Notice2022-13495
Federal-State Partnership for Intercity Passenger Rail Program; Northeast Corridor Project Inventory
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
June 24, 2022
Issuing agencies
Transportation DepartmentFederal Railroad Administration
Abstract
FRA is publishing this Notice to describe its proposed approach to the development of the Northeast Corridor (NEC) project inventory (NEC Project Inventory), which is a required component of the Federal-State Partnership for Intercity Passenger Rail Program (Partnership Program). FRA is required to publish an NEC Project Inventory not later than one year after the enactment of the Infrastructure Investment and Jobs Act, also known and the Bipartisan Infrastructure Law (BIL). The NEC Project Inventory must be updated at least every two years.
Full Text
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[Federal Register Volume 87, Number 121 (Friday, June 24, 2022)]
[Notices]
[Pages 37905-37911]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-13495]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[Docket No. FRA-2022-0049]
Federal-State Partnership for Intercity Passenger Rail Program;
Northeast Corridor Project Inventory
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of Proposed Approach (Notice) to the Northeast Corridor
Project Inventory and the Federal-State Partnership for Intercity
Passenger Rail Program for Northeast Corridor projects.
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SUMMARY: FRA is publishing this Notice to describe its proposed
approach to the development of the Northeast Corridor (NEC) project
inventory (NEC Project Inventory), which is a required component of the
Federal-State Partnership for Intercity Passenger Rail Program
(Partnership Program). FRA is required to publish an NEC Project
Inventory not later than one year after the enactment of the
Infrastructure Investment and Jobs Act, also known and the Bipartisan
Infrastructure Law (BIL). The NEC Project Inventory must be updated at
least every two years.
DATES: Written comments on this Notice must be received on or July 25,
2022.
ADDRESSES: Comments should refer to docket number FRA-2022-0049 and be
submitted at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. See Section V for further
information.
FOR FURTHER INFORMATION CONTACT: For additional information, please
contact Amishi Castelli, Northeast Corridor Program Manager, Office of
Policy and Planning, at email: <a href="/cdn-cgi/l/email-protection#5b1a363228333275183a282f3e3737321b3f342f753c342d"><span class="__cf_email__" data-cfemail="a3e2cecad0cbca8de0c2d0d7c6cfcfcae3c7ccd78dc4ccd5">[email protected]</span></a> or telephone:
202-845-4394, or Bryan Rodda, Lead Community Planner, Office of Policy
and Planning, at email: <a href="/cdn-cgi/l/email-protection#2d6f5f544c43037f4249494c6d494259034a425b"><span class="__cf_email__" data-cfemail="dc9eaea5bdb2f28eb3b8b8bd9cb8b3a8f2bbb3aa">[email protected]</span></a> or telephone: 202-493-0443.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
A. Background on Northeast Corridor Planning
B. Authority
C. Definitions
II. Eligibility
A. Applicant Eligibility
B. Project Eligibility
III. NEC Project Inventory Development
IV. Program Administration
A. NEC Project Inventory and Notice of Funding Opportunity
Publication
B. Project Selections
C. Letters of Intent and Phased Funding Agreements
V. Comments
VI. Next Steps
I. Overview
A. Background on Northeast Corridor Planning
The NEC is the most heavily used passenger rail corridor in the
United States. Pre-COVID-19, the NEC served over 800,000 daily
passengers traveling on more than 2,000 daily commuter and intercity
trains and supported 50-60 daily freight trains.
In 2017, FRA presented its vision for growth along the NEC with the
NEC FUTURE Record of Decision. See <a href="http://www.fra.dot.gov/necfuture/tier1_eis/rod/">www.fra.dot.gov/necfuture/tier1_eis/rod/</a>. The Northeast Corridor Commission (NEC Commission), composed of
18 members, including representatives from each of the eight Northeast
Corridor states, the District of Columbia, Amtrak, and the U.S.
Department of Transportation, subsequently developed an implementation
plan (CONNECT NEC 2035 or C35) to deliver the first 15-year phase of
investment to realize the NEC FUTURE vision. The NEC Commission issued
C35 in July 2021. C35 identified and provided a sequencing and delivery
strategy for completing projects to eliminate the state of good repair
backlog on--and modernize and make targeted improvements to--the NEC.
See <a href="http://nec-commission.com/connect-nec-2035/">http://nec-commission.com/connect-nec-2035/</a>. The NEC Commission is
currently updating C35 to reflect the updated project information and
better consider workforce and funding constraints.
B. Authority
The Partnership Program was reauthorized and revised in the BIL,
Title II, Sec. Sec. 22106 and 22307, Public Law 117-58 (2021);
codified at 49 U.S.C. 24911. Under the Partnership Program, the
Secretary of Transportation (Secretary) is directed to develop and
implement a program for issuing grants to applicants, on a competitive
basis, to fund projects that reduce the state of good repair backlog,
improve performance, or expand or establish new intercity passenger
rail service, including privately operated intercity passenger rail
service if an eligible applicant is involved. The Partnership Program
revisions in the BIL require the Secretary to, among other things,
develop and publish an NEC Project Inventory to (1) create a
predictable project pipeline that will assist Amtrak, States, and the
public with long-term capital planning, and (2) use the NEC Project
Inventory when selecting projects located on the NEC for Partnership
Program funds. 49 U.S.C. 24911. FRA is delegated the authority under
the BIL to establish and administer the Partnership Program. 49 CFR
1.89(a).
