§22901. Definitions — Inbound Citations
49 U.S.C. § 22901
Cited by 155 provisions in release 119-102.
Citations to §22901(1)
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(A) give preference to applicants with strong past performance related to rail research, education, and workforce development activities;
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(C) consider the regional and national impacts of the applicant’s proposal.
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(2) If the rail carrier that provided the transportation on the rail line is no longer in existence, the applicant for the project shall provide the information required by the certification under paragraph (1)(A) of this subsection in the way the Secretary prescribes.
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(3) Class II and class III railroad applicants for a grant under this chapter are encouraged to utilize the expertise and assistance of State transportation agencies in applying for and administering such grants. State transportation agencies are encouraged to provide such expertise and assistance to such railroads.
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(iii) demonstrates the ability of the applicant to commence the contracting process for construction not later than 90 days after the date on which the direct loan or loan guarantee is obligated for the project under this chapter; and
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(1) In lieu of or in combination with appropriations of budget authority to cover the costs of direct loans and loan guarantees as required under section 504(b)(1) of the Federal Credit Reform Act of 1990, including the cost of a modification thereof, the Secretary may accept on behalf of an applicant for assistance under this section a commitment from a non-Federal source, including a State or local government or agency or public benefit corporation or public authority thereof, to fund in whole or in part credit risk premiums and modification costs with respect to the loan that is the subject of the application or modification. In no event shall the aggregate of appropriations of budget authority and credit risk premiums described in this paragraph with respect to a direct loan or loan guarantee be less than the cost of that direct loan or loan guarantee.
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(A) the circumstances of the applicant, including the amount of collateral offered, if any;
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(3) Upon receipt of a proposal from an applicant under this section, the Secretary shall accept as a basis for determining the amount of the credit risk premium under paragraph (2) any of the following in addition to the value of any collateral described in paragraph (6):(A) The net present value of a future stream of State or local subsidy income or other dedicated revenues to secure the direct loan or loan guarantee.(B) Adequate coverage requirements to ensure repayment, on a non-recourse basis, from cash flows generated by the project or any other dedicated revenue source, including—(i) tolls;(ii) user fees, including operating or tenant charges, facility rents, or other fees paid by transportation service providers or operators for access to, or the use of, infrastructure, including rail lines, bridges, tunnels, yards, or stations; or(iii) payments owing to the obligor under a public-private partnership.(C) An investment-grade rating on the direct loan or loan guarantee, as applicable, except that if the total amount of the direct loan or loan guarantee is greater than $150,000,000, the applicant shall have an investment-grade rating from at least 2 rating agencies on the direct loan or loan guarantee.(D) Revenue from projected freight or passenger demand for the project based on regionally developed economic forecasts, including projections of any modal diversion resulting from the project.
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(C) An investment-grade rating on the direct loan or loan guarantee, as applicable, except that if the total amount of the direct loan or loan guarantee is greater than $150,000,000, the applicant shall have an investment-grade rating from at least 2 rating agencies on the direct loan or loan guarantee.
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(A) An applicant or infrastructure partner may propose tangible and intangible assets as collateral, exclusive of goodwill. The Secretary, after evaluating each such asset—(i) shall accept a net liquidation value of collateral; and(ii) shall consider and may accept—(I) the market value of collateral; or(II) in the case of a blanket pledge or assignment of an entire operating asset or basket of assets as collateral, the market value of assets, or, the market value of the going concern, considering—(aa) inclusion in the pledge of all the assets necessary for independent operational utility of the collateral, including tangible assets such as real property, track and structure, motive power, equipment and rolling stock, stations, systems and maintenance facilities and intangible assets such as long-term shipping agreements, easements, leases and access rights such as for trackage and haulage;(bb) interchange commitments; and(cc) the value of the asset as determined through the cost or market approaches, or the market value of the going concern, with the latter considering discounted cash flows for a period not to exceed the term of the direct loan or loan guarantee.
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(3) the applicant has given reasonable assurances that the facilities or equipment to be acquired, rehabilitated, improved, developed, or established with the proceeds of the obligation will be economically and efficiently utilized;
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(4) the obligation can reasonably be repaid, using an appropriate combination of credit risk premiums and collateral offered by the applicant to protect the Federal Government; and
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(1) The Secretary shall, before granting assistance under this section, require the applicant to agree to such terms and conditions as are sufficient, in the judgment of the Secretary, to ensure that, as long as any principal or interest is due and payable on such obligation, the applicant, and any railroad or railroad partner for whose benefit the assistance is intended—(A) will not use any funds or assets from railroad or intermodal operations for purposes not related to such operations, if such use would impair the ability of the applicant, railroad, or railroad partner to provide rail or intermodal services in an efficient and economic manner, or would adversely affect the ability of the applicant, railroad, or railroad partner to perform any obligation entered into by the applicant under this section;(B) will, consistent with its capital resources, maintain its capital program, equipment, facilities, and operations on a continuing basis; and(C) will not make any discretionary dividend payments that unreasonably conflict with the purposes stated in subsection (b).
