient. Grant recipients must comply with all
regulations, guidelines, and standards adopted under the above
statutes. The grant recipient is also required to submit information,
as required, to the FRA Office of Civil Rights concerning its
compliance with these laws and implementing regulations, and its
activities implementing a grant award.
Appendix 3.2.3 Disadvantaged Business Enterprises (DBE)
    The FRA encourages its grant recipients to utilize small business
concerns owned and controlled by socially and economically
disadvantaged individuals (as that term is defined for other DOT
operating administrations at 49 CFR part 26) in carrying out projects
funded under ARRA, although FRA grant recipients are not required to do
so. The DOT DBE regulation (49 CFR part 26) only applies to certain
categories of Federal highway, Federal transit, and airport funds. The
FRA is not covered under the DOT DBE regulations. The procurement
standards applicable to grant recipients require grant recipients and
subgrantees to take all necessary affirmative steps to assure that
minority firms, women's business enterprises and labor surplus area
firms are used when possible (see 49 CFR 18.36(e) and 19.44(b)). The
grant recipient is also required to submit information as required to
the FRA Office of Civil Rights concerning its activities with respect
to DBEs in implementing a grant award.
Appendix 3.2.4 Assurances and Certifications
    Upon acceptance of the grant by the FRA all certifications and
assurances provided by the grant recipient through the application
process are incorporated in and become part of the grant agreement.
Applicable Assurance and Certification forms include SF 424(A)/(B),
SF424(C)/(D) and FRA's Assurances and Certification form. The OMB
Standard Forms can be accessed at http://www.forms.gov. The FRA
Assurances and Certifications Document is available at http://
www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf.
Appendix 3.2.5 Debarment and Suspension; and Drug-Free Workplace
    Grant recipients must obtain certifications on debarment and
suspension for all third party contractors and subgrantees and comply
with all DOT regulations, ``Nonprocurement Suspension and Debarment''
(2 CFR part 1200) and ``Governmentwide Requirements for Drug-Free
Workplace (Grants),'' (49 CFR part 32).
Appendix 3.2.6 Safety Oversight
    Grant recipients must comply with any Federal regulations, laws,
policy and other guidance that FRA or DOT may issue pertaining to
safety oversight in general, and in the performance of any grant award,
in particular. FRA has in place a comprehensive system of railroad
safety oversight (see 49 CFR part 209 et seq.) that is applicable to
railroad operations generally.
Appendix 3.2.7 Americans With Disabilities Act (ADA)
    Grant recipients must agree to use funds provided under the grant
agreement in a manner consistent with the requirements of Title II of
the Americans with Disabilities Act (ADA) of 1990, as amended; Section
504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794); and
both statutes' implementing regulations at 49 CFR parts 27, 37, and 38.
DOT (through its delegate FRA) has responsibility to offer technical
assistance for the provisions of the ADA about which it issues
regulations. 42 U.S.C. 12206(c)(1) reads: ``Each Federal agency that
has responsibility under paragraph (2) for implementing this chapter
may render technical assistance to individuals and institutions that
have rights or duties under the respective subchapters of this chapter
for which such agency has responsibility.'' Grant recipients are
strongly encouraged to seek FRA's technical assistance with regard to
the accessible features of passenger rail systems, to include
accessibility at stations and on railcars. FRA believes such technical
assistance is essential where interpretation of DOT's regulatory
requirements is necessary and/or before the creation of any new rail
system.
Appendix 3.2.8 Environmental Protection
    All facilities that will be used to perform work under an award
shall not be so used unless the facilities are designed and equipped to
limit water and air pollution in accordance with all applicable local,
State and Federal standards.
    Grant recipients will conduct work under an award, and will require
that work that is conducted as a result of an award be in compliance
with the following provisions, as modified from time to time: Section
114 of the Clean Air Act, 42 U.S.C. 7414, and Section 308 of the
Federal Water Pollution Control Act, 33 U.S.C. 1318, and all
regulations issued there under. Through the grant agreement, grant
recipients will certify that no facilities that will be used to perform
work under an award are listed on the List of Violating Facilities
maintained by the Environmental Protection Agency (EPA). Grant
recipients will be required to notify the Administrator as soon as it
or any contractor or subcontractor receives any communication from the
EPA indicating that any facility which will be used to perform work
pursuant to an award is under consideration to be listed on the EPA's
List of Violating Facilities; provided, however, that the grant
recipient's duty of notification shall extend only to those
communications of which it is aware, or should reasonably have been
aware. Grant recipients will need to include or cause to be included in
each contract or subcontract entered into, which contract or
subcontract exceeds Fifty Thousand Dollars ($50,000.00) in connection
with work performed pursuant to an award, the criteria and requirements
of this section and an affirmative covenant requiring such contractor
or subcontractor to immediately inform the grant recipient upon the
receipt of a communication from the EPA concerning the matters set
forth herein.
Appendix 3.2.9 National Environmental Policy Act (NEPA)
    Specific NEPA-related guidance is included in Section 1.6 of this
guidance. The following is a description of FRA's general or standard
grant provision on NEPA compliance.
    Generally, grant recipients may not expend any of the funds
provided in an award on construction or other activities that represent
an irretrievable commitment of resources to a particular

