Capital Assistance To States - Intercity Passenger Rail Service (20.317)
Program
20.317 Capital Assistance To States - Intercity Passenger Rail Service
Federal Agency
Agency: Department of Transportation
Office: Federal Railroad Administration (FRA)
Authorization
Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2008, Public Law 110-161, as amended by Department of Transportation Appropriations Act, 2009, Public Law 111-8.
Program Number
20.317
Last Known Status
Active
Objectives
To provide financial assistance to fund capital improvements (and related planning activities) necessary to support improved or new intercity passenger rail service.
Types of Assistance
PROJECT GRANTS
Uses and Use Restrictions
The financial assistance may fund capital improvements and directly-related planning activities necessary to achieve tangible improvements to, or institute new, intercity passenger rail service. Examples of capital improvements include (but are not strictly limited to) the purchase of passenger rolling stock, the improvement of existing track to allow for higher maximum speeds, the addition or lengthening of passing tracks to increase capacity, the improvement of interlockings to increase capacity and reliability, and the improvement of signaling systems to increase capacity and maximum speeds, and improve safety. With respect to planning activities, eligible planning projects 1) Lead to the completion of a Service Development Plan; 2) Identify and compare the costs, benefits, and impacts of a range of transportation alternatives, including HSR and/or IPR; 3) Support the preparation of environmental documents; and 4) Consist of operational analyses and simulations, and projections of future service requirements. Proposed projects must be specifically included in the applicant State’s Statewide Transportation Improvement Plan at the time of application.
Eligibility Requirements
Applicant Eligibility
State departments of transportation (including that of the District of Columbia). Applicant States must include intercity passenger rail service as an integral part of statewide transportation planning as required under section 135 of Title 23, United States Code.
Beneficiary Eligibility
The general public, both users and non-users of intercity passenger rail service. State departments of transportation and other public agencies, although private transportation companies may participate through contractual arrangements with a State department of transportation.
Credentials/Documentation
Department of Transportation, Federal Railroad Administration (FRA) Assurances and Certification forms including: (1) Certification Regarding Debarment, Suspension, and Other Responsibility Matters Primary Covered Transactions; (2) Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions; 3) Certification Regarding Drug-Free Workplace Requirements; 4) Certification Regarding Lobbying, 5) Assurances Non- Construction Programs – SF 424B; and 6) Certificate of Indirect Costs Assurances. This program is excluded from coverage under OMB Circular No. A-87.
Application and Award Process
Preapplication Coordination
Prospective applicants may contact FRA prior to submission of applications to inquire about applicant eligibility, the competitive prospects of their proposed project, the National Environmental Policy Act and related legal requirements, and other requirements. This program is excluded from coverage under E.O. 12372. Environmental impact information is not required for this program. This program is excluded from coverage under E.O. 12372.
Application Procedure
This program is excluded from coverage under OMB Circular No. A-102. This program is excluded from coverage under OMB Circular No. A-110. The applicant must submit the following information: Application for Federal Assistance SF-424; US Department of Transportation Federal Railroad Administration Assurances and Certification forms http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf; Certification Regarding Debarment, suspension, and other Responsibility Matters - Primary Covered Transactions; Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions; Certification Regarding Drug-Free Workplace Requirements; Certification Regarding Lobbying; Assurances - Non-Construction Programs, SF 424E; Certificate of Indirect Costs; Detailed project descriptions, statement of work, and budgets; Description of work completed to date; and description of type and source of matching funds.
Award Procedure
Review the application package to ensure that all required documents are complete and signed by the appropriate person. Review the statement of work (SOW) and budget to ensure the appropriation language requirements are met. Review SOW for technical issues and budget for appropriate costs, including compliance with the National Environmental Policy Act and related laws and orders. Competitive comparison o applications to determine relative satisfaction of published selection criteria might occur for some grants. following selection (if applicable) and after the application package is acceptable to both parties, a grant agreement is drafted, reviewed, and signed upon agreement by both parties.
Deadlines
Contact the headquarters or regional office, as appropriate, for application deadlines.
Range of Approval/Disapproval Time
Notification of Approval/Disapproval generally occurs within 8 months of application.
Appeals
none.
Renewals
none.
Assistance Considerations
Formula and Matching Requirements
Statutory formulas are not applicable to this program.
