
[Federal Register Volume 78, Number 211 (Thursday, October 31, 2013)]
[Notices]
[Pages 65422-65426]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26081]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


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

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

ACTION: Notice of funding availability; solicitation of applications.

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

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

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

[[Page 65423]]


FOR FURTHER INFORMATION CONTACT: Mary Ann McNamara, Office of Passenger 
and Freight Programs, Federal Railroad Administration, 1200 New Jersey 
Avenue SE., Mail Stop 20, Washington, DC 20590; Phone: (202) 493-6393; 
Fax: (202) 493-6333.

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

[[Page 65424]]

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

Appendix 1: Administrative and National Policy Requirements

Appendix 1.1 Standard Financial and Program Administration Requirements

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

Administrative Requirements

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

Cost Principles

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

Audit Requirements

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

Appendix 1.2 Administrative and National Policy Requirements

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

[[Page 65425]]

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

Appendix 1.3 Freedom of Information Act (FOIA)

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

Appendix 2: Additional Information on Award Administration and Grant 
Conditions

Appendix 2.1 Reporting Requirements

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

Appendix 2.2 Audit Requirements

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

Appendix 2.3 Monitoring Requirements

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

Appendix 2.4 Closeout Process

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

Appendix 3: Additional Information on Applicant Budgets

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

[[Page 65426]]

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

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

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

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

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

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