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(A) will not use any funds or assets from railroad or intermodal operations for purposes not related to such operations, if such use would impair the ability of the applicant, railroad, or railroad partner to provide rail or intermodal services in an efficient and economic manner, or would adversely affect the ability of the applicant, railroad, or railroad partner to perform any obligation entered into by the applicant under this section;
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(2) The Secretary shall not require an applicant for a direct loan or loan guarantee under this section to provide collateral. Any collateral provided or thereafter enhanced shall be valued as a going concern after giving effect to the present value of improvements contemplated by the completion and operation of the project, if applicable. The Secretary shall not require that an applicant for a direct loan or loan guarantee under this section have previously sought the financial assistance requested from another source.
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(1) Not later than 30 days after the date that the Secretary receives an application under this section, or additional information and material under paragraph (2)(B), the Secretary shall provide the applicant written notice as to whether the application is complete or incomplete.
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(A) provide the applicant with a description of all of the specific information or material that is needed to complete the application, including any information required by an independent financial analyst; and
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(B) allow the applicant to resubmit the application with the information and material described under subparagraph (A) to complete the application.
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(A) Not later than 180 days after the date of enactment of the Surface Transportation Investment Act of 2021, the Secretary shall implement procedures and measures to economize and make available an streamlined application process or processes at the request of applicants seeking loans or loan guarantees.
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(B) Applicants seeking loans and loan guarantees under this section shall—(i) seek a total loan or loan guarantee value not exceeding $150,000,000;(ii) meet eligible project purposes described in subparagraphs (A) and (B) of subsection (b)(1); and(iii) meet other criteria considered appropriate by the Secretary, in consultation with the Council on Credit and Finance of the Department of Transportation.
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(i) provide written notice to the applicant, including a justification for the delay and updated estimate of the time needed for approval or disapproval; and
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(A) the applicant type;
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(A) The Secretary shall maintain status information related to each application for a loan or loan guarantee, which shall be provided to the applicant upon request, including—(i) the total value of the proposed loan or loan guarantee;(ii) the name of the applicant or applicants submitting the application;(iii) the proposed capital structure of the project to which the loan or loan guarantee would be applied, including the proposed Federal and non-Federal shares of the total project cost;(iv) the type of activity to receive credit assistance, including whether the project is new construction, the rehabilitation of existing rail equipment or facilities, or the refinancing an existing loan or loan guarantee;(v) if a deferred payment is proposed, the length of such deferment;(vi) the credit rating or ratings provided for the applicant;(vii) if other credit instruments are involved, the proposed subordination relationship and a description of such other credit instruments;(viii) a schedule for the readiness of proposed investments for financing;(ix) a description of any Federal permits required, including under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and any waivers under section 5323(j) (commonly known as the “Buy America Act”);(x) other characteristics of the proposed activity to be financed, borrower, key agreements, or the nature of the credit that the Secretary considers to be fundamental to the creditworthiness review;(xi) the status of the application in the pre-application review and selection process;(xii) the cumulative amounts paid by the Secretary to outside advisors related to the application, including financial and legal advisors;(xiii) a description of the key rating factors used by the Secretary to determine credit risk, including—(I) the factors used to determine risk for the proposed application;(II) an adjectival risk rating for each identified factor, ranked as either low, moderate, or high;(xiv) a nonbinding estimate of the credit risk premium, which may be in the form of—(I) a range, based on the assessment of risk factors described in clause (xiii); or(II) a justification for why the estimate of the credit risk premium cannot be determined based on available information; and
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(ii) the name of the applicant or applicants submitting the application;
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(vi) the credit rating or ratings provided for the applicant;
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(B) The Secretary shall provide the information described in subparagraph (A) not later than 30 days after a request from the applicant.
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(1) The Secretary shall prescribe the form and contents required of applications for assistance under section 22402, to enable the Secretary to determine the eligibility of the applicant’s proposal, and shall establish terms and conditions for direct loans and loan guarantees made under that section, including a program guide, a standard term sheet, and specific timetables.
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(2) An applicant meeting the size standard for small business concerns established under section 3(a)(2) of the Small Business Act (15 U.S.C. 632(a)(2)) may provide unaudited financial statements as documentation of historical financial information if such statements are accompanied by the applicant’s Federal tax returns and Internal Revenue Service tax verifications for the corresponding years.
