[Federal Register Volume 78, Number 211 (Thursday, October 31, 2013)]
[Notices]
[Pages 65422-65426]
[FR Doc No: 2013-26081]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Notice of Funding Availability and Solicitation of Applications
for Grants Under the Railroad Rehabilitation and Repair Grant Program

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

ACTION: Notice of funding availability; solicitation of applications.

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SUMMARY: Under this Notice, the FRA encourages interested State
departments of transportation to submit applications for grants to
repair and rehabilitate Class II and Class III railroad infrastructure
damaged by hurricanes, floods, and other natural disasters in areas for
which the President declared a major disaster after January 1, 2008,
under Title IV of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act of 1974. The funding opportunities described in this
notice are available under Catalog of Federal Domestic Assistance
(CFDA) number 20.314.

DATES: FRA will begin accepting grant applications on November 6, 2013.
Applications may be submitted until 5 p.m. EST, December 9, 2013. FRA
reserves the right to modify this deadline.

ADDRESSES: Applications for grants under this Program must be submitted
electronically to ``Grants.gov'' at http://www.grants.gov. Grants.Gov
allows organizations to find and apply electronically for competitive
grant opportunities from all Federal grant-making agencies. Any State
wishing to submit an application pursuant to this notice should
immediately initiate the process of registering with Grants.Gov.
    For application materials that an applicant is unable to submit via
Grants.Gov (such as oversized engineering drawings), applicants may
submit an original and two (2) copies to FRA at the following address:
Federal Railroad Administration, Attention: Katy Bryant, Office of
Passenger and Freight Programs, 1200 New Jersey Avenue SE., Mail Stop
20,Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Mary Ann McNamara, Office of Passenger
and Freight Programs, Federal Railroad Administration, 1200 New Jersey
Avenue SE., Mail Stop 20, Washington, DC 20590; Phone:<PHONE_NUMBER>;
Fax:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: There is approximately $1,870,000 available
in the Railroad Rehabilitation and Repair Grant Program, which was
originally supported with up to $20,000,000 of Federal funds provided
to FRA as part of the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Pub. L.110-329, September 30,
2008) (the Act). On November 6, 2008, FRA issued a Notice of Funding
Availability (NOFA) soliciting applications for grants to fund eligible
projects. FRA received applications and evaluated them according to
criteria described in the notice. Based on the applications submitted
and the subsequent evaluations, FRA selected projects totaling
approximately $15,000,000 under this Program. Then on October 7, 2009,
FRA issued another NOFA for the remaining $5,000,000. FRA received
applications and evaluated them according to criteria described in the
notice and subsequently selected 10 additional projects to receive
funding. Due to a variety of factors, such as projects completed under
their awarded amount, FRA has approximately $1,870,000 in funds
remaining for this program.
    Purpose: Funds provided under this Program will assist Class II and
Class III railroads recover from disasters declared between January 1,
2008 and the publication date of this notice of funding availability.
    Authority: The Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Pub. L. 110-329, September 30,
2008).
    Funding: Approximately $1,870,000 of the $20,000,000 originally
appropriated remains available until expended. The Act directs the
Secretary of Transportation to competitively award grants covering up
to 80 percent of project costs. The remaining grantee match should be
provided in non-Federal cash, equipment, or supplies. The funding
provided for these grants will be made available to the grantee(s) on a
reimbursable basis. It is anticipated that the available funding could
support projects proposed by multiple applicants. FRA may choose to
award a grant or grants in any amount within the limit of the available
funds. The grantees must exhaust all other Federal and State resources
prior to seeking assistance under this Program.
    Schedule for Railroad Rehabilitation and Repair Grant Program: FRA
will begin accepting grant applications on November 6, 2013. All
applications must be received by 5:00 p.m. EST, December 9, 2013.
    Eligible Applicants: The department of transportation of any
eligible State may apply for funding under this notice, provided that
the applicant State has an eligible project and has exhausted all other
Federal and State resources prior to seeking assistance under this
Program.
    Eligible Projects: To be eligible for funding under this Program, a
project must include the rehabilitation and repair of Class II or Class
III railroad infrastructure damaged by hurricanes, floods, and other
natural disasters in counties for which the President declared a major
disaster under Title IV of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act of 1974 between January 1, 2008 and the date
of the publication of this notice in the Federal Register (http://www.fema.gov/news/disasters.fema#sev1). Rehabilitation or repairs must
be made to rights-of-way, bridges, signals, and other infrastructure
which are part of the general railroad system of transportation and
primarily used by railroads to move freight traffic.
    Funding Period: Funds will be available under this program only for
the reimbursement of costs incurred after a major disaster declaration
that was made between January 1, 2008 and the date of the publication
of this notice of funding availability in the counties covered by such
a declaration.
    Selection Criteria: FRA will consider the following selection
factors in evaluating applications for grants under this Program:
    1. The inability of the Class II or Class III railroad to fund the
project without Federal funding under the Railroad Rehabilitation and
Repair Grant Program, including the applicant demonstrating that it has
exhausted all other Federal and State resources.
    2. The effects on rail operations, specifically the movement of
freight, of the proposed rehabilitation or repair.
    3. The likelihood of the continued railroad operations on the track
that is proposed to be repaired or rehabilitated for more than three
years after project work is complete.
    Required Grant Application Documents: Applications are required to
contain the following documents:
    1. Project Narrative/Statement of Work (additional instructions
below);
    2. Detailed Budget (additional instructions below);
    3. SF 424: Application for Federal Assistance (available at http://www.fra.dot.gov/Page/P0267);
    4. SF 424C: Budget Information-Construction (available at http://www.fra.dot.gov/Page/P0267);
    5. SF 424D: Assurances-Construction (available at http://www.fra.dot.gov/Page/P0267);
    6. SF LLL: Disclosure of Lobbying Activities (available at http://www.whitehouse.gov/sites/default/files/omb/grants/sflllin.pdf);
    7. A copy of the applicant's most recent audit performed in
compliance with OMB Circular A-133, if available (information on
Circular A-133 can be found at http://www.whitehouse.gov/omb/circulars/a133/a133.html); and
    8. FRA's Additional Assurance and Certifications (available at
http://www.fra.dot.gov/eLib/Details/L02985).
    Project Narrative/Statement of Work: The following points describe
the minimum content which will be required in the Project Narrative/
Statement of Work elements of grant applications. These requirements
must be satisfied through a narrative statement submitted by the
applicant, and may be supported by spreadsheet documents, tables,
drawings, and other materials, as appropriate. FRA recommends that
applicants read this section carefully and submit all required
information. If an application does not address each of these
requirements to FRA's satisfaction, the application may be considered
incomplete and removed from consideration for award. Each Project
Narrative/Statement of Work must:
    1. Designate a point of contact for the applicant and provide his
or her name, title, and contact information, including phone number,
mailing address and email address. The point of contact must be an
employee of the applicant (i.e. a State employee).
    2. Include an explanation of why the project is an eligible project
(including the Federal Emergency Management Agency disaster declaration
number, which is listed at http://www.fema.gov/news/disasters.fema#sev1) and a thorough discussion of how the project meets
all of the selection criteria described above. Applicants should note
that FRA evaluates applications based upon the selection criteria. If
an application does not sufficiently address the selection criteria,
FRA will have little or no basis on which to evaluate the application;
thus, it will likely not be a competitive application.
    3. In responding to the first selection criteria listed above,
applicants must