course of action affecting the environment until after all
environmental and historic preservation analyses required by the
National Environmental Policy Act (42 U.S.C. 4332) (NEPA), the National
Historic Preservation Act (16 U.S.C. 470(f)) (NHPA), and related laws
and regulations have been completed and the FRA has provided the grant
recipient with a written notice authorizing them to proceed.
    In instances where NEPA approval has not been secured at the time
of grant award, grant recipients are required to assist the FRA in its
compliance with the provisions of NEPA, the Council on Environmental
Quality's regulations implementing NEPA (40 CFR part 1500 et seq.),
FRA's ``Procedures for Considering Environmental Impacts'' (45 FR
40854, June 16, 1980), as revised May 26, 1999, 64 FR 28545), Section
106 of the NHPA, and related environmental and historic preservation
statutes and regulations. As a condition of receiving financial
assistance under an award, grant recipients may be required to conduct
certain environmental analyses and to prepare and submit to the FRA
draft documents required under NEPA, NHPA, and related statutes and
regulations (including draft environmental assessments and proposed
draft and final environmental impact Statements).
    No publicly-owned land from a park, recreational area, or wildlife
or waterfowl refuge of national, State, or local significance as
determined by the Federal, State, or local officials having
jurisdiction thereof, or any land from an historic site of national,
State or local significance as so determined by such officials shall be
used by grant recipients without the prior written concurrence of FRA.
Grant recipients shall assist the FRA in complying with these
requirements of 49 U.S.C. 303(c).
Appendix 3.2.10 Environmental Justice
    The grant recipient will be required to agree to facilitate
compliance with the policies of Executive Order No. 12898, ``Federal
Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations,'' 42 U.S.C. 4321 note, except to the extent
that FRA determines otherwise in writing.
Appendix 3.2.11 Operating and Access Agreements
    As discussed in the guidance, grant recipients will be required to
reach a written agreement, approved by FRA, with each of the railroads
or other entity on whose property the project will be located. Among
other things, such railroad/owner agreements shall specify terms and
conditions regarding the following issues: responsibility for project
design and implementation, project property ownership, maintenance
responsibilities, and disposition responsibilities, and the owning
entity's commitment to helping to achieve, to the extent it is capable,
the anticipated project benefits. If an agreement between the grant
recipient and the owner which substantially addresses the above-
referenced issues is already in place as of the date of execution of
the grant agreement, the grant recipient will be required to submit it
to FRA for FRA's review and determination of adequacy. However, if
either no agreement is in place as of the date of execution of this
Agreement, or if an existing agreement has been determined by FRA to be
inadequate, the grant recipient shall, prior to the grant recipient's
execution of an agreement with the owner, submit the final draft of
such an agreement to FRA for FRA's review and approval. A finding by
FRA that the required approved railroad/owner agreement(s) are in place
is a prerequisite for reimbursement of construction-related project
expenses.
Appendix 3.2.12 Real Property and Equipment Management, Discontinuance
of Service, and Disposition Requirements
    The grant recipient will be required to ensure the maintenance of
project property to the level of utility (including applicable FRA
track safety standards) which existed when the project improvements
were placed in service for a period of a minimum of 20 years from the
date such project property was placed in service. In the event that all
Intercity Passenger Rail service making use of the project property is
discontinued during the 20-year period, the grant recipient will be
required to continue to ensure the maintenance of the project property,
as set forth above, for a period of one year to allow for the possible
reintroduction of Intercity Passenger Rail service. In the event the
grant recipient should fail to ensure the maintenance of project
property, as set forth above, for a period of time in excess of six
months, the grant recipient will be required to refund to FRA a pro-
rata share of the Federal contribution, based upon the percentage of
the 20-year period remaining at the time of such original default.
    The grant recipient will also be required to acknowledge that the
purpose of the project is to benefit Intercity Passenger Rail service.
In the event that all Intercity Passenger Rail service making use of
the project property is discontinued (for any reason) at any time
during a period of 20 years from the date such project property was
placed in service, as set forth above, and if such Intercity Passenger
Rail service is not reintroduced during a one-year period following the
date of such discontinuance, the grant recipient will be required to
refund to FRA, no later than 18 months following the date of such
discontinuance, a pro-rata share of the Federal contribution, based
upon the percentage of the 20-year period remaining at the time of such
discontinuance.

