Notice of Funding Opportunity for the FY 2023-FY 2024 Consolidated Rail Infrastructure and Safety Improvements Program
| Published date | 29 March 2024 |
| Record Number | 2024-06710 |
| Citation | 89 FR 22206 |
| Court | Federal Railroad Administration,Transportation Department |
| Section | Notices |
Federal Register, Volume 89 Issue 62 (Friday, March 29, 2024)
[Federal Register Volume 89, Number 62 (Friday, March 29, 2024)]
[Notices]
[Pages 22206-22228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06710]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for the FY 2023-FY 2024
Consolidated Rail Infrastructure and Safety Improvements Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of funding opportunity (NOFO or notice).
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SUMMARY: This notice details the application requirements and
procedures to obtain grant funding for eligible projects under the
Consolidated Rail Infrastructure and Safety Improvements Program for
Fiscal Years 2023 and 2024. This notice solicits applications for
program funds made available by the Consolidated Appropriations Act,
2023, Consolidated Appropriations Act, 2024, and the Infrastructure
Investment and Jobs Act. This notice also solicits applications for
projects under the Magnetic Levitation Technology Deployment Program,
funded by the Consolidated Appropriations Act, 2021. The opportunity
described in this notice is made available under Assistance Listings
Number 20.325, ``Consolidated Rail Infrastructure and Safety
Improvements,'' and Assistance Listings Number 20.318, ``Maglev Project
Selection--SAFETEA-LU.''
DATES: Applications for funding under this solicitation are due no
later than 11:59 p.m. EST, May 28, 2024. Applications that are
incomplete or received after 11:59 p.m. EST, on May 28, 2024 will not
be considered for funding. See section D of this notice for additional
information on the application process.
ADDRESSES: Applications must be submitted via www.Grants.gov. Only
applicants who comply with all submission requirements described in
this notice and submit applications through www.Grants.gov will be
eligible for award. For any supporting application materials that an
applicant is unable to submit via www.Grants.gov (such as oversized
engineering drawings), an applicant may submit an original and two (2)
copies to Ms. Deborah Kobrin, Office of Rail Program Development,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W38-
212, Washington, DC 20590. However, due to delays caused by enhanced
screening of mail delivered via the U.S. Postal Service, applicants are
advised to use other means of conveyance (such as
[[Page 22207]]
courier service) to ensure timely receipt of materials before the
application deadline.
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice, please contact the FRA NOFO Support program staff via
email at [email protected]. If additional assistance is needed,
you may contact Ms. Deborah Kobrin, Supervisory Transportation
Specialist, at email: [email protected] or telephone: 202-420-
1281; Ms. Jenny Zeng, Transportation Industry Analyst, at email:
[email protected] or telephone: 857-330-2481; in FRA's Office of Rail
Program Development.
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing application materials.
Definitions of key terms used throughout the NOFO are provided in
section A(2) below. These key terms are capitalized throughout the
NOFO. There are several administrative and specific eligibility
requirements described herein with which applicants must comply.
Additionally, applicants should note that the required Project
Narrative component of the application package may not exceed 25 pages
in length.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information
Summary Overview of Key Information--Consolidated Rail Infrastructure
and Safety Improvements Program (CRISI)
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Issuing Agency............... Federal Railroad Administration, U.S.
Department of Transportation
Program Overview............. The purpose of the CRISI Program is to
invest in a wide range of projects
within the United States to improve
railroad safety, efficiency, and
reliability; mitigate congestion at both
intercity passenger rail and freight
rail chokepoints to support more
efficient travel and goods movement;
enhance multi-modal connections; and
lead to new or substantially improved
Intercity Passenger Rail Transportation
corridors.
Eligible Applicants.......... A State (including the District
of Columbia).
A group of States.
An Interstate Compact.
A public agency or publicly
chartered authority established by 1 or
more states.
A political subdivision of a
State.
