Federal Register / Vol. 76, No. 51 / Wednesday, March 16, 2011 / Notices 14443 

Rosslyn, VA 22209, who may be 

reached on 703–875–5413. 

SUPPLEMENTARY INFORMATION: 

We are soliciting public comments to 

permit the Department to: 

• Evaluate whether the proposed 

information collection is necessary for 

the proper performance of our 

functions. 

• Evaluate the accuracy of our 

estimate of the burden of the proposed 

collection, including the validity of the 

methodology and assumptions used. 

• Enhance the quality, utility, and 

clarity of the information to be 

collected. 

• Minimize the reporting burden on 

those who are to respond, including the 

use of automated collection techniques 

or other forms of technology. 

Abstract of proposed collection: 

The DS 6561 form provides a concise 

summary of basic medical history, lab 

tests and physical examination. Since 

users of this form are not career Foreign 

Service Officers and may work for 

limited periods of time overseas, this 

form is an efficient method of assessing 

the status of their health. Respondents 

are members of non-Foreign Affairs 

Agencies. 

Methodology: 

Information is collected at overseas 

medical units, by physicians in MED’s 

Exam Clinic at SA 1 and by private 

physicians overseas. Information is 

collected mostly by fax and electronic 

submission. 

Dated: February 10, 2011. 

Joseph A. Kenny, 

Executive Director, Office of Medical Services 

M/MED, Department of State. 

[FR Doc. 2011–6131 Filed 3–15–11; 8:45 am] 

BILLING CODE 4710–36–P 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

High-Speed Intercity Passenger Rail 

(HSIPR) Program 

AGENCY: Federal Railroad 

Administration (FRA), Department of 

Transportation (DOT). 

ACTION: Notice of funding availability 

for high-speed and intercity passenger 

rail projects. 

SUMMARY: This notice details the 

application requirements and 

procedures for obtaining funding under 

FRA’s High-Speed Intercity Passenger 

Rail (HSIPR) program. The funding 

opportunities described in this notice 

are available under Catalog of Federal 

Domestic Assistance (CFDA) number 

20.319. 

Notice to Applicants: FRA 

recommends applicants read this notice 

in its entirety prior to preparing 

application materials. There are several 

administrative prerequisites that 

applicants must comply with in order to 

submit an application (see Section 4 of 

this notice), which can take up to ten 

days to process. 

DATES: Applications for funding under 

this solicitation are due no later than 8 

p.m. EDT on Monday, April 4, 2011, 

and must be submitted through http:// 

www.grantsolutions.gov. See Section 4 

for additional information regarding the 

application process. FRA reserves the 

right to modify this deadline. 

FOR FURTHER INFORMATION CONTACT: For 

further information regarding this notice 

and the HSIPR program, please contact 

the FRA HSIPR Program Manager via email at HSIPR@dot.gov, or by mail: U.S. 

Department of Transportation, Federal 

Railroad Administration, MS–20, 1200 

New Jersey Avenue, SE., Washington, 

DC 20590 Attn: HSIPR Program. 

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 

Section 1: Funding Opportunity 

Description 

1.1 Legislative Authority 

This financial assistance 

announcement is intended to solicit 

proposals for high-speed and intercity 

passenger rail projects under FRA’s 

HSIPR program. The authority for this 

grant program is contained in three 

pieces of legislation: 

• The Passenger Rail Investment and 

Improvement Act of 2008 (Div. B of Pub. 

L. 110–432, October 16, 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. 

24105), and High-Speed Rail Assistance 

(codified at 49 U.S.C. 26106), 

respectively; 

• The American Recovery and 

Reinvestment Act of 2009 (Pub. L. 111– 

5, February 17, 2009) (ARRA or the 

Recovery Act), under the title ‘‘Capital 

Assistance for High Speed Rail 

Corridors and Intercity Passenger Rail 

Service;’’ and 

• The Fiscal Year 2010 Consolidated 

Appropriations Act (Title I of Div. 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.’’ 

1.2 Background 

Since enactment of PRIIA, FRA has 

made approximately $10.6 billion 

available under the HSIPR program. 

Award of these funds has served to 

jump-start high-speed and intercity 

passenger rail projects throughout the 

country. However, recently it has 

become clear that some of the funds 

previously announced would not be 

used to advance the originally intended 

projects; in particular, approximately 

$2.392 billion announced for the State 

of Florida. 

The purpose of this notice is to solicit 

applications—for eligible projects that 

could immediately proceed to award— 

for the approximately $2.392 billion 

previously announced for Florida and 

approximately $38 million in remaining 

unallocated Recovery Act funding. This 

notice is also intended to establish a 

pipeline of meritorious projects that 

could receive any other HSIPR funds 

available at the time of award. These 

other funds could include savings that 

result from previously awarded projects 

coming in under budget, funds 

withdrawn from previously awarded 

projects that are not proceeding 

satisfactorily, any other appropriated 

funds authorized under PRIIA and made 

available through the remainder of this 

fiscal year, or other sources. 

The approximately $2.392 billion 

previously announced for Florida 

included funds provided both under the 

Recovery Act and the FY 2010 DOT 

Appropriations Act. Additional funds 

awarded under this notice could be 

provided from other sources. Therefore, 

applicants should not be concerned 

with applying for funds from a specific 

appropriations statute; rather they 

should seek to submit the best projects 

that could be funded from any or all 

such sources. Additionally, all 

applicants are encouraged to contribute 

non-Federal matching funds, a factor 

that will be considered when evaluating 

the merit of an application. While 

applicants may identify any aspects of 

their projects that might favor one or the 

other appropriations statute (the 

different requirements for each source of 

funding are discussed in Sections 1.3, 3, 

and 6), FRA will determine which 

funding to provide to projects selected 

for award at its own discretion. 