identify all funds (including amounts) received from other Federal and/
or State disaster relief programs that directly benefited the
project(s) for which funds are being sought under this Program, or
demonstrate that all such efforts at procuring such funding have failed
or been exhausted. This demonstration should include a recitation of
specific Federal and State disaster relief programs investigated by the
applicant. Among the Federal programs which the applicant might
investigate are those administered by the Federal Emergency Management
Agency, the Small Business Administration, the Federal Highway
Administration, and the U.S. Department of Agriculture.
    4. Provide an overview of all work done to date to rehabilitate and
repair damage caused by the natural disaster.
    5. Provide a detailed description of the scope of work for the
proposed project and include the anticipated, or actual, project
schedule. Describe the proposed project's physical location, mile-post
limits, and include any drawings, plans, or schematics that have been
prepared relating to the proposed project.
    If funding requested under this Program is only going to support a
portion of the overall rehabilitation and repair of the applicant's
project, describe the complete project and specify which portion will
involve Federal funding. In addition, FRA strongly encourages
applicants to estimate total project costs and explain how the affected
Class II and Class III railroad will finance the completed project.
    6. Describe the source and amount of non-Federal funds, broken down
by cash, equipment, or supplies.
    7. Describe proposed project implementation and an overview of
project management arrangements. Include descriptions of expected
arrangements for project contracting, contract oversight, change-order
management, risk management, and conformance to Federal requirements
for project progress reporting (described in Appendices 1 and 2).
    8. For the railroad(s) operating on the infrastructure proposed to
be rehabilitated or repaired, describe the frequency of service, axle-
load limits, and estimated railroad gross ton miles per mile for the
first full year after completion of the project.
    9. Describe the status or progress toward completing any
environmental documentation or clearance for the proposed project under
the National Environmental Policy Act, the National Historic
Preservation Act, section 4(f) of the DOT Act, or other applicable
federal or state environmental impact assessment laws. FRA's Procedures
for Considering Environmental Impacts (64 FR 28545) (May 26, 1999)
(http://www.fra.dot.gov/Page/P0215) describe FRA's process for the
assessment of environmental impacts and the preparation and processing
of appropriate documents. For projects that may be categorically
excluded from detailed environmental review, as discussed in FRA's
Procedures, categorical exclusion worksheets are available at: http://www.fra.dot.gov/Page/P0550. Applicants are encouraged to contact FRA as
early as possible in the environmental/historic preservation review
process to discuss the environmental review.
    Detailed Budget: Applicants must present a detailed budget for the
proposed project that includes both Federal funds and matching funds.
Items of cost included in the budget must be reasonable, allocable and
necessary for the project. The budget for the cost of the project
should separate the total cost of the project into the following
categories, if applicable: (1) Administrative and legal expenses; (2)
Land, structures, rights-of-way, and appraisals; (3) Relocation
expenses and payments; (4) Architectural and engineering fees; (5)
Project inspection fees; (6) Site work; (7) Demolition and removal; 8)
Construction labor, supervision, management, and materials, by type
(e.g. ties, rail, signals, switches); (9) Equipment; (10)
Miscellaneous; and (11) Contingencies. Costs may be reimbursed as long
as expenditures were incurred after the date of the natural disaster.
Additional information on project budgets is contained in Appendix 3.
    Format: Excluding spreadsheets, drawings, and tables, the Project
Narrative/Statement of Work for grant applications may not exceed
twenty-five pages in length. With the exclusion of oversized
engineering drawings (which may be submitted in hard copy to the FRA at
the address indicated above), all application materials should be
submitted as attachments through Grants.Gov. Spreadsheets consisting of
budget or financial information should be submitted via Grants.Gov as
Microsoft Excel (or compatible) documents.
    Labor Standards: The Act requires that all grantees comply with the
Davis-Bacon Act (40 U.S.C. 3141 et seq.) as provided for in 49 U.S.C.
24312. 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.
    Award Notices: Applications selected for funding will be announced
after the application review period. FRA will contact applicants with
successful applications after announcement with information and
instructions about the award process. Notification of a selected
application is not an authorization to begin proposed project
activities. The period of performance for this grant program is
dependent on the project. However, any unobligated funds will be
deobligated 120 days after the period of performance end date of the
grant, as described in Appendix 2.4. Extensions to the period of
performance will be considered only through written requests to FRA
with specific and compelling justifications for why an extension is
required.