FRA encourages NEC stakeholders to submit comments to this Notice
consistent with the directions below. FRA will consider these comments
in developing the NEC Project Inventory and the associated Notice of
Funding Opportunity (NOFO) for the Partnership Program. As described
below, FRA plans to publish the NEC Project Inventory, consistent with
the BIL, in November 2022, with the NOFO for projects on the NEC
following closely after.
C. Definitions <SUP>1</SUP>
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\1\ The definitions used in this Notice are consistent with
FRA's Draft Guidance on Development and Implementation of Railroad
Capital Projects, currently available for public comment at <a href="https://www.regulations.gov">https://www.regulations.gov</a> (docket number FRA-2022-0035). To the extent
necessary, FRA will update definitions in the NOFO.
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Construction Stage: the Lifecyle Stage of a project following the
Final Design Lifecycle Stage and during which the project is completely
built and placed into operational use. This stage may include physical
construction, procurement of vehicles and equipment, project
administration, testing of equipment as appropriate, systems
integration testing, workforce training, system certification,
procurement of insurance, pre-revenue service, and start-up testing.
Defined Capital Renewal Projects: a geographically integrated set
of activities to repair, replace, or modernize basic infrastructure
assets along a corridor section that is executed in accordance with a
defined scope, schedule, and budget. Basic infrastructure assets
include rails, ties, ballast, communication systems, electric traction
power systems, and undergrade bridges.
Final Design Stage: the Lifecyle Stage of a project following the
Project Development Lifecycle Stage during which the project design is
advanced to be ready for construction. This stage includes development
of final engineering plans and specifications necessary for
construction of the project; securing agreements (including
[[Page 37906]]
execution of cost share agreements) necessary to construct and operate
the project; and demonstration of commitment of the financial resources
necessary to complete the project. This stage may include completion of
property acquisition, and early construction or relocations and
procurement of equipment and materials, if permissible under applicable
law.
Improvement Projects: those projects to improve reliability,
increase capacity, reduce travel time, or improve the customer
experience by replacing existing assets with superior ones or
introducing new assets to existing NEC infrastructure, facilities, and
equipment capabilities.
Lifecycle Stage: consecutive stages of a project as applicable, to
include Project Planning Stage, Project Development Stage, Final Design
Stage and Construction Stage. Each sequential stage involves specific
project activities including the preparation of appropriate project
management documents. FRA evaluates project readiness for a subsequent
lifecycle stage when considering a project for funding.
Major Backlog Projects: those projects necessary to achieve a state
of good repair, but that are not undertaken on a routine basis, such as
rehabilitation or replacement of major bridges and tunnels. As with all
capital projects, Major Backlog Projects involving replacement of a
major structure should contemplate all work associated with that
replacement as a single project. As of the publication of this Notice,
the NEC Commission has identified Major Backlog projects on the NEC as:
1. Baltimore and Potomac Tunnel Replacement
2. Bush River Bridge Replacement
3. Connecticut River Bridge Replacement
4. East River Tunnel Rehabilitation
5. Gunpowder River Bridge Replacement
6. Pelham Bay Bridge Replacement
7. Susquehanna River Bridge Replacement
8. Cos Cob Bridge Replacement
9. Devon Bridge Replacement
10. Saugatuck River Bridge Replacement
11. Walk Bridge Program
12. Hudson Tunnel Project
13. Sawtooth Bridges Replacement Project
14. Portal North Bridge Project
15. Highline Renewal and State of Good Repair
Major Capital Project: a project with an estimated Total Project
Cost equal to or greater than $300 million and has, or is anticipated
to request, $100 million or more in Federal financial assistance.
Stations Projects: those projects to repair, replace, modernize or
improve an existing station, occurring primarily within the boundaries
of the station property, or projects to construct an expanded, new or
replacement station.
Northeast Corridor: the main rail line between Boston,
Massachusetts and the District of Columbia; the branch rail lines
connecting to Harrisburg, Pennsylvania, Springfield, Massachusetts, and
Spuyten Duyvil, New York; and facilities and services used to operate
and maintain the main and branch rail lines described above. 49 U.S.C.
24911(a)(3).\2\
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\2\ While other definitions for the NEC exist, this definition
is used in the Partnership Program and is consistent with definition
used in 49 U.S.C. 24904(e).
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Northeast Corridor Capital Investment Plan (NEC CIP): the planning
document developed by the NEC Commission pursuant to 49 U.S.C. 24904(b)
and any subsequent updates to such document (available at <a href="http://nec-commission.com/documents/">http://nec-commission.com/documents/</a>).
Northeast Corridor Project (NEC Project): a project located on, or
in primary use for, the NEC, consistent with 49 U.S.C. 24911(d)(1).
Northeast Corridor Service Development Plan: the planning document
developed by the NEC Commission pursuant to 49 U.S.C. 24904(a) and any
subsequent updates to such document or associated analyses. As of the
time of this Notice, the existing Northeast Corridor Service
Development Plan is known as CONNECT NEC 2035.