However, applicants should note that 

any projects receiving funding under the 

Recovery Act must be able to be 

obligated by September 30, 2012 and 

completed by September 30, 2017—both 

statutory requirements under the 

Recovery Act. 


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Furthermore, while Florida received 

approximately $2.392 billion for one 

project—the Tampa to Orlando HighSpeed Rail Service Development 

Program—FRA is not requiring the full 

amount awarded under this solicitation 

be provided to one project or one 

corridor. Rather, FRA is directing this 

solicitation to all interested and eligible 

applicants, and anticipates making 

multiple awards with the funding 

available. Recognizing the limited 

funding currently available and FRA’s 

intention to make multiple awards, 

applicants would be well-advised to 

subdivide higher-cost undertakings into 

separate project components or discrete 

phases that have operational 

independence in order to give FRA 

maximum flexibility in selecting 

projects (see Sections 3.5.2 and 4.2.1 for 

more information on operational 

independence and application phasing). 

In describing these separate project 

components or phases, applicants 

should be sure to describe both the 

operational independence of each 

individual project or phase and the 

benefits of completing just the discrete 

project or phase, even if the full Service 

Development Program is not selected for 

funding in this award cycle. 

FRA is committed to ensuring that the 

HSIPR program is a success. In 

responding to this solicitation, 

applicants should clearly demonstrate 

that the project sponsor and any other 

relevant stakeholder directly involved 

in the project are committed to ensuring 

the success of the project proposed for 

funding. 

1.3 Funding Approach 

At least $2.43 billion is available for 

awards under this solicitation, 

including $1.63 billion from the 

Recovery Act and $800 million from the 

FY 2010 DOT Appropriations Act. FRA 

is soliciting grant applications for the 

following types of projects: 

• Service Development Programs: A 

set of inter-related capital projects that 

will result in the introduction of new or 

substantially improved high-speed or 

intercity passenger rail services. Projects 

funded with Recovery Act 

appropriations may have a Federal share 

of total project costs up to 100 percent 

and must be completed by September 

30, 2017. Projects funded with FY 2010 

annual appropriations must provide a 

non-Federal match of at least 20 percent 

of total project costs; funding will 

remain available until expended and 

according to the terms and conditions of 

the cooperative agreement. 

• Individual Projects: Discrete capital 

projects that will result in service 

benefits or other tangible improvements 

on a corridor. These projects include 

completion of preliminary engineering 

(PE), National Environmental Policy Act 

(NEPA) documentation, final design 

(FD), and construction. For the purpose 

of this solicitation and the application 

process, these projects are divided into 

two categories: PE/NEPA applications 

and FD/construction applications (see 

Section 3.4.3 for further information). 

Due to statutory limitations contained in 

the FY 2010 DOT Appropriations Act, 

funding for Individual Projects is only 

available under the Recovery Act. These 

projects may have a Federal share of 

total project costs up to 100 percent and 

must be completed by September 30, 

2017. 

Section 2: Award Information 

While at least $2.43 billion is 

currently available for awards (see 

Section 1), this solicitation may also 

serve as the basis for reallocating other 

funding under the Recovery Act or the 

FY 2010 DOT Appropriations Act, 

including funds available from 

previously awarded projects coming in 

under budget, from funds withdrawn 

from previously awarded projects that 

are not proceeding satisfactorily, and 

from any other appropriated funds 

authorized under PRIIA and made 

available through the remainder of this 

fiscal year, or from other sources. 

The FY 2010 DOT Appropriations Act 

mandated that not less than 85 percent 

of the total available funding be 

allocated to Service Development 

Programs. Due to the funding awarded 

for Individual Projects under the initial 

solicitation for FY 2010 appropriations 

and announced by the Secretary of 

Transportation on October 28, 2010, the 

$800 million in remaining FY 2010 

appropriations will be dedicated solely 

to Service Development Programs. 

The Recovery Act did not specify 

what proportion of funding should be 

allocated for particular project types. As 

a result, and consistent with previous 

funding solicitations, FRA will not 

allocate funding between Service 

Development Programs and Individual 

Projects in advance. FRA will award the 

$1.63 billion in available Recovery Act 

funding to Service Development 

Programs and Individual Projects based 

on the outcomes of the application 

review and selection (see Section 5). 

Applications for projects that were 

submitted under the initial solicitations 

for Recovery Act and FY 2010 annual 

appropriations funding may be updated 

with the most current information 

available and resubmitted for 

consideration. However, applicants 

should be aware that all applications 

will be reviewed and evaluated based 

on the requirements contained in this 

notice. 

FRA will make awards for Service 

Development Programs and Individual 

Projects through cooperative 

agreements. Cooperative agreements 

allow for greater Federal involvement in 

carrying out the agreed upon 

investment, including 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 

funding available. As such, FRA expects 

applicants to tailor their applications 

and proposed project scopes 

accordingly, ensuring that the proposed 

level of public investment is 

commensurate with the expected public 

benefits. In order to attain the maximum 

benefits for the available funding and 

promote successful project delivery, 

applications offering substantial nonFederal financing options will be looked 

on more favorably during the review 

and selection process (see Section 5). 

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 


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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 meets the 

requirements as an eligible entity, 

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 highspeed 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 

the 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 

While the minimum required nonFederal share of total project costs will 

vary based on the source of funding, all 

applicants are encouraged to contribute 

non-Federal matching funds from their 

own, their partner project sponsors’, or 

other interested parties’ resources. 