Appendix 1: Administrative and National Policy Requirements

Appendix 1.1 Standard Financial and Program Administration Requirements

    Grant recipients must follow all standard financial and program
administration requirements, including:

Administrative Requirements

     49 CFR Part 18, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments
     49 CFR Part 19, Uniform Administrative Requirements for
Grants and Cooperative Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (OMB
Circular A-110)

Cost Principles

     2 CFR Part 225, Cost Principles for State, Local, and
Indian Tribal Governments (OMB Circular A-87)
     2 CFR Part 220, Cost Principles for Educational
Institutions (OMB Circular A-21)
     2 CFR Part 230, Cost Principles for Non-Profit
Organizations (OMB A-122)
     Federal Acquisition Regulations (FAR), Part 31.2
Contract Cost Principles and Procedures, Contracts with Commercial
Organizations

Audit Requirements

     OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations

Appendix 1.2 Administrative and National Policy Requirements

    Grant recipients must follow all administrative and national
policy requirements including: Procurement

standards, compliance with Federal civil rights laws and
regulations, disadvantaged business enterprises (DBE), debarment and
suspension, drug-free workplace, FRA's and OMB's Assurances and
Certifications, Americans with Disabilities Act (ADA), environmental
protection, National Environmental Policy Act (NEPA), and
environmental justice.