Planning Studies: those projects which include only planning
activities such as railroad transportation market forecasting,
operations analysis, fleet planning, cost analysis, station and
facility planning, environmental resource consideration, and other
similar activities. Planning studies have no associated construction in
their current form. Planning Studies only have one Lifecycle Stage, the
Project Planning Stage.
Project Development Stage: the Lifecyle Stage of a project,
following the Planning Stage, during which project design,
environmental and other studies are advanced to ensure the project is
ready for implementation. This stage includes completion of the
environmental review process required under the National Environmental
Policy Act (NEPA) and other related environmental laws, and advancement
of the permitting processes as appropriate; completion of preliminary
engineering and other design disciplines to develop estimates of risk,
costs, benefits, and impacts, and sufficient to advance to Final
Design; and identification of financial resources necessary to complete
the project.
Project Planning Stage: the Lifecyle Stage of a project during
which project concepts are identified to adequately address
transportation needs and opportunities. The purpose of the Project
Planning Stage is to identify and compare the costs, benefits, and
impacts of project options as a means of providing private and
government decisionmakers with information to reach transportation
solutions. This stage includes the following activities to demonstrate
a practical project proposal that addresses a clear project need and
support of participant stakeholders: development of conceptual design
to establish the type and scope of capital improvements to be made;
advancement of technical studies (e.g., railroad transportation market
forecasting, operations analysis, etc.); and engagement of stakeholders
and the public as appropriate.
Project Sponsor: the entity responsible for implementing a project
that may also be an applicant seeking or grantee receiving Federal
financial assistance.
Project Type: a categorization as either Major Backlog Projects,
Defined Capital Renewal Projects, Improvement Projects, Stations
Projects, or Planning Studies.
Shared Benefit Projects: projects that benefit both intercity and
commuter rail services.
Total Project Cost: the aggregate estimated cost for all remaining
Lifecycle Stages in year-of-expenditure dollars that accounts for
inflation and appropriate contingency amounts.
II. Program Eligibility
A. Eligible Applicants
The following entities are eligible to submit applications for
Partnership Program funds: a State (including the District of
Columbia); a group of States; an Interstate Compact; a public agency or
publicly chartered authority established by one or more States; a
political subdivision of a State; Amtrak, acting on its own behalf or
under a cooperative agreement with one or more States; a Federally
recognized Indian Tribe; or any combination of these entities.
The following is a non-exhaustive list of potential eligible
Project Sponsors for NEC Projects:
--States, including the District of Columbia, Maryland, Delaware,
Pennsylvania, New Jersey, New York,
[[Page 37907]]
Connecticut, Rhode Island, and Massachusetts;
--Public agencies or publicly chartered authorities established by one
or more States, including the Maryland Transit Administration,
Southeastern Pennsylvania Transportation Authority, New Jersey Transit
Corporation, New York Metropolitan Transportation Authority, and
Massachusetts Bay Transportation Authority; and
--Amtrak (formally known as the National Railroad Passenger
Corporation).
In addition to the list above, other existing or future entities
whose applications demonstrate that they satisfy the eligible applicant
criteria may apply forand potentially receive--Partnership Program
funding.
B. Eligible Projects
For a project to be eligible for NEC Partnership Program funding, a
project must be an NEC Project and be included on the NEC Project
Inventory consistent with 49 U.S.C. 24911(c). Under 49 U.S.C. 24911(c),
the following projects, including acquisition of real property
interests, are eligible to receive grants under the Partnership
Program:
(1) A project to replace, rehabilitate, or repair infrastructure,
equipment, or a facility used for providing intercity passenger rail
service to bring such assets into a state of good repair;
(2) A project to improve intercity passenger rail service
performance, including reduced trip times, increased train frequencies,
higher operating speeds, improved reliability, expanded capacity,
reduced congestion, electrification, and other improvements, as
determined by the Secretary;
(3) A project to expand or establish new intercity passenger rail
service;
(4) A group of related projects described in paragraphs (1) through
(3); and
(5) The planning, environmental studies, and final design for a
project or group of projects described in paragraphs (1) through
(4).\3\
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\3\ Applications for these activities under this eligibility
category will be considered independently, regardless of whether the
application also requests project funding for subsequent Lifecycle
Stages such as Final Design Stage and Construction Stage.
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Consistent with these requirements and the prohibition at 49 U.S.C.
22905(f),\4\ NEC Projects that solely benefit commuter rail passenger
transportation are not eligible to receive Partnership Program funding
and will not be included in the NEC Project Inventory, even if such
projects are included in the NEC CIP or C35. Partnership Program
projects must result in reasonable investments for intercity rail
passenger transportation. Such projects may be located on shared
corridors with commuter rail passenger transportation and may benefit
both intercity and commuter services. In this Notice, such projects are
referred to as Shared Benefit projects. NEC Projects may also benefit
freight rail service.
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\4\ Under 49 U.S.C. 24911(i), Partnership Program grants are
subject to the conditions in 49 U.S.C. 22905.
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III. NEC Project Inventory
FRA's development of the NEC Project Inventory will be consistent
with the requirements of 49 U.S.C. 24911(e).
