FRA F 6180.133 HSIPR Program Application Form -- Track 1 and Track 4

Track 1a – FD/Construction and/or Track 4 OMB No. 2130-0583

Project Name:       Date of Submission:       Version Number:    

H igh-Speed Intercity Passenger Rail (HSIPR) Program

Application Form

Track 1a–Final Design (FD)/Construction

& Track 4–FY 2009 Appropriations Projects

Welcome to the Track 1a Final Design (FD)/Construction and Track 4 Application for the Federal Railroad Administration’s High-Speed Intercity Passenger Rail (HSIPR) Program. Applicants for Track 1a FD/Construction and/or Track 4 are required to submit this Application Form and Supporting Materials (forms and documents) as outlined in Section G of this application and in the HSIPR Guidance.

We appreciate your interest in the program and look forward to reviewing your application. If you have questions about the HSIPR program or this application, please contact us at [email protected].

Instructions:

• Please complete the HSIPR Application electronically. See Section G for a complete list of the required application materials.

• In the space provided at the top of each section, please indicate the project name, date of submission (mm/dd/yy) and the application version number. The distinct Track 1a and/or Track 4 project name should be less than 40 characters and follow the following format: State abbreviation-route or corridor name-project title (e.g., HI-Fast Corridor-Track Work IV).

• For each question, enter the appropriate information in the designated gray box. If a question is not applicable to your FD/Construction Project, please indicate “N/A.”

• Narrative questions should be answered concisely within the limitations indicated.

• Applicants must upload this completed application and all other application materials to www.GrantSolutions.gov by August 24, 2009 at 11:59pm EDT.

• Fiscal Year (FY) refers to the Federal Government’s fiscal year (Oct. 1- Sept. 30).

• Please direct questions to: [email protected]

1. Point of Contact and Applicant Information

Application Point of Contact (POC) Name:      				POC Title:      
Street Address:      		City:      		State:      		Zip Code:      		Telephone Number:      
Fax:      				Email:      
Name of lead State or organization applying (only States may apply for Track 4 ):      
Name(s) of additional States and/or organizations applying in this group (if applicable):      
Is this project for which you are applying for HSIPR funding related or linked to additional applications for HSIPR funding that may be submitted in this or subsequent rounds of funding? Yes No Maybe If “yes” or “maybe,” provide the following information:
Program/Project Name	Lead Applicant		Track		Total HSIPR Funding Proposed (if known)		Status of Application
     	     				$     
     	     				$     
     	     				$     
     	     				$     
     	     				$     
     	     				$     
     	     				$     
     	     				$     

Project Name:       Date of Submission:       Version Number:    

B. Project Overview

FD/Construction Project Name:      

Indicate the Track under which you are applying: Please note if you are applying for Track 1a–FD/Construction and Track 4 concurrently, you must submit two separate versions of this application into www.GrantSolutions.gov (one for Track 1a –FD/Construction and one for Track 4–FY 2009 Appropriations Projects).

Indicate the activity(ies) for which you are applying (check both if applicable): Final Design Construction

What are the anticipated start and end dates for the FD/Construction Project? (mm/yyyy) Start Date:       End Date:      

Total Cost of the FD/Construction Project (year of expenditure (YOE) Dollars*): $       Please provide proposed inflation assumptions and methodology, if applicable in the space below. Please limit response to 1,000 characters.       Of the total cost of the FD/Construction Project, how much would come from the FRA HSIPR Program: (YOE Dollars**) $       Indicate percentage of total cost to be covered by matching funds       % Applications submitted under Track 4 require at least a 50 percent non-Federal match to be eligible for HSIPR funding. * Year-of-Expenditure (YOE) dollars are inflated from the base year. ** This is the amount for which the applicant is applying.

Project Overview Narrative. Please limit response to 5,000 characters. Provide an overview of the main features and characteristics of the FD/Construction Project, including: The location of the project including name of rail line(s), State(s), and relevant jurisdiction(s) (include map if available in supporting documentation). Identification of service(s) that would benefit from the project, the stations that would be served, and the State(s) where the service operates. How the project was identified through a planning process and how the project is consistent with an overall plan for developing High-Speed Rail/Intercity Passenger Rail service. How the project will fulfill a specific purpose and need in a cost-effective manner. The project’s independent utility. The specific improvements contemplated. Any use of railroad assets or rights-of-way, and potential use of public lands and property. Other rail services, such as commuter rail and freight rail that will make use of, or otherwise be affected by, the project.      