Matching funds provided in excess of 

the minimum requirements will be 

considered in evaluating the merit of an 

application. 

FRA may chose to award funds under 

the Recovery Act, FY 2010 DOT 

appropriations, other sources, or a 

combination at its discretion, regardless 

of any preferences expressed by the 

applicant. The Federal share of the costs 

of projects selected to receive Recovery 

Act awards may be up to 100 percent. 

The Federal share of the costs of 

projects selected to receive FY 2010 

DOT appropriations awards shall not 

exceed 80 percent. 

3.3.2 Requirements for Applicant Cost 

Sharing 

Whether optional (for Recovery Act 

funding) or mandatory (for FY 2010 

funding), 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 or 

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 Projects 

3.4.1 Definition of Capital Projects 

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 


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for nonmotorized transportation and 

storage capacity in trains for such 

transportation, equipment, and other 

luggage. 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. 

3.4.2 Eligible Service Development 

Programs 

Eligible Service Development 

Programs under this funding 

announcement must consist of a 

coordinated and comprehensive 

grouping of capital projects that will 

result in the introduction of new highspeed or intercity passenger rail services 

or significant improvements to existing 

corridor services (see Section 3.4.1 for 

more information about capital 

projects). These investments will 

generally address, in a comprehensive 

manner, the construction and 

acquisition of infrastructure, equipment, 

and stations, and other facilities 

necessary to operate high-speed and 

intercity passenger rail service. 

To be considered eligible for HSIPR 

program funding, an applicant applying 

for funding for a Service Development 

Program must have completed and 

submitted a NEPA document satisfying 

FRA’s ‘‘Service NEPA’’ requirement with 

its application. Project PE, site-specific 

NEPA, final design, and construction 

activities are eligible to receive funding. 

For applications for Service 

Development Programs that are 

intended to advance directly into final 

design, FRA requires project NEPA 

documents and all PE for project 

components to be completed and 

submitted with the application. 

3.4.3 Eligible Individual Projects 

Individual Projects are discrete capital 

projects that will result in service 

benefits or other tangible improvements 

on a corridor (see Section 3.4.1 for more 

information about capital projects). 

Eligible Individual Project activities 

under this funding announcement 

include completion of PE/NEPA 

documentation, FD, and construction 

activities. These activities are broken 

into two categories for the purpose of 

this solicitation and the application 

process: 

• PE/NEPA completion: Activities 

proposed in an application must 

include all remaining work needed to 

complete both PE and NEPA 

documentation to be eligible. The 

resulting PE/NEPA documents 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. 

• FD/Construction activities: 

Applications should include the design, 

construction, and full implementation 

of projects that have completed PE/ 

NEPA requirements. 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. 

3.4.4 Previously-Selected Projects 

FRA will not make awards for 

activities or component projects under 

this solicitation that were selected to 

receive HSIPR program funding under 

any previous solicitation. However, 

applicants may submit an application to 

augment a project or component thereof 

that was selected under a previous 

solicitation. In this instance, the 

application must demonstrate the 

following: 

• The applicant has, at the time it 

submits the new application, 

sufficiently refined the scope of 

previously-selected elements of the 

project to ensure those elements will 

have operational independence, as 

defined in Section 3.5.2 of this notice; 

• Any new elements of a project 

proposed in the current application will 

also have operational independence; 

• The applicant possesses the 

capacity and capability to manage and 

implement the proposed increase in 

scope of the project in addition to the 

scope of work previously selected to 

receive funding; and 

• There is a demonstrated current 

need for additional funding to 

implement the proposed increase in 

scope of the project and the ability to 

expend the original and additional 

funds in the near term. 

3.5 Additional Eligibility Requirements 

3.5.1 Project Planning 

All projects must be identified 

through a transparent, inclusive 

planning process that analyzes the 

investment needs and objectives for the 

intercity passenger rail service that the 

project is intended to benefit. 

For Service Development Programs, 

this planning process must be 

documented in a detailed Service 

Development Plan (SDP) that lays out 

the overall scope and approach for the 

proposed service. Individual Projects 

must be identified through a Service 

Development Plan, State Rail Plan, or 

similar planning document that 

comprehensively analyzes the service 

improvement needs on a specific 

corridor. 

At a minimum, the planning process 

for both Service Development Programs 

and Individual Projects 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, the planning process 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. 

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 implementation, 

it will have tangible and measurable 

benefits, either independently of other 

investments or cumulatively with 

projects selected to receive awards 

under previous HSIPR program 

solicitations (see Section 3.4.4 for more 

information about previously-selected 

projects). Examples of tangible and 

measurable benefits include operational 

reliability improvements, travel-time 

reductions, and additional service 

frequencies resulting in increased 

ridership. Additionally, a Service 

Development Program may demonstrate 

operational independence by resulting 

in tangible and measurable progress in 

implementing new or substantially 

improved high-speed or intercity 

passenger rail service. 

3.5.3 Availability of Funds 

FRA intends to select applications for 

projects that can promptly proceed to 

award. Statutorily, FRA must obligate 

all Recovery Act funds by September 30, 

2012. If funding announced under FY 

2010 annual appropriations is not 

obligated within 2 years of the date of 

the announcement, FRA may 

redistribute the funds to other HSIPR 

projects at the FRA Administrator’s 

discretion (49 U.S.C. 24402(h)). 

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 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. 