Amtrak or another rail carrier
that provides intercity rail passenger
transportation (as rail carrier and
intercity rail passenger transportation
are defined in 49 U.S.C. 24102).
A Class II railroad or Class III
Railroad, including any holding company
of a Class II or Class III railroad (as
those terms are defined in 49 U.S.C.
20102).
An association representing one
or more railroads described in paragraph
(g).
A federally recognized Indian
Tribe.
Any rail carrier or rail
equipment manufacturer in partnership
with at least one of the entities
described in paragraphs (a) through (e).
The Transportation Research
Board and any entity with which it
contracts in the development of rail-
related research, including cooperative
research programs.
A University transportation
center engaged in rail-related research.
A non-profit labor organization
representing a class or craft of
employees of rail carriers or rail
carrier contractors.
Eligible Project Types....... Deployment of railroad safety
technology, including positive train
control and rail integrity inspection
systems.
A capital project as defined in
49 U.S.C. 22901(2), except that a
project shall not be required to be in a
State rail plan developed under 49
U.S.C. chapter 227.
A capital project identified by
the Secretary as being necessary to
address congestion or safety challenges
affecting rail service.
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.
A highway-rail grade crossing
improvement project.
A rail line relocation or
improvement project.
A capital project to improve
short-line or regional railroad
infrastructure.
The preparation of regional rail
and corridor service development plans
and corresponding environmental
analyses.
Any project that the Secretary
considers necessary to enhance
multimodal connections or facilitate
service integration between rail service
and other modes.
The development and
implementation of a safety program or
institute designed to improve rail
safety.
The development and
implementation of measures to prevent
trespassing and reduce associated
injuries and fatalities.
Any research that the Secretary
considers necessary to advance any
particular aspect of rail-related
capital, operations, or safety
improvements.
Workforce development and
training activities.
Research, development, and
testing to advance and facilitate
innovative rail projects.
The preparation of emergency
plans for communities through which
hazardous materials are transported by
rail.
Rehabilitating, remanufacturing,
procuring, or overhauling locomotives,
provided that such activities result in
a significant reduction of emissions.
xvii. Deployment of Magnetic Levitation
Transportation Projects.
Funding...................... The total funding available for awards
under this NOFO is up to $2,478,391,050.
Deadline..................... Deadline: May 28, 2024.
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[[Page 22208]]
A. Program Description
1. Overview
The Consolidated Rail Infrastructure and Safety Improvements
(CRISI) Program is authorized under 49 U.S.C. 22907. The purpose of the
CRISI Program is to invest in a wide range of projects within the
United States to improve railroad safety, efficiency, and reliability;
mitigate congestion at both intercity passenger rail and freight rail
chokepoints to support more efficient travel and goods movement;
enhance multi-modal connections; and lead to new or substantially
improved Intercity Passenger Rail Transportation corridors. This
program invests in railroad infrastructure projects that improve
safety, support economic vitality (including through opportunities for
small businesses), create good-paying jobs with the free and fair
choice to join a union, increase capacity and supply chain resilience,
apply innovative technology, and explicitly address climate change,
gender equity and racial equity. The purpose of this notice is to
solicit applications for the competitive CRISI Program provided in
Consolidated Appropriations Act, 2023, division L, title I, Public Law
117-328 (2023 Appropriation), Consolidated Appropriations Act, 2024,
division F, title I, Public Law 118-42 (2024 Appropriation) and the
2023 and 2024 advance appropriation in the Infrastructure Investment
and Jobs Act, division J, title II, Public Law 117-58 (2021).
In addition to the funding made available for the CRISI Program,
this NOFO includes funds for eligible projects under the Magnetic
Levitation Technology Deployment Program (Maglev Grants Program) and
solicits applications for eligible project costs for the deployment of
magnetic levitation transportation projects. The Maglev Grants Program
is authorized under and funded in the Consolidated Appropriations Act,
2021, division L, title I, Public Law 116-260 (2021 Appropriation),
consistent with the language in section 1307(a) through (c) of Public
Law 109-59 (SAFETEA-LU), as amended by section 102 of Public Law 110-
244 (Technical Corrections Act) (23 U.S.C. 322 note). Applications for
Maglev Grants Program funding that also seek funding under the CRISI
Program will be evaluated consistent with the selection criteria for
the Maglev Grants Program.