Status of Activities: Are any FD or Construction activities that are part of this planned investment underway or completed? Yes (Final Design) Yes (Construction) No If “Yes,” please describe the activities that are underway or completed in the table below.1 If more than three activities, please detail in Section F of this application.

Activity

Description

Completed? (If yes, check box)

Actual Initiation Date (mm/yyyy)

Actual or Anticipated Completion Date (mm/yyyy)

     

     

     

     

     

     

     

     

     

     

     

     

Describe the project service objectives (check all that apply):

Additional Service Frequencies Improved Service Quality Improved On-Time Performance on Existing Route

Increased Average Speeds/Shorter Trip Times Other (Please Describe):      

Types of capital investments contemplated (check all that apply):

Structures (bridges, tunnels, etc.) Track Rehabilitation New or restored sidings/passing tracks Major Interlockings Station(s) Communication, Signaling and Control

Rolling Stock Refurbishments Rolling Stock Acquisition Support Facilities (Yards, Shops, Admin. Buildings) Grade Crossing Improvements Electric Traction Other (Please Describe):      

Right-of-Way-Ownership. Provide information for all railroad right-of-way owners in the FD/Construction Project area. Where railroads currently share ownership, identify the primary owner. If more than three owners, please detail in Section F of this application.

Type of Railroad

Railroad Right-of-Way Owner

Route Miles

Track Miles

Status of Agreements to Implement Projects

     

     

     

     

     

     

     

     

     

Services. Provide information for all existing rail services within project boundaries (freight, commuter, and intercity passenger). If more than three services, please detail in Section F of this application.

Type of Service

Name of Operator

Top Speed Within Project Boundaries

Number of Route-Miles Within Project Boundaries

Average Number of Daily One-Way Train Operations2 within Project Boundaries

Notes

Passenger

Freight

     

     

     

     

     

     

     

     

     

     

     

     

     

     

     

     

     

     

Rolling Stock Type. Describe the fleet of locomotives, cars, self-powered cars, and/or trainsets that would be intended to provide the service upon completion of the project. Please limit response to 1,000 characters.      

Intercity Passenger Rail Operator. Provide the status of agreements with partners that will operate the benefiting high-speed rail/intercity passenger rail service(s) upon completion of the planned investment (e.g., Amtrak). Name of Operating Partner:       Status of Agreement:

Benefits to Other Types of Rail Service(s). Are benefits to non-intercity-passenger rail services (e.g., commuter, freight) foreseen? Yes No If “Yes”, provide further details in Section E, Question 2.

Project Name:       Date of Submission:       Version Number:    

3. Eligibility Information

Select applicant type, as defined in Appendix 1.1 of the HSIPR Guidance (only States may apply for Track 4): State Amtrak If one of the following, please append appropriate documentation as described in Section 4.3.1 of the HSIPR Guidance: Group of States Interstate Compact Public Agency established by one or more States Amtrak in cooperation with a State or States
Establish Completion of Preliminary Engineering. In the space(s) below, please list the documents that establish completion of Preliminary Engineering for the project covered by this application. See HSIPR Guidance Appendix 2.2. If more than four references need to be listed, please place the additional information in Question F.
Document Name				Completion Date (mm/yyyy)
     				     
     				     
     				     
     				     
Establish Completion of NEPA Documentation (the date document was issued and how documentation can be verified by FRA). The following are approved methods of NEPA verification (in order of FRA preference): 1) References to large EISs and EAs that FRA has previously issued, 2) Web link if NEPA document is posted to a website (including www.fra.gov), 3) Electronic copy of non-FRA documents attached with supporting documentation, or 4) a hard copy of non-FRA documents (large documents should not be scanned but should be submitted to FRA via an express delivery service). See HSIPR Guidance Section 1.6 and Appendix 3.2.9.
Documentation	Date (mm/yyyy)	Describe How Documentation Can be Verified
Categorical Exclusion Documentation	     	     
Final Environmental Assessment	     	     
Final Environmental Impact Statement	     	     
Indicate if there is an environmental decision from FRA (date document was issued and web hyperlink if available).
Documentation	Date (mm/yyyy)		Hyperlink (if available)
Categorical Exclusion Determination	     		     
Finding of No Significant Impact	     		     
Record of Decision	     		     