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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 for 

expenses associated with the operation 

of intercity passenger rail service; 

• Funding may not be used for 

projects that primarily benefit commuter 

rail passenger transportation; 

• Funding may not be used for 

projects in which the physical 

improvements are located outside the 

United States; 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 

applicable appropriations legislation 

(February 17, 2009, for the Recovery Act 

or December 16, 2009, for the FY 2010 

DOT Appropriations Act). 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. 

3.5.5 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. 

3.5.6 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) and 

September 27, 2010 (75 FR 59108). 

Section 4: Application and Submission 

Information 

4.1 Application Procedures 

4.1.1 Applying Online Through 

GrantSolutions 

All applications must be submitted to 

FRA through GrantSolutions (GS). To 

access the system, go to https:// 

www.grantsolutions.gov. All potential 

applicants should immediately 

complete the following three steps, 

which are required prior to submitting 

an application through GS. These steps 

can take up to ten days for the systems/ 

information-owners to process: 

• Register in GS. Go to https:// 

www.grantsolutions.gov and select 

‘‘Register’’ on the right side of the page 

to register, if not previously registered. 

• 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 that applicants must update 

or renew their CCR registration at least 

once per year to maintain an active 

status. Information about registration 

procedures can be accessed at http:// 

www.ccr.gov. 

4.1.2 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 are summarized in 

the checklist below. 

BILLING CODE 4910–06–P 


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APPLICATION CHECKLIST


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BILLING CODE 4910–06-C 

Applicants must complete and submit 

all components of the application 

package; 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. 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. 

Program-specific forms and 

requirements for supporting 

documentation may be downloaded 

from FRA’s Web site at http:// 

www.fra.dot.gov/rpd/passenger/ 

477.shtml. Specific instructions for 

completing these forms can be found 

within each document. Further 

information regarding the required 

supporting documentation may be 

found with the relevant application 

forms. 

Standard OMB forms 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 these required application 

materials. In addition, applicants can 

apply online through this screen. 

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. 

4.2.1 Application Phasing 

It is in the best interest of each 

applicant—particularly those submitting 

an application for a Service 

Development Program that is 

exceptionally complex, long-term, or 

broad in scope—to recognize the limited 

funding available. Therefore, an 

application’s competitiveness may be 

improved by demonstrating how a 

proposed project could be divided into 

discrete phases, each with operational 

independence, based on geographic 

section, type of activity, discrete 

benefits and costs, or other appropriate 

criteria. Applicants pursuing this option 

should submit a single application that 

identifies the discrete phases, 

component projects, and resulting 

benefits of each phase. This approach 

will provide FRA the flexibility to select 

for funding those phases that are 

sufficiently developed to realize 

significant benefits, rather than selecting 

or not selecting the entire project based 

on insufficient development of some 

constituent parts. 

4.2.2 Optional Supporting 

Documentation 

To support the application, 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 notification of any 

documentation being submitted in hard 

copy in the appropriate section of the 

HSIPR Narrative Application Form. 

4.3 Submission Dates and Times 

Applications for these funds must be 

submitted through GrantSolutions by 8 

p.m. EDT on Monday, April 4, 2011. 

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 

technological difficulties using the 

GrantSolutions system, please contact 

the GrantSolutions Help Desk at 1–866– 

577–0771 or via e-mail at 

help@grantsolutions.gov. If the 

applicant experiences technological 

issues that may cause the applicant to 

miss the application deadline, the 

applicant must contact FRA at 

HSIPR@dot.gov immediately, and prior 

to the application deadline, to request 

consideration to submit the application 

after the deadline. FRA staff may ask the 

applicant to e-mail 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 issues reported 

cannot be validated, the application 

may be rejected as untimely. For 

applications submitted by e-mail, the 

applicant should print, sign, scan into 

electronic format (preferably Adobe 

Portable Document Format (.pdf)), and 

attach to the submission e-mail copies 


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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 Application Review and Selection 

Complete applications are due by 8 

p.m. EDT on Monday, April 4, 2011. 

Applications will proceed through a 

three-part review process: 

1. Screening for completeness and 

eligibility; 

2. Review of eligible applications by 

technical panels applying evaluation 

criteria; and 

3. Project selection by the FRA 

Administrator applying additional 

selection criteria. 

Each application will first be screened 

for completeness (containing all 

required documentation outlined in 

Section 4.2) and eligibility 

(requirements outlined in Section 3). 

Eligible and complete applications will 

then be reviewed and assessed against 

the evaluation criteria outlined in 

Section 5.2. Due both to statutory 

requirements and the overall objectives 

of the Recovery Act, FRA intends to 

select projects that can promptly 

proceed to award. As such, the 

evaluation criteria, ranked in order of 

priority, are: 

1. Project Readiness. 

2. Public Benefits. 

3. Project Delivery Approach. 

4. Sustainability of Benefits. 

The ratings assigned for the four 

evaluation criteria above will not in 

themselves constitute the final award 

determination. The agency will also take 

into consideration several cross-cutting 

and comparative selection criteria (see 

Section 5.3) to determine awards. In 

accordance with 49 U.S.C. 24402(c), 

FRA may also consider ‘‘other relevant 

factors as determined by the Secretary’’ 

of Transportation. 

For applications for funding for 

Service Development Programs or FD/ 

Construction activities, the project 

readiness, benefit, delivery, and crosscutting and comparative criteria will be 

applied to the proposed projects. For 

applications for funding for PE/NEPA 

completion, these criteria will be 

applied to the underlying projects that 

will be the subject of PE/NEPA 

development, except where explicitly 

indicated. 