This NOFO integrates FRA's Guidance on Development and
Implementation of Railroad Capital Projects (88 FR 2163, Jan. 12, 2023)
(FRA's Capital Projects Guidance) which assists project sponsors in
developing effective and complete capital projects by defining the
project development process and describing implementation tools,
processes, and documentation that may be required for a grant. FRA's
Capital Projects Guidance can be found here: https://railroads.dot.gov/elibrary/fra-guidance-development-and-implementation-railroad-capital-project.
In December 2023, FRA updated its standard grant agreement terms
and conditions. The new FRA grant agreement consists of three parts:
Attachment 1: Standard Terms and Conditions, Attachment 2: Project-
Specific Terms and Conditions, and Terms and Conditions Exhibits. The
updated agreements are available at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
The Department seeks to fund projects that advance the
Administration Priorities of safety, equity, climate and
sustainability, workforce development, job quality, and wealth creation
as described in the U.S. Department of Transportation (DOT) Strategic
Plan,\1\ and in executive orders, which are described in section E.
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\1\ Additional information about the USDOT Strategic Plan,
Research, Development and Technology Strategic Plan can be found
here: https://www.transportation.gov/dot-strategic-plan.
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2. Definitions of Key Terms
Terms defined in this section are capitalized throughout this
notice.
a. ``Benefit-Cost Analysis'' (``BCA'') is a systematic, data-
driven, and transparent analysis comparing monetized project benefits
and costs, using a no-build baseline and properly discounted present
values, including concise documentation of the assumptions and
methodology used to produce the analysis; a description of the
baseline, data sources used to project outcomes, and values of key
input parameters; basis of modeling including spreadsheets, technical
memos, etc.; and presentation of the calculations in sufficient detail
and transparency to allow the analysis to be reproduced and for
sensitivity of results evaluated by FRA. All project submissions to the
CRISI program require a Benefit-Cost Analysis. Please refer to the
updated Benefit-Cost Analysis Guidance for Discretionary Grant Programs
(2024) prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance-
discretionary-grant-programs-0. In addition, please also refer to the
BCA FAQs on FRA's website for rail specific examples of how to apply
the BCA Guidance for Discretionary Grant Programs to CRISI
applications.\2\
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\2\ Additional information about the BCA FAQs can be found here:
https://railroads.dot.gov/rail-network-development/planning/project-planning/benefit-cost-analysis-guidance.
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b. ``Capital Project'' means a project for acquiring, constructing,
improving, or inspecting rail equipment, track and track structures, or
a rail facility, including expenses incidental to the acquisition or
construction including pre-construction activities (such as designing,
engineering, location surveying, mapping, acquiring rights-of-way) and
related relocation costs,\3\ environmental studies, and all work
necessary for FRA to consider the effects of the proposed project under
the National Environmental Policy Act; highway-rail grade crossing
improvements; communication and signalization improvements; and
rehabilitating, remanufacturing, or overhauling rail rolling stock and
rail facilities.\4\
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\3\ FRA will consider right-of-way acquisition only for
applications which seek Construction funding.
\4\ For any project that includes purchasing Intercity Passenger
Rail rolling stock, applicants are encouraged to use a standardized
approach to the procurement of passenger rail equipment, such as the
specifications developed by the Next Generation Corridor Equipment
Pool Committee or a similar uniform process.
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c. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple rides, and commuter tickets, and morning
and evening peak period operations, consistent with 49 U.S.C. 24102(3).