Appendix 3.3 ARRA-Specific Grant Requirements (Apply to ARRA-Funded
Grants Only)

    ARRA contains several specific requirements associated with funding
provided in that statute. These include:
Appendix 3.3.1 Prohibited Activities
    None of the funds appropriated or otherwise made available in the
grant agreement may be used by any State or local government, or any
private entity, for any casino or other gambling establishment,
aquarium, zoo, golf course, or swimming pool.
Appendix 3.3.2 Recovery Act Funding Announcement
    The grant recipient will be required to post a sign at all fixed
project locations at the most publicly accessible location and a plaque
in all purchased or rehabilitated rail cars announcing that the project
or equipment was funded by the U.S. Department of Transportation,
Federal Railroad Administration with funds provided through the
American Recovery and Reinvestment Act. The configuration of the signs
or plaques will be consistent with guidance issued by the Office of
Management and Budget and/or the Department of Transportation and
approved by the FRA.
Appendix 3.3.3 Certifications
    As a condition of award, to the extent applicable, grant recipients
must comply with the Certification requirements of ARRA. These include
Section 1201 (Maintenance of Effort); Section 1511 (Transparency and
Oversight); and Section 1607 (Additional Funding Distribution and
Assurance of Appropriate Use of Funds). These Certifications are
described in following sections.

Section 1201(a): Maintenance of Effort
    By March 19, 2009, State Governors were required to certify to the
Secretary of Transportation that the State would maintain its effort
with regard to State funding for the types of projects funded by the
appropriation, for each amount distributed to a State or a State agency
under this program. As part of this Certification, the Governor was
required to submit to the Secretary a statement identifying the amount
of funds the State planned to expend from State sources as of February
17, 2009, during the period between February 17, 2009 and September 30,
2010, for the types of projects funded by the appropriation. The
maintenance of effort requirement in section 1201(a) applies to any
grant recipient that is a State government (or agency thereof) that
planned, as of February 17, 2009, to expend State funds on the project
receiving a High-Speed Rail/Intercity Passenger Rail grant under this
guidance during the period between February 17, 2009, and September 30,
2010.
Section 1511: Transparency and Oversight
    For grant funds made available to State or local governments for
infrastructure investments, the Governor, mayor, or other chief
executive, as appropriate, must certify that the infrastructure
investment (1) received the full review and vetting required by law;
and (2) that the chief executive accepts responsibility that it is an
appropriate use of taxpayer dollars. This certification must be
executed and posted on a Web site and linked to http://www.recovery.gov
prior to the recipient of a High-Speed Rail/Intercity Passenger Rail
grant receiving grant funds. If the project is not included in the
STIP, a separate certification for the potential High-Speed Rail/
Intercity Passenger Rail project must be executed, attaching the
relevant information or linking to a public Web site where the
information may be obtained. This certification must include a
description of the investment, the estimated total cost, and the amount
of covered funds to be used, and must be posted online and linked to
the Web site http://www.recovery.gov. The certification must also state
that the projects have been properly reviewed and vetted and are an
appropriate use of taxpayer dollars.
Section 1607: Additional Funding Distribution and Assurance of
Appropriate Use of Funds
    Section 1607 required that Governors of States receiving funding
under the Recovery Act certify by April 3, 2009, that, for grant funds
provided to any State or State agency, the State would request and use
the funds provided in the Recovery Act and that such funds would be
used to create jobs and promote economic growth. Alternatively, the
State legislature could have acted to accept such funds by the adoption
of a concurrent resolution. States or State agencies ultimately