5.2 Evaluation Criteria 

5.2.1 Project Readiness 

The following factors will be 

considered in assessing the readiness of 

the proposed project to proceed 

promptly to award: 

• The applicant’s progress, at the time 

of application, in reaching compliance 

with NEPA for the proposed project. 

Although a NEPA decision document 

(Record of Decision, Finding of No 

Significant Impact, Categorical 

Exclusion determination) is not required 

at the time of application, applications 

for Service Development Programs and 

Individual FD/Construction Projects 

that are accompanied by a final NEPA 

determination will be looked upon 

favorably during the application review 

and selection process; 

• The applicant’s progress, at the time 

of application, in reaching final service 

outcomes agreements (where necessary) 

with key project partners. Applicants 

that own and/or control the 

infrastructure to be improved by the 

project or have a service outcomes 

agreement in place with the 

infrastructure owning railroad for the 

proposed project, or an executed 

agreement that could be amended with 

the infrastructure owning railroad for a 

project(s) located on the same corridor 

as the proposed project, will be looked 

upon favorably during the application 

review and selection process; and 

• The quality and completeness of the 

project’s Statement of Work (included in 

the HSIPR Narrative Application Form), 

including whether the Statement of 

Work provides a sufficient level of 

detail regarding scope, schedule, and 

budget to immediately advance the 

project to award. 

5.2.2 Public Benefits 

Economic analysis that quantifies and 

demonstrates the monetary value of user 

benefits and, if available, broader 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 may 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). 

Evaluation against the public benefits 

criterion will consider the qualitative 

factors outlined below, as supported by 

key quantitative metrics. 

5.2.2.1 Transportation Benefits 

The following factors will be 

considered in assessing a proposed 

project’s achievement of transportation 

benefits: 

• Generating improvements to 

existing high-speed and intercity 

passenger rail service, as reflected by 

estimated increases in ridership, 

increases in operational reliability, 

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; 

• Encouragement of intermodal 

connectivity and integration, including 

a focus on convenient connection to 

local transit and street networks, as well 

as coordination with local land use and 

station area development; 

• 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 

from benefiting entities in the project’s 

financing; 

• 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. 

5.2.2.2 Other Public Benefits 

The following factors will be 

considered in assessing the proposed 


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project’s achievement of other public 

benefits: 

• The extent to which the project is 

expected to create and preserve jobs and 

stimulate increases in economic 

activity; 

• Promoting environmental quality, 

energy efficiency, and reduction in 

dependence on oil, including the use of 

renewable energy sources, energy 

savings from traffic diversions from 

other modes, employment of green 

building and manufacturing methods, 

reductions in key emissions types, and 

the purchase and use of 

environmentally sensitive, fuel-efficient, 

and cost-effective passenger rail 

equipment; and 

• Promoting coordination between 

the planning and investment in 

transportation, housing, economic 

development, and other infrastructure 

decisions along the corridor, as 

identified in the six livability principles 

developed by DOT with the Department 

of Housing and Urban Development and 

the Environmental Protection Agency as 

part of the Partnership for Sustainable 

Communities, which are listed fully at 

http://www.dot.gov/affairs/2009/ 

dot8009.htm. 

5.2.3 Project Delivery Approach 

The following factors will be 

considered in assessing the risk 

associated with the proposed project’s 

delivery within budget, schedule, and as 

designed (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): 

• The timeliness of project 

completion and the realization of the 

project’s benefits; 

• The applicant’s financial, legal, and 

technical capacity to implement the 

project; 

• The applicant’s experience in 

administering similar grants and 

projects; 

• The soundness and thoroughness of 

the cost methodologies, assumptions, 

and estimates; 

• The thoroughness and quality of the 

Project Management Plan; 

• The timing and amount of the 

project’s future noncommitted 

investments; 

• The adequacy of any completed 

engineering work to assess and manage/ 

mitigate the proposed project’s 

engineering and constructability risks 

(does not apply to PE/NEPA projects); 

and 

• The sufficiency of system safety and 

security planning (does not apply to PE/ 

NEPA projects). 

5.2.4 Sustainability of Benefits 

The following factors will be 

considered in assessing the likelihood of 

realizing the proposed project’s benefits: 

• The applicant’s financial 

contribution to the project; 

• The quality of a Financial Plan that 

analyzes the financial viability of the 

proposed rail service; 

• The quality and reasonableness of 

revenue, operating, and maintenance 

cost forecasts; 

• The availability of any required 

operating financial support, preferably 

from dedicated funding sources; 

• The quality and adequacy of project 

identification and planning; 

• The reasonableness of estimates for 

user and non-user benefits for the 

project; and 

• The reasonableness of the operating 

service plan. 

5.3 Selection Criteria 

The FRA Administrator will also use 

the criteria below to further ensure that 

the projects selected for funding will 

advance key priorities for the 

development of high-speed and intercity 

passenger rail and contribute positively 

to the success and sustainability of the 

HSIPR program. 

5.3.1 Fulfillment of DOT Strategic 

Goals 

• 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 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 rail technologies that 

result in favorable public return on 

investment and ensure delivery of 

project benefits. 

• Promoting innovations that 

demonstrate the value of new 

approaches to, among other things, 

transportation funding and finance, 

contracting, project delivery, congestion 

management, safety management, asset 

management, or long-term operations 

and maintenance. 

• Advancing the state of the art in 

modeling techniques for assessing costs 

and benefits. 

• Promoting domestic manufacturing, 

supply, and industrial development. 

• Developing professional railroad 

engineering, operating, planning, and 

management capacity. 

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. 