The term does not include rapid transit operations in an urban area
that are not connected to the general railroad system of
transportation.
d. ``Construction'' means the Lifecycle Stage of a Capital Project
during which the Capital Project is completely built, installed and
placed into use. Construction activities include, but are not limited
to, physical construction and installation of the Capital Project,
including testing of equipment, workforce training, and start-up
testing. Construction activities occur after a project has completed
Final Design.
e. ``Deployment of Magnetic Levitation Transportation Projects''
means, for purposes of this NOFO, transportation systems employing
magnetic levitation that would be capable of safe use by the public at
a speed in excess of 240 miles per hour.\5\
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\5\ This definition only applies to projects eligible under the
Maglev Grants Program. These projects may also be eligible for
funding under the CRISI program consistent with 49 U.S.C. 22907(c).
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[[Page 22209]]
f. ``Final Design'' or ``FD'' means the Lifecycle Stage of a
Capital Project during which the Capital Project design is advanced to
be ready for Construction. This is when the agreements necessary to
construct and operate the Capital Project are secured, acquisition of
right-of-way is completed, and final engineering plans and
specifications necessary for construction of the project are produced.
Final Design activities occur after a Capital Project has completed
Project Development, and before a Capital Project can advance to
Construction. Final Design is described in FRA's Capital Projects
Guidance.
g. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except commuter rail passenger transportation. see 49
U.S.C. 22901(3), and in this NOFO, it has the same meaning as
``Intercity Passenger Rail Service'' and ``Intercity Passenger Rail
Transportation''.
h. ``Lifecycle Stage'' means each of the consecutive stages of a
Capital Project as it is developed and implemented that include Systems
Planning, Project Planning, Project Development, Final Design,
Construction, and Operation. Each sequential stage involves specific
activities. Lifecycle Stages are described in FRA's Capital Projects
Guidance.
i. ``Major Project'' means a Capital Project with a capital cost
estimate equal to or greater than $500 million and with at least $100
million in federal assistance under the CRISI Program. Major Project is
described in FRA's Capital Project Guidance.
j. ``National Environmental Policy Act'' or ``NEPA'' (42 U.S.C.
4321 et seq.) is a Federal law that requires Federal agencies to
analyze and document the environmental impacts of a proposed action in
consultation with appropriate Federal, Tribal, state, and local
authorities, and with the public. Environmental review under NEPA
consists of an Environmental Impact Statement (EIS), Environmental
Assessment (EA) or Categorical Exclusion (CE). The NEPA class of action
depends on the potential environmental impacts of the proposed action.
For purposes of this NOFO, NEPA also includes all related Federal laws
and regulations including the Clean Air Act, section 4(f) of the
Department of Transportation Act, section 7 of the Endangered Species
Act, and section 106 of the National Historic Preservation Act.
Additional information regarding FRA's environmental processes and
requirements is located at https://railroads.dot.gov/rail-network-development/environment/environment. NEPA consultation and
documentation are considered part of the Project Development Lifecycle
Stage, as described in FRA's Capital Projects Guidance.
k. ``Positive Train Control System'' (``PTC'') is defined by 49 CFR
270.5 to mean a system designed to prevent train-to-train collisions,
overspeed derailments, incursions into established work zone limits,
and the movement of a train through a switch left in the wrong
position, as described in 49 CFR part 236, subpart I.
l. ``Preliminary Engineering'' or ``PE'' means engineering design
to define a Capital Project, including identification of all
environmental impacts and design of all critical project elements at a
level sufficient to ensure reliable cost estimates and schedules. The
PE development process starts with specific project design alternatives
that allow for the assessment of a range of rail improvements, specific
alignments, and project designs. PE is considered part of the Project
Development Lifecycle Stage, as described in FRA's Capital Projects
Guidance.
m. ``Project Development'' means the Lifecycle Stage of a Capital
Project during which the project sponsor conducts design,
environmental, and other studies to ensure the Capital Project is ready
for implementation. Project Development activities occur after a
project sponsor has completed Project Planning, and before a Capital
Project can advance to Final Design. Project Development is described
in FRA's Capital Projects Guidance.