Appendix 1.3 Freedom of Information Act (FOIA)

    As a Federal agency, FRA is subject to the Freedom of
Information Act (FOIA) (5 U.S.C. 552), which generally provides that
any person has a right, enforceable in court, to obtain access to
Federal agency records, except to the extent that such records (or
portions of them) are protected from public disclosure by one of
nine exemptions or by one of three special law enforcement record
exclusions. Grant applications and related materials submitted by
applicants pursuant to this guidance will become agency records, and
thus are subject to the FOIA and to public release through
individual FOIA requests. FRA also recognizes that certain
information submitted in support of an application for funding in
accordance with this guidance could be exempt from public release
under FOIA as a result of the application of one of the FOIA
exemptions, most particularly Exemption 4, which protects trade
secrets and commercial or financial information obtained from a
person that is privileged or confidential (5 U.S.C. 552(b)(4)). In
the context of this grant program, commercial or financial
information obtained from a person could be confidential if
disclosure is likely to cause substantial harm to the competitive
position of the person from whom the information was obtained (see
National Parks & Conservation Association v. Morton, 498 F.2d 765,
770 (D.C. Cir. 1974)). Entities seeking exempt treatment must
provide a detailed statement supporting and justifying the request
and should follow FRA's existing procedures for requesting
confidential treatment in the railroad safety context found at 49
CFR 209.11. As noted in the Department's FOIA implementing
regulation (49 CFR part 7), the burden is on the entity requesting
confidential treatment to identify all information for which exempt
treatment is sought and to persuade the agency that the information
should not be disclosed (see 49 CFR 7.17). The final decision as to
whether the information meets the standards of Exemption 4 rests
with FRA.

Appendix 2: Additional Information on Award Administration and Grant
Conditions

Appendix 2.1 Reporting Requirements

    Reporting requirements must be met throughout the life of the
grant (additional detail will be included in the award package
provided to selected applicants).
     Progress Reports--Progress reports are to be submitted
quarterly. These reports must relate the state of completion of
items in the Statement of Work to expenditures of the relevant
budget elements. The grant recipient must furnish the quarterly
progress report to the FRA on or before the 30th calendar day of the
month following the end of the quarter being reported. Grantees must
submit reports for the periods: January 1-March 31, April 1-June 30,
July 1-September 30, and October 1-December 31. Each quarterly
report must set forth concise statements concerning activities
relevant to the project, and should include, but not be limited to,
the following: (a) An account of significant progress (findings,
events, trends, etc.) made during the reporting period; (b) a
description of any technical and/or cost problem(s) encountered or
anticipated that will affect completion of the grant within the time
and fiscal constraints as set forth in the agreement, together with
recommended solutions or corrective action plans (with dates) to
such problems, or identification of specific action that is required
by the FRA, or a statement that no problems were encountered; and
(c) an outline of work and activities planned for the next reporting
period.
     Quarterly Federal Financial Report (SF-425)--The
Grantee must submit a quarterly Federal financial report
electronically in FRA's web-based grant management system,
GrantSolutions, on or before the thirtieth (30th) calendar day of
the month following the end of the quarter being reported (e.g., for
quarter ending March 31, the SF-425 is due no later than April 30).
A report must be submitted for every quarter of the period of
performance, including partial calendar quarters, as well as for
periods where no grant activity occurs. The Grantee must use SF-425,
Federal Financial Report, in accordance with the instructions
accompanying the form, to report all transactions, including Federal
cash, Federal expenditures and unobligated balance, recipient share,
and program income.
     Interim Report(s)--If required, interim reports will be
due at intervals specified in the Statement of Work and must be
submitted to FRA.
     Final Report(s)--Within 90 days after the period of
performance end date of the grant or termination by FRA, the Grantee
must submit a Summary Project Report in the GrantSolutions system.
This report should detail the results and benefits of the Grantee's
improvement efforts.
     Reports, Presentations and Other Deliverables--Whether
for technical examination, administrative review, or publication,
all submittals shall be of a professional quality and suitable for
their intended purpose. Due dates for submittals shall be based on
the specified intervals or days from the effective date of the
agreement.

Appendix 2.2 Audit Requirements

    Grant recipients that expend $500,000 or more of Federal funds
during their fiscal year, combined from all sources, are required to
submit an organization-wide financial and compliance audit report.
The audit must be performed in accordance with U.S. General
Accountability Office, Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits
of States, Local Governments, and Non-Profit Organizations, located
at http://www.whitehouse.gov/omb/circulars/a133/a133.html.
Currently, audit reports must be submitted to the Federal Audit
Clearinghouse no later than nine months after the end of the
recipient's fiscal year. In addition, FRA and the Comptroller
General of the United States must have access to any books,
documents, and records of grant recipients for audit and examination
purposes. The grant recipient will also give FRA or the Comptroller,
through any authorized representative, access to, and the right to
examine all records, books, papers or documents related to the
grant. Grant recipients must require that sub-grantees comply with
the audit requirements set forth in OMB Circular A-133. Grant
recipients are responsible for ensuring that sub-recipient audit
reports are received and for resolving any audit findings.

