[Federal Register: July 1, 2010 (Volume 75, Number 126)]
[Notices]
[Page 38365-38383]
[DOCID:fr01jy10-164]

-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

High-Speed Intercity Passenger Rail (HSIPR) Program

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

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

-----------------------------------------------------------------------

SUMMARY: This notice details the application requirements and
procedures for obtaining funding for individual high-speed and
intercity passenger rail projects available under the Transportation,
Housing and Urban Development, and Related Agencies Appropriations Act
for 2010 (Div. A of the Consolidated Appropriations Act, 2010 (Pub. L.
111-117, Dec. 16, 2009)). The Federal Railroad Administration has
issued a separate notice in today's edition of the Federal Register for
Fiscal Year 2010 funding made available for Service Development
Programs.
    This document incorporates interim guidance required for the HSIPR
program pursuant to the Transportation, Housing and Urban Development,
and Related Agencies Appropriations Act for 2010 and 49 U.S.C.
24402(a)(2). The funding opportunities described in this notice are
available under Catalog of Federal Domestic Assistance (CFDA) number
20.319.

DATES: Applications for funding under this solicitation are due no
later than 5 p.m. EDT, August 6, 2010. FRA reserves the right to modify
this deadline.

ADDRESSES: Comments must be submitted through http://
www.grantsolutions.gov. See Section 4 for additional information
regarding the application process.

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

SUPPLEMENTARY INFORMATION:

Table of Contents

1. Funding Opportunity Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review Information
6. Award Administration Information
7. Agency Contact
Appendix 1: Definition of High-Speed and Intercity Passenger Rail
Appendix 2: Additional Information on Stages of Project Development
Appendix 3: Additional Information on Applicant Budgets
Appendix 4: List of Acronyms and Abbreviated References

Section 1: Funding Opportunity Description

1.1 Legislative Authority

    This interim program guidance and financial assistance announcement
pertains to the funding made available for Individual Projects under
FRA's HSIPR program. The authority for this grant program is contained
in two pieces of legislation:
     The Passenger Rail Investment and Improvement Act of 2008
(PRIIA), under Sections 301, 302, and 501: Intercity Passenger Rail
Service Corridor Capital Assistance (codified at 49 U.S.C. chapter
244), General Passenger Rail Transportation (codified at 49 U.S.C.
chapter 24105), and High-Speed Rail Assistance (codified at 49 U.S.C.
chapter 26106), respectively; and
     The Fiscal Year 2010 Consolidated Appropriations Act
(Title I of Division A of Pub. L. 111-117, December 16, 2009) (FY 2010
DOT Appropriations Act), under the title ``Capital Assistance for High
Speed Rail Corridors and Intercity Passenger Rail Service.''
    This document incorporates interim guidance required for the HSIPR
program pursuant to the FY 2010 DOT Appropriations Act and 49 U.S.C.
24402(a)(2).

1.2 Funding Approach

    The FY 2010 DOT Appropriations Act appropriated a total of $2.5
billion for the HSIPR program. FRA is soliciting grant applications
separately for the different components of this appropriation:
     FY 2010 Individual Projects (up to $245 million): Final
Design/Construction or Preliminary Engineering/NEPA for Individual
Projects with a 20 percent non-Federal match. This solicitation is for
these funds.
     FY 2010 Service Development Programs (at least $2,125
million): Service Development Programs with a 20 percent non-Federal
match. The notice of funding availability (NOFA) for these funds is
being issued concurrently with this solicitation.
     FY 2010 Planning Projects (up to $50 million): Planning
projects with a 20 percent non-Federal match. The solicitation for
these funds was published on April 1, 2010, and applications were due
May 19, 2010.
     FY 2010 Multi-State Proposals (from $50 million for
Planning Projects): Proposals for Federally-led preparation of planning
documents for high-speed rail corridors that cross multiple states. The
guidance for submitting proposals was published on April 1, 2010, and
the proposals were due May 19, 2010.
    The balance of the $2.5 billion is allocated to HSIPR program
administration and research.

1.3 Forthcoming Interim Guidance

    FRA is preparing a draft guidance document as part of the process
of

establishing a long-term framework for the HSIPR program. This
document, anticipated for publication later this year, will include
details about each stage of the project development process (from
planning and design through construction and operation), as well as
provide substantial technical assistance on the processes and
documentation needed for successful project development and delivery.
This guidance is intended for future program administration and does
not apply to this funding solicitation or the application process
described in this notice.
    The initial draft of this pending guidance document will be open
for public comment, and FRA will utilize various outreach mechanisms
for soliciting feedback from the HSIPR stakeholder community. FRA
expects to modify the draft guidance document taking into account this
feedback and to eventually issue Final Guidance that will include
standards and guidelines that will be applicable to future funding
opportunities.

Section 2: Award Information

    Of the $2.5 billion appropriated by Congress, up to $245 million is
available for individual projects. These grants are authorized under 49
U.S.C. 24406, 49 U.S.C. 24105, and 49 U.S.C. 26106.
    Individual grants made under this solicitation are intended to
assist States and other eligible applicants with the capital costs of
improving existing high-speed or intercity passenger rail service. (See
Appendix 1 for the definition of ``high-speed and intercity passenger
rail.'') This financial assistance opportunity is for projects that
involve the following activities:
     Final design (FD)/Construction of projects that already
have completed site-specific NEPA documentation (project final
environmental impact statement (EIS), final environmental assessment
(EA) or categorical exclusion (CE) documentation) and completed
preliminary engineering (PE); or
     Completion of project NEPA and PE documentation.
Completion of the grant activities should result in all of the
documentation necessary for the project to move into the FD/
Construction stage.
    The intent of the Individual Project solicitations is to fund
discrete Individual Projects that result in operational or other
tangible improvements (such as station rehabilitation) benefiting one
or more existing high-speed or intercity passenger rail services.
    FRA will make awards for these projects through cooperative
agreements. Cooperative agreements allow for greater Federal
involvement in carrying out the agreed upon investment. The substantial
Federal involvement for these projects will include technical
assistance, review of interim work products, and increased program
oversight. The funding provided under these cooperative agreements will
be made available to grantees on a reimbursable basis.
    While there are no predetermined minimum or maximum dollar
thresholds for awards, FRA anticipates making multiple awards from the
maximum $245 million available for Individual Projects. As such, FRA
expects applicants to tailor their applications and proposed project
scopes accordingly. Pursuant to 49 U.S.C. 24402(g)(1), FRA will
establish the net project cost for the scope of work proposed in an
application, based on engineering materials, studies of economic
feasibility, information on the expected use of equipment or
facilities, and other project information provided in an application.
FRA reserves the right to contact applicants with any questions or
comments related to applications.

Section 3: Eligibility Information

    Applications under this solicitation will be required to meet
minimum requirements related to applicant eligibility, project
eligibility, and the fulfillment of other eligibility requirements. To
the extent that an application's substance exceeds the minimum
eligibility requirements described below, such information will be
considered in evaluating the merits of an application (see Section 5
for evaluation and selection criteria).

3.1 Eligible Applicants

    Eligible applicant entities are as follows:
     States (including the District of Columbia);
     Groups of States (Sections 301 and 501 of PRIIA);
     Interstate compacts (Sections 301 and 501);
     Public agencies established by one or more States and
having responsibility for providing intercity passenger rail service
(Section 301) or high-speed passenger rail service (Section 501);
     Amtrak (Section 501); and
     Amtrak, in cooperation with States (Sections 301 and 302;
see 49 U.S.C. 24402(e) for additional information on Amtrak's
eligibility requirements when applying for grants in cooperation with
States).

3.2 Minimum Qualifications for Applicant Eligibility

    An applicant must, in addition to demonstrating that it is an
eligible applicant type for the Individual Project, affirmatively
demonstrate that the applicant has or will have the legal, financial,
and technical capacity to carry out the activities proposed within an
application. A prospective applicant that does not fall within the
definition of a State, group of States, or Amtrak will also be required
to submit documentation (such as copies of legislation) demonstrating
its legal authority to provide intercity or high-speed passenger rail
service on behalf of a State or group of States.
    In addition, the applicant must demonstrate that it has or will
have satisfactory continuing control over the use of equipment or
facilities acquired, constructed, or improved by the project and the
capability and willingness to maintain such equipment or facilities.
    For an applicant to demonstrate the legal, financial, and technical
capacity to carry out the activities proposed in its application, the
applicant will be required to address the following qualifications:
     The applicant's ability to absorb potential cost overruns
or financial shortfalls;
     The applicant's experience in effectively administering
grants of similar scope and value (including timely completion of grant
deliverables, compliance with grant conditions, and quality and cost
controls); and
     The applicant's experience in managing railroad investment
project development activities of a nature similar to those 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, the applicant 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 enforceable contractual agreements
providing satisfactory continuing control in place with the entity or
entities (e.g., one or more railroads, or a local government) 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, the
applicant will be required to show:
     That it has made progress toward, and will have
contractual agreements in place with, any entity or entities (e.g., one
or more railroads, or a local government) 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 use and maintenance for the useful life of the
asset;
     That, to the extent financial responsibility will fall to
the applicant, a viable funding source(s) has been identified to cover
maintenance costs; and
     The applicant's experience in maintaining assets with
similar financial and operational maintenance requirements as those
assets for which funding is being requested.
    Information and documentation demonstrating the fulfillment of the
minimum qualifications described above must be submitted as part of the
application (see Section 4.2).