Project Name:       Date of Submission:       Version Number:    

3. Public Return on Investment

1A. Transportation Benefits. See HSIPR Guidance Section 5.1.1.1. Please limit response to 8,000 characters: How is the project anticipated to improve Intercity Passenger Rail (IPR) service? Describe the overall transportation benefits, including information on the following (please provide a level of detail appropriate to the type of investment): IPR network development: Describe improvements to intermodal connections and access to stations as well as actual and potential expansions to the IPR network that may result from the project (including opportunities for interoperability with other services). IPR service performance improvements (also provide specific metrics in table 1B below): Please describe service performance improvements directly related to the project, as well as a comparison with the existing service (without project). Describe relevant reliability improvements (e.g., increases in on-time performance, reduction in operating delays), reduced schedule trip times, increases in frequencies, aggregate travel time savings (resulting from reductions to both schedule time and delays, expressed in passenger-minutes), and other relevant performance improvements. IPR service results (also provide specific metrics in table 1B below): Describe relevant outcomes of the service improvement such as increases in ridership, passenger-miles, and other results in comparison with the existing service (without project). Suggested supplementary information (only when applicable): Transportation Safety: Describe overall safety improvements that are anticipated to result from the FD/Construction Project, including railroad and highway-rail grade crossing safety benefits, and benefits resulting from the shifting of travel from other modes to safer IPR service. Cross-modal benefits from the FD/Construction Project, including benefits to: Commuter Rail Services – Service improvements and results (applying the same approach as for IPR above). Freight Rail Services – Service performance improvements (e.g., increases in reliability and capacity), results (e.g. increases in ton-miles or car-miles of the benefiting freight services), and/or other congestion, capacity or safety benefits. Congestion Reduction/Alleviation in Other Modes; Delay or Avoidance of Planned Investments – Aviation and highway congestion reduction/alleviation, and/or other capacity or safety benefits. Describe any planned investments in other modes of transportation that may be avoided or delayed due to the improvement to IPR service that will result from the project.      
1B. Operational and Ridership Benefits Metrics: In the table(s) below, provide information on the anticipated transportation benefits and ridership changes projected to result from the project. Please do not include benefits and changes that would occur even if the project is not implemented (for example, as a result of population or economic growth factors).
Project/Program Metric	Actual FY 2008 levels		Projected Totals by Year (Actual Levels Plus Project-Caused Changes Only)
			First Full Year After Project Completion		Fifth Full Year After Project Completion		“X” If N/A or Unsure
Annual passenger-trips	     		     		     
Annual passenger-miles (millions)	     		     		     
Annual IPR seat-miles offered (millions)	     		     		     
Average number of daily round train trip operations (typical weekday)	     		     		     
On-time performance (OTP)3 – percent of trains on time at endpoint terminals	     		     		     
Average train operating delays: minutes of en-route delays per 10,000 train-miles4	     		     		     
Top operating speed (mph)	     		     		     
Average scheduled operating speed (mph) (between endpoint terminals)	     		     		     
2A. Economic Recovery Benefits. This section is required for Track 1a, and optional for Track 4. Please limit response to 4,000 characters. For more information, see Section 5.1.1.2 of the HSIPR Guidance. Describe the contribution the FD/Construction Project is intended to make towards economic recovery and reinvestment, including information on the following: How the project will result in the creation and preservation of jobs, including number of onsite and other direct jobs (on a 2,080 work-hour per year, full-time equivalent basis), and timeline for achieving the anticipated job creation. How the different phases of the project will affect job creation (consider the construction period vs. operating period) How the project will create or preserve jobs or new or expanded business opportunities for populations in Economically Distressed Areas (consider the construction period vs. operating period) How the project will result in increases in efficiency by promoting technological advances. How the project represents an investment that will generate long-term economic benefits (including the timeline for achieving economic benefits and describe how the project was identified as a solution to a wider economic challenge) If applicable, how the project will help to avoid reductions in State-provided essential services.      
2B. Job Creation: Provide the following information about job creation through the life of the FD/Construction Project. Please consider construction, maintenance, and operations jobs.
Anticipated number of annual onsite and other direct jobs created (on a 2080 work-hour per year, full-time equivalent basis)		FD/ Construction Period		First full Year of Operations		Fifth full Year of Operations
		     		     		     