FRA views the NEC Project Inventory as a logical outgrowth of the
collaborative planning efforts and project pipeline development work
completed as part of the NEC Commission's C35 and NEC CIP. In
developing the NEC Project Inventory, FRA will rely in large part on
C35, analyses and new information considered in updates to C35, and the
NEC CIP (collectively referred to in this Notice as NEC Commission
Planning Documents). FRA intends to rely on the best available
information from these sources as of August 2022 to inform the first
NEC Project Inventory. FRA will not accept requests from eligible
entities to add their projects to the NEC Project Inventory, but rather
FRA seeks public comment on the approach in developing the NEC Project
Inventory via this Notice.
Following initial publication of the NEC Project Inventory, FRA
will update it every two years at minimum, consistent with 49 U.S.C.
24911(e).
A. FRA's Approach To Developing the NEC Project Inventory
This section describes FRA's interpretation of each of the NEC
Project Inventory requirements from Sec. 24911(e). FRA will develop an
inventory that:
(1) Identifies capital projects for Federal investment, project
applicants, and proposed Federal funding levels. 49 U.S.C. 24911(e)(1).
The NEC Project Inventory will include NEC Projects in all
Lifecycle Stages and identify Project Sponsors for each project. FRA
will review the NEC Commission Planning Documents and other sources of
project information as appropriate to identify projects for inclusion
on the NEC Project Inventory and preliminarily assess project
eligibility under the Partnership Program.
In general, each project FRA finds eligible for funding under the
Partnership Program will receive an individual entry on the NEC Project
Inventory summarizing the project's scope, schedule, and cost
information. If Defined Capital Renewal Projects are still in
development and therefore not specifically identified in NEC Commission
Planning Documents or other sources of information at the time of
publication of the NEC Project Inventory, the FRA may identify and
allocate proposed funding in the NEC Project Inventory for such
projects that may become ready for funding after publication of the
then-current NEC Project Inventory but prior to the next NEC Project
Inventory update.
FRA will identify project applicants based on the Project Sponsor
identified in the NEC Commission Planning Documents and other sources
of project information as appropriate.
Proposed Partnership Program Federal funding levels for NEC Project
Inventory projects may be described either in percentage levels (i.e.,
percentage of total cost comprising Partnership Program funding in the
project) or amounts.
Section IVA of this Notice (Program Administration) discusses
initially available funds for the Partnership Program, and states that
proposed funding levels on the NEC Project Inventory are not
commitments, selections, or obligations of Federal funding, and are
subject to changes identified under Section IVB.
(2) Specifies the order in which the Secretary will provide grant
funding to projects that have identified sponsors and are located along
the Northeast Corridor, including a method and a plan for apportioning
funds to project sponsors for the two-year period, which may be altered
by the Secretary, as necessary, if recipients are not carrying out
projects in accordance with the anticipated schedule. 49 U.S.C.
24911(e)(2).
NEC Project Inventory Order
FRA will specify the order of funding for the identified NEC
Projects over a two-year period starting from the publication of the
NEC Project Inventory. In specifying the order of funding, FRA will
group projects on the NEC Project Inventory based on the project's
anticipated start year for the lifecycle stage for which Project
Sponsors are expected to request Partnership Program funding. FRA will
allocate a small portion of Partnership Program funding to Planning
Studies. FRA will then prioritize projects by
[[Page 37908]]
Project Type and, within Project Type, by Lifecycle Stage,\5\ as
follows:
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\5\ Within the NEC Project Inventory, FRA will consider
allocating funding to multiple Lifecycle Stages.
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First Priority
Major Backlog Projects in the following order based on Lifecycle
Stage: (1) Project Planning Stage (2) Project Development Stage; (3)
Final Design Stage; and (4) Construction Stage;
Second Priority
Defined Capital Renewal Projects in the following order based on
Lifecycle Stage: (1) Project Planning Stage (2) Project Development
Stage; (3) Final Design Stage; and (4) Construction Stage;
Third Priority
Improvement and Stations Projects in the following order based on
Lifecycle Stage: (1) Construction Stage; (2) Final Design Stage; (3)
Project Development Stage; and (4) Project Planning Stage.
Once projects have been prioritized, FRA will preliminarily assess
readiness.\6\ In assessing readiness for the anticipated start year,
FRA will review the NEC Commission Planning Documents and other sources
of project information as appropriate to understand the following
information, which may vary in completeness based on Lifecycle Stage of
the project:
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\6\ FRA will confirm readiness as part of the evaluation and
selection process conducted for applications received in response to
the NOFO for the Partnership Program (see Section IVB).
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Lifecycle Stage: The Project Sponsor's completion of prior
Lifecycle Stage work;
Environmental risk: The project's environmental and permitting
approvals, and likelihood of obtaining the any outstanding approval(s)
affecting project obligation and completion;
Technical capacity: The Project Sponsor's capacity to successfully
deliver the project in compliance with applicable Federal requirements;
and
Financial completeness: For projects requiring funding for
Lifecycle Stages beyond Project Development, the likelihood that
sufficient financial resources are available to complete the project;
for projects requiring funding for the Planning and Project Development
Lifecycle Stages, the likelihood that sufficient financial resources
are available to complete those Stages.