3.3 Cost Sharing

3.3.1 Applicant Cost Sharing
    The Federal share of the costs of projects funded through this
solicitation shall not exceed 80 percent.
    If an applicant chooses the option of contributing, from its own,
its partner project sponsors', or other interested parties' resources,
more than the required 20 percent non-Federal share of the costs of its
proposed project, such additional contributions will be considered in
evaluating the merit of its application.
3.3.2 Requirements for Applicant Cost Sharing
    An applicant's contribution toward the cost of its proposed project
may be in the form of cash or, with FRA approval, in-kind contributions
of services or supplies related to the activities proposed for funding.
As part of its application, an applicant offering an in-kind
contribution must provide a documented estimate of the monetary value
of any such contribution and its eligibility under 49 CFR 18.24 or
19.23. However, all in-kind contributions must be allowable,
reasonable, allocable, and in accordance with applicable OMB cost
principles, and must not represent double-counting of costs otherwise
accounted for in an indirect cost rate pursuant to which the applicant
will seek reimbursement.
    The applicant must provide, as part of its application,
documentation that demonstrates that it has committed and will be able
to fulfill any required and pledged contribution, including committing
any required financial resources that are budgeted or planned at the
time the application is submitted.
    All applicants will be required to identify a viable funding
source(s) at the time of application to absorb any cost overruns and
deliver the proposed project with no Federal funding or financial
assistance beyond that provided in the cooperative agreement.

3.4 Eligible Individual Projects

    Eligible Individual Project activities under this funding
announcement include completion of PE/NEPA documentation, final design
(FD), and construction activities. These activities are broken into two
categories for the purpose of this solicitation and the application
process: PE/NEPA completion and FD/Construction activities.
    This solicitation will fund activities to advance discrete capital
projects that will result in service benefits or other tangible
improvements on a corridor. Capital projects are defined by 49 U.S.C.
24401(2) and 49 U.S.C. 26106(b)(3) as acquiring, constructing,
improving, or inspecting equipment, track and track structures, or a
facility for use in or for the primary benefit of high-speed and
intercity passenger rail service, expenses incidental to the
acquisition or construction (including designing, engineering, location
surveying, mapping, environmental studies, and acquiring rights-of-
way), payments for the capital portions of rail trackage rights
agreements, highway-rail grade crossing improvements related to high-
speed and intercity passenger rail service, mitigating environmental
impacts, communication and signalization improvements, relocation
assistance, acquiring replacement housing sites, acquiring,
constructing, relocating, and rehabilitating replacement housing,
rehabilitating, remanufacturing, or overhauling rail rolling stock and
facilities used primarily in intercity passenger rail service,
providing access to rolling stock for nonmotorized transportation and
storage capacity in trains for such transportation, equipment, and
other luggage; and the first-dollar liability costs for insurance
related to the provision of intercity passenger rail service under 49
U.S.C. 24404. FRA will not fund activities not included in this
definition nor consider the funding of any such activities in
calculating an applicant's required cost share.
3.4.1 Eligible FD/Construction Activities
    FRA intends for grants awarded for FD/Construction activities to
fund the design, construction, and full implementation of projects that
have completed PE/NEPA requirements, as outlined in Section 4.2.5
below.
    FRA may consider funding only final design for projects that
represent a critical strategic investment for HSIPR service, are
sufficiently complex and broad in scope, and for which final design
would constitute a substantial step in implementing the project. See
Section 4.2.5 and Appendix 2 for more information on requirements for
demonstrating completion of PE/NEPA and the requirements for Final
Design.
3.4.2 Eligible PE/NEPA Activities
    FRA intends for PE/NEPA grants to fund activities that lead
directly to completion of preliminary engineering (PE) and/or project
NEPA and related environmental documentation. See Appendix 2.2 for more
information on NEPA documentation and Appendix 2.3 for more information
on PE materials.
    Activities proposed in an application must include all remaining
work needed to fully complete both PE and NEPA documentation to be
eligible for consideration under this solicitation. The PE/NEPA
documents resulting from the grant activities must be sufficiently
developed to support immediate commencement of final design or
construction activities; however, these final design and construction
activities would not be funded as part of the grant award.
3.4.3 Standard and Major Capital Projects
    FRA will be distinguishing between ``Standard'' and ``Major''
Capital Projects. As required by PRIIA (49 U.S.C. 24403(a)), and in
keeping with project management approaches in use by other DOT agencies
(e.g., FTA's Project Management Oversight program (49 CFR part 633),
and FHWA's IPD Major Project Delivery Guidance), large, complex capital
projects, designated as ``Major Capital Projects,'' call for a
particularly rigorous approach towards project management and
oversight.
    All Individual Projects will be assumed to be Standard Capital
Projects. However, the Administrator may designate an Individual
Project as a Major Capital Project if it is determined that the project
carries more delivery risk and therefore would benefit from a more
rigorous approach toward project management. Individual Major Capital
Projects will typically be those that:

     Involve a recipient whose past experience in managing and
overseeing similar HSIPR projects is limited;
     Involve the use of new or unproven technology;
     Involve particularly complex institutional relationships
among project stakeholders (e.g., multiple rail freight operators,
intercity and commuter rail passenger operators, infrastructure-owning
railroads, and government agencies); and/or
     Are expected to have a total project cost in excess of
$100 million.

3.5 Additional Eligibility Requirements

3.5.1 Project Planning
    Individual Projects must be identified through a rational planning
process that analyzes the investment needs and service objectives of
the service that the Individual Project is intended to benefit. This
document may be a Service Development Plan, State Rail Plan, or similar
planning document.
    At a minimum, the project planning process must demonstrate that
the project has been identified as the best solution for solving a
specific existing transportation problem, and make the case for
investing in the proposed solution. In doing so, project planning must
encompass activities such as identifying the purpose and need for the
project and analyzing the costs, benefits, and impacts of a range of
alternatives for implementing the project and alternatives to the
project. More information on the objectives and preparation of project
planning is included in Appendix 2.1.
3.5.2 Operational Independence
    All projects that are proposed to be advanced using HSIPR program
funding must have operational independence. A project is considered to
have operational independence if, upon being implemented, it will
provide tangible and measurable benefits, even if no additional
investments in the same service are made. Examples of these benefits
include operational reliability improvements, travel-time reductions,
and additional service frequencies resulting in increased ridership.
When applying for funding for PE/NEPA activities, an applicant must
demonstrate that the project will have operational independence were it
to advance to construction and full implementation.
    Applications for projects the benefits of which are fully
contingent upon FRA's selection of another application, or which fail
to provide information on the stand-alone benefits of the project, will
not be considered for funding.
3.5.3 Availability of Funds
    It is important for awarded projects to be brought promptly to
obligation through execution of a cooperative agreement by the
applicant and FRA and for awarded funds to be expended without delay
and in accordance with the statement of work and project schedules
included in the cooperative agreement. Under 49 U.S.C. 24402(h), if any
amount awarded under the HSIPR program is not obligated within 2 years
of the date on which the award is made, FRA may cancel the award and
redistribute the funds to other HSIPR projects at the FRA
Administrator's sole discretion. Similarly, FRA may require the return
of obligated funds that remain unexpended if the grantee is not making
satisfactory progress in implementing the project or program as
provided for in the cooperative agreement.
3.5.4 Eligibility Restrictions
    Pursuant to the provisions of Sections 301, 302, and 501 of PRIIA,
the following activities are ineligible to receive Federal funding
under this solicitation:
     Applications submitted by private entities other than
Amtrak;
     Projects for which commuter rail passenger transportation
is the primary intended beneficiary (see Appendix 1);
     Projects in which the physical improvements are located
outside of the United States; and
     Any expenses associated with passenger rail operating
costs.
3.5.5 Funding Restrictions
    In general, only those costs considered allowable pursuant to OMB
Circular A-87, ``Cost Principles for State, Local, and Indian Tribal
Governments'' (codified at 2 CFR part 225), will be considered for
funding. Additionally, the following funding restrictions will apply to
cooperative agreements awarded under this solicitation and must be
taken into consideration in the development of budget information
submitted as part of an application:
     Funding may not be used to fund expenses associated with
the operation of intercity passenger rail service; and
     While there is no cap on a grant recipient's use of grant
funds for management and administrative costs, such costs must be
allowable, reasonable, allocable, and in accordance with applicable OMB
cost principles cited above.
    FRA will also consider reimbursement of pre-award costs incurred
after the enactment of the FY 2010 DOT Appropriations Act (December 16,
2009). However, such costs will be considered for reimbursement only to
the extent that they are otherwise allowable under the applicable cost
principles. To the extent such pre-award costs are incurred prior to
the date of submission of an application, the application must show in
detail what costs have been incurred in order for such costs to be
considered for reimbursement. Projects for which construction
activities commenced prior to receipt of an FRA environmental
determination under NEPA will not be eligible for funding.
    Additionally, a grant recipient may not generally 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 FRA has provided the grant
recipient with a written notice authorizing it to proceed.
3.5.6 Standards for Equipment Procurement or Design Grants
    If the applicant is seeking a grant for the procurement or design
of railroad equipment, the proposed equipment should be consistent with
specifications developed by the Next Generation Corridor Equipment Pool
Committee. This Committee was established under Section 305 of PRIIA to
develop a pool of standardized next-generation rail corridor equipment.
Compliance with Section 305 of PRIIA will assist in creating the
economies of scale necessary to achieve the Administration's goal of
developing a sustainable railroad equipment manufacturing base in the
United States, as outlined in the Vision for High-Speed Rail in America
(April 2009). The Next Generation Corridor Equipment Pool Committee
will be issuing specifications for bi-level cars this summer, single-
level cars this winter, and locomotives in 2011.
3.5.7 Positive Train Control (PTC)
    If, as a component of an investment intended to benefit high-speed
or intercity passenger rail service, a project involves installation
and/or improvements to railroad signaling/control systems, the
application must demonstrate that the proposed improvements are
consistent with a comprehensive plan for complying with

the requirements for PTC implementation under Section 104 of the Rail
Safety Improvement Act of 2008 (``RSIA,'' Division A of Pub. L. 110-
432, October 16, 2008, codified at 49 U.S.C. 20157) and with FRA's
final rule on Positive Train Control Systems published in the Federal
Register on January 15, 2010 (75 FR 2598).