n. ``Project Management Plan'' means, under this NOFO, a document
that describes how the Capital Project will be implemented, monitored,
and controlled to help the project sponsor effectively, efficiently,
and safely deliver the project on time, within budget, and at the
highest appropriate quality. Project Management Plan is described in
FRA's Capital Projects Guidance.
o. ``Project Planning'' is the first Lifecycle Stage of a Capital
Project during which the project sponsor identifies Capital Project
concepts to adequately address transportation needs and opportunities
identifies and compares costs, benefits, and impacts of project
options; identifies the impacted environmental resources and engages
with interested parties, agencies, and infrastructure owners. Project
Planning activities are completed before a Capital Project advances to
Project Development. Project Planning is described in FRA's Capital
Projects Guidance and consistent with the 2023 Appropriation.
p. ``Rural Area'' means any area that is not within an area
designated as an urban area with at least 50,000 in population by the
most recent decennial Census.
q. ``Rural Project'' means a project in which all or the majority
of the project (determined by the geographic location or locations
where the majority of the project funds will be spent) is located in a
Rural Area.
r. ``Significant Reduction of Emissions'' as used in this NOFO,
results from rehabilitating, remanufacturing, procuring, or
overhauling: (1) a Non-Tiered, Tier 0, or Tier 1 locomotive to at least
the Tier 2 level; (2) a Tier 2 or Tier 3 locomotive to at least a Tier
4 level; or (3) any locomotive to an all-electric, renewable diesel,
battery-powered, or other renewable energy locomotive. Non-tiered, Tier
0 and Tier 1 locomotives must be retired if replaced. Emission
standards and Tier designations for line-haul and switch locomotives
are set by the U.S. Environmental Protection Agency, 40 CFR part 1033,
subpart B.
s. ``Systems Planning'' means the first Lifecycle Stage when
planning activities that support the development of a railroad capital
plan, a state or regional rail plan, or a corridor service development
plan that may identify a Capital Project, are completed. System
Planning is described in FRA's Capital Projects Guidance.
t. ``Relocation'' means moving a rail line vertically or laterally
to a new location. Vertical Relocation refers to raising above the
current ground level or sinking below the current ground level of a
rail line. Lateral Relocation refers to moving a rail line horizontally
to a new location.
B. Federal Award Information
1. Available Award Amount & Special Funding Set-Asides
The total funding available for awards under this NOFO is up to
$2,478,391,050, made available by the 2023 Appropriation, 2024
Appropriation, 2023 and 2024 advance appropriations provided in IIJA,
and remaining unawarded 2022 CRISI balances.\6\ The total funding also
[[Page 22210]]
includes $2,000,000 in FY 2021 funding for the Maglev Grant Program, as
detailed in this section. Should additional CRISI Program funds become
available after the release of this NOFO, FRA may elect to award such
additional funds to applications received under this NOFO. Any awards
made under this NOFO are subject to the availability of appropriated
funds.
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\6\ In addition to the $2,478,391,050 in CRISI funding made
available in this NOFO, $80,727,922 in CRISI funds will be
separately made available for Special Transportation Circumstances
grants, $129,383,997 in CRISI funds will be set aside for the
purposes, and in amounts, specified for Community Project Funding/
Congressionally Directed Spending in the table entitled ``Community
Project Funding/Congressionally Directed Spending'' included in the
joint explanatory statement, and $55,179,159 in CRISI funds will be
set aside for award and program oversight conducted by FRA.
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Further, of the available award amount listed above, certain
funding amounts are set aside for the following purposes under this
NOFO:
a. Rural Set-Aside--At least $657,393,500, or 25 percent of the
total amount appropriated of the CRISI Program funds, will be made
available for projects located in Rural Areas as required in 49 U.S.C.