Environmental Benefits. Please limit response to 4,000 characters. How will the FD/Construction project improve environmental quality, energy efficiency, and reduction in the Nation’s dependence on oil? Address project-caused changes in the following: Any projected reductions in key emissions (CO2, O3, CO, PMx, and NOx) and their anticipated effects. Provide any available forecasts of emission reductions from a baseline of existing service for the first and fifth years of full operation (provide supporting documentation if available). Any expected energy and oil savings from traffic diversion from other modes and changes in the sources of energy for transportation. Provide any available information on changes from the baseline of the existing service for the first and fifth years of full operation (provide supporting documentation if available). Use of green methods and technologies. Address green building design, “Leadership in Environmental and Energy Design” building design standards, green manufacturing methods, energy efficient rail equipment, and/or other environmentally-friendly approaches.      
Livable Communities Project Benefits Narrative. (For more information, see Section 5.1.1.3 of the HSIPR Guidance, Livable Communities). Please limit response to 3,000 characters. How will the FD/Construction Project foster Livable Communities? Address the following: Integration with existing high density, livable development: Provide specific examples, such as (a) central business districts with walking/biking and (b) public transportation distribution networks with transit-oriented development. Development of intermodal stations: Describe such features as direct transfers to other modes (both intercity passenger transport and local transit).      

Project Name:       Date of Submission:       Version Number:    

3. Project Success Factors

Project Management Approach and Applicant Qualifications Narrative: Please provide separate responses to each of the following. Additional information on project management is provided in Section 5.1.2.1 of the HSIPR Guidance, Project Management. 1A. Applicant qualifications. Please limit response to 2,000 characters. Management experience: Does the applicant have experience in managing rail investment projects and managing projects of a similar size and scope to the one proposed in this application? Yes - Briefly describe experience (brief project(s) overview, dates) No- Briefly describe expected plan to build technical and managerial capacity; provide reference to Project Management Plan.       1B. Describe the organizational approach for the different project stages included in this application (final design, construction), including the roles of staff, contractors and project stakeholders in implementing the project. For construction activities, provide relevant information on work forces, including railroad contractors and grantee contractors. Please limit response to 2,000 characters.       1C. Does the FD/Construction Project require approval by FRA of a waiver petition from a Federal railroad safety regulation? (Reference to, or discussion of, potential waiver petitions will not affect FRA’s handling or disposition of such waiver petitions.) YES- If yes, explain and provide a timeline for obtaining the waivers NO Please limit response to 1,500 characters.       1D. Provide a preliminary self-assessment of project uncertainties and mitigation strategies (consider funding risk, schedule and budget risk and stakeholder risk). Describe any areas in which the applicant could use technical assistance, best practices, advice or support from others, including FRA. Please limit response to 2,000 characters.      
Stakeholder Agreements Narratives. Additional information on Stakeholder Agreements is provided in Section 5.1.2.2 of the HSIPR Guidance. Under each of the following categories, describe the applicant’s progress in developing requisite agreements with key stakeholders. In addition to describing the current status of any such agreements, address the applicant’s experience in framing and implementing similar agreements, as well as the specific topics pertaining to each category. 2A. Ownership Agreements – Describe how agreements will be finalized with railroad infrastructure owners listed in the “Right-of-Way Ownership” and “Service Description” tables in Section B. If appropriate, “owner(s)” may also include operator(s) under trackage rights or lease agreements. Describe how the parties will agree on project design and scope, project benefits, project implementation, use of project property, project maintenance, scheduling, dispatching and operating slots, project ownership and disposition, statutory conditions and other essential topics. Summarize the status and substance of any ongoing or completed agreements. Please limit response to 2,000 characters.       2B. Operating Agreements – Describe the status and contents of agreements with the intended operator(s) listed in “Services” table in the Project Overview section above. Address project benefits, operation and financial conditions, statutory conditions, and other relevant topics. Please limit response to 2,000 characters.       2C. Selection of Operator – This question applies to Track 1a only. If the proposed operator railroad was not selected competitively, please provide a justification for its selection, including why the selected operator is most qualified, taking into account cost and other quantitative and qualitative factors, and why the selection of the proposed operator will not needlessly increase the cost of the project or of the operations that it enables or improves. Please limit response to 1,000 characters.       2D. Other Stakeholder Agreements – Provide relevant information on other stakeholder agreements including State and local governments. Please limit response to 2,000 characters.       2E. Agreements with operators of other types of rail service – Describe any cost sharing agreements with operators of non-intercity passenger rail service (e.g., commuter, freight). Please limit response to 2,000 characters.      
Financial Information. 3A. Capital Funding Sources. Please provide the following information about your funding sources (if applicable).
Non FRA Funding Sources	New or Existing Funding Source?	Status of Funding5	Type of Funds	Dollar Amount (YOE Dollars)	% of Project Cost	Describe Uploaded Supporting Documentation to Help FRA Verify Funding Source
     				     	     	     