Section 4: Application and Submission Information

4.1 Application Procedures

4.1.1 Applying Online Through GrantSolutions
    FRA participates in the Grants Management Line of Business (GMLoB)
E-Gov initiative. As part of that initiative, FRA uses the
Administration for Children and Families' (ACF) GrantSolutions (GS)
Grants Management System. All applications must be submitted to FRA
through GrantSolutions. To access the system, go to https://
www.grantsolutions.gov. Should an applicant encounter difficulties
accessing using GS, please contact the GrantSolutions Help Desk at 1-
866-577-0771 or via email at<EMAIL_ADDRESS>Applicants must
complete the following three steps prior to submitting an application
through GS:
     Register in GS. Go to https://www.grantsolutions.gov and
select ``Register'' on the right side of the page. Applicants should
begin the process immediately to meet the application submission
deadlines.
     Obtain a Data Universal Number System (DUNS) number. All
applicants must include a DUNS number in their application.
Applications without a DUNS number are incomplete. A DUNS number is a
unique nine-digit number recognized as the universal standard for
identifying and keeping track of entities receiving Federal funds. The
identifier is used for tracking purposes and to validate address and
point of contact information for Federal assistance applicants,
recipients and subrecipients. The DUNS number will be used throughout
the grant lifecycle. Obtaining a DUNS number is a free, simple, one-
time activity. Obtain a number by calling 1-866-705-5177 or by applying
online at http://fedgov.dnb.com/webform/displayHomePage.do.
     Register in the Central Contractor Registration (CCR)
database. FRA also requires that all applicants (other than
individuals) for Federal financial assistance maintain current
registrations in the CCR database. The CCR database is the repository
for standard information about Federal financial assistance applicants,
recipients and subrecipients. Organizations that have previously
submitted applications via http://www.grants.gov or GrantSolutions
should already be registered with CCR. Please note, however, that
applicants must update or renew their CCR registration at least once
per year to maintain an active status. Information about registration
procedures can be accessed at http://www.ccr.gov.
    Standard OMB forms (identified in Section 4.2.3) will be available
electronically on the Funding Opportunity page at http://
www.GrantSolutions.gov. The Funding Opportunity screen provides
applicants with general announcement information and access to all
application kit materials in order to view and print application forms
and information. In addition, applicants can apply online through this
screen.
    Program-specific forms (identified in Sections 4.2.1, 4.2.2, and
4.2.4) may be downloaded from FRA's Web site at http://www.fra.dot.gov/
Pages/477.shtml.
4.1.2 Address to Request Paper Application Package
    If Internet access is unavailable, please write to FRA at the
address below to request a paper application.

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

4.2 Application Package

    Required documents for the application package vary by type of
grant activity, as summarized in the checklist below.

                                              Application Checklist
----------------------------------------------------------------------------------------------------------------
                                                                                Grant activity
                                                                                ---------------------------
                    Documents                                   Format                     FD/
                                                                                Construction    PE/ NEPA
----------------------------------------------------------------------------------------------------------------
                                              1. Application Forms
----------------------------------------------------------------------------------------------------------------
[ballot] HSIPR Individual Project Application     Form..............................      [check]   ............
 Form--FD/Construction.
[ballot] HSIPR Individual Project Application     Form..............................  ............      [check]
 Form--PE/NEPA.
----------------------------------------------------------------------------------------------------------------
                                           2. Budget and Schedule Form
----------------------------------------------------------------------------------------------------------------
[ballot] HSIPR Individual Project Budget and      Form..............................      [check]   ............
 Schedule Form.
----------------------------------------------------------------------------------------------------------------
                                              3. OMB Standard Forms
----------------------------------------------------------------------------------------------------------------
[ballot] SF 424: Application for Federal          Form..............................      [check]       [check]
 Assistance.
[ballot] SF 424A: Budget Information-Non          Form..............................            *       [check]
 Construction.
[ballot] SF 424B: Assurances-Non Construction...  Form..............................            *       [check]
[ballot] SF 424C: Budget Information-             Form..............................   [check] **   ............
 Construction.
[ballot] SF 424D: Assurances-Construction.......  Form..............................   [check] **   ............
----------------------------------------------------------------------------------------------------------------
                                           4. FRA Assurances Document
----------------------------------------------------------------------------------------------------------------
[ballot] FRA Assurances Document................  Form..............................      [check]       [check]
----------------------------------------------------------------------------------------------------------------
                                 5. Project Development Supporting Documentation
----------------------------------------------------------------------------------------------------------------
[ballot] Project Planning Documentation.........  No Specified Format...............      [check]       [check]
[ballot] Preliminary Engineering (PE)             No Specified Format...............      [check]   ............
 Documentation.
[ballot] NEPA Documentation.....................  No Specified Format...............      [check]   ............
----------------------------------------------------------------------------------------------------------------

                                  6. Project Delivery Supporting Documentation
----------------------------------------------------------------------------------------------------------------
[ballot] Project Management Documentation.......  No Specified Format...............      [check]       [check]
[ballot] Financial Planning Documentation.......  No Specified Format...............      [check]       [check]
[ballot] System Safety Plan.....................  No Specified Format...............      [check]   ............
[ballot] Railroad and Project Sponsor Agreements  No Specified Format...............      [check]       [check]
----------------------------------------------------------------------------------------------------------------
                                      7. Optional Supporting Documentation
----------------------------------------------------------------------------------------------------------------
[ballot] Other Relevant and Available             n/a...............................     Optional      Optional
 Documentation.
----------------------------------------------------------------------------------------------------------------
* These documents are required for FD/Construction projects that include investments that are not construction
  activities.
** These documents are not required for FD/Construction applications that only include investments that are not
  construction activities.

    Applicants must complete and submit all components of the
application package as required by grant activity; failure to do so may
result in the application being removed from consideration for award.
All components of the application package must be submitted through
GrantSolutions (including optional supporting documentation), as
described in Section 4.1.1.
    The application package for HSIPR Individual Projects contains
seven components:
    1. HSIPR Individual Project Application Form (varies by project
type) (see Section 4.2.1)
    2. HSIPR Individual Project Budget and Schedule Form (see Section
4.2.2)
    3. OMB Standard Forms (vary by project type) (see Section 4.2.3)
    4. FRA Assurances Document (see Section 4.2.4)
    5. Project Development Supporting Documentation (see Section 4.2.5)
    6. Project Delivery Supporting Documentation (see Section 4.2.6)
    7. Optional Supporting Documentation (see Section 4.2.7)
    For any other documentation required prior to award that is not
specified in this notice, FRA will make individual arrangements with
applicants for the submission of the required documentation.
4.2.1 HSIPR Individual Project Application Forms
    Applicants applying for funding for PE/NEPA completion must
complete the HSIPR Individual Project--PE/NEPA Application Form;
applicants applying for funding for FD/Construction activities should
complete the HSIPR Individual Project--FD/Construction Application
Form.
    The Application Forms include fields that have been developed by
FRA to capture pertinent qualitative and quantitative project-specific
information that is needed for FRA to confirm applicant and project
eligibility, as well as information needed for evaluation and selection
of applications. Both Application Forms request three types of
information:
    1. General applicant and project information;
    2. Narratives that allow the applicant to make arguments for the
benefits of the proposed project or underlying project and other
factors that are used to evaluate the merits of the application (see
Section 5.2 for evaluation criteria); and
    3. A Statement of Work (SOW)--scope, schedule, and budget--that
provides a description of the work that will be completed under the
cooperative agreement, including the objectives, deliverables,
milestones, project management information, and a budget broken down by
deliverables and milestones that includes the assumptions used to
develop the estimates. See Appendix 3 of this solicitation for more
information on preparing project budgets.
4.2.2 HSIPR Individual Project Budget and Schedule Form
    The HSIPR Individual Project Budget and Schedule Form is a
Microsoft Excel document that supports the qualitative and quantitative
claims made in the applicant's HSIPR Individual Project Application
Form. In addition to capturing detailed project budget and schedule
information, the form also describes the standard cost categories
developed by FRA to assist in evaluating and selecting projects.
4.2.3 OMB Standard Forms
    The Standard Forms are developed by the Office of Management and
Budget (OMB) and are required of all grant applicants. While all
applicants must submit Standard Forms with their application materials,
the specific forms required vary by grant activity.
    Applicants applying for funding for FD/Construction activities
(except for projects that do not include construction activities)
should submit the following forms electronically through
GrantSolutions:
     Standard Form 424: Application for Federal Assistance;
     Standard Form 424C: Budget Information--Construction
Programs; and
     Standard Form 424D: Assurances--Construction Programs.
    Applicants applying for funding for PE/NEPA completion or for FD/
Construction activities that do not include construction activities
should submit the following forms electronically through
GrantSolutions:
     Standard Form 424: Application for Federal Assistance;
     Standard Form 424A: Budget Information--Non-Construction
Programs; and
     Standard Form 424B: Assurances--Non-Construction Programs.
4.2.4 FRA Assurances Document
    The FRA Assurances document contains standard Department
certifications on grantee suspension and debarment, drug-free workplace
requirements, and Federal lobbying. The FRA Assurances document can be
obtained from FRA's Web site at http://www.fra.dot.gov/downloads/admin/
assurancesandcertifications.pdf. The document should be signed by an
authorized certifying official for the applicant, scanned into
electronic format, and submitted through GrantSolutions.
4.2.5 Project Development Supporting Documentation
    The project development documentation below focuses on the physical
attributes of a project and its