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(2) consent has been obtained from the applicant and, in the case of a loan guarantee or loan guarantee commitment, the holder of the obligation; and
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(e) The Secretary shall assure compliance, by an applicant, any other party to the loan, and any railroad or railroad partner for whose benefit assistance is intended, with the provisions of this chapter, regulations issued hereunder, and the terms and conditions of the direct loan or loan guarantee, including through regular periodic inspections.
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(A) the cost of evaluating the application, amendments, modifications, and waivers, including for evaluating project viability, applicant creditworthiness, and the appraisal of the value of the equipment or facilities for which the direct loan or loan guarantee is sought, and for making necessary determinations and findings;(B) the cost of award management and project management oversight;(C) the cost of services from expert firms, including counsel, and independent financial advisors to assist in the underwriting, auditing, servicing, and exercise of rights with respect to direct loans and loan guarantees; and(D) the cost of all other expenses incurred as a result of a breach of any term or condition or any event of default on a direct loan or loan guarantee.
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(A) the cost of evaluating the application, amendments, modifications, and waivers, including for evaluating project viability, applicant creditworthiness, and the appraisal of the value of the equipment or facilities for which the direct loan or loan guarantee is sought, and for making necessary determinations and findings;
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(2) Consistent with the requirements of this chapter, the Secretary shall require that a grant under this section be subject to the terms, conditions, requirements, and provisions the Secretary decides are necessary or appropriate for the purposes of this section, including requirements for the disposition of net increases in value of real property resulting from the project assisted under this section and shall prescribe procedures and schedules for the awarding of grants under this title, including application and qualification procedures and a record of decision on applicant eligibility. The Secretary shall issue a final rule establishing such procedures not later than 2 years after the date of enactment of the Passenger Rail Investment and Improvement Act of 2008. For the period prior to the earlier of the issuance of such a rule or 2 years after the date of enactment of such Act, the Secretary shall issue interim guidance to applicants covering such procedures, and administer the grant program authorized under this section pursuant to such guidance.
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(1) The Secretary may not approve a grant for a project under this section unless the Secretary finds that the project is part of a State rail plan developed under chapter 227 of this title, or under the plan required by section 211 of the Passenger Rail Investment and Improvement Act of 2008, and that the applicant or recipient has or will have the legal, financial, and technical capacity to carry out the project, satisfactory continuing control over the use of the equipment or facilities, and the capability and willingness to maintain the equipment or facilities.
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(3) If an applicant has not selected the proposed operator of its service competitively, the applicant shall provide written justification to the Secretary showing why the proposed operator is the best, taking into account price and other factors, and that use of the proposed operator will not unnecessarily increase the cost of the project.
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(B) that the applicant or recipient has or will have the legal, financial, and technical capacity to carry out the project, satisfactory continuing control over the use of the equipment or facilities, and the capability and willingness to maintain the equipment or facilities;
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(1) The Secretary may issue a letter of intent to an applicant announcing an intention to obligate, for a major capital project under this section, an amount from future available budget authority specified in law that is not more than the amount stipulated as the financial participation of the Secretary in the project.
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(3) The following amounts, not to exceed $15,000,000 per fiscal year, shall be available to each applicant as a credit toward an applicant’s matching requirement for a grant awarded under this section—(A) in each of fiscal years 2009, 2010, and 2011—(i) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for capital projects related to intercity passenger rail service; and(ii) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for operating costs of such service; and(B) in each of fiscal years 2010, 2011 and 2012, 50 percent of the amount by which the amounts expended for capital projects and operating costs related to intercity passenger rail service by an applicant in the prior fiscal year exceed the average capital and operating expenditures made for such service in fiscal years 2006, 2007, and 2008.
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(i) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for capital projects related to intercity passenger rail service; and
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(ii) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for operating costs of such service; and
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(B) in each of fiscal years 2010, 2011 and 2012, 50 percent of the amount by which the amounts expended for capital projects and operating costs related to intercity passenger rail service by an applicant in the prior fiscal year exceed the average capital and operating expenditures made for such service in fiscal years 2006, 2007, and 2008.