22907(g). FRA will consider a project to be in a Rural Area if all or
the majority of the project (determined by the geographic location or
locations where the majority of the project funds will be spent) is
located in a Rural Area.
b. Intercity Passenger Rail Set-Aside--At least $150,000,000 will
be made available for Capital Projects as defined by 49 U.S.C. 22901(2)
that support the development of new Intercity Passenger Rail Service
routes including alignments for existing routes, as described in 49
U.S.C. 22907(c)(2) and as required in the 2023 Appropriation.
c. Trespassing Measures Set-Aside--At least $32,724,132 \7\ will be
made available for the development and implementation of measures to
prevent trespassing and reduce associated injuries and fatalities, as
described in 49 U.S.C. 22907(c)(11) \8\ and as required in the 2023
Appropriation.
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\7\ This amount includes $25,000,000 in Fiscal Year 2023 Annual
Appropriation and $7,724,132 in carryover funding from Fiscal Year
2022.
\8\ FRA will give preference to projects that are located in the
top 25 counties with the most pedestrian trespasser casualties.
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d. Magnetic Levitation Deployment Projects Set-Aside--$2,000,000 in
2021 Appropriation funding will be made available for the Deployment of
Magnetic Levitation Transportation Projects. In addition, $5,000,000
will be made available from the 2023 Appropriation for preconstruction
planning activities and capital costs related to the deployment of
magnetic levitation transportation projects.
e. Workforce Development Set-Aside--At least $5,000,000 will be
made available for workforce development and training activities, as
described in 49 U.S.C. 22907(c)(13) and as required by the 2023
Appropriation.
2. Award Size
FRA anticipates making multiple awards with the available funding.
FRA may not be able to award grants to all eligible applications even
if they meet or exceed the stated evaluation criteria (see section E,
Application Review Information). FRA strongly encourages applicants to
seek funding for the appropriate Lifecycle Stage of a Capital Project,
consistent with the application tracks in section C(3)(c) below. Where
an application includes multiple Lifecycle Stages of a Capital Project,
FRA may decide to only award funds for what it determines is the
appropriate Lifecycle Stage.
In addition, projects may require more funding than is available.
FRA encourages applicants to propose a project that has operational
independence, or a component of such project, which can be completed
and implemented with funding under this NOFO as a part of the total
project cost together with other, non-Federal sources. (See section
C(3)(c) for more information). While there is no predetermined minimum
or maximum dollar threshold for individual awards, FRA encourages
applications that request funding in excess of $1,000,000.
Applicants are not limited in the number of projects for which they
seek funding. Applicants submitting more than one application are
requested to submit a priority ranking of their submitted applications
that is consistent with each application package submitted.
3. Award Type
FRA will make awards for projects selected under this notice
through grant agreements and/or cooperative agreements. Grant
agreements are used when FRA does not expect to have substantial
Federal involvement in carrying out the funded activity. Cooperative
agreements allow for substantial Federal involvement in carrying out
the agreed upon investment, including technical assistance, review of
interim work products, and increased program oversight. The term
``grant'' is used throughout this document and is intended to reference
funding awarded through a grant agreement or a cooperative agreement.
The funding provided under this NOFO will be made available to
grantees on a reimbursable basis. Applicants must certify that their
expenditures are allowable, allocable, reasonable, and necessary to the
approved project before seeking reimbursement from FRA. Additionally,
the grantee is expected to expend matching funds at the required
percentage concurrent with Federal funds throughout the life of the
project.
The new FRA grant agreement consists of three parts: Attachment 1:
Standard Terms and Conditions, Attachment 2: Project-Specific Terms and
Conditions, and Terms and Conditions Exhibits. The grant agreement
templates are available at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements. These templates are subject to
revision.
4. Concurrent Applications
DOT and FRA may concurrently solicit applications for
transportation infrastructure projects for several financial assistance
programs. Applicants may submit applications requesting funding for a
particular project to one or more of these programs. In the application
for funding under this NOFO, applicants must indicate the other
program(s) to which they submitted an application for funding the
entire project or certain components, as well as highlight new or
revised information in the application responsive to this NOFO that
differs from the previously submitted application(s).