anticipated outcomes and varies by the type of activity for which
funding is being sought. These materials must demonstrate that the
project has completed the specified prerequisites for the project's
prior phases of development, and is ready to progress to the next phase
of development.
     Project Planning Documentation--
     [cir] All projects: Applicants should provide documents that
identifies the proposed project as an outcome of a rational planning
process, demonstrates that the project has been identified as the best
solution for solving a specific existing transportation problem, and
makes the case for investing in the proposed solution. This document
may be a Service Development Plan, State Rail Plan, or other project
planning document. At a minimum, the project planning process must
demonstrate that the project has been identified as the best solution
for solving a specific existing transportation problem and make the
case for investing in the proposed solution. In doing so, project
planning must encompass activities such as identifying the purpose and
need for the project and analyzing the costs, benefits, and impacts of
a range of alternatives for implementing the project and alternatives
to the project. FRA recognizes that a variety of formats and types of
information may meet the objectives described above. Applications that
do not demonstrate fulfillment of these objectives may be determined by
FRA to be not ready for consideration and evaluation. See Appendix 2.1
for additional information and suggested content for project planning
documentation that satisfies the objectives above.
     Preliminary Engineering (PE) Documentation--
     [cir] FD/Construction projects: Applicants should provide
documents that demonstrate completion of PE (or Final Design, if
completed) for the proposed project. PE refines project plans and
conceptual designs in order to identify the specific design alternative
that can assure delivery of project objectives. At a minimum, PE
documentation must demonstrate fully (1) the construction and
operational feasibility of the project, (2) a level of project design,
cost estimates, and schedules sufficient to advance immediately into
full implementation, e.g., through a ``design-build'' contract, and, as
applicable, (3) identification of service operation outcomes sufficient
to support agreements with other parties (e.g., railroads) needed to
deliver those benefits.
     [cir] PE/NEPA projects: Applicants should provide any documents
that demonstrate the PE status, if begun, of the proposed project.
    See Appendix 2.3 for additional information on Preliminary
Engineering.
     National Environmental Policy Act (NEPA) Documentation--
     [cir] FD/Construction projects: Applicants must provide documents
(e.g., a Categorical Exclusion (CE) worksheet, a completed
Environmental Assessment (EA), or a completed Final Environmental
Impact Statement (FEIS)) that demonstrate completion of the NEPA
process for the proposed project (either submitted with the application
package or referenced through an accurate URL). Any NEPA documentation
submitted must be approved by the responsible state agency as
sufficient and complete. While a project NEPA determination (a Record
of Decision, Finding of No Significant Impact, or CE determination) is
not required at the time of application submission, this determination
must be issued by FRA prior to award of a construction grant and
commencement of any construction activities related to the project. FRA
will not consider for an award any project that is not supported by an
adequate and appropriate NEPA document.
     [cir] PE/NEPA projects: Applicants should provide any documents
that demonstrate the status of NEPA documentation, if begun, of the
proposed project.
    NEPA requirements are detailed in Appendix 2.2 of this
solicitation.
4.2.6 Project Delivery Supporting Documentation
    Project delivery documentation of the types described below focuses
on the implementation of the project and how the risks and
uncertainties associated with the project will be managed.
    FRA recognizes that a variety of formats and types of information
may meet the objectives described below. Applications that do not
demonstrate fulfillment of these objectives may be determined by FRA to
be not ready for consideration and evaluation.
     Project Management Documentation--Project management
documentation serves as a summary of the applicant's approach toward
the planning, monitoring, and implementation of a project. While this
documentation may reference outputs of the project development process
(such as scope and design specifications, cost estimates, and project
schedules), this documentation should stand on its own as the primary
source of information related to an applicant's plan for project
implementation. At a minimum, an application must demonstrate that the
applicant's management procedures and organization give it the legal,
financial, and technical capability and capacity to carry out
successfully the activities for which funding is being sought (e.g.,
PE/NEPA or FD/Construction activities), as well as identification of
accountable individuals or key positions.
     Financial Planning Documentation--Financial planning
documentation addresses the applicant's approach toward managing the
financial resources necessary to deliver the project. At a minimum, the
financial planning documentation for Individual Projects must include
the following:
     [cir] Documentation of the applicant's legal and other necessary
authority to accept and spend Federal and non-Federal funds for the
project;
     [cir] Information describing the recent and forecasted financial
condition and health of the applicant and other key partners that are
anticipated to provide funding for the project;
     [cir] Documentation demonstrating that any non-HSIPR program
funding necessary to complete an application's proposed activities has
been, or is reasonably expected to be, committed;
     [cir] Description of the risks associated with project financing
(e.g., any uncertainty regarding funding commitments and the potential
for unanticipated cost overruns) and of the approach to managing those
risks;
     [cir] A cash flow forecast showing the individual sources and uses
of all project funding (preferably by quarter); and
     [cir] Documentation demonstrating that the HSIPR service that is
intended to benefit from the project will remain operationally and
financially viable throughout the anticipated life of the project
improvements (e.g., State operating support to make up any deficits).
    Financial planning documentation accompanying a PE/NEPA application
must only address the PE/NEPA phase of the project's development, not
the future final design and construction activities of the underlying
project.
     System Safety Plan--A System Safety Plan (SSP) must be
submitted that demonstrates that the project's design, implementation,
and operation will comply with all applicable FRA safety requirements
and will be performed in a manner that places safety as the highest
priority. In general, the length, detail, and complexity of the SSP
will depend significantly on the size and complexity of the project.
For relatively simple Individual Construction Projects, the SSP may be
very limited, describing the project

design's compliance with specific safety regulations, and providing
reference to procedures that will be followed for ensuring the
project's safe implementation. As applicable, the preparation of the
SSP should be closely coordinated with, and may draw content from,
documentation prepared by the applicant to satisfy requirements of the
FRA Office of Railroad Safety, especially the guidelines for an APTA/
FRA System Safety Program Plan, the FRA guidelines for collision hazard
analysis, and any subsequent FRA regulations currently being developed
requiring System Safety Plans. Prior to FRA issuing a cooperative
agreement for an Individual Project, an applicant must complete a
System Security Plan. Neither a System Safety Plan nor System Security
Plan is required for a PE/NEPA application.
     Railroad and Project Sponsor Agreements--Although the
implementation of a HSIPR Individual Project will generally require the
development of numerous agreements of varying complexity between the
parties involved with and affected by the project, two categories of
agreement represent key elements of project delivery: (1) Agreements
between the project sponsor(s) and the railroad(s) that own the
infrastructure and that operate the service, and (2) agreements between
multiple project sponsors, for projects that cross jurisdictional
boundaries and/or involve subrecipients. Agreements with these key
project stakeholders should be appropriate for the phase of development
the project has reached:
     [cir] FD/Construction applications: Applications for FD/
Construction activities must include, at a minimum, agreements in
principle with railroads that own any infrastructure to be improved as
part of the project and the operator of the HSIPR service(s) that will
benefit from the project. Agreements in principle must demonstrate the
railroads' commitment to taking all steps within their control to
ensure the achievement of the public benefits (and particularly all
operational benefits) of the Individual Project that are described in
the application. Such agreements in principle should be structured so
as to be able serve as the basis for future contractual agreements
through which the railroads' cooperation in achieving the public
benefits may be enforced by the project sponsor.
     [cir] PE/NEPA applications: Prior to commencement of PE/NEPA
activities, project sponsors must reach agreements in principle with
all involved railroads (whether operators or infrastructure owners)
that address the following three topics in detail (as applicable):
    1. Concurrence with the suitability of the identified project
alternative to fulfill the purpose and need of the project;
    2. Participation in the refinement of project designs, cost
estimates, and schedules; and
    3. Site access to support the completion of project NEPA.
     [cir] For any project (FD/Construction or PE/NEPA) that has
multiple potential grantees or project sponsors, the application must
include a Project Sponsor Agreement executed among all of the parties
involved that establishes the relationships between these entities and
that identifies a single legal Grantee who will be responsible to and
serve as the primary point of contact for FRA.
4.2.7 Optional Supporting Documentation
     Other Relevant and Available Documentation--To support the
application package, FRA welcomes the submission of other relevant and
available supporting documentation that may have been developed by the
applicant. The format and structure of any optional supporting
documents is at the discretion of the applicant. Optional supporting
documentation may be provided one of two ways: (1) As attachments to
the application, or (2) in hard copy to the address in Section 4.5 for
materials that cannot otherwise be provided electronically. Applicants
should provide notifications of any documentation being submitted in
hard copy in the appropriate section of the Application Form.

4.3 Submission Date and Time

    Applications for these funds must be submitted through
GrantSolutions by 5 p.m. EDT, August 6, 2010.

4.4 Intergovernmental Review

    This program has not been designated as subject to Executive Order
12372 pursuant to 49 CFR part 17.