Funding Shares: For Shared Benefit projects, the proposed intercity
passenger rail share, commuter rail share, and local share (if
different from the combined intercity passenger rail share and commuter
rail share) of the Total Project Costs.
FRA will also consider consistency with the United States
Department of Transportation (USDOT) Strategic Goals. FRA will
qualitatively determine, based on information in the NEC Commission
Planning Documents and other sources of project information as
appropriate, whether projects address the goals (described in detail at
<a href="https://www.transportation.gov/dot-strategic-plan">https://www.transportation.gov/dot-strategic-plan</a>) of safety, economic
strength and global competitiveness, equity, climate and
sustainability, transformation of the transportation system to serve
current and future transportation challenges, and organizational
excellence that advances the mission of the USDOT.
Method and Plan for Apportioning Funds
In the NEC Project Inventory, FRA will identify proposed
allocations for identified projects over a two-year period from the
date of publication of the Inventory. The NEC Project Inventory will
also describe FRA's method and plan for making such allocations.
(1) For Major Backlog Projects that will begin or are anticipated
to begin the Construction Stage prior to Federal fiscal year 2027 and
are selected for an award under the Partnership Program's competitive
process, FRA intends to allocate sufficient funding to pay a Federal
share up to 80 percent of Total Project Costs. For such projects, using
NEC Commission Planning Documents and other sources of project
information as appropriate, FRA will identify: the amount of funding,
if any, received or committed from another Federal financial assistance
program; and, the amount of funding, if any, that a project sponsor has
requested a Federal agency consider including as part of a Federal
funding recommendation. FRA will then allocate Partnership Program
funding based on the remaining Total Project Cost. FRA may use Letters
of Intent or Phased Funding Agreements discussed in subsection IVC
below for this purpose.
(2) For Defined Capital Renewal Projects and Planning Studies that
are selected for an award under the Partnership Program's competitive
process, FRA may allocate a Federal share up to 80 percent of Total
Project Costs.
(3) For certain Station Projects and Improvement Projects that are
selected for an award under the Partnership Program's competitive
process, Project Sponsors may be required to provide a greater than 20
percent non-Federal match. Specifically, for these projects, FRA will
consider allocating the remaining Partnership Program funds
commensurate with the intercity passenger rail benefits of the project.
As discussed in Program Administration (Section IV), proposed
funding levels on the NEC Project Inventory are not commitments,
selections, or obligations of Federal funding. The NEC Project
Inventory identifies potential Projects and Project Sponsors expected
to submit applications in response to the Partnership Program NOFO, and
represents FRA's best understanding of the anticipated Partnership
Program funding requests at the time of publication of the NEC Project
Inventory. Award selections and award amounts may differ from the
allocations and projects identified in the NEC Project Inventory.
Inclusion on the NEC Project Inventory does not limit Project
Sponsors' ability to pursue and receive Federal financial assistance
through other programs. Projects receiving funding commitments from
other programs will enable the Partnership Program to fund additional
projects.
FRA anticipates that the NEC Project Inventory published in Fall
2022 will identify NEC Projects with an anticipated start year in
calendar years 2023-2024 for the lifecycle stage for which Project
Sponsors are expected to request Partnership Program funding.
Subsequent updates to the NEC Project Inventory will identify projects
underway, projects with Letters of Intent or Phased Funding Agreements
in effect, and NEC Projects ready for funding in the subsequent two-
year periods.
Alterations to the NEC Project Inventory
FRA may alter the NEC Project Inventory as necessary if recipients
are not carrying out projects in accordance with the anticipated
schedule. Such changes will be incorporated into subsequent updates to
the NEC Project Inventory.
(3) Takes into consideration the appropriate sequence and phasing
of projects described in the Northeast Corridor capital investment plan
developed pursuant to Sec. 24904(b); and is consistent with the most
recent Northeast Corridor service development plan update described in
Sec. 24904(a). 49 U.S.C. 24911(e)(3)-(4).
FRA will rely on the NEC Commission Planning Documents when
developing the NEC Project Inventory. To the greatest extent feasible,
FRA will ensure consistency between the NEC
[[Page 37909]]
Commission Planning Documents and the NEC Project Inventory, directly
incorporating information provided in the NEC Commission Planning
Documents into the NEC Project Inventory. Such information may include
sequencing and phasing project information, if available, as well as
project names, Lifecycle Stage, Total Project Cost, project
descriptions and scope, proposed start and end dates, and similar
information.
(4) Takes into consideration the existing commitments and
anticipated Federal, project applicant, sponsor, and other relevant
funding levels for the next 5 fiscal years based on information
currently available to the Secretary. 49 U.S.C. 24911(e)(5).
For a project identified on the NEC Project Inventory, FRA will
identify, using NEC Commission Planning Documents and other sources of
project information as appropriate, the amount of Federal funding, if
any, that a project sponsor has received, or has requested a Federal
agency consider including as part of a Federal funding recommendation,
for all or a portion of Total Project Costs from non-Partnership
Program funding. FRA will then allocate available Partnership Program
funding based on the remaining amounts necessary to complete the
project or project Lifecycle Stage(s). For example, if an NEC Project
included on the NEC Project Inventory has received an award from
another Federal source (e.g., a USDOT modal agency or non-USDOT
source), FRA would allocate Partnership Program funds solely to the
unfunded remainder.