C. Eligibility Information
This section of the notice explains applicant eligibility, cost
sharing and matching requirements, project eligibility, and project
component operational independence. Applications that do not meet the
requirements in this section are ineligible for funding. Instructions
for submitting eligibility information to FRA are detailed in section D
of this NOFO.
1. Eligible Applicants
The following entities are eligible applicants for all CRISI
projects under this notice: \9\
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\9\ For applications seeking funding under the Maglev Grant
Program, only a State, States, or an authority designated by one or
more States are eligible to receive funding under this NOFO.
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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
one or more States.
e. A political subdivision of a State.
f. Amtrak or another rail carrier that provides intercity rail
passenger transportation (as rail carrier and intercity rail passenger
transportation are defined in 49 U.S.C. 24102).
g. A Class II railroad or Class III railroad, including any holding
[[Page 22211]]
company of a Class II or Class III railroad (as those terms are defined
in 49 U.S.C. 20102).\10\
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\10\ Consistent with 49 U.S.C. 20102, a Class II and Class III
railroad is defined as an entity that is a railroad carrier (under
49 U.S.C. 20102(3)) with an annual carrier operating revenue that
meets the threshold amount for Class II and Class III carriers, as
determined by the Surface Transportation Board in 49 CFR 1201.1-1.
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h. An association representing one or more railroads described in
paragraph (g).
i. A federally recognized Indian Tribe.
j. Any rail carrier or rail equipment manufacturer in partnership
with at least one of the entities described in paragraphs (a) through
(e).
k. The Transportation Research Board and any entity with which it
contracts in the development of rail-related research, including
cooperative research programs.
l. A University transportation center engaged in rail-related
research.
m. A non-profit labor organization representing a class or craft of
employees of rail carriers or rail carrier contractors.
Amounts awarded from the 2023 and 2024 Appropriation for otherwise
eligible projects that implement or sustain Positive Train Control
Systems are not subject to the limitation in 49 U.S.C. 22905(f) and may
therefore be awarded for commuter rail passenger transportation
projects. FRA may transfer such projects to the appropriate agency to
administer.
The applicant serves as the primary point of contact for the
application, and if selected, as the recipient of the grant award. An
application may identify entities that are not eligible applicants as
project partners.
2. Cost Sharing and Matching
The Federal share of total costs for CRISI Program projects funded
under this NOFO shall not exceed 80 percent. The estimated total cost
of a project must be based on the best available information, including
engineering studies, studies of economic feasibility, environmental
analyses, and information on the expected use of equipment and/or
facilities. Additionally, in preparing estimates of total project
costs, applicants are encouraged to use FRA's cost estimate guidance
documentation, ``Capital Cost Estimating: Guidance for Project
Sponsors,'' which is available at: https://www.fra.dot.gov/Page/P0926.
Project sponsors should account for the impact of factors such as
inflation as the applicant prepares their scope, schedule, and budget.
The minimum 20 percent non-Federal share may be comprised of public
sector (e.g., State or local) or private sector funding. FRA will not
consider any Federal financial assistance, or any non-Federal funds
already expended (or otherwise encumbered) toward the matching
requirement, unless such sources are compliant with 2 CFR part 200. In-
kind contributions, including the donation of services, materials, and
equipment, may be credited as a project cost in a uniform manner
consistent with 2 CFR 200.306. In addition, applicants may count costs
incurred for Preliminary Engineering associated with highway-rail grade
crossing improvement projects and trespassing prevention projects as
described in 49 U.S.C. 22907(c)(5) and (11), respectively, as part of
the total project costs. Such costs are eligible as non-Federal share
or for reimbursement, even if they were incurred before project
selection for award, consistent with 49 U.S.C. 22907(h)(4).\11\ Such
costs must have been incurred no earlier than November 15, 2021, and
must be otherwise compliant with 2 CFR part 200 and the requirements of
this CRISI Program.