4.5 Other Submission Information

    As detailed in Section 4.1.1, all application materials, including
supporting documentation, should be submitted through GrantSolutions.
Should an applicant encounter technical difficulties using the
GrantSolutions system, please contact the GrantSolutions Help Desk at
1-866-577-0771 or via email at<EMAIL_ADDRESS>If the
applicant experiences technical issues that may cause the applicant to
miss the application deadline, the applicant must contact FRA at
<EMAIL_ADDRESS>immediately to request consideration to submit the
application after the deadline. FRA staff may ask the applicant to
email the complete grant application, the DUNS number, and provide a
GrantSolutions Customer Support tracking number(s). After FRA reviews
all of the information submitted and contacts the GrantSolutions
Customer Support to validate the technical issues reported, FRA will
contact the applicant to either approve or deny the request to submit a
late application. If the technical issues reported cannot be validated,
the application may be rejected as untimely. For applications submitted
by email, the applicant should print, sign, scan into electronic format
(preferably Adobe Portable Document Format (.pdf)), and attach to the
submission email copies of all application forms requiring the
applicant's signature.
    For optional supporting documentation that an applicant is unable
to submit electronically (such as oversized engineering drawings), an
applicant may submit an original and two copies to the address below.
However, due to delays caused by enhanced screening of mail delivered
via the U.S. Postal Service, applicants are advised to use other means
of conveyance (such as courier service) to assure timely receipt of
materials.

U.S. Department of Transportation, Federal Railroad Administration,
Attn: HSIPR Program Information (RPD-10) Room 38-302, Mail Stop 20,
1200 New Jersey Avenue, SE., Washington, DC 20590.

Section 5: Application Review Information

5.1 Review and Selection Process

    Complete applications are due by 5 p.m. EDT, August 6, 2010.
Applications will proceed through a three-step process:
    1. Screening for completeness and eligibility (requirements
outlined above in Section 3);
    2. Review of each eligible application individually by a technical
panel applying ``evaluation criteria;'' and
    3. Final review of all eligible applications collectively and
selection by the FRA Administrator applying ``selection criteria.''
    All applications will first be screened for completeness and
applicant and project eligibility. Applications determined to be both
complete and eligible will be referred to a technical panel consisting
of subject-matter experts for an evaluation review. The panels will be
comprised of professional

staff employed by FRA and other DOT modal administrations, as
appropriate.
    Applications will be individually reviewed and assessed against the
evaluation criteria outlined in Section 5.2. For each of the criteria,
the panel will assign a rating of zero to three points, based on the
application's fulfillment of the objectives of each criterion. These
individual criterion ratings will then be combined according to
priority of criteria to arrive at an overall rating for the
application.
    The evaluation criteria, ranked in order of priority, are:
    1. Public Benefits/Project Delivery Approach
    2. Sustainability of Benefits
    In addition to the ratings assigned by the technical evaluation
panels, the FRA Administrator may take into account several cross-
cutting and comparative selection criteria to determine awards. The
Administrator will review the preliminary results to ensure that the
scoring has been applied consistently and that the collective results
meet several key priorities essential to the success and sustainability
of the program (see Section 5.3). The five selection criteria are:
    1. Fulfillment of DOT Strategic Goals
    2. Region/Location
    3. Innovation/Resource Development
    4. Partnerships/Participation
    5. Prior Federal Funding and State Investments
    For applications for funding for FD/Construction activities, the
evaluation and selection criteria will be applied to the proposed
projects. For applications for funding for PE/NEPA completion, the
evaluation and selection criteria will be applied to the underlying
projects that will be the subject of PE/NEPA development, except where
explicitly indicated.
    In accordance with 49 U.S.C. 24402(c), FRA may also consider
``other relevant factors as determined by the Secretary'' of
Transportation, in addition to the evaluation and selection criteria
described below.

5.2 Evaluation Criteria

    Careful economic analysis that quantifies and demonstrates the
monetary value of user benefits and, if available, public benefits will
be particularly relevant to FRA in evaluating applications. The
systematic process of comparing expected benefits and costs helps
decision-makers organize information about, and evaluate trade-offs
between, alternative transportation investments. FRA will consider
benefits and costs using standard data provided by applicants and will
evaluate applications in a manner consistent with Executive Order
12893, Principles for Federal Infrastructure Investments, 59 FR 4233
(January 31, 1994).
5.2.1 Public Benefits
    Evaluation against this criterion will consider the qualitative
factors outlined below, as supported by key quantitative metrics.
Applicants must determine and identify service outcomes to quantify the
anticipated benefits of the project (or underlying project for PE/NEPA)
proposed in an application.
<IP_ADDRESS> Transportation Benefits
    Each application will be assessed based on its demonstration of the
potential of the proposed project or underlying project to achieve
transportation benefits in a cost-effective manner. Factors to be
considered in assigning a rating include the contribution the proposed
project would make to:
     Supporting the development of intercity high-speed rail
service;
     Generating improvements to existing high-speed and
intercity passenger rail service, as reflected by estimated increases
in ridership (as measured in passenger-miles), increases in operational
reliability (as measured in reductions in delays), reductions in trip
times, additional service frequencies to meet anticipated or existing
demand, and other related factors;
     Generating cross-modal benefits, including anticipated
favorable impacts on air or highway traffic congestion, capacity, or
safety, and cost avoidance or deferral of planned investments in
aviation and highway systems;
     Creating an integrated high-speed and intercity passenger
rail network, including integration with existing intercity passenger
rail services, allowance for and support of future network expansion,
and promotion of technical interoperability and standardization
(including standardizing operations, equipment, and signaling);
     Encouragement of intermodal connectivity and integration
through provision of direct, efficient transfers among intercity
transportation and local transit networks at train stations, including
connections at airports, bus terminals, subway stations, ferry ports,
and other modes of transportation;
     Enhancing intercity travel options;
     Ensuring a state of good repair of key intercity passenger
rail assets;
     Promoting standardized rolling stock, signaling,
communications, and power equipment;
     Improved freight or commuter rail operations, in relation
to proportional cost-sharing (including donated property) by those
other benefiting rail users;
     Equitable financial participation in the project's
financing, including, but not limited to, consideration of donated
property interests or services; financial contributions by freight and
commuter rail carriers commensurate with the benefit expected to their
operations; and financial commitments from host railroads, non-Federal
governmental entities, nongovernmental entities, and others;
     Encouragement of the implementation of positive train
control (PTC) technologies (with the understanding that 49 U.S.C. 20147
requires all Class I railroads and entities that provide regularly
scheduled intercity or commuter rail passenger services to fully
institute interoperable PTC systems by December 31, 2015); and
     Incorporating private investment in the financing of
capital projects or service operations.
<IP_ADDRESS> Other Public Benefits
    Each application will be assessed based on its demonstration of the
potential of the proposed project or underlying project 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 (or underlying project for PE/NEPA) 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;
     Promoting interconnected livable communities, including
complementing local or state efforts to concentrate higher-density,
mixed-use, development in areas proximate to multi-modal transportation
options (including intercity passenger rail stations);
     Improving historic transportation facilities; and
     Creating jobs and stimulating the economy. Although this
solicitation is not funded by the American Recovery and Reinvestment
Act of 2009 (Public Law 111-5), these goals remain a top priority of
this Administration. Therefore, Individual Project

applications will be evaluated on the extent to which the project is
expected to quickly create and preserve jobs and stimulate rapid
increases in economic activity, particularly jobs and activity that
benefit economically distressed areas, as defined by section 301 of the
Public Works and Economic Development Act of 1965, as amended (42
U.S.C. 3161) (``Economically Distressed Areas'').
5.2.2 Project Delivery Approach
    Each application will be assessed to determine the risk associated
with the project's delivery within budget, on time, and as designed.
Evaluation against this criterion will consider the factors outlined
below, which take into account the thoroughness and quality of the
supporting documentation submitted with the application. For
applications to complete PE/NEPA documentation, the following factors
will be applied to the proposed PE/NEPA development activities rather
than to the underlying project. 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, including a demonstrated ability to deliver on prior FRA
financial assistance programs;
     The soundness and thoroughness of the cost methodologies,
assumptions, and estimates for the proposed project;
     The reasonableness of the schedule for project
implementation;
     The thoroughness and quality of project management
documentation;
     The timing and amount of the project's future noncommitted
investments;
     The overall completeness and quality of the application,
including the comprehensiveness of its supporting documentation;
     The readiness of the project to be commenced; and
     The timeliness of project completion and the realization
of the project's anticipated benefits.
    The following factors are applicable only to applications for
funding for FD/Construction activities:
     The adequacy of any completed engineering work to assess
and manage/mitigate the proposed project's engineering and
constructability risks;
     The sufficiency of system safety and security planning;
and
     The project's progress, at the time of application,
towards compliance with environmental review requirements under NEPA
and related statutes.
5.2.3 Sustainability of Benefits
    Applications will be evaluated against this criterion to assess the
likelihood of realizing the proposed project's benefits. Factors to be
considered in assigning a rating will include:
     The quality of financial planning documentation that
demonstrates the financial viability of the HSIPR service that will
benefit from the project;
     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 comprehensiveness and sufficiency, at the time of
application, of agreements with key partners (including the railroad
operating the intercity passenger rail service and 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;
     The favorability of the comparison between the level of
anticipated benefits and the amount of Federal funding requested; and
     The applicant's contribution of a cost share greater than
the required minimum of 20 percent.