• Where Amtrak is the applicant, 

considering the partnerships with and/ 

or demonstrated support for the project 

by entities authorized to plan, design, 

construct, operate, maintain and/or 

finance intercity or high-speed 

passenger rail in the affected States. 

• Employing creative approaches to 

ensure workforce diversity and use of 

disadvantaged and minority business 

enterprises. 

• Engaging local communities and 

other stakeholder groups in the project. 

5.3.5 Project Delivery/Integration 

• Assessing the applicant’s means for 

achieving satisfactory continuing 

control over project assets in a timely 

manner, including, but not limited to, 

public ownership of project assets or 

service outcomes agreements with 

railroad operator(s) and infrastructureowning railroad(s) at the time of 

application. 

• Assessing the quality and 

completeness of the Statement of Work 

(included in the HSIPR Narrative 

Application Form), including whether 

the Statement of Work provides a 

sufficient level of detail regarding scope, 

schedule, and budget to immediately 

advance the project to award; 

• Assessing how a proposed project 

would complement previous awards 

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, both within the HSIPR 

program and other Federal financing 

programs. 

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 


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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) 

The grant recipient will be required to 

provide maximum practicable 

opportunities for small businesses, 

including veteran-owned small 

businesses and service disabled veteranowned small businesses and implement 

best practices, consistent with our 

nation’s civil rights and equal 

opportunity laws, for ensuring that all 

individuals—regardless of race, gender, 

age, disability, and national origin— 

benefit from the activities funded under 

the HSIPR program. The DOT 

Disadvantaged Business Enterprises 

(DBE) regulation (49 CFR part 26) 

applies only to certain categories of 

Federal highway, Federal transit, and 

airport funds, however, incorporating 

key elements of this DBE program in 

contracts awarded by grant recipients 

under the HSIPR program would be an 

excellent example of a best practice for 

ensuring that all individuals, regardless 

of race, gender, age, disability, and 

national origin, benefit from the 

program. The grant recipient will be 

required to provide FRA with a plan for 

ensuring the use of contractors owned 

and controlled by socially and 

economically disadvantaged individuals 

and to submit information 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 cooperative 

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 (Financial 

Assistance)’’ (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 cooperative 

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. 


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Grant recipients will conduct work 

under an award and will require that 

work that is conducted as a result of an 

award be in compliance with the 

following provisions, as modified from 

time to time: Section 114 of the Clean 

Air Act, 42 U.S.C. 7414, and Section 308 

of the Federal Water Pollution Control 

Act, 33 U.S.C. 1318, and all regulations 

issued there under. Through the 

cooperative 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 FRA 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 showing that the 

recipient will have satisfactory 

continuing control over the use of the 

equipment and facilities necessary to 

implement the project and the 

capability and willingness to maintain 

the equipment and facilities. 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 abovereferenced issues is already in place as 

of the date of execution of the 

cooperative 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 constructionrelated 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 prorata 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 


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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 a Service 

Development Program or an Individual 

FD/construction project, an applicant 

must complete a System Security Plan. 

6.2.15 Project Labor Agreements 

Executive Order 13502, Use of Project 

Labor Agreements for Federal 

Construction Projects, issued by 

President Obama on February 6, 2009, 

encourages Federal agencies in 

awarding any contract in connection 

with large-scale Federal government 

construction projects to, on a project-byproject basis, consider requiring the use 

of a project labor agreement by a 

contractor where use of such an 

agreement will (i) advance the Federal 

Government’s interest in achieving 

economy and efficiency in Federal 

procurement, producing labor 

management stability, and ensuring 

compliance with laws and regulations 

governing safety and health, equal 

employment opportunity, labor and 

employment standards, and other 

matters, and (ii) be consistent with law. 

At this time, the Executive Order does 

not apply directly to recipients of 

financial assistance to either require or 

preclude the use of a project labor 

agreement. 

6.2.16 Distracted Driving Safety Policy 

Grant recipients are encouraged to 

adopt and enforce workplace safety 

policies to decrease crashes caused by 

distracted drivers including policies 

that bar text messaging while driving 

company-owned or –rented vehicles, or 

government-owned, leased, or rented 

vehicles or privately-owned vehicles 

when on official government business or 

when performing any work for or on 

behalf of the Government. See Executive 

Order 13513 ‘‘Federal Leadership on 

Reducing Text Messaging While 

Driving’’, Oct. 1, 2009 (available at 

http://edocket.access.gpo.go/2009/E9– 

24203.htm) and DOT Order 3902.1 ‘‘Text 

Messaging While Driving’’, Dec. 30, 2009 

(available at http://dotnet.gov.gov), as 

implemented by Financial Assistance 

Policy Letter (No. FAP–2010–01, Feb. 2, 

2010). This includes, but is not limited 

to, Grant recipients: 

(1) Considering new rules and 

programs or re-evaluating existing 

programs to prohibit text messaging 

while driving; 

(2) Conducting education, awareness, 

and other outreach for employees about 

the safety risks associated with texting 

while driving; 

(3) Encouraging voluntary compliance 

with the agency’s text messaging policy 

while off duty. 

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. 


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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 

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 (a) 

any compensation for such use; (b) 

assurances regarding the adequacy of 

infrastructure capacity to accommodate 

both existing and future freight and 

passenger operations; (c) 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 (d) an assurance that the 

grant recipient complies with liability 

requirements consistent with 49 U.S.C. 