This program has no matching requirements. Formula and matching Requirements: These programs have no statutory formula. Some grantees will be required to provide a match from non-program funds toward the grant budget. This program has MOE requirements; see funding agency for further details.
This program does not have MOE requirements.
Length and Time Phasing of Assistance
No restriction on period of time the assistance normally is available. Assistance is awarded upon request for reimbursement. Method of awarding/releasing assistance: by letter of credit.
Post Assistance Requirements
Reports
The grantee shall submit the following reports: (1) Quarterly progress reports giving an account of significant progress (findings, events, trends, etc.) made during the reporting period, and a description of any technical and/or cost problems encountered or anticipated that will affect completion of the grant; (2) Quarterly financial status reports using SF 269 or 269A, Financial Status Report; (3) Quarterly Federal Cash Transactions reports using SF 272, Federal Cash Transaction Report; (4) Final report giving details of the results and benefits of the Grantee's improvement efforts. SF 272. The grantee shall submit the following reports: (1) Quarterly progress reports giving an account of significant progress (findings, events, trends, etc.) made during the reporting period, and a description of any technical and/or cost problems encountered or anticipated that will affect completion of the grant; (2) Quarterly financial status reports using SF 269 or 269A, Financial Status Report; (3) Quarterly Federal Cash Transactions reports using SF 272, Federal Cash Transaction Report; (4) Final report giving details of the results and benefits of the Grantee's improvement efforts. SF269. The grantee shall submit the following reports: (1) Quarterly progress reports giving an account of significant progress (findings, events, trends, etc.) made during the reporting period, and a description of any technical and/or cost problems encountered or anticipated that will affect completion of the grant; (2) Quarterly financial status reports using SF 269 or 269A, Financial Status Report; (3) Quarterly Federal Cash Transactions reports using SF 272, Federal Cash Transaction Report; (4) Final report giving details of the results and benefits of the Grantee's improvement efforts.
Audits
In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In accordance with the provisions of OMB Circular A-1 33 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards (or receive property, or a combination of both, within the fiscal year) will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular A-133. These audits are due to the cognizant Federal agency, submitted through the Federal Audit Clearinghouse, not later than 9 months after the end of the grantees fiscal year.
Records
During the course of its activities under a grant agreement and for three years thereafter, the applicant must agree to retain intact and to provide any data, documents, reports, records, contracts, and supporting materials relating to its performance under the agreement as FRA may require. Reporting and record- keeping requirements are set forth in 49 C.F.R. Part 18 for private non-profit and for-profit Grantees. Closeout does not alter these requirements.
Program Accomplishments
Fiscal Year 2008: In FY-2008 22 proposals were evaluated and 15 awards were announced. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available
Financial Information
Account Identification
27-0716-0-1-401.
Obligations
(Cooperative Agreements) FY 08 $0; FY 09 est $9,540,500; FY 10 est not reported.
Range and Average of Financial Assistance
Awards for FY-08 funding range from $62,500 to $6,000,000. the average award was $2.1 million.
Regulations, Guidelines and Literature
Guidance for this program is provided by The National Environmental Policy Act of 1969 as amended (42 U.S.C. 4321 et seq.), and related laws, the FRA publication entitled, Railroad Corridor Transportation Plans: A Guidance Manual (available at http://www.fra.dot.gov/Downloads/RRdev/corridor_planning.pdf), and Federal Register notices announcing the availability of funding pursuant to this program.
Related Programs
20.319 High-Speed Rail Corridors and Intercity Passenger Rail Service – Capital Assistance Grants
Information Contacts
Regional or Local Office
See Regional Agency Offices. If necessary to contact a regional office, the contact information will be in a grant agreement.
Headquarters Office
Christodoulou, Gina 1200 New Jersey Ave SE., Washington, District of Columbia 20590 Phone: (202)493-6139
Web Site Address
Examples of Funded Projects
Fiscal Year 2008: FRA awarded funding for projects including planning and construction. Planning projects included environmental documents for new rail services from Minneapolis to Duluth, MN, for example. Construction projects included replacing rail in Wisconsin and adding passing sidings in Missouri. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available
Criteria for Selecting Proposals
All selection criteria will be specified in Federal Register notices announcing the availability of funding pursuant to this program, and shall include, but shall not be limited to, prioritizing criteria defined in relevant law, and criteria intended to ensure the timely completion of funding projects and the full realization of the benefits the projects are intended to generate.