5.3 Selection Criteria

    The FRA Administrator will use the criteria below to ensure that
the projects selected for funding will advance key priorities of the
development of intercity and high-speed passenger rail and contribute
positively to the success and sustainability of the HSIPR program.
5.3.1 Fulfillment of DOT Strategic Goals (as outlined in the U.S. DOT
Strategic Plan, 2010-2015)
     Improving transportation safety.
     Maintaining transportation infrastructure in a state of
good repair.
     Promoting economic competitiveness.
     Fostering livable communities.
     Advancing environmentally sustainable transportation
policies.
5.3.2 Region/Location
     Ensuring appropriate level of regional balance across the
country.
     Ensuring promotion of livable communities in urban and
rural locations.
     Ensuring consistency with national transportation and rail
network objectives.
     Ensuring integration with other rail services and
transportation modes.
5.3.3 Innovation/Resource Development
     Pursuing new technology and innovation where the public
return on investment is favorable, while ensuring delivery of near-term
transportation, public and economic recovery benefits.
     Advancing the state of the art in modeling techniques for
assessing potential intercity passenger rail costs and benefits.
     Promoting domestic manufacturing, supply and industrial
development, including U.S.-based manufacturing and supply industries.
     Developing professional railroad engineering, operating,
planning and management capacity needed for sustainable high-speed
intercity passenger rail development.
5.3.4 Partnerships/Participation
     Where corridors span multiple States, emphasizing those
that have organized multi-State partnerships with joint planning and
prioritization of investments.
     Employing creative approaches to ensure workforce
diversity and use of disadvantaged and minority business enterprises.
     Engaging local communities and a variety of other
stakeholder groups in the project, where applicable.
5.3.5 Prior Federal Funding and State Investments
     Assessing how a proposed project would complement previous
construction or planning grants made under the HSIPR or related
programs.
     Assessing how the proposed project would complement
previous State investments in high-speed intercity passenger rail.
     Assessing the applicant's track record in sustainable
funding and project delivery.

Section 6: Award Administration Information

6.1 Award Notices

    Applications selected for funding will be announced after the
application review period. FRA will contact applicants with successful
applications

after announcement with information and instructions about the award
process. Notification of a selected application is not an authorization
to begin proposed project activities.

6.2 Administrative and National Policy Requirements

    The provisions of this section apply to grant recipients of the
HSIPR program.
6.2.1 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.
6.2.2 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 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) Sections 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.
6.2.3 Disadvantaged Business Enterprises (DBE)
    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 the HSIPR program, although FRA grant recipients are not
required to do so. The DOT DBE regulation (49 CFR part 26) applies only
to certain categories of Federal highway, Federal transit, and airport
funds. 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 shall submit information, as required,
to the FRA Office of Civil Rights concerning its activities with
respect to DBEs in implementing a grant award.
6.2.4 Assurances and Certifications
    Upon acceptance of the grant by 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 forms include SF 424(A)/(B), SF 424(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.
6.2.5 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).
6.2.6 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.
6.2.7 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.
6.2.8 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 thereunder.
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 $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.
6.2.9 National Environmental Policy Act (NEPA)
    The following is a description of FRA's standard grant provisions
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 FRA has provided the grant recipient with a written
notice authorizing them to proceed.
    In instances where NEPA approval has not been secured at the time
of grant award, grant recipients are required to assist FRA in its
compliance with the provisions of NEPA, the Council on Environmental
Quality's regulations implementing NEPA (40 CFR part 1500 et seq.),
FRA's ``Procedures for Considering Environmental Impacts'' (45 FR
40854, June 16, 1980, as revised May 26, 1999, 64 FR 28545), Section
106 of the NHPA, and related environmental and historic preservation
statutes and regulations. As a condition of receiving financial
assistance under an award, grant recipients may be required to conduct
certain environmental analyses and to prepare and submit to FRA draft
documents required under NEPA, NHPA, and related statutes and
regulations (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 FRA in complying with these
requirements of 49 U.S.C. 303(c).
6.2.10 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.
6.2.11 Operating and Access Agreements
    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 achieve, to the extent it has control, the
anticipated project benefits. If an agreement between the grant
recipient and the owner that 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 the obligation of funding for construction-
related activities.
6.2.12 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) that 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.
6.2.13 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 notice of funding availability would become agency records and
thus subject to the FOIA and to public release through individual FOIA
requests. FRA also recognizes that certain information submitted in
support of an application for funding in accordance with this notice
could be exempt from public release under FOIA as a result of the
application of one of the FOIA exemptions, most particularly Exemption
4, which protects trade secrets and commercial or financial information
obtained from a person that is privileged or confidential (5 U.S.C.
552(b)(4)). In the context of this grant program, commercial or
financial information obtained from a person could be confidential if
disclosure is likely to cause substantial harm to the competitive
position of the person from whom the information was obtained (see
National Parks & Conservation Ass'n v. Morton, 498 F.2d 765, 770 (DC
Cir. 1974)). Entities seeking exempt treatment must provide a detailed
statement supporting and justifying their request and should follow
FRA's existing procedures for requesting confidential treatment in the
railroad safety context found at 49 CFR 209.11. As noted in the
Department's FOIA implementing regulation (49 CFR part 7), the burden
is on the entity requesting confidential treatment to identify all
information for which exempt treatment is sought and to persuade the
agency that the information should not be disclosed (see 49 CFR 7.17).
The final decision as to whether the information meets the standards of
Exemption 4 rests with FRA.
6.2.14 Security Planning and Oversight
    The grant recipient must comply with any Federal regulations, laws,
policy, and other guidance that FRA, DOT, or the Department of Homeland
Security may issue pertaining to security oversight in general and that
FRA or DOT may issue regarding the performance of any grant award in
particular. Prior to FRA issuing a cooperative agreement for an
Individual Project, an applicant must complete a System Security Plan.

6.3 Program-Specific Grant Requirements

6.3.1 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 funds for a HSIPR 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.
6.3.2 Operators Deemed Rail Carriers
    With the exception of entities falling within the exclusions set
forth in 49 U.S.C. 24405(e), 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)).
6.3.3 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; assurance that service outcomes
specified to result from the project, and for which the railroad is
necessary for delivery, will be delivered, and a mechanism to enforce
specified service outcomes; 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 Sections 4.2.6 and 6.2.11 (see 49 U.S.C.
24405(c)).
6.3.4 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)).
6.3.5 Davis-Bacon Act
    Projects funded through PRIIA that use rights-of-way owned by a
railroad are required to comply with the Davis-Bacon Act (40 U.S.C.
3141 et seq.) as provided for in 49 U.S.C. 24405(c)(2). 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.
6.3.6 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 and 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)).

6.4 Reporting

6.4.1 Standard Reporting Requirements
     Progress Reports--Progress reports are to be submitted
quarterly. These reports must relate the state of completion of items
in the statement of work to expenditures of the relevant budget
elements. The grant recipient must furnish the quarterly progress
report to 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 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)--Grantees must
submit a quarterly Federal financial report 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. Grantees must use SF-425,
Federal Financial Report, in accordance with the instructions
accompanying the form, to report all transactions, including Federal
cash, Federal expenditures and unobligated balance, recipient share,
and program income.
     Interim Report(s)--If required, interim reports will be
due at intervals specified in the statement of work and must be
submitted electronically in the GrantSolutions system.
     Final Report(s)--Within 90 days of the project completion
date or termination by FRA, grantees must submit a Summary Project
Report, detailing the results and benefits of the grantee's improvement
efforts, as well as a final Federal Financial Report (SF-425).
6.4.2 Audit Requirements
    Grant recipients that expend $500,000 or more of Federal funds
during their fiscal year are required to submit an organization-wide
financial and compliance audit report. The audit must be performed in
accordance with U.S. 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 subgrantees 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.
6.4.3 Monitoring Requirements
    Grant recipients will be monitored periodically by FRA to ensure
that the project goals, objectives, performance requirements,
timelines, milestones, budgets, and other related program criteria are
being met. FRA will conduct monitoring activities through a combination
of office-based reviews and onsite monitoring visits. Monitoring will
involve the review and analysis of the financial, programmatic, and
administrative issues relative to each program and will identify areas
where technical assistance and other support may be needed. The
recipient is responsible for monitoring award activities, including
sub-awards and subgrantees, to provide reasonable assurance that the
award is being administered in compliance with Federal requirements.
Financial monitoring responsibilities include the accounting of
recipients and expenditures, cash management, maintaining of adequate
financial records, and refunding expenditures disallowed by audits.
6.4.4 Closeout Process
    Project closeout occurs when all required project work and all
administrative procedures described in 49 CFR part 18, or 49 CFR part
19, as applicable, have been completed, and when FRA notifies the grant
recipient and forwards the final Federal assistance payment, or when
FRA acknowledges the grant recipient's remittance of the proper refund.
Project closeout should not invalidate any continuing obligations
imposed on the grantee by an award or by FRA's final notification or
acknowledgment. Within 90 days of the Project completion date or
termination by FRA, grantees agree to submit a final Federal Financial
Report (SF-425), a certification or summary of project expenses, a
final report, and third party audit reports, as applicable.

Section 7: Agency Contact

    For further information regarding this notice and the HSIPR
program, please contact the FRA HSIPR Program Manager via e-mail at
<EMAIL_ADDRESS>or by mail: U.S. Department of Transportation, Federal
Railroad

Administration, MS-20, 1200 New Jersey Avenue, SE., Washington, DC
20590 Att'n: HSIPR Program.