28103. 49 U.S.C. 24405(c). Applicants 

shall also provide assurance that it has 

or will have the legal, financial and 

technical capacity to carry out the 

project, including, but not limited to, 

public ownership of necessary 

equipment and facilities or access 

agreements with railroad operator(s) and 

infrastructure-owning railroads 

evidencing that the grant recipient will 

have continued access to necessary 

equipment and facilities. 49 U.S.C. 

24402(b). Applicants should further 

provide assurance that service outcomes 

specified to result from the project, and 

for which the railroad is necessary for 

delivery, will be delivered, including a 

mechanism to enforce the specified 

service outcomes. 49 U.S.C. 24402(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 the Recovery 

Act and all 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/ 


jlentini on DSKJ8SOYB1PROD with NOTICES
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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, DOT’s Office of the Inspector 

General, 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. 

6.5 ARRA-Specific Grant 

Requirements (Applies to ARRA– 

Funded Grants Only) 

ARRA contains several specific 

requirements associated with funding 

provided in that statute. These include: 

6.5.1 Prohibited Activities 

None of the ARRA funds appropriated 

or otherwise made available in the 

cooperative agreement may be used by 

any State or local government, or any 

private entity, for any casino or other 

gambling establishment, aquarium, zoo, 

golf course, or swimming pool. 

6.5.2 Certifications 

As a condition of award, to the extent 

applicable, grant recipients must 

comply with the Certification 

requirements of ARRA. These include 

Section 1201 (Maintenance of Effort); 

Section 1511 (Transparency and 

Oversight); and Section 1607 

(Additional Funding Distribution and 

Assurance of Appropriate Use of 

Funds). 

6.5.3 Whistleblower Protections 

The grant recipient will be required to 

provide the whistleblower protections 

required by Section 1553 of ARRA. 

6.5.4 False Claims Act 

The grant recipient and sub-recipients 

will be required to promptly refer to the 

DOT’s Inspector General credible 

evidence that a principal, employee, 

agency, contractor, sub-contractor, or 

other person has submitted a false claim 

under the False Claims Act or has 

committed a criminal or civil violation 

of laws pertaining to fraud, conflict of 

interest, bribery, gratuity, or similar 

misconduct involving ARRA funds. 

6.5.5 Contracting Provisions 

To the maximum extent possible, 

contracts funded under ARRA shall be 

awarded as fixed-price contracts 

through the use of competitive 

procedures. Grant recipients will be 

required to provide a summary of any 

contract awarded with ARRA funds that 

is not fixed-price and not awarded using 

competitive procedures for posting on 

the Recovery Accountability and 

Transparency Board’s Web site. 

6.5.6 ARRA-Specific Reporting 

Requirements 

ARRA Section 1201 Report— Periodic 

Reports—Each grant recipient will be 

required to submit periodic reports to 

the FRA as described in this paragraph 

not later than February 17, 2012. The 

Periodic Reports shall include 

information describing: (1) The amount 

of Federal funds appropriated, 

allocated, obligated, and outlayed under 

the cooperative agreement; (2) the 

number of projects that have been put 

out to bid under the cooperative 

agreement and the amount of Federal 

funds associated with such projects; (3) 

the number of projects for which 

contracts have been awarded under the 

cooperative agreement and the amount 

of Federal funds associated with such 

contracts; (4) the number of projects for 

which work has begun under such 

contracts and the amount of Federal 

funds associated with such contracts; (5) 

the number of projects for which work 

has been completed under such 

contracts and the amount of Federal 

funds associated with such contracts; 

and (6) the number of direct, on-project 

jobs created or sustained by the Federal 

funds provided for projects under the 

cooperative agreement and, to the extent 

possible, the estimated indirect jobs 

created or sustained in the associated 

supplying industries, including the 

number of jobs created and the total 

increase in employment since February 

17, 2009. DOT or FRA may issue 

additional guidance on the preparation 

and submission of Periodic Reports. 

Section 1512(c)—Jobs Accountability 

Reports—Not later than 10 days after the 

end of each quarter, each grant recipient 

will be required to submit a Jobs 

Accountability Report to the FRA that 

contains: (1) The total amount of ARRA 

funds received pursuant to this 

agreement; (2) the amount of ARRA 

funds received that were expended or 

obligated to projects or activities; and 

(3) a detailed list of all projects or 

activities for which ARRA funds were 

expended or obligated, including—(A) 

the name of the project or activity; (B) 

a description of the project or activity; 

(C) an evaluation of the completion 

status of the project or activity; (D) an 

estimate of the number of jobs created 

and the number of jobs retained by the 

project or activity; and (E) detailed 

information on any subcontracts or 

subgrants awarded by the grant 

recipient to include the data elements 

required to comply with the Federal 

Funding Accountability and 

Transparency Act of 2006 (Pub. L. 109– 

282), allowing aggregate reporting on 

awards below $25,000 or to individuals, 


jlentini on DSKJ8SOYB1PROD with NOTICES
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as prescribed by the Director of OMB. 

OMB may issue additional guidance on 

the preparation and submission of Jobs 

Accountability Reports. The grant 

recipient must also register with the 

CCR database or complete other 

registration requirements as determined 

by the Director of OMB. 

Section 1609: Environmental 

Reporting—Section 1609(c) of ARRA 

requires that Federal agencies report via 

the President (specifically, to the White 

House Council on Environmental 

Quality) every 90 days following 

enactment of ARRA on the status of 

projects funded under ARRA with 

respect to compliance with NEPA. Grant 

recipients may be requested to submit 

information to assist FRA in completing 

this report. 

Additional Information—To satisfy 

the purposes of ARRA, grant recipients 

may be required to provide additional 

information in response to requests from 

OMB, the Congressional Budget Office, 

the Government Accountability Office, 

or the Department’s Inspector General. 