Unless specifically provided for in law, funding from other Federal
programs counts toward the not-to-exceed 80 percent Federal share
maximum for any project receiving Partnership Program funds. For
example, if a project with a $100 million Total Project Cost receives a
$20 million award from the Federal Transit Administration, FRA's
Partnership Program contribution would be capped at $60 million to
ensure the total Federal share from all Federal sources does not exceed
80 percent of the Total Project Cost.
(5) Is developed in consultation with the Northeast Corridor
Commission and the owners of Northeast Corridor infrastructure and
facilities. 49 U.S.C. 24911(e)(6).
This Notice is one component of FRA's consultation process with the
NEC Commission and owners of NEC infrastructure and facilities. This
Notice also permits interested industry and public sector entities and
the public to comment on FRA's proposed approach to the NEC Project
Inventory (see Section V). FRA's goal in publishing this Notice is to
provide transparency about FRA's approach to developing the NEC Project
Inventory, consult with the NEC Commission and the owners of the NEC
infrastructure and facilities as required under 49 U.S.C. 24911(e)(6),
and ultimately maximize efficiency and deliver the greatest benefits in
implementing the Partnership Program for NEC Projects.
IV. Program Administration
A. Publication of NEC Project Inventory and Notice of Funding
Opportunity
FRA will publish the NEC Project Inventory no later than November
15, 2022, and not less often than every other year thereafter. Projects
and allocations in the NEC Project Inventory are not funding
commitments and Project Sponsors must proceed through a competitive
grant process and be selected for funding. Following publication of the
initial NEC Project Inventory, FRA will publish a NOFO soliciting
applications for eligible projects identified on the NEC Project
Inventory. FRA intends to simplify the application solicitation where
possible to both leverage the substantial information included in the
NEC Project Inventory and the NEC Commission's Planning Documents, and
to reduce application burden on Project Sponsors. The NOFO will
describe the Program's requirements, the evaluation and selection
criteria that each application will be expected to address, and outline
the broader USDOT goals that selections made under this Program will
help contribute towards. Additional information, such as the required
documentation that will be included for a streamlined application
package, will be further articulated in the NOFO. FRA also intends to
streamline the selection and obligation process.
The NOFO is anticipated to make funds available that are
appropriated in the Consolidated Appropriations Act, 2022, Public Law
117-103 and in Title VIII of the BIL, and any additional funding
available at the time the NOFO is issued, such as fiscal year 2023
appropriations. Such annual appropriations may have different funding
restrictions and requirements than currently available funding. If
applicable, these differences will be summarized in the NOFO. Grantees
must comply with all applicable Consolidated Appropriations Act, 2022,
and other relevant requirements.
B. Project Selections
FRA will make project selections for Partnership Program funding
consistent with the NEC Project Inventory, unless when necessary to
address materially changed infrastructure or service conditions,
changes in Project Sponsor capabilities or commitments, or other
significant changes since the completion of the most recently issued
NEC Project Inventory. Variation in amounts allocated on the NEC
Project Inventory and the amounts requested in Partnership Program
applications and selections may result in FRA updating the NEC Project
Inventory more frequently than every two years.
Materially changed infrastructure or service conditions may result
from external events such as natural disasters or pandemics, or events
such as asset failures or loss of functionality that sever or impede
normal infrastructure and service conditions.
Changes in Project Sponsor capabilities or commitments may include
changes to fiscal capacity or organizational resources that limit or
expand a Project Sponsor's ability to implement projects on the NEC
Project Inventory.
Other significant changes may include a project receiving funding
from other Federal or non-Federal sources that changes the project's
need for Partnership Program funding, future Congressional direction,
or projects that achieve (or fail to achieve) expected readiness
milestones earlier (or later) than anticipated at the time the most
recent NEC Project Inventory was issued.
Evaluation and Selection Process
FRA will review and evaluate applications received in response to
the NOFO for consistency with the NEC Project Inventory, eligibility,
and completeness. Ineligible and incomplete applications and
applications for projects that are not on the NEC Project Inventory
will not be evaluated for selection. Project Sponsors of rail projects
who are ineligible to receive Partnership Program funding, who are not
selected for Partnership Program funds, or who receive less than the
requested Partnership Program funding amount, are encouraged to
consider other FRA and Departmental grant programs which are found at
<a href="https://railroads.dot.gov/grants-loans/competitive-discretionary-grant-programs/competitive-discretionary-grant-programs">https://railroads.dot.gov/grants-loans/competitive-discretionary-grant-programs/competitive-discretionary-grant-programs</a> and <a href="https://www.transportation.gov/grants">https://www.transportation.gov/grants</a>.