receiving High-Speed Rail/Intercity Passenger Rail grant funds must
ensure that this certification has been completed.
Submission of Certifications Under Sections 1201, 1511, and 1607
    All Certifications, once executed, shall be submitted to the
Secretary of Transportation, c/o Joel Szabat, Deputy Assistant
Secretary for Transportation Policy, at<EMAIL_ADDRESS>
Certifications may be submitted via e-mail as electronic, scanned
copies, with original signed versions to follow via U.S. mail. As
required by ARRA, certifications under Section 1511 shall be
immediately posted on a Web site and linked to the Web site http://
www.recovery.gov.
Appendix 3.3.4 Whistleblower Protections
    The grant recipient will be required to provide the whistleblower
protections required by Section 1553 of ARRA.
Appendix 3.3.5 False Claims Act
    The grant recipient and sub-recipients will be required to promptly
refer to the DOT's Inspector General credible evidence that a
principal, employee, agency, contractor, sub-contractor, or other
person has submitted a false claim under the False Claims Act or has
committed a criminal or civil violation of laws pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct
involving ARRA funds.
Appendix 3.3.6 Contracting Provisions
    To the maximum extent possible, contracts funded under ARRA shall
be awarded as fixed-price contracts through the use of competitive
procedures. Grant recipients will be required to provide a summary of
any contract awarded with ARRA funds that is not fixed-price and not
awarded using competitive procedures for posting on the Recovery
Accountability and Transparency Board's Web site.
Appendix 3.4 Program-Specific Grant Requirements
    These apply to PRIIA-authorized grants, including ARRA grants only,
and do not necessarily pertain to grants under Track 3 and Track 4 ARRA
funding is provided through several existing FRA programs principally
based on programs authorized in PRIIA, and PRIIA includes a number of
additional program-specific grant requirements, including:
Appendix 3.4.1 Buy America
    Grant recipients must comply with the Buy America provisions set
forth in 49 U.S.C. 24405(a) which specifically provide that the
Secretary of Transportation may obligate ARRA funds for a High-Speed
Rail/Intercity Passenger Rail or congestion project only if the steel,
iron, and manufactured goods used in the project are produced in the
United States. The Secretary (or the Secretary's delegate, the FRA
Administrator) may waive this requirement if the Secretary finds that
applying this requirement would be inconsistent with the public
interest; the steel, iron, and goods produced in the United States are
not produced in a sufficient and reasonably available amount or are not
of a satisfactory quality; rolling stock or power train equipment
cannot be bought and delivered in the United States within a reasonable
time; or including domestic material will increase the cost of the
overall project by more than 25 percent. For purposes of implementing
these requirements, in calculating the components' costs, labor costs
involved in final assembly shall not be included in the calculation. If
the Secretary determines that it is necessary to waive the application
of the Buy America requirements, the Secretary is required before the
date on which such finding takes effect to publish in the Federal
Register a detailed written justification as to why the waiver is
needed; and provide notice of such finding and an opportunity for
public comment on such finding, for a reasonable period of time, not to
exceed 15 days. The Secretary may not make a waiver for goods produced
in a foreign country if the Secretary, in consultation with the United
States Trade Representative, decides that the government of that
foreign country has an agreement with the United States Government
under which the Secretary has waived the requirement of this
subsection, and the government of that foreign country has violated the
agreement by discriminating against goods to which this subsection
applies that are produced in the United States and to which the
agreement applies. The Buy America requirements described in this
section shall only apply to projects for which the costs exceed
$100,000.