     				     	     	     
     				     	     	     

3B. Capital Investment Financial Agreements: Describe any cost sharing contribution the applicant intends to make towards the FD/Construction Project, including its source, level of commitment, and agreement to cover cost increases or financial shortfalls. Describe the status and nature of any agreements between funding stakeholders that would provide for the applicant’s proposed match, including the responsibilities and guarantees undertaken by the parties. Provide a brief description of any in-kind matches that are expected. Please limit response to 2,000 characters.      
3C. Operating Financial Plan: Does the applicant expect that the State operating subsidy requirements for the benefiting intercity passenger rail service will significantly increase, as a result of the project, during the first five years after project completion?
	Yes No
If “Yes,” please complete the table below (in YOE dollars) and answer the following questions. Please limit response to 2,000 characters. (a) How did you project future State operating subsidies for the benefiting service(s); and (b) What are the source, nature, and likelihood of the funding that will enable the State to finance the projected increases in annual operating subsidies due to the project?      

Subsidy	Actual FY 2009 levels (YOE Dollars)		Projected Totals by Year (Actual Levels Plus Project Caused Changes Only) (YOE Dollars)
			First Full Year After Project Completion	Fifth Full Year After Project Completion
State operating subsidy (total for all benefiting services)	     		     	     
Financial Management Capacity and Capability – Provide audit results and describe applicant capability to absorb potential cost overruns, financial shortfalls, or financial responsibility for potential disposition requirements (include as supporting documentation as needed). Provide statutory references/ legal authority to build and oversee a rail capital investment. Please limit response to 2,000 characters.      
Timeliness of Project Completion – Provide the following information on the dates and duration of key activities, if applicable. For more information, see Section 5.1.3.1 of the HSIPR Guidance, Timeliness of Project Completion.
Final Design Duration:		      months
Construction Duration:		      months
Rolling Stock Acquisition Duration:		      months
Rolling Stock Testing Duration:		      months
Service Operations Start date:		      (mm/yyyy)
If applicable, describe how the project will promote domestic manufacturing, supply and other industries, including United States-based equipment manufacturing and supply industries. Please limit response to 1,500 characters.      
If applicable, describe how the project will help develop US professional railroad engineering, operating, planning and management capacity needed for sustainable HSR/IPR development in the United States, including promotion of a diverse workforce. Please limit response to 1,500 characters.      

Project Name:       Date of Submission:       Version Number:    

3. Additional Information

(1) Please provide any additional information, comments, or clarifications and indicate the section and question number that you are addressing (e.g., Section E, Question 1B). This section is optional.