FRA intends to evaluate applications by taking into account the
following factors:
[[Page 37910]]
--Proposed amount and commitment of non-Federal match and/or other
Federal funds;
--Factors indicating project readiness for funding:
Lifecycle Stage: FRA will assess the applicant's completion of
prior Lifecycle Stage work;
Environmental risk: FRA will assess the project's environmental and
permitting approval(s) and likelihood of any outstanding approval(s)
affecting project obligation or completion;
Technical capacity: FRA will assess the applicant's capacity to
successfully deliver the project in compliance with applicable Federal
requirements;
Financial completeness: FRA will assess identified financial
resources necessary to complete the project. For a Project where an
applicant is requesting funding for the Final Design and/or
Construction Lifecycle Stages of projects, FRA will assess
demonstration of commitment of the financial resources through the
completion of the project.
--Consistency with Strategic Goals: FRA will assess, via a review of
quantitative and/or qualitative metrics as appropriate, the extent to
which a project achieves outcomes consistent with the following
Strategic Goals (further detail at <a href="https://www.transportation.gov/dot-strategic-plan">https://www.transportation.gov/dot-strategic-plan</a>), to include safety, economic strength and global
competitiveness, equity, climate and sustainability, transformation of
the transportation system to serve current and future transportation
challenges, and organizational excellence that advances the mission of
the Department of Transportation.
FRA will make NEC Project selections or project component
selections for Partnership Program funding consistent with the priority
in the NEC Project Inventory as required under 49 U.S.C.
24911(d)(1)(A). Selected project scope, schedule and costs may vary
from the NEC Project Inventory as a result of specific funding
requests, detailed and updated application submissions, and FRA's
assessment of the evaluation factors described above. Variation in
amounts allocated on the NEC Project Inventory and the amounts
requested in Partnership Program applications and selections may result
in FRA updating the NEC Project Inventory more frequently than every
two years.
Shared Benefit Projects
Shared Benefit Projects are eligible for Partnership Program
funding. In evaluating applications for such projects, FRA will
consider if the proposed project would be a reasonable investment in
intercity passenger rail transportation separate from consideration of
the proposed project's benefits to commuter railroad passenger
transportation. FRA anticipates a substantial number of Shared Benefit
projects will be included in the NEC Project Inventory since a majority
of the NEC territory has shared operation, and thus resulting benefits,
between intercity and commuter services.
For Shared Benefit Projects, FRA will only make such selections
when Amtrak and the public authorities providing commuter rail
transportation at the eligible project location:
(1) Are in compliance with 49 U.S.C. 24905(c)(2);
(2) Have identified funding for the intercity passenger rail share,
the commuter rail share, and the local share of the eligible project
before the commencement of the project in applications responsive to
the NOFO. Development of the appropriate funding shares is the
responsibility of the Project Sponsor in coordination with its project
partners;
(3) Have demonstrated a fair allocation of financial responsibility
between intercity and commuter rail transportation. For this purpose,
Project Sponsors will be asked to provide in their applications a
breakdown of the Total Project Cost and costs previously incurred
(including for previous Lifecycle Stages) identified by funding source
and provider. FRA will consider such costs in determining whether there
has been a fair allocation of financial responsibility between
intercity and commuter rail transportation.
Non-Federal Match
The Partnership Program requires, at 49 U.S.C. 24911(f)(2), that
the Federal share of Total Project Costs for a project shall not exceed
80 percent.\7\ The NOFO will state FRA's willingness to fund projects
up to the 80 percent maximum Federal share of the Total Project Costs.
Project Sponsors and their project partners will be responsible for a
minimum 20 percent non-Federal share for Partnership Program grants.
Consistent with Section IIIA of this Notice, FRA will expect Project
Sponsors to propose a greater than 20 percent local match for certain
Improvement and Station Projects and project components.
---------------------------------------------------------------------------
\7\ In an apparent drafting error, 49 U.S.C. 24911(f)(2) states
the Federal share ``shall not exceed 80 percent, except as specified
under paragraph (4)'' of part (f), however no such paragraph (4)
exists. FRA's interpretation of this language is that all
Partnership Program projects are subject to the ``shall not exceed
80 percent'' requirement specified in 49 U.S.C. 24911(f)(2).
---------------------------------------------------------------------------
Total Project Costs shall be based on the best available
information, including engineering studies, studies of economic
feasibility, environmental analyses, and information on the expected
use of equipment or facilities. FRA believes the NEC Commission
Planning Documents are among the best available information and will
use those documents and other sources of project information as
appropriate when validating Total Project Costs estimates.
C. Letters of Intent and Phased Funding Agreements
A Letter of Intent (LOI), authorized at 49 U.S.C. 24911(g)(1), is a
letter from FRA to a grantee announcing ``an intention to obligate'' an
amount to its project from future budget authority. LOIs are contingent
commitments and not binding obligations of the Federal government. LOIs
demonstrate FRA's intent to provide future Final Design and
Construction Lifecycle Stage funding for Major Capital Projects
assuming successful completion of Project Planning and Project
Development Lifecycles for the project. FRA anticipates issuing LOIs
primarily to projects currently in, or beginning, the Project
Development Lifecycle Stage. In issuing the LOI, FRA may outline
conditions and/or define readiness thresholds which the grantee may use
to inform future funding requests for Partnership Program funds.
A Phased Funding Agreement (PFA), authorized at 49 U.S.C.