Appendix 3.4.2 Operators Deemed Rail Carriers
    A person that conducts rail operations over rail infrastructure
constructed or improved with funding provided in whole or in part in a
grant made under this program shall be considered a rail carrier as
defined in Section 49 U.S.C. 10102(5) for purposes of title 49 of the
United States Code and any other statute that adopts the definition
found in 49 U.S.C. 10102(5) including the Railroad Retirement Act of
1974 (45 U.S.C. 231 et seq.); the Railway Labor Act (43 U.S.C. 151 et
seq.); and the Railroad Unemployment Insurance Act (45 U.S.C. 351 et
seq.) (see 49 U.S.C. 24405(b))
Appendix 3.4.3 Railroad Agreements
    As a condition of receiving a grant under this program for a
project that uses rights-of-way owned by a railroad, the grant
recipient shall have in place a written agreement between the grant
recipient and the railroad regarding such use and ownership, including
any compensation for such use; assurances regarding the adequacy of
infrastructure capacity to accommodate both existing and future freight
and passenger operations; an assurance by the railroad that collective
bargaining agreements with the railroad's employees (including terms
regulating the contracting of work) will remain in full force and
effect according to their terms for work performed by the railroad on
the railroad transportation corridor; and an assurance that the grant
recipient complies with liability requirements consistent with 49
U.S.C. 28103. Grant recipients that use rights-of-way owned by a
railroad must comply with FRA guidance regarding how to establish a
written agreement between the applicant and the railroad regarding use
and ownership as discussed in Appendix 3.2.11. (See 49 U.S.C.
24405(c)).
Appendix 3.4.4 Labor Protection
    As a condition of receiving a grant under this program for a
project that uses rights-of-way owned by a railroad, the grant
recipient must agree to comply with the standards of 49 U.S.C. 24312,
as such section was in effect on September 1, 2003, with respect to the
project in the same manner that Amtrak is required to comply with those
standards for construction work financed under an agreement made under
49 U.S.C. 24308(a) and the protective arrangements established under
Section 504 of the Railroad Revitalization and Regulatory Reform Act of
1976 (45 U.S.C. 836) with respect to employees affected by actions
taken in connection with the project to be financed in whole or in part
by grants under this program. (see 49 U.S.C. 24405(c)).
Appendix 3.4.5 Davis-Bacon Act
    Projects funded through ARRA are required to comply with the Davis-
Bacon Act (40 U.S.C. 3141 et seq.). The Davis-Bacon Act is a measure
that fixes a floor under wages on Federal government projects and
provides, in pertinent part, that the minimum wages to be paid for
classes of workers under a contract for the construction, alteration,
and/or repair of a Federal public building or public work, must be
based upon wage rates determined by the Secretary of Labor to be
prevailing for corresponding classes of workers employed on projects of
a character similar to the contract work in the civil subdivision of
the State in which the work is to be performed.
    Two provisos related to the Davis-Bacon Act are included in ARRA
related to HSIPR service. The first requires that funded projects must
comply with the requirements of subchapter IV of chapter 31 of title
40, United States Code. The second provides that 49 U.S.C. 24405 shall
also apply to the funded projects. The first proviso mandates
compliance with the Davis-Bacon Act generally since it is included in
subchapter IV of Chapter 31 of title 40. The second proviso also
mandates compliance the Davis-Bacon Act through subsection 24405(c)
which provides that the Secretary shall require as a condition of
making any grant that uses rights-of-way owned by a railroad that the
applicant agree to comply with the standards of Section 24312 of title
49 with respect to the project in the same manner that Amtrak is
required to comply with those standards for construction work financed
under an agreement made under 49 U.S.C. 24308(a). Section 24312
provides that Amtrak shall ensure that laborers and mechanics employed
by contractors and subcontractors in construction work financed under
an agreement made under Section 24308 will be paid wages not less than
those prevailing on similar construction in the locality, as determined
by the Secretary of Labor under Sections 3141-3144, 3146 and 3147 of
title 40 and that wages in a collective bargaining agreement negotiated
under the Railway Labor Act are deemed to comply with Sections 3141-
3144, 3146, and 3147 of title 40. Section 24308 authorizes Amtrak to
enter into agreements with rail carriers or regional transportation
authorities to use facilities of and have services provided by the
carrier or authority under terms on which the parties agree.
    FRA has concluded that the two Davis-Bacon requirements can be
reconciled in a manner that allows the HSIPR Program to be implemented
in a way that is both reasonable and consistent with current practices.
For projects that use or propose to use rights-of-way owned by a
railroad, the specific provisions of 24405(c) would apply and
applicants would be required to comply with the standards of 49 U.S.C.
24312 (prevailing wages) in the same manner that Amtrak is required to
comply with those standards for construction projects it might
undertake. It follows that wages in a collective bargaining agreement
negotiated under the Railway Labor Act would be deemed to comply with
Davis-Bacon Act requirements for these projects. For projects that do
not propose to use rights-of-way owned by a railroad, normal Davis-
Bacon Act requirements would apply and there would be no specific
exemption for wages arrived at through a collective bargaining
agreement negotiated under the Railway Labor Act. Wage rates on these
projects would have to meet the Secretary of Labor's prevailing wage
standards as described above.
Appendix 3.4.6 Project Labor Agreements
    Executive Order 13502, Use of Project Labor Agreements for Federal
Construction Projects, issued by President Obama on February 6, 2009,
authorizes Federal agencies in awarding any contract in connection with
large-scale Federal government construction projects to, on a project-
by-project basis, require the use of a project labor agreement by a
contractor where use of such an agreement will (i) advance the Federal
Government's interest in achieving economy and efficiency in Federal
procurement, producing labor-management stability, and ensuring
compliance with laws and regulations governing safety and health, equal
employment opportunity, labor and employment standards, and other
matters, and (ii) be consistent with law. At this time, the Executive
Order does not apply directly to recipients of financial assistance to
either require or preclude the use of a project labor agreement.
Rather, the Order directs the Director of OMB, in consultation with the
Secretary of Labor and with other officials as appropriate, to provide
the President within 180 days of the date of the Order (August 5, 2009)
with recommendations about whether broader use of project labor
agreements, with respect to both construction