     

Project Name:       Date of Submission:       Version Number:    

G. Summary of Supporting Materials

Application Form	Required	Optional	Reference	Description	Format
This Application Form			HSIPR Guidance Section 4.3.3.3	This document to be submitted through GrantSolutions.	Form
Supporting Forms	Required	Optional	Reference	Description	Format
General Info.			HSIPR Guidance Section 4.3.5	This document to be submitted through GrantSolutions.	Form
Detailed Capital Cost Budget			HSIPR Guidance Section 4.3.5	This document to be submitted through GrantSolutions.	Form
Annual Capital Cost Budget			HSIPR Guidance Section 4.3.5	This document to be submitted through GrantSolutions.	Form
Project Schedule			HSIPR Guidance Section 4.3.5	This document to be submitted through GrantSolutions.	Form
Supporting Documents	Required	Optional	Reference	Description	Format
St Map of the Planned Investment Forms			Application Question B.6	Map of the Planned Investment location. Please upload into GrantSolutions.	None
Standard Forms	Required	Optional	Reference	Description	Format
SF 424: Application for Federal Assistance			HSIPR Guidance Section 4.3.3.3eference	Please submit through GrantSolutions	Form
SF 424C: Budget Information-Construction	For		HSIPR Guidance Section 4.3.3.3	Please submit through GrantSolutions	Form
SF 424D: Assurance Construction			HSIPR Guidance Section 4.3.3.3	Please submit through GrantSolutions	Form
FRA Assurances Document			HSIPR Guidance Section 4.3.3.3	May be obtained from FRA’s website at http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf. The document should be signed by an authorized certifying official for the applicant. Submit through GrantSolutions.	Form

PRA  Public Protection Statement: Public reporting burden for this information collection is estimated to average 32 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.  According to the Paperwork Reduction Act of 1995, a federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with, a collection of information unless it displays a currently valid OMB control number.  The valid OMB control number for this information collection is 2130-0583.

1 Please note: (a) requests for reimbursement of costs incurred prior to enactment of the relevant appropriations will not be considered and (b) supporting documentation for activities may also be required as noted in Appendix 2 of the HSIPR Guidance.

2 One daily round-trip train operation should be counted as two daily one-way train operations.

3 As calculated and reported by Amtrak according to its existing procedures and definitions. An example can be found at page E-7 of the May 2009 Monthly Performance Report at http://www.amtrak.com/pdf/0905monthly.pdf. ‘On-time’ is defined as within the distance-based thresholds originally issued by the Interstate Commerce Commission, which are: 0 to 250 miles and all Acela trains10 minutes; 251 to 350 miles15 minutes; 351 to 450 miles20 minutes; 451 to 550 miles25 minutes; and 551 or more miles30 minutes.

4 As calculated by Amtrak according to its existing procedures and definitions. Useful background can be found at pages E-1 through E-6 of Amtrak’s May, 2009 Monthly Performance Report at http://www.amtrak.com/pdf/0905monthly.pdf

5 Reference Notes: The following categories and definitions are applied to funding sources:

Committed: Committed sources are programmed capital funds that have all the necessary approvals (e.g. legislative referendum) to be used to fund the proposed project/program without any additional action. These capital funds have been formally programmed in the State Rail Plan and/or any related local, regional, or State Capital Investment Program CIP or appropriation. Examples include dedicated or approved tax revenues, State capital grants that have been approved by all required legislative bodies, cash reserves that have been dedicated to the proposed project/program, and additional debt capacity that requires no further approvals and has been dedicated by the sponsoring agency to the proposed project/program.

Budgeted: This category is for funds that have been budgeted and/or programmed for use on the proposed project but remain uncommitted, i.e., the funds have not yet received statutory approval. Examples include debt financing in an agency-adopted CIP that has yet to be committed in their near future. Funds will be classified as budgeted where available funding cannot be committed until the grant is executed, or due to the local practices outside of the project sponsor's control (e.g., the project development schedule extends beyond the State Rail Program period).

Planned: This category is for funds that are identified and have a reasonable chance of being committed, but are neither committed nor budgeted. Examples include proposed sources that require a scheduled referendum, requests for State/local capital grants, and proposed debt financing that has not yet been adopted in the agency's CIP.

16

Page

Form FRA F 6180.133 (07-09)