24911(g)(2), is an agreement associated with the obligation of an
initial grant award under the Partnership Program. FRA may enter into a
PFA with a Project Sponsor if:
(1) the project is highly rated, based on the evaluations and
ratings described in the Partnership Program NOFO and as conducted by
FRA, and
(2) the Federal assistance to be provided for the project under the
Partnership Program is more than $80 million.
FRA may consider additional factors in determining whether a PFA is
the appropriate funding approach for a project. A PFA shall:
(1) establish the terms of participation by the Federal Government
in the project;
(2) establish the maximum amount of Federal financial assistance
for the project;
(3) include the period of time for completing the project, even if
such period extends beyond the period for which Federal financial
assistance is authorized;
[[Page 37911]]
(4) make timely and efficient management of the project easier in
accordance with Federal law; and
(5) if applicable, specify when the process for complying with the
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
related environmental laws will be completed for the project.
FRA will evaluate projects that meet the aforementioned
requirements and consider if a PFA is an appropriate funding approach
for a project. FRA anticipates limiting the use of PFAs to projects
that are currently in, or beginning, the Final Design and/or the
Construction Lifecycle Stages. FRA expects to issue PFAs for Major
Backlog projects ready for Final Design and/or the Construction
Lifecycle Stages to reflect the higher priority placed on these
projects by FRA (see Section IIIA), thus providing project sponsors a
higher degree of certainty that Federal funds will be available to
complete the project. PFAs are contingent commitments and are not
financial obligations of the Federal government. However, unlike LOIs,
PFAs are agreements relating to the obligation of future funds and FRA
commits to provide funding as specified in the PFA for the duration of
the project, as long as the grantee continues to meet the terms of the
PFA and Congress appropriates sufficient Partnership Program funding
for such purpose. For a project with a PFA, FRA may provide grant
funding in phases consistent with the terms of the PFA and within the
established maximum amount of Federal financial assistance for the
project.
The NEC Project Inventory will not identify projects for LOIs or
PFAs, as those determinations will be made based on applications during
project selection. In response to the NOFO, applicants may identify and
describe project phases or elements that could be candidates for
subsequent Partnership Program funding and may request LOIs or PFAs for
their projects, as appropriate. See 49 U.S.C. 24911(g) for detailed
information on LOIs and PFAs.
V. Comments
The purpose of this Notice is to provide transparency about FRA's
proposed approach to developing the NEC Project Inventory, consult with
the NEC Commission and the owners of the NEC infrastructure and
facilities as required under 49 U.S.C. 24911(e)(6). FRA's proposed
approach to the NEC Project Inventory and Partnership Program
Implementation may change following consultation.
FRA encourages interested parties to submit a comment pertinent to
the information in this Notice in docket number FRA-2022-0049,
available at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Searches may be conducted by
using the docket number and comments may be submitted by following the
instructions provided. All comments will be due 30 days after the
publication date of this Notice. All submissions must include docket
number for this Notice. In order to facilitate comment tracking and
response, we encourage commenters to provide their name.
While interested parties are not required to provide comments in
the following areas, FRA is seeking targeted comment on the following
specific areas:
(1) Information, if any, that may be missing or inaccurate if FRA
relies primarily on the NEC Commission Planning Documents for project
names, descriptions, sponsors, Lifecycle Stage, Project Type, start
year, cost estimates, and other information, in addition to an
explanation as to why the information was not included in NEC
Commission Planning Documents.
(2) Other sources of information, if any, FRA should review for
project information in preparing the NEC Project Inventory
(3) The proposal described in Section IIIA to allocate funds for
Defined Capital Renewal Projects still in development at the time of
publication of the NEC Project Inventory, but that may become ready for
funding after publication of the NEC Project Inventory.
(4) The order, method, and plan for apportioning funds described in
Section IIIA of this Notice.
(5) FRA's proposed use of Letters of Intent and Phased Funding
Agreements permitted under 49 U.S.C. 24911(g) as described in Section
IVC.
(6) Issues or concerns with the information FRA has provided in
this Notice.
Notwithstanding the various forms of consultation, FRA advises that
all comments should be submitted in writing to this notice to ensure
proper consideration.
All comments received, including any personal information, will be
posted without change to the docket and will be accessible to the
public at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Do not include information in
comments in the docket that should not be made public. Input submitted
online via <a href="https://www.regulations.gov">https://www.regulations.gov</a> is not immediately posted to the
site. It may take several business days before submissions are posted.
Comments containing proprietary or confidential information may be
submitted by contacting the agency for alternate submission
instructions.
VI. Next Steps
FRA will review comments upon the closing of the comment period for
consideration in developing the NEC Project Inventory. FRA will publish
the NEC Project Inventory in the Federal Register no later than
November 15, 2022, which may include a high-level summary and responses
to comments received. Following the publication of the NEC Project
Inventory, FRA will publish a NOFO soliciting applications for NEC
Projects listed on the NEC Project Inventory. FRA will then evaluate
applications consistent with the NOFO. FRA will publish an NEC Project
Inventory at least every two years following the initial publication.
Issued in Washington, DC.
Paul Nissenbaum,
Associate Administrator, Office of Railroad Policy and Development.
[FR Doc. 2022-13495 Filed 6-23-22; 8:45 am]
BILLING CODE 4910-06-P
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