projects undertaken under Federal contracts and construction projects
receiving Federal financial assistance, would help to promote the
economical, efficient, and timely completion of such projects. FRA will
issue additional guidance to applicants following submission of the
required report and any further action by the President or OMB.
Appendix 3.4.7 Replacement of Existing Intercity Passenger Rail Service
    Grant recipients providing Intercity Passenger Rail transportation
that begins operations after October 16, 2008 on a project funded in
whole or in part by grants made under this program, that replaces
Intercity Passenger Rail service that was provided by Amtrak, unless
such service was provided solely by Amtrak to another entity as of such
date, are required to enter into a series of agreements with the
authorized bargaining agent or agents for adversely affected employees
of the predecessor provider. (see 49 U.S.C. 24405(d)).

Appendix 3.5 General Requirements

Appendix 3.5.1 Standard Reporting Requirements
     Progress Reports--Progress reports must accompany each
request for payment, and at a minimum are to be submitted quarterly.
These reports shall relate the state of completion of items in the
scope of work to expenditures of the relevant budget elements. The
grant recipient shall furnish the quarterly progress report to the FRA
on or before the 30th calendar day of the month following the end of
the quarter being reported. Each quarterly report shall set forth
concise statements concerning activities relevant to the project, and
shall include, but not be limited to, the following: (a) An account of
significant progress (findings, events, trends, etc.) made during the
reporting period; (b) a description of any technical and/or cost
problem(s) encountered or anticipated that will affect completion of
the grant within the time and fiscal constraints as set forth in this
agreement, together with recommended solutions or corrective action
plans (with dates) to such problems, or identification of specific
action that is required by the FRA, or a statement that no problems
were encountered; and (c) an outline of work and activities planned for
the next reporting period.
     Quarterly Financial Status Report (SF-269)--Grant
recipients must report obligations and expenditures on a quarterly
basis using the SF-269, which is due within 30 days of the end of each
calendar quarter (e.g., for quarter ending March 31, the SF-269 is due
no later than April 30). A report must be submitted for every quarter
of the period of performance, including partial calendar quarters, as
well as for periods where no grant activity occurs. The final SF-269 is
due 90 days after the end date of the period of performance. Financial
Status Reports (SF-269) must be filed online through GrantSolutions.
     Quarterly Federal Cash Transactions Report--Grant
recipients will be required to submit a SF-272, Federal Cash
Transaction Report (and when necessary the continuation sheet SF-272a),
for grants paid by Treasury Check Advances, or Electronic Transfer of
Funds. FRA will use this report to monitor cash advanced to the Grantee
and to obtain disbursement or outlay information. Forecasts of Federal
cash outlays are required in the ``Remarks'' section of the report.
Grantees will furnish the quarterly Federal cash transaction report to
the FRA on or before the 30th calendar day of the month following the
end of the quarter being reported.
     Interim and/or Final Report(s)--Upon project completion,
grant recipients will be required to furnish to the FRA a Summary
Project Report detailing the results and benefits of the grant
recipient's improvement efforts due by the expiration date of the
grant.
Appendix 3.5.2 ARRA-Specific Reporting Requirements
     ARRA Section 1201 Report--Periodic Reports--Each grant
recipient will be required to submit periodic reports to the FRA as
described in this paragraph not later than February 17, 2010, February
17, 2011, and February 17, 2012. The Periodic Reports shall include
information describing: (1) The amount of Federal funds appropriated,
allocated, obligated, and outlayed under the grant agreement; (2) the
number of projects that have been put out to bid under the grant
agreement and the amount of Federal funds associated with such
projects; (3) the number of projects for which contracts have been
awarded under the grant agreement and the amount of Federal funds
associated with such contracts; (4) the number of projects for which
work has begun under such contracts and the amount of Federal funds
associated with such contracts; (5) the number of projects for which
work has been completed under such contracts and the amount of Federal
funds associated with such contracts; (6) the number of direct, on-
project jobs created or sustained by the Federal funds provided for
projects under the grant agreement and, to the extent possible, the
estimated indirect jobs created or sustained in the associated
supplying industries, including the number of jobs created and the
total increase in employment since February 17, 2009; and (7)
information tracking the actual aggregate expenditures by the grant
recipient from its own sources for projects eligible for funding under
this agreement during the period beginning on February 17, 2009 through
September 30, 2010, as compared to the level of such expenditures that
were planned to occur during such period as of February 17, 2009. DOT
or FRA may issue additional guidance on the preparation and submission
of Periodic Reports.
     Section 1512(c)--Jobs Accountability Reports--Not later
than 10 days after the end of each quarter, each grant recipient will
be required to submit a Jobs Accountability Report to the FRA that
contains: (1) The total amount of ARRA funds received pursuant to this
agreement; (2) the amount of ARRA funds received that were expended or
obligated to projects or activities; and (3) a detailed list of all
projects or activities for which ARRA funds were expended or obligated,
including--(A) the name of the project or activity; (B) a description
of the project or activity; (C) an evaluation of the completion status
of the project or activity; (D) an estimate of the number of jobs
created and the number of jobs retained by the project or activity; and
(E) detailed information on any subcontracts or subgrants awarded by
the grant recipient to include the data elements required to comply
with the Federal Funding Accountability and Transparency Act of 2006
(Pub. L. 109-282), allowing aggregate reporting on awards below $25,000
or to individuals, as prescribed by the Director of OMB. OMB may issue
additional guidance on the preparation and submission of Jobs
Accountability Reports. The grant recipient must also register with the
CCR database or complete other registration requirements as determined
by the Director of OMB.
     Section 1609: Environmental Reporting--Section 1609(c) of
ARRA requires that Federal agencies report via the President
(specifically, to the White House Council on Environmental Quality)
every 90 days following enactment of ARRA on the status of projects
funded under ARRA with respect to compliance with NEPA. Grant
recipients may be requested to submit information to assist FRA in
completing this report.
     Additional Information--To satisfy the purposes of the
ARRA, grant recipients may be required to provide