Appendix 2.3 Monitoring Requirements

    Grant recipients will be monitored periodically by FRA to ensure
that the project goals, objectives, performance requirements,
timelines, milestones, budgets, and other related program criteria
are being met. FRA may conduct monitoring activities through a
combination of office-based reviews and onsite monitoring visits.
Monitoring will involve the review and analysis of the financial,
programmatic, and compliance issues relative to each program and
will identify areas where technical assistance and other support may
be needed. The recipient is responsible for monitoring award
activities, including sub-awards and sub-grantees, to provide
reasonable assurance that the award is being administered in
accordance with Federal requirements. Financial monitoring
responsibilities include the accounting of recipients and
expenditures, cash management, maintaining of adequate financial
records, and refunding expenditures disallowed by audits.

Appendix 2.4 Closeout Process

    Project closeout occurs when all required project work and all
administrative procedures described in 49 CFR section 262.19, as
applicable, have been completed, and when FRA notifies the grant
recipient and forwards the final Federal assistance payment, or when
FRA acknowledges the grant recipient's remittance of the proper
refund. Project closeout should not invalidate any continuing
obligations imposed on the Grantee by an award or by the FRA's final
notification or acknowledgment. Within 90 days after the period of
performance end date of the grant or termination by FRA, grantees
agree to submit a final Federal Financial Report (SF-425), a
certification or summary of project expenses, a final report, and
third party audit reports, as applicable.

Appendix 3: Additional Information on Applicant Budgets

    The information contained in this appendix is intended to assist
applicants with developing the SOW budget and OMB Standard Form
424C: Budget Information--Construction Programs. Applicants must
present a detailed budget for the proposed project that includes
both Federal funds and matching funds. Items of cost included in the
budget must be reasonable, allocable, and necessary for the project.
At a minimum, the budget should separate total cost of the

project into the following categories and provide a basis of
computation for each cost:
     Administrative and Legal Expenses: List the estimated
amounts needed to cover administrative expenses. Do not include
costs which are related to the normal functions of government.
Allowable legal costs are generally only those associated with the
purchases of land which is allowable for Federal participation and
certain services in support of construction of the project. This may
include:

[cir] Hours/Rate and total cost of local government staff
[cir] Hours/Rate and total cost of outside counsel fees
[cir] Hours/Rate and total cost of consultants
     Land, structures, rights-of-way, appraisals, and
related items: List the estimate site and right(s)-of-way
acquisition costs (this includes purchase, lease, and/or easements).
If possible, include details of number of acres, acre cost, square-
footage, and square footage cost.
     Relocation expenses and payments: List the estimated
costs relation to relocation advisory assistance, replacement of
housing, relocation payments to displaces persons and businesses,
etc. This may include:
[cir] The gross salaries and wages of employees for the grantee who
will be directly engaged in performing demolition or removal of
structures from developed land
     Architectural and engineering fees: List the estimated
basic engineering fees related to construction (this includes start-
up services and preparation of project performance work plan).
     Other architectural and engineering fees: List the
estimated engineering costs, such as surveys, tests, soil borings,
etc.
     Project inspection fees: List the estimated engineering
inspection costs. This may include:

[cir] Rate of project inspector
[cir] Construction monitoring
[cir] Audit or construction programs
     Site Work: List the estimated costs of site preparation
and restoration which are not included in the basic construction
contract. This may include:

[cir] Clearing
[cir] Erosion control
[cir] Reseeding
     Demolition and removal: List the estimated costs
related to demolition activities.
     Construction: List the estimated cost of the
construction contract. This may include costs for:

[cir] Labor costs, e.g., associated with site preparation and
installation of grade crossings, highway warning signs, etc.
[cir] Equipment rental/purchase, e.g., an excavator or bulldozer
[cir] Materials, e.g., Rail anchors, retaining walls, etc.
     Equipment: List the estimated cost of office, shop,
laboratory, safety equipment, etc. to be used at the facility, if
such costs are not included in the construction contract.
     Miscellaneous: List the estimated miscellaneous costs.
     Contingencies: List the estimated contingency costs.

    Issued in Washington, DC, on October 29, 2013.
Corey Hill,
Director, Office of Passenger and Freight Programs.
[FR Doc. 2013-26081 Filed 10-30-13; 8:45 am]
BILLING CODE 4910-06-P