---------------------------------------------------------------------------
\11\ FRA interprets the language in 49 U.S.C. 22907(h)(4) to
permit FRA to reimburse grantees for Preliminary Engineering costs
on Highway-rail grade crossing projects incurred before the date of
project selection, if the costs would be permitted as part of total
project costs if incurred after the date of project selection and
are consistent with 2 CFR part 200.
---------------------------------------------------------------------------
If Amtrak or another rail carrier is an applicant under this CRISI
Program, Amtrak or such 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.
Funding under this NOFO may not be used for costs that are included
in or used to meet cost sharing or matching requirements of any other
Federally financed award or program. If the applicant is seeking
additional funding for a project that has already received Federal
financial assistance, costs associated with the scope of work for the
existing Federal award are not eligible for funding under this NOFO.
Only new scope elements/activities (e.g., new deliverables) are
eligible for funding under this NOFO.
Before applying, applicants should carefully review the principles
for cost sharing or matching in 2 CFR 200.306. See section D(2)(a)(iii)
for required application information on non-Federal match and section E
for further discussion of FRA's consideration of matching funds in the
review and selection process. FRA will approve pre-award costs incurred
after announcement of awards consistent with 2 CFR 200.458, as
applicable. See section D(6). Cost sharing or matching may be used only
for eligible expenses for authorized Federal award purposes.
All contracts for projects financed with Federal funds will be
subject to applicable Federal requirements. Applicants that have
entered into contracts for a proposed project prior to award must
ensure that applicable Federal requirements are included in the
contract in the event the project is selected and Federal funds are
obligated.
3. Eligible Projects
a. The Following Are Eligible Under This NOFO
i. Deployment of railroad safety technology, including positive
train control (PTC) and rail integrity inspection systems. PTC examples
include: back office systems; wayside, communications and onboard
hardware equipment; software; equipment installation; spectrum; any
component, testing and training for the implementation of PTC systems;
and interoperability. Maintenance and operating expenses incurred after
a PTC system is placed in revenue service are ineligible. Railroad
safety technology and rail integrity inspection system examples
include: broken rail detection and warning systems; track intrusion
systems; and hot box detectors, wheel impact load detectors, and other
safety improvements.\12\
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\12\ Only costs for FD and Construction stages and forward are
eligible within this eligibility category.
---------------------------------------------------------------------------
ii. A capital project as defined in 49 U.S.C. 22901(2), except that
a project shall not be required to be included in a State rail plan
developed under 49 U.S.C. chapter 227.
iii. A capital project identified by the Secretary as being
necessary to address congestion or safety challenges affecting rail
service.\13\
---------------------------------------------------------------------------
\13\ FRA interprets ``capital project'' in this section to mean
a Capital Project as defined in this NOFO. For example, a track
improvement project that also addresses congestion or safety issues.
---------------------------------------------------------------------------
iv. 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.\14\
---------------------------------------------------------------------------
\14\ FRA interprets ``capital project'' in this section to mean
a Capital Project as defined in this NOFO. For example, an intercity
passenger rail track project on a heavily trafficked corridor.
---------------------------------------------------------------------------
v. A highway-rail grade crossing improvement project, including
installation, repair, or improvement of grade separations, railroad
crossing signals, gates, and related technologies, highway traffic
signalization, highway
[[Page 22212]]
lighting and crossing approach signage, roadway improvements such as
medians or other barriers, railroad crossing panels and surfaces, and
safety engineering improvements to reduce risk in quiet zones or
potential quiet zones.
vi. A rail line relocation or improvement project.
vii. A capital project to improve short-line or regional railroad
infrastructure.
viii. The preparation of regional rail and corridor service
development plans and corresponding environmental analyses.\15\
---------------------------------------------------------------------------
\15\ These are planning activities normally performed during the
Systems Planning Lifecycle