additional information in response to requests from OMB, the
Congressional Budget Office, the Government Accountability Office, or
the Department's Inspector General. FRA will inform grant recipients if
and when such additional reports or information are required.
Appendix 3.5.3 Audit Requirements
    Grant recipients that expend $500,000 or more of Federal funds
during their fiscal year are required to submit an organization-wide
financial and compliance audit report. The audit must be performed in
accordance with U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB
Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations, located at http://www.whitehouse.gov/omb/circulars/a133/
a133.html. Audit reports are currently to be submitted to the Federal
Audit Clearinghouse no later than nine months after the end of the
recipient's fiscal year. In addition, FRA and the Comptroller General
of the United States shall have access to any books, documents, and
records of grant recipients for audit and examination purposes. The
grant recipient will also give FRA or the Comptroller, through any
authorized representative, access to, and the right to examine all
records, books, papers or documents related to the grant. Grant
recipients shall require that sub-grantees comply with the audit
requirements set forth in OMB Circular A-133. Grant recipients are
responsible for ensuring that sub-recipient audit reports are received
and for resolving any audit findings.
Appendix 3.5.4 Monitoring Requirements
    Grant recipients will be monitored periodically by FRA, both
programmatically and financially, to ensure that the project goals,
objectives, performance requirements, timelines, milestone completion,
budgets, and other related program criteria are being met. Monitoring
will be accomplished through a combination of office-based reviews and
onsite monitoring visits. Monitoring will involve the review and
analysis of the financial, programmatic, performance and administrative
issues relative to each program and will identify areas where technical
assistance and other support may be needed. The recipient is
responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in
compliance with requirements. Responsibilities include the accounting
of recipients and expenditures, cash management, maintaining of
adequate financial records, and refunding expenditures disallowed by
audits.
Appendix 3.5.5 Closeout Process
    Project closeout occurs when all required project work and all
administrative procedures described in 49 CFR part 18, or 49 CFR part
19, as applicable, have been completed, and when FRA notifies the grant
recipient and forwards the final Federal assistance payment, or when
FRA acknowledges the grant recipient's remittance of the proper refund.
Project closeout shall not invalidate any continuing obligations
imposed on the Grantee by an award or by the FRA's final notification
or acknowledgment. Within 90 days of the Project completion date or
termination by FRA, Grantees agree to submit a final Financial Status
Report (Standard Form 269), a certification or summary of project
expenses, and third party audit reports, as applicable.

Appendix 3.6 Freedom of Information Act (FOIA)

    As a Federal agency, the FRA is subject to the Freedom of
Information Act (FOIA) (5 U.S.C. 552), which generally provides that
any person has a right, enforceable in court, to obtain access to
Federal agency records, except to the extent that such records (or
portions of them) are protected from public disclosure by one of nine
exemptions or by one of three special law enforcement record
exclusions. Grant applications and related materials submitted by
applicants pursuant to this guidance would become agency records and
thus subject to the FOIA and to public release through individual FOIA
requests. ARRA also mandates broad public dissemination of information
related to the expenditure of funds through reporting requirements and
website postings that are addressed in other sections of this guidance.
President Obama's March 20, 2009 Memorandum for the Heads of Executive
Departments and Agencies on Ensuring Responsible Spending of Recovery
Act Funds mandates the strongest possible efforts to ensure public
transparency and accountability of ARRA expenditures. Consistent with
these mandates, it is FRA's intention to employ a transparent process
in distributing and overseeing the expenditure of ARRA funds. FRA also
recognizes that certain information submitted in support of an
application for funding in accordance with this guidance could be
exempt from public release under FOIA as a result of the application of
one of the FOIA exemptions, most particularly Exemption 4, which
protects trade secrets and commercial or financial information obtained
from a person that is privileged or confidential (5 U.S.C. 552(b)(4)).
In the context of this grant program, commercial or financial
information obtained from a person could be confidential if disclosure
is likely to cause substantial harm to the competitive position of the
person from whom the information was obtained (see National Parks &
Conservation Ass'n v. Morton, 498 F.2d 765, 770 (D.C. Cir. 1974)).
Entities seeking exempt treatment must provide a detailed statement
supporting and justifying their request and should follow FRA's
existing procedures for requesting confidential treatment in the
railroad safety context found at 49 CFR 209.11. As noted in the
Department's FOIA implementing regulation (49 CFR part 7), the burden
is on the entity requesting confidential treatment to identify all
information for which exempt treatment is sought and to persuade the
agency that the information should not be disclosed (see 49 CFR 7.17).
The final decision as to whether the information meets the standards of
Exemption 4 rests with the FRA.

    Issued in Washington, DC, on June 17, 2009.
Joseph C. Szabo,
Administrator.
[FR Doc. E9-14692 Filed 6-22-09; 8:45 am]

BILLING CODE 4910-06-P


[Federal Register: December 10, 2008 (Volume 73, Number 238)]
[Notices]
[Page 75123-75124]
[DOCID:fr10de08-71]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[FEMA-1791-DR]

Texas; Amendment No. 14 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster for the
State of Texas (FEMA-1791-DR), dated September 13, 2008, and related
determinations.

DATES: Effective Date: November 26, 2008.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Disaster Assistance
Directorate, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated November 26, 2008, the President amended the cost-sharing
arrangements regarding Federal funds provided under the authority of
the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42
U.S.C. 5121-5207 (the Stafford Act), in a letter to R. David Paulison,
Administrator, Federal Emergency Management Agency, Department of
Homeland Security, as follows:

    I have determined that the damage in certain areas of Texas,
resulting from Hurricane Ike during the period of September 7 to
October 2, 2008, is of sufficient severity and magnitude that
special conditions are warranted regarding the cost-sharing
arrangement concerning Federal funds provided under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C.
Sec. Sec.  5121-5207 (the Stafford Act).
    Therefore, I amend my previous declarations of September 13,
2008, September 16, 2008, and October 8, 2008, and authorize Federal
funds for assistance for debris removal (Category A), including
direct Federal assistance, under the Public Assistance program, at
100 percent of the total eligible costs for an additional six months
immediately following the previous 44-day period.
    This adjustment to State and local cost sharing applies only to
Public Assistance costs and direct Federal assistance eligible for
such adjustments under the law. The law specifically prohibits a
similar adjustment for funds provided to States for Other Needs
Assistance (Section 408) and the Hazard Mitigation Grant Program
(Section 404). These funds will continue to be reimbursed at 75
percent of total eligible costs.
    This cost share is effective as of the date of the President's
major disaster declaration.