FRA will inform grant recipients if and 

when such additional reports or 

information are required. 

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 HSIPR@dot.gov, 

or by mail: U.S. Department of 

Transportation, Federal Railroad 

Administration, MS–20, 1200 New 

Jersey Avenue, SE., Washington, DC 

20590 Attn: HSIPR Program. 

Issued in Washington, DC, on March 11, 

2011. 

Joseph C. Szabo, 

Administrator. 

[FR Doc. 2011–6178 Filed 3–14–11; 11:15 am] 

BILLING CODE 4910–06–P 

DEPARTMENT OF TRANSPORTATION 

Maritime Administration 

Buy America Waiver Notification 

AGENCY: Maritime Administration, U.S. 

Department of Transportation. 

ACTION: Notice. 

SUMMARY: This notice provides 

information regarding MARAD’s finding 

that a Buy America waiver, stated in 41 

U.S.C. 10b, is appropriate for the 

purchase of foreign Mobile Harbor 

Cranes in the Federal-aid/TIGER II grant 

for the Port of Providence. The waiver 

for this project involves the purchase 

and use of specific items that are not 

produced in the United States and 

deemed necessary for the construction 

of the project. MARAD has reached out 

to industry on the domestic availability 

of these items. No domestic 

manufacturers have been located. 

The Port of Providence’s TIGER II 

project is to expand and upgrade the 

Port of Providence in Rhode Island. 

TIGER II dollars in the amount of $10.5 

million will help replace two aged 

diesel cranes, one of which is currently 

non-functional, with new electric, 

barge-based cranes that will enable the 

Port to handle container traffic. 

Replacing these cranes will allow the 

port to expand its container short sea 

shipping operation, help relieve 

bottlenecks along the I–95 corridor, and 

support jobs in and around the 

economically distressed are of 

Providence. 

This waiver is being requested 

because mobile harbor cranes are not 

produced in the United States. These 

cranes are considered to be specialized 

equipment and other types of cranes 

cannot be adapted to meet the mobility, 

lift, precision, and efficiency 

requirements necessary for marine cargo 

operations at the Port of Providence. 

MARAD has consulted and coordinated 

directly with appropriate industry 

associations and has determined that it 

has been more than 15 years since 

cranes of this type were manufactured 

in the United States. It should also be 

noted, the purchase of foreign built 

cranes to complete this, and other port 

development projects, is only one part 

of the overall port modernization and 

expansion effort. All other materials 

used in the construction of all port 

construction projects will be produced 

in the United States, and MARAD has 

been working with the Manufacturing 

Extension Partnership, under the 

National Institute of Standards and 

Technology, to identify manufacturing 

opportunities for domestic harbor crane 

construction and repair. 

DATES: The effective date of the waiver 

is March 17, 2011. 

FOR FURTHER INFORMATION CONTACT: For 

questions about this notice, please 

contact Mr. Anthony Shuler Jr., MARAD 

Office of Infrastructure Development 

and Congestion Mitigation, (202) 366– 

6639, or via e-mail at 

Anthony.L.Shuler@dot.gov. For legal 

questions, please contact Jeff Vogel, 

MARAD, Office of the Chief Counsel, 

(202) 493–0307 or via e-mail at 

Jeff.Vogel@dot.gov . 

SUPPLEMENTARY INFORMATION: 

Electronic Access 

An electronic copy of this document 

may be downloaded from the Federal 

Register’s home page at: http:// 

www.archives.gov and the Government 

Printing Office’s database at: http:// 

www.access.gpo.gov/nara. 

Background 

Congress has enacted a Buy American 

provision which requires manufactured 

goods that are permanently incorporated 

into a project that is funded with 

Federal-aid funds to be produced in the 

United States. The application of Buy 

American is triggered by the obligation 

of Federal funds to a project. Once 

Federal-aid funds are obligated to a 

project, then all steel or manufactured 

goods incorporated into the project must 

be produced in the United States. The 

specific statutory requirement reads as 

follows: 

Notwithstanding any other provision of 

law, and unless the head of the department 

or independent establishment concerned 

shall determine it to be inconsistent with the 

public interest, or the cost to be 

unreasonable, only such unmanufactured 

articles, materials, and supplies as have been 

manufactured in the United States 

substantially all from articles, materials, or 

supplies mined, produced, or manufactured, 

as the case may be in the United States, shall 

be acquired for public use. 41 U.S.C. 10a. 

Under 41 U.S.C. 10b, the Secretary 

may waive the Buy American 

requirements for specific articles, 

materials, or supplies on a Federal-aid 

construction project when with respect 

to those articles, materials, or supplies 

it is impracticable to require adherence 

with the Buy American Act or such a 

requirement would unreasonably 

increase the project cost. 

The waiver process is initiated by the 

requesting organization when it believes 

that a waiver is warranted pursuant to 

any of the waiver provisions under 41 

U.S.C. 10b. MARAD develops findings 

and justifications for the waiver and 

publishes the decision in the Federal 

Register. MARAD’s publication of its 

Buy American decision is required 

pursuant to the Buy American Act, 41 

U.S.C. 10b. The effective date of the 

waiver is the date following publication 

of the Federal Register. 

Authority: 41 U.S.C. 10a. 

By Order of the Maritime Administrator. 

Dated: March 10, 2011. 

Christine Gurland, 

Secretary, Maritime Administration. 

[FR Doc. 2011–6103 Filed 3–15–11; 8:45 am] 

BILLING CODE 4910–81–P 


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