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(a) To receive Federal financial assistance for a major capital project under this chapter, an applicant must prepare and carry out a project management plan approved by the Secretary of Transportation. The plan shall provide for—(1) adequate recipient staff organization with well-defined reporting relationships, statements of functional responsibilities, job descriptions, and job qualifications;(2) a budget covering the project management organization, appropriate consultants, property acquisition, utility relocation, systems demonstration staff, audits, and miscellaneous payments the recipient may be prepared to justify;(3) a construction schedule for the project;(4) a document control procedure and recordkeeping system;(5) a change order procedure that includes a documented, systematic approach to handling the construction change orders;(6) organizational structures, management skills, and staffing levels required throughout the construction phase;(7) quality control and quality assurance functions, procedures, and responsibilities for construction, system installation, and integration of system components;(8) material testing policies and procedures;(9) internal plan implementation and reporting requirements;(10) criteria and procedures to be used for testing the operational system or its major components;(11) periodic updates of the plan, especially related to project budget and project schedule, financing, and ridership estimates; and(12) the recipient’s commitment to submit periodically a project budget and project schedule to the Secretary.
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(1) a written agreement exist between the applicant and the railroad regarding such use and ownership, including—(A) any compensation for such use;(B) assurances regarding the adequacy of infrastructure capacity to accommodate both existing and future freight and passenger operations;(C) an assurance by the railroad that collective bargaining agreements with the railroad’s employees (including terms regulating the contracting of work) will remain in full force and effect according to their terms for work performed by the railroad on the railroad transportation corridor; and(D) an assurance that an applicant complies with liability requirements consistent with section 28103 of this title; and
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(D) an assurance that an applicant complies with liability requirements consistent with section 28103 of this title; and
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(2) the applicant agrees to comply with—(A) the standards of section 24312 of this title, as such section was in effect on September 1, 2003, with respect to the project in the same manner that Amtrak is required to comply with those standards for construction work financed under an agreement made under section 24308(a) of this title; and(B) the protective arrangements that are equivalent to the protective arrangements established under section 22404 with respect to employees affected by actions taken in connection with the project to be financed in whole or in part by grants under this chapter.
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(3) If Amtrak or another rail carrier is an applicant under this section, Amtrak or the other rail carrier, as applicable, may use ticket and other revenues generated from its operations and other sources to satisfy the non-Federal share requirements.
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(4) Applicants may use costs incurred previously for preliminary engineering associated with highway-rail grade crossing improvement projects under subsection (c)(5) and trespassing prevention projects under subsection (c)(11) to satisfy the non-Federal share requirements.
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(k) The requirements under sections 22902, 22903, and 22904, and the definition contained in section 22901(1) shall not apply to this section.
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(1) Notwithstanding section 22901(1), the term “applicant” means—(A) a State, including the District of Columbia;(B) a group of States;(C) an entity implementing an interstate compact;(D) a public agency or publicly chartered authority established by 1 or more States;(E) a political subdivision of a State;(F) a federally recognized Indian Tribe;(G) Amtrak or another rail carrier that provides intercity rail passenger transportation;(H) any rail carrier in partnership with at least 1 of the entities described in subparagraphs (A) through (F); and
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(b) The Secretary of Transportation shall develop and implement a program for issuing operating assistance grants to applicants, on a competitive basis, for the purpose of initiating, restoring, or enhancing intercity rail passenger transportation.
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(1) a capital and mobilization plan that—(A) describes any capital investments, service planning actions (such as environmental reviews), and mobilization actions (such as qualification of train crews) required for initiation of intercity rail passenger transportation; and(B) includes the timeline for undertaking and completing each of the investments and actions referred to in subparagraph (A);(2) an operating plan that describes the planned operation of the service, including—(A) the identity and qualifications of the train operator;(B) the identity and qualifications of any other service providers;(C) service frequency;(D) the planned routes and schedules;(E) the station facilities that will be utilized;(F) projected ridership, revenues, and costs;(G) descriptions of how the projections under subparagraph (F) were developed;(H) the equipment that will be utilized, how such equipment will be acquired or refurbished, and where such equipment will be maintained; and(I) a plan for ensuring safe operations and compliance with applicable safety regulations;(3) a funding plan that—(A) describes the funding of initial capital costs and operating costs for the first 6 years of operation;(B) includes a commitment by the applicant to provide the funds described in subparagraph (A) to the extent not covered by Federal grants and revenues; and(C) describes the funding of operating costs and capital costs, to the extent necessary, after the first 6 years of operation; and(4) a description of the status of negotiations and agreements with—(A) each of the railroads or regional transportation authorities whose tracks or facilities would be utilized by the service;(B) the anticipated railroad carrier, if such entity is not part of the applicant group; and(C) any other service providers or entities expected to provide services or facilities that will be used by the service, including any required access to Amtrak systems, stations, and facilities if Amtrak is not part of the applicant group.
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(B) includes a commitment by the applicant to provide the funds described in subparagraph (A) to the extent not covered by Federal grants and revenues; and
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(B) the anticipated railroad carrier, if such entity is not part of the applicant group; and
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(C) any other service providers or entities expected to provide services or facilities that will be used by the service, including any required access to Amtrak systems, stations, and facilities if Amtrak is not part of the applicant group.