(The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households in
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050 Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance

(Presidentially Declared Disasters); 97.039, Hazard Mitigation
Grant.

R. David Paulison,
Administrator, Federal Emergency Management Agency.
[FR Doc. E8-29158 Filed 12-9-08; 8:45 am]

BILLING CODE 9110-23-P


[Federal Register Volume 82, Number 15 (Wednesday, January 25, 2017)]
[Notices]
[Page 8414]
[FR Doc No: 2017-01671]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP17-31-000]

Tallgrass Interstate Gas Transmission, LLC; Notice of Request
Under Blanket Authorization

    Take notice that on January 9, 2017, Tallgrass Interstate Gas
Transmission, LLC (Tallgrass), Post Office Box 281304, Lakewood,
Colorado 80228-8304, filed in Docket No. CP17-31-000 and pursuant to
Sections 157.205 and 157.216 of the Commission's regulations, a prior
notice under its Part 157 blanket certificate that it intends to
abandon in place two 12-inch loop pipeline segments, a total of
approximately 15,335 feet, along its Palco to Phillipsburg Pipeline in
Rooks County, Kansas, all as more fully set forth in the application
which is on file with the Commission and open to public inspection. The
filing may also be viewed on the web at http://www.ferc.gov using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. For
assistance, contact FERC at<EMAIL_ADDRESS>or call toll-
free,<PHONE_NUMBER> or TTY,<PHONE_NUMBER>.
    Tallgrass states that the pipe segments, which loop the 12-inch
Palco to Phillipsburg Pipeline where it crosses the South Fork Solomon
River and near the Webster Reservoir respectively are redundant and no
longer necessary. Abandoning the pipe segments from service will
eliminate a potential safety hazard. The proposed abandonment will not
result in or cause any interruption, reduction, or termination of
transportation service presently rendered by TALLGRASS. Therefore,
TALLGRASS proposes to abandon in place the two 12-inch pipe segments.
    Any questions regarding this Application should be directed to
David Haag, Vice President of Regulatory, Tallgrass Interstate Gas
Transmission, LLC, 370 Van Gordon St., Lakewood, Colorado 80228-1519,
phone<PHONE_NUMBER>.
    Any person may, within 60 days after the issuance of the instant
notice by the Commission, file pursuant to Rule 214 of the Commission's
Procedural Rules (18 CFR 385.214) a motion to intervene or notice of
intervention. Any person filing to intervene or the Commission's staff
may, pursuant to section 157.205 of the Commission's Regulations under
the NGA (18 CFR 157.205) file a protest to the request. If no protest
is filed within the time allowed therefore, the proposed activity shall
be deemed to be authorized effective the day after the time allowed for
protest. If a protest is filed and not withdrawn within 30 days after
the time allowed for filing a protest, the instant request shall be
treated as an application for authorization pursuant to section 7 of
the NGA.
    Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9,
within 90 days of this Notice the Commission staff will either:
Complete its environmental assessment (EA) and place it into the
Commission's public record (eLibrary) for this proceeding; or issue a
Notice of Schedule for Environmental Review. If a Notice of Schedule
for Environmental Review is issued, it will indicate, among other
milestones, the anticipated date for the Commission staff's issuance of
the final environmental impact statement (FEIS) or EA for this
proposal. The filing of the EA in the Commission's public record for
this proceeding or the issuance of a Notice of Schedule for
Environmental Review will serve to notify federal and state agencies of
the timing for the completion of all necessary reviews, and the
subsequent need to complete all federal authorizations within 90 days
of the date of issuance of the Commission staff's FEIS or EA.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenter's will be
placed on the Commission's environmental mailing list, will receive
copies of the environmental documents, and will be notified of meetings
associated with the Commission's environmental review process.
Environmental commenter's will not be required to serve copies of filed
documents on all other parties. However, the non-party commentary, will
not receive copies of all documents filed by other parties or issued by
the Commission (except for the mailing of environmental documents
issued by the Commission) and will not have the right to seek court
review of the Commission's final order.
    The Commission strongly encourages electronic filings of comments,
protests, and interventions via the internet in lieu of paper. See 18
CFR 385.2001(a) (1) (iii) and the instructions on the Commission's Web
site (www.ferc.gov) under the ``e-Filing'' link. Persons unable to file
electronically should submit original and 5 copies of the protest or
intervention to the Federal Energy Regulatory Commission, 888 First
Street NE., Washington, DC 20426.

    Dated: January 18, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-01671 Filed 1-24-17; 8:45 am]
 BILLING CODE 6717-01-P