Appendix 1: Definition of High-Speed and 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.'' An intercity passenger rail service
consists of a group of one or more scheduled trains (roundtrips)
that provide intercity passenger rail transportation between bona
fide travel markets (not constrained by State or jurisdictional
boundaries), generally with similar quality and level-of-service
specifications, within a common (but not necessarily exclusive or
identical) set of identifiable geographic markets.
    Similarly, ``commuter rail passenger transportation'' is defined
at 49 U.S.C. 24102(3) as ``short-haul rail passenger transportation
in metropolitan and suburban areas usually having reduced fare,
multiple ride, and commuter tickets and morning and evening peak
period operations.'' In common use, the general definition of ``rail
passenger transportation'' excludes types of local or regional rail
transit, such as light rail, streetcars, and heavy rail. Similarly,
both intercity passenger rail transportation and commuter rail
passenger transportation exclude single-purpose scenic or tourist
railroad operations.
    The since-terminated Interstate Commerce Commission (ICC)
established six features to aid in classifying a service as
``commuter'' rather than ``intercity'' rail passenger transportation
\1\:
---------------------------------------------------------------------------

    \1\ Penn Central Transportation Company Discontinuance or Change
in Service of 22 Trains between Boston, Mass, and Providence R.I.,
February 10, 1971, I.C.C. 338, 318-333.
---------------------------------------------------------------------------

     The passenger service is primarily being used by
patrons traveling on a regular basis either within a metropolitan
area or between a metropolitan area and its suburbs;
     The service is usually characterized by operation
performed at morning and peak periods of travel;
     The service usually honors commutation or multiple-ride
tickets at a fare reduced below the ordinary coach fare and carries
the majority of its patrons on such a reduced fare basis;
     The service makes several stops at short intervals
either within a zone or along the entire route;
     The equipment used may consist of little more than
ordinary coaches; and
     The service should not extend more than 100 miles at
the most, except in rare instances; although service over shorter
distances may not be commuter or short haul within the meaning of
this exclusion.
    FTA further refined the definition of commuter rail in the
glossary for its National Transit Database (NTD) \2\ Reporting
Manual. In particular, FTA refined the ICC's third ``feature'' by
specifying that ``predominantly commuter [rail passenger] service
means that for any given trip segment (i.e., distance between any
two stations), more than 50 percent of the average daily ridership
travels on the train at least three times a week.''
---------------------------------------------------------------------------

    \2\ 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 or 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.
    ``High-speed rail'' is an intercity passenger rail service that
``is reasonably expected to reach speeds of at least 110 miles per
hour'' (49 U.S.C. 26106(b)(4)).

Appendix 2: Additional Information on Stages of Project Development

    The information contained below in Appendices 2.1 Planning for
Individual Projects, 2.3 Preliminary Engineering, and 2.4 Final
Design represent suggested content and approaches for completing the
documentation required for each stage of project development. While
FRA does not require applicants/grantees to follow the specific
document structures and content listed below, they are provided to
assist applicants/grantees in fulfilling the objectives necessary to
successfully complete each stage of project development. However,
the information contained in Appendix 2.2 Environmental
Documentation must be adhered to in order to demonstrate compliance
with NEPA.

Appendix 2.1 Planning for Individual Projects

    Although Individual Projects under the HSIPR program will
generally be relatively limited in scale, scope, cost, and
operational impact on HSIPR service, applications for funding such
projects must nonetheless be supported by a rational planning
process that establishes the purpose and need of the proposed
project, and makes the case for investing in the proposed solution.
    At a minimum, planning for Individual Projects should address
the following topics:
    1. Purpose and Need;
    2. Rationale;
    3. Identification and Analysis of Alternatives;
    4. Conceptual Engineering; and
    5. Public Benefits Analysis.
    In addition to these basic components, an Individual Project
should also be supported by supplemental planning documentation
appropriate to the specific characteristics of the project and the
benefits it is intended to generate. Examples of specific planning
documentation that sufficiently supports projects with certain
characteristics are listed below. Note that Individual Projects may
exhibit several of these characteristics, and should therefore be
supported by the planning documentation specified, based on all of
the project's characteristics:
     Projects Affecting HSIPR Operations: Individual
Projects that will affect operations, such as trip-time changes,
reliability improvements, frequency changes, or station stopping
pattern changes, should be supported by operations modeling. Such
modeling demonstrates the precise nature and feasibility of
operational changes that are anticipated to result from the proposed
project.
     Projects to Increase HSIPR Ridership: Individual
Projects intended to significantly increase ridership should be
supported by both a demand and revenue forecast and a station and
access analysis. Such analyses demonstrate the validity of the
anticipated ridership increases, and shows that equipment, station,
and access capacity are sufficient to accommodate the anticipated
increase.
     Station Projects: Individual Projects involving
improvements to existing stations, or development of new stations,
should be supported by a station and access analysis. Such analysis
demonstrates the appropriateness of the proposed station projects,
and the effects of additional station stops at newly developed
stations on operations.
     Equipment Procurements: Individual Projects involving
procurement of equipment should be supported by operations modeling
and a stations and access analysis. Such analysis demonstrates that
the operating and physical characteristics of new equipment and the
proposed equipment are compatible with the existing operating plan
for the service (e.g., in terms of acceleration rates, yard storage
capacity, clearance envelopes, etc.), the design of the stations
served (e.g., in terms of platform lengths, platform heights, etc.),
and consistent with the requirements of the Americans with
Disabilities Act.

Appendix 2.2 Environmental Documentation

    The environmental review process required by NEPA applies to all
Federal grant programs. NEPA requires Federal agencies to integrate
environmental values into their decision-making processes by
considering the environmental impacts of their proposed actions and
reasonable alternatives to those actions. NEPA also mandates that
all reasonable alternatives be considered, and to that end, an
alternatives analysis is typically conducted during the
environmental review process. Agencies must also make information on
these impacts and alternatives publicly available before decisions
are made and actions occur.

Appendix 2.2.1 Project Environmental Documentation (``Project NEPA'')

    As part of the PE/NEPA phase of project development, a project
NEPA document and other required environmental documentation to
satisfy other Federal laws are prepared for the specific design
alternative identified through Preliminary Engineering and other
reasonable alternatives (integrated with the design alternatives
analysis performed as part

of Preliminary Engineering). Additionally, the design and
engineering outputs of Preliminary Engineering will serve as inputs
into the evaluation of environmental impacts just as identified
impacts are inputs for design and engineering. Therefore, it is
essential that Preliminary Engineering and project NEPA be closely
coordinated and performed in tandem with one another.

Appendix 2.2.2 NEPA Roles and Responsibilities

    FRA, as the Federal sponsoring agency, has primary
responsibility for assuring compliance with NEPA and related
environmental laws for projects funded under the HSIPR program.
While NEPA compliance is a Federal agency responsibility and the
ultimate decisions remain with the Federal sponsoring agency, FRA
encourages applicants to take a leading role in preparing
environmental documentation, consistent with existing law and
regulations.
    In the varied and flexible HSIPR program no single approach to
NEPA compliance will work for every proposal. Therefore, FRA will
work closely with applicants to assist in the timely and effective
completion of the NEPA process in the manner most pertinent to the
applicant's proposal.

Appendix 2.2.3 FRA NEPA Compliance

    All NEPA documents must be supported by 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. Such analyses must be conducted in accordance
with 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,
and other related laws and regulations such as the Clean Water Act
and the Endangered Species Act.

Appendix 2.3 Preliminary Engineering

    Preliminary Engineering (PE) builds on the conceptual
engineering and other documentation developed during the planning
process in order to evaluate alternatives and to identify a specific
design alternative for implementing a project, and demonstrate its
feasibility for implementation. Within the context of the HSIPR
program, FRA relies on the documentation developed through PE in
order to make a decision as to whether to obligate funding for the
construction and implementation of a project. As such, HSIPR program
applicants seeking to progress a project to Final Design and
Construction should ensure that the PE documentation for the project
is adequate to support such a decision.
    In the process of demonstrating the feasibility of a particular
design alternative, PE involves the refinement of the cost estimate
and schedule for the project and the reduction of uncertainties (as
represented by reduced cost estimate and schedule contingencies).
Furthermore, as part of PE, the analyses of the financial,
operational, and public benefit impacts of the project that were
developed during the planning phase are refined, so as to address
and reduce uncertainties and risks associated with the project after
it is placed in service.
    The following documentation would demonstrate the completion of
PE for a project:
    1. Project Description
    a. A detailed description of the design alternative identified
through the PE process, including other design alternatives
considered.
    b. A description of construction staging or phasing (such as
sequential phasing of interlocking reconfigurations) identified as
necessary to implement the identified design alternative.
    c. A presentation of the work necessary to implement the
identified design alternative in a detailed Work Breakdown Structure
(WBS) format. The WBS for the project would serve as the master
format for organizing and presenting the various elements of the
project through the subsequent phases of development, and presenting
cost estimates and project schedules.
    d. An assessment of the physical condition and location of the
railroad in the project area (up to two to three miles beyond the
project construction limits depending upon effect and
interrelationship of the project with train operations), including:
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.
    2. Project Cost Estimate
    a. Project cost estimates in both the project's WBS and the
HSIPR Standard Cost Category format.
    b. Documentation of the cost estimate in its original format,
illustrating exactly how the cost estimates were calculated.
    c. A detailed description of the methodology and assumptions
used in developing the estimates, including values and sources of
unit costs for labor, materials, and equipment; overhead costs or
other additives; allocated and unallocated contingencies; credit
value of salvaged materials; and cost escalation factors. Unless
explicitly and adequately justified, total contingencies for cost
estimates developed during PE should be no greater than 20%.
    3. Project Schedule
    a. A schedule for the implementation of the project organized in
the format of Work Breakdown Structure and consistent the phases of
projects development.
    b. The schedule should illustrate the duration of each activity
within the WBS, the earliest date at which each activity could
commence, and the dependencies between the various activities.
    4. Design Documentation
    a. A project locator map showing the both the location of the
project area within the context of the State in which and the
corridor on which it is located.
    b. A project area map showing the exact project location and the
immediate surrounding area (up to two to three miles beyond the
project construction limits consistent with the Project
Description).
    c. Detailed PE drawings:
     For projects involving improvements to track, track
structures, signals, or other linear railroad assets, full two-
dimensional depictions of the project (i.e., not track charts or
schematics) showing existing and proposed conditions at a scale of
one inch = 100 to 500 feet, depending on location (built-up vs.
undeveloped areas). PE drawings should incorporate scale maps or
scale aerial photography of existing conditions with design plan
drawings overlaid on the maps/photography, and should 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.
     For projects involving improvements to maintenance
facilities and yards, PE drawings should show the track and facility
layout, specialized equipment (if any), and office and employee
welfare facilities.
     For projects involving equipment procurement or
rehabilitation, PE drawings should include plan, side elevation, and
end elevation drawings, clearly showing interior configuration
(including seating configurations, restroom configuration, doorway
sizes), clearance envelope, and floor heights.
     For projects involving improvements to stations/
buildings, PE drawings should include all renderings and plan,
elevation, detail drawings necessary to illustrate the scope of the
project.
    i. Schematic track charts for all projects involving
improvements to track, track structures, signals, or other linear
railroad assets, refined from those developed during the planning
process.
    ii. Route and aspect charts for all projects involving signal
system improvements, signal system installation, or track
reconfigurations in signaled territory.
    5. Design and Procurement Compliance
    a. Demonstration that the proposed project design is compliant
with all applicable FRA safety regulations and AREMA design
standards.
    b. For projects involving the procurement of rolling stock,
demonstration that the proposed equipment procurement will be
consistent with Section 305 of PRIIA, which