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(A) Except as provided in subparagraph (B), the Secretary shall require applicants to obtain the necessary approvals from any impacted rail carriers or real property owners before proceeding with the construction of a project funded by a grant under the Program.
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(B) The requirement under subparagraph (A) shall not apply to planning projects described in subsection (d)(6) if the applicant agrees to work collaboratively with rail carriers and right-of-way owners.
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(B) the applicant’s planned use of contracting incentives to employ local labor, to the extent permissible under Federal law;
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(g) Except as provided in paragraph (2),1 the Federal share of the cost of a project carried out using a grant under the Program may not exceed 80 percent of the total cost of the project. Applicants may count costs incurred for preliminary engineering associated with highway-rail and pathway-rail grade crossing improvement projects as part of the total project costs.
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(1) a list of all eligible applicants that submitted an application for funding under the Program during the current fiscal year;
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(3) a list of the proposed projects and applicants that were determined to be ineligible.
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(2) the applicant’s work to foster economic development through rail service, particularly in rural communities;
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(3) whether the applicant seeks to restore service over routes formerly operated by Amtrak, including routes described in section 11304(a) of the Passenger Rail Reform and Investment Act of 2015 (title XI of division A of Public Law 114–94);
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(4) the applicant’s dedication to providing intercity passenger rail service to regions and communities that are underserved or not served by other intercity public transportation;
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(5) whether the applicant is enhancing connectivity and geographic coverage of the existing national network of intercity passenger rail service;
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(6) whether the applicant has prepared regional rail or corridor service development plans and corresponding environmental analysis; and
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(7) whether the applicant has engaged with appropriate government entities and transportation providers to identify projects necessary to enhance multimodal connections or facilitate service integration between rail service and other modes, including between intercity passenger rail service and intercity bus service or commercial air service.
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(e) The Secretary may only award grants under this section to applicants with eligible expenses related to intercity passenger rail service to be operated by Amtrak.
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(1) The term “applicant” means—(A) a State (including the District of Columbia);(B) a group of States;(C) an Interstate Compact;(D) a public agency or publicly chartered authority established by 1 or more States;(E) a political subdivision of a State;(F) Amtrak, acting on its own behalf or under a cooperative agreement with 1 or more States;(G) a federally recognized Indian Tribe; or
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(b) The Secretary of Transportation shall develop and implement a program for issuing grants to applicants, on a competitive basis, to fund capital 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;.1
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(i) for which Amtrak is not the sole applicant;
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(iii) the applicant’s past performance in developing and delivering similar projects, and previous financial contributions;
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(iv) whether the applicant has, or will have—(I) the legal, financial, and technical capacity to carry out the project;(II) satisfactory continuing access to the equipment or facilities; and(III) the capability and willingness to maintain the equipment or facilities;
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(1) identifies capital projects for Federal investment, project applicants, and proposed Federal funding levels under this section;
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(3) If Amtrak is an applicant under this section, Amtrak may use ticket and other revenues generated from its operations and other sources to satisfy the non-Federal share requirements.
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(i) the project is highly rated, based on the evaluations and ratings conducted pursuant to this section and the applicable notice of funding opportunity; and(ii) the Federal assistance to be provided for the project under this section is more than $80,000,000.
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(iii) Interest and other financing costs of efficiently carrying out a part of the project within a reasonable time are a cost of carrying out the project under a phased funding agreement, except that eligible costs may not be more than the cost of the most favorable financing terms reasonably available for the project at the time of borrowing. The applicant shall certify, to the satisfaction of the Secretary, that the applicant has shown reasonable diligence in seeking the most favorable financing terms.
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(iv) If an applicant does not carry out the project for reasons within the control of the applicant, the applicant shall repay all Federal grant funds awarded for the project from all Federal funding sources, for all project activities, facilities, and equipment, plus reasonable interest and penalty charges allowable by law or established by the Secretary in the phased funding agreement. For purposes of this clause, a process for complying with the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) that results in the selection of the no build alternative is not within the applicant’s control.
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(1) a proposal for the allocation of amounts to be available to finance grants for projects under this section among applicants for such amounts;
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(ii) the likely project applicants; and
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(2) identifies capital projects for Federal investment, project applicants, and proposed Federal funding levels, as applicable, consistent with the corridor project inventory;
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(1) The term “applicant” means a State, a group of States, an Interstate Compact, a public agency established by one or more States and having responsibility for providing high-speed rail service, or Amtrak.
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(c) The Secretary may make grants under this section to an applicant to finance capital projects in high-speed rail corridors.
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(d) Each applicant seeking to receive a grant under this section to develop a high-speed rail corridor shall submit to the Secretary an application in such form and in accordance with such requirements as the Secretary shall establish.
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(ii) that the applicant or recipient has or will have the legal, financial, and technical capacity to carry out the project, satisfactory continuing control over the use of the equipment or facilities, and the capability and willingness to maintain the equipment or facilities;
Citations to §22901(2)
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(c) Grants provided under this section shall be used to implement track capital projects as soon as possible. In no event shall grant funds be contractually obligated for a project later than the end of the third Federal fiscal year following the year in which the grant was awarded. Any funds not so obligated by the end of such fiscal year shall be returned to the Secretary for reallocation.
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(A) A list of any rail capital projects expected to be undertaken or supported in whole or in part by the State.
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(2) The list of rail capital projects shall contain—(A) a description of the anticipated public and private benefits of each such project; and(B) a statement of the correlation between—(i) public funding contributions for the projects; and(ii) the public benefits.
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(3) In preparing the list of freight and intercity passenger rail capital projects, a State rail transportation authority should take into consideration the following matters:(A) Contributions made by non-Federal and non-State sources through user fees, matching funds, or other private capital involvement.(B) Rail capacity and congestion effects.(C) Effects on highway, aviation, and maritime capacity, congestion, or safety.(D) Regional balance.(E) Environmental impact.(F) Economic and employment impacts.(G) Projected ridership and other service measures for passenger rail projects.
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(e) To receive a grant under this section, Amtrak may enter into a cooperative agreement with 1 or more States to carry out 1 or more projects on a State rail plan’s ranked list of rail capital projects developed under section 22504(a)(5)1 of this title. For such a grant, Amtrak may not use Federal funds authorized under section 101(a) or (c) of the Passenger Rail Investment and Improvement Act of 2008 to fulfill the non-Federal share requirements under subsection (g) of this section.
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(1) The Secretary may issue a letter of intent to an applicant announcing an intention to obligate, for a major capital project under this section, an amount from future available budget authority specified in law that is not more than the amount stipulated as the financial participation of the Secretary in the project.
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(i) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for capital projects related to intercity passenger rail service; and
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(B) in each of fiscal years 2010, 2011 and 2012, 50 percent of the amount by which the amounts expended for capital projects and operating costs related to intercity passenger rail service by an applicant in the prior fiscal year exceed the average capital and operating expenditures made for such service in fiscal years 2006, 2007, and 2008.
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(k) The Secretary shall make not less than 5 percent annually available from the amounts authorized under section 101(c) of the Passenger Rail Investment and Improvement Act of 2008 beginning in fiscal year 2009 for grants for capital projects eligible under this section not exceeding $2,000,000, including costs eligible under section 209(d)1 of that Act. For grants awarded under this subsection, the Secretary may waive requirements of this section, including State rail plan requirements, as appropriate.
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(a) To receive Federal financial assistance for a major capital project under this chapter, an applicant must prepare and carry out a project management plan approved by the Secretary of Transportation. The plan shall provide for—(1) adequate recipient staff organization with well-defined reporting relationships, statements of functional responsibilities, job descriptions, and job qualifications;(2) a budget covering the project management organization, appropriate consultants, property acquisition, utility relocation, systems demonstration staff, audits, and miscellaneous payments the recipient may be prepared to justify;(3) a construction schedule for the project;(4) a document control procedure and recordkeeping system;(5) a change order procedure that includes a documented, systematic approach to handling the construction change orders;(6) organizational structures, management skills, and staffing levels required throughout the construction phase;(7) quality control and quality assurance functions, procedures, and responsibilities for construction, system installation, and integration of system components;(8) material testing policies and procedures;(9) internal plan implementation and reporting requirements;(10) criteria and procedures to be used for testing the operational system or its major components;(11) periodic updates of the plan, especially related to project budget and project schedule, financing, and ridership estimates; and(12) the recipient’s commitment to submit periodically a project budget and project schedule to the Secretary.
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(2) A capital project as defined in section 22901(2), except that a project shall not be required to be in a State rail plan developed under chapter 227.
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(3) A capital project identified by the Secretary as being necessary to address congestion or safety challenges affecting rail service.
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(4) A capital project identified by the Secretary as being necessary to reduce congestion and facilitate ridership growth in intercity passenger rail transportation along heavily traveled rail corridors.
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(7) A capital project to improve short-line or regional railroad infrastructure.
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(A) in which there is no intercity passenger rail service, for the purpose of funding freight rail capital projects that are on a State rail plan developed under chapter 227, including highway construction over rail facilities as an alternative to construction or improvement of a highway-rail grade crossing, that provide public benefits (as defined in chapter 227), as determined by the Secretary; or
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(B) in which the rail transportation system is not physically connected to rail systems in the continental United States or may not otherwise qualify for a grant under this section due to the unique characteristics of the geography of that State or other relevant considerations, for the purpose of funding transportation-related capital projects.
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(3) The Secretary may choose not to incorporate into agency regulations and procedures pertaining to railroad projects described in paragraph (1) such project development procedures that could only feasibly apply to highway projects, public transportation capital projects, and multimodal projects.
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(D) payment of principal and interest on loans for capital projects described in this paragraph or for capital leases attributable to the Northeast Corridor;
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(E) other capital projects on the Northeast Corridor, determined appropriate by the Secretary, and consistent with section 24905(c)(1)(A)(i); and
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(F) if applicable, capital projects described in section 24904(b).
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(C) A grant request to use Federal funds and program income for capital expenses shall include capital projects and programs primarily associated with—(i) normalized capital replacement programs, including regularly recurring work programs implemented on a systematic basis on classes of physical railroad assets, such as track, structures, electric traction and power systems, rolling stock, and communications and signal systems, to maintain and sustain the condition and performance of such assets to support continued railroad operations;(ii) improvement projects to support service and safety enhancements, including discrete projects implemented in accordance with a fixed scope, schedule, and budget that result in enhanced or new infrastructure, equipment, or facilities;(iii) backlog capital replacement projects, including discrete projects implemented in accordance with a fixed scope, schedule, and budget that primarily replace or rehabilitate major infrastructure assets, including tunnels, bridges, stations, and similar assets, to reduce the state of good repair backlog on the Amtrak network;(iv) strategic initiative projects, including discrete projects implemented in accordance with a fixed scope, schedule, and budget that primarily improve overall operational performance, lower costs, or otherwise improve Amtrak’s corporate efficiency; and(v) statutory, regulatory, or other legally mandated projects, including discrete projects implemented in accordance with a fixed scope, schedule, and budget that enable Amtrak to fulfill specific legal or regulatory mandates.
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(i) categorizes each capital project as being primarily associated with—(I) normalized capital replacement;(II) backlog capital replacement;(III) improvements to support service enhancements or growth;(IV) strategic initiatives that will improve overall operational performance, lower costs, or otherwise improve Amtrak’s corporate efficiency; or(V) statutory, regulatory, or other legal mandates;
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(E) categorize capital projects and programs as primarily associated with 1 of the categories listed under section 24319(c)(2)(C);
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(F) identify capital projects and programs that are associated with more than 1 category described in subparagraph (E); and
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(II) to implement each capital project.
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(c) If a capital investment plan has not been developed by the Commission for a given fiscal year, then the funds assigned to the Northeast Corridor account established under section 24317(b) for that fiscal year may be spent only on capital projects and programs contained in the Commission’s capital investment plan for the prior fiscal year.
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(b) The Secretary of Transportation shall develop and implement a program for issuing grants to applicants, on a competitive basis, to fund capital 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;.1
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(c) The following capital projects, including acquisition of real property interests, are eligible to receive grants under this section:(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.
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(1) identifies capital projects for Federal investment, project applicants, and proposed Federal funding levels under this section;
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(A) announces an intention to obligate, for a major capital project under this section, an amount from future available budget authority specified in law that is not more than the amount stipulated as the financial participation of the Secretary in the project; and
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(C) identification capital project sponsors;
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(A) identifies the capital projects necessary to achieve the proposed intercity passenger rail service, including—(i) the capital projects for which Federal investment will be sought;(ii) the likely project applicants; and(iii) the proposed Federal funding levels;
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(i) the capital projects for which Federal investment will be sought;
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(B) specifies the order in which Federal funding will be sought for the capital projects identified under subparagraph (A), after considering the appropriate sequence and phasing of projects based on the anticipated availability of funds; and
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(2) identifies capital projects for Federal investment, project applicants, and proposed Federal funding levels, as applicable, consistent with the corridor project inventory;
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(3) The term “capital project” means a project or program in a State rail plan developed under chapter 227 of this title for acquiring, constructing, improving, or inspecting equipment, track, and track structures, or a facility of use in or for the primary benefit of high-speed rail service, expenses incidental to the acquisition or construction (including designing, engineering, location surveying, mapping, environmental studies, and acquiring rights-of-way), payments for the capital portions of rail trackage rights agreements, highway-rail grade crossing improvements related to high-speed rail service, mitigating environmental impacts, communication and signalization improvements, relocation assistance, acquiring replacement housing sites, and acquiring, constructing, relocating, and rehabilitating replacement housing.
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(c) The Secretary may make grants under this section to an applicant to finance capital projects in high-speed rail corridors.
Citations to §22901(3)
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(vii) falling under the description in section 5302(a)(1)(G)1 of this title as defined to support intercity passenger rail service; and
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(i) 50 percent of the average of amounts expended in fiscal years 2002 through 2008 by an applicant for capital projects related to intercity passenger rail service; and
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(B) in each of fiscal years 2010, 2011 and 2012, 50 percent of the amount by which the amounts expended for capital projects and operating costs related to intercity passenger rail service by an applicant in the prior fiscal year exceed the average capital and operating expenditures made for such service in fiscal years 2006, 2007, and 2008.
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(4) If the replacement of existing rail passenger service takes place within 3 years after the replacing entity commences intercity passenger rail service, the replacing entity and the collective bargaining agent or agents for the adversely affected employees of the predecessor provider shall enter into an agreement with respect to the matters set forth in subparagraphs (A) through (D) of paragraph (1). If the parties have not entered into an agreement with respect to all such matters within 60 days after the date on which the replacing entity replaces the predecessor provider, the parties shall select an arbitrator using the procedures set forth in paragraph (2)(B), who shall, within 20 days after the commencement of the arbitration, conduct a hearing and decide all unresolved issues. This decision shall be final, binding, and conclusive upon the parties.
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(A) in which there is no intercity passenger rail service, for the purpose of funding freight rail capital projects that are on a State rail plan developed under chapter 227, including highway construction over rail facilities as an alternative to construction or improvement of a highway-rail grade crossing, that provide public benefits (as defined in chapter 227), as determined by the Secretary; or
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(4) the applicant’s dedication to providing intercity passenger rail service to regions and communities that are underserved or not served by other intercity public transportation;
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(5) whether the applicant is enhancing connectivity and geographic coverage of the existing national network of intercity passenger rail service;
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(7) whether the applicant has engaged with appropriate government entities and transportation providers to identify projects necessary to enhance multimodal connections or facilitate service integration between rail service and other modes, including between intercity passenger rail service and intercity bus service or commercial air service.
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(e) The Secretary may only award grants under this section to applicants with eligible expenses related to intercity passenger rail service to be operated by Amtrak.
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(1) If the on-time performance of any intercity passenger train averages less than 80 percent for any 2 consecutive calendar quarters, or the service quality of intercity passenger train operations for which minimum standards are established under section 207 of the Passenger Rail Investment and Improvement Act of 2008 fails to meet those standards for 2 consecutive calendar quarters, the Surface Transportation Board (referred to in this section as the “Board”) may initiate an investigation, or upon the filing of a complaint by Amtrak, an intercity passenger rail operator, a host freight railroad over which Amtrak operates, or an entity for which Amtrak operates intercity passenger rail service, the Board shall initiate such an investigation, to determine whether and to what extent delays or failure to achieve minimum standards are due to causes that could reasonably be addressed by a rail carrier over whose tracks the intercity passenger train operates or reasonably addressed by Amtrak or other intercity passenger rail operators. As part of its investigation, the Board has authority to review the accuracy of the train performance data and the extent to which scheduling and congestion contribute to delays. In making its determination or carrying out such an investigation, the Board shall obtain information from all parties involved and identify reasonable measures and make recommendations to improve the service, quality, and on-time performance of the train.
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(4) The Board shall, as it deems appropriate, order the host rail carrier to remit the damages awarded under this subsection to Amtrak or to an entity for which Amtrak operates intercity passenger rail service. Such damages shall be used for capital or operating expenditures on the routes over which delays or failures to achieve minimum standards were the result of a rail carrier’s failure to provide preference to Amtrak over freight transportation as determined in accordance with paragraph (2).
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(b) The Secretary of Transportation shall develop and implement a program for issuing grants to applicants, on a competitive basis, to fund capital 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;.1
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(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.
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(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.
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(3) A project to expand or establish new intercity passenger rail service.
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(12) whether the corridor would enhance the regional equity and geographic diversity of intercity passenger rail service;
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(1) a detailed description of the proposed intercity passenger rail service, including train frequencies, peak and average operating speeds, and trip times;
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(A) identifies the capital projects necessary to achieve the proposed intercity passenger rail service, including—(i) the capital projects for which Federal investment will be sought;(ii) the likely project applicants; and(iii) the proposed Federal funding levels;
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(4) The term “high-speed rail” means intercity passenger rail service that is reasonably expected to reach speeds of at least 110 miles per hour.
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(5) The term “intercity passenger rail service” has the meaning given the term “intercity rail passenger transportation” in section 24102 of this title.
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(VII) falling under the description in section 5302(a)(1)(G)1 of this title as defined to support intercity passenger rail service; and