calls for the establishment of a standardized next-generation rail
corridor equipment pool. Compliance with Section 305 of PRIIA will
assist in creating the economies of scale necessary to achieve the
Administration's goal, as outlined in FRA's Strategic Plan, of
developing a sustainable railroad equipment manufacturing base in
the United States.
    c. For projects involving improvements to railroad signaling/
control systems, the application should demonstrate that the
proposed improvements are consistent with a comprehensive plan for
complying with the requirements for positive train control (PTC)
implementation under Section 104 of the Rail Safety Improvement Act
of 2008 (``RSIA,'' Division A of Pub. L. 110-432, October 16, 2008,
codified at 49 U.S.C. 20147) and with FRA's final rule on Positive
Train Control System published in the Federal Register on January
15, 2010 (75 FR 2598).
    6. Refinement of Planning Documentation
    Many elements of project planning developed during the Planning
phase of project development would be expanded and updated in later
phases of the project development process, as the project itself
becomes more refined. Much of this refinement is completed as part
of Preliminary Engineering, particularly as it relates to the
following project planning elements:
    a. Identification of Alternatives (particularly as it relates to
design alternatives)
    b. Demand and Revenue Forecasts
    c. Operations Modeling
    d. Station and Access Analysis
    e. Operating and Maintenance Costs and Capital Replacement
Forecast
    f. Public Benefits Analysis
    To demonstrate completion of PE, revised versions of planning
documentation that cover these topics (to the extent the topics are
applicable to the project), including descriptions of how project
decisions and refinements made as part of PE have resulted in
changes key outputs of the planning process (such as demand
forecasts, forecasts of operational benefits, operations and
maintenance cost forecasts, and estimates of public benefits) should
be completed.

Appendix 2.4 Final Design

    During the Final Design phase, any remaining uncertainties or
risks associated with minor changes to design scope are fully
addressed, and the products of Preliminary Engineering are refined
as additional detailed design work is completed. The objective of
the Final Design phase is to progress the engineering of the project
beyond what was required to demonstrate the feasibility of the
design of the project to the point where the engineering
documentation is sufficient to support the procurement of
construction services to implement the project. Final Design
includes the preparation of final design plans, final construction
cost estimates, and a refined and revised project schedule, and may
also encompass early construction-related activities, such as right-
of-way acquisition and utility relocation.
    Final Design documentation will generally incorporate design
changes and refinements implemented as part of the FD process and
should reflect a level of detail sufficient to support the
procurement of construction services and the effective control of
the project throughout its construction. As such, major differences
between the PE and FD documentation include:
     Project Description: Upon completion of FD, the Work
Breakdown Structure of the project should reflect a level of detail
sufficient to support the effective control of the project's
construction, particularly as it relates to the project's scope and
specifications.
     Project Cost Estimate: Upon completion of FD, cost
estimates should be at a level of detail sufficient to support
construction services procurement and to allow for the tracking and
comparison during the construction phase of actual costs against
estimated costs.
     [cir] Unless explicitly and adequately justified, total
contingencies for cost estimates developed during Final Design
should be no greater than 10%.
     Project Schedule: Upon completion of FD, the project
schedule should reflect a level of detail sufficient to support the
effective control of the project's timely construction.
     Final Design Documentation: Final Design drawings
should be at a level of detail sufficient to support the preparation
of construction and shop drawings and to ensure the effective
control of the project's scope and configuration.
     [cir] As part of Final Design, detailed specification should be
developed or adopted for the project, in order to ensure the
quality, suitability, and durability of all construction.

Appendix 3: Additional Information on Applicant Budgets

    The information contained in this appendix is intended to assist
applicants with developing the SOW budget and OMB Standard Forms
424A: Budget Information--Non-Construction Programs and 424C: Budget
Information--Construction Programs, as described in Section 4.2.

Appendix 3.1 Non-Construction Project Budgets

    Applicants must present a detailed budget for the proposed
project that includes both Federal funds and matching funds. Items
of cost included in the budget must be reasonable, allocable, and
necessary for the project. At a minimum, the budget should separate
total cost of the project into the following categories and provide
a basis of computation for each cost:
     Personnel: List each position by title and name of
employee, if available, and show the annual salary rate and the
percentage of time to be devoted to the project. Compensation paid
for employees engaged in grant activities must be consistent with
that paid for similar work within the applicant organization.
     Fringe Benefits: Fringe benefits should be based on
actual known costs or an established formula. Fringe benefits are
for personnel listed in the ``Personnel'' budget category and only
for the percentage of time devoted to the project.
     Travel: Itemize travel expenses of project personnel by
purpose (training, interviews, and meetings). Show the basis of
computation (e.g., X people to Y-day training at $A airfare, $B
lodging, $C subsistence).
     Equipment: List non-expendable items that are to be
purchased. Nonexpendable equipment is tangible property having a
useful life of more than two years and an acquisition cost of $5,000
or more per unit. (Note: Organization's own capitalization policy
may be used for items costing less than $5,000.) Expendable items
should be included either in the ``Supplies'' category or in the
``Other'' category. Applicants should analyze the cost benefits of
purchasing versus leasing equipment, especially high cost items and
those subject to rapid technical advances. Rented or leased
equipment should be listed in the ``Contractual'' category. Explain
how the equipment is necessary for the success of the project.
Attach a narrative describing the procurement method to be used.
     Supplies: List items by type (office supplies, postage,
training materials, copying paper, and expendable equipment items
costing less than $5,000) and show the basis for computation. (Note:
Organization's own capitalization policy may be used for items
costing less than $5,000). Generally, supplies include any materials
that are expendable or consumed during the course of the project.
     Consultants/Contracts: Indicate whether applicant's
written procurement policy (see 49 CFR 18.36) or the Federal
Acquisition Regulations (FAR) are followed. Consultant Fees: For
each consultant enter the name, if known, service to be provided,
hourly or daily fee (8-hour day), and the estimated time on the
project. Consultant Expenses: List all expenses to be paid from the
grant to the individual consultants in addition to their fees
(travel, meals, and lodging). Contracts: Provide a description of
the product or service to be procured by contract and an estimate of
the cost. Applicants are encouraged to promote free and open
competition in awarding contracts. A separate justification must be
provided for sole source contracts in excess of $100,000.
     Other: List items (rent, reproduction, telephone,
janitorial or security services) by major type and the basis of the
computation. For example, provide the square footage and the cost
per square foot for rent, or provide the monthly rental cost and how
many months to rent.
     Indirect Costs: Indirect costs are allowed only if the
applicant has a Federally-approved indirect cost rate. A copy of the
rate approval (a fully executed, negotiated agreement) must be
attached. If the applicant does not have an approved rate, one can
be requested by contacting the applicant's cognizant Federal agency,
which will review all documentation and approve a rate for the
applicant organization.

Appendix 3.2 Construction Project Budgets

    Applicants must present a detailed budget for the proposed
project that includes both Federal funds and matching funds. Items
of cost included in the budget must be reasonable, allocable, and
necessary for the project. At a minimum, the budget should

separate total cost of the project into the following categories and
provide a basis of computation for each cost:
     Administrative and Legal Expenses: List the estimated
amounts needed to cover administrative expenses. Do not include
costs which are related to the normal functions of government.
Allowable legal costs are generally only those associated with the
purchases of land which is allowable for Federal participation and
certain services in support of construction of the project. This may
include:
     [cir] Hours/Rate and total cost of local government staff
     [cir] Hours/Rate and total cost of outside counsel fees
     [cir] Hours/Rate and total cost of consultants
     Land, structures, rights-of-way, appraisals, and
related items: List the estimate site and right(s)-of-way
acquisition costs (this includes purchase, lease, and/or easements).
If possible, include details of number of acres, acre cost, square-
footage, and square footage cost.
     Relocation expenses and payments: List the estimated
costs relation to relocation advisory assistance, replacement of
housing, relocation payments to displaces persons and businesses,
etc. This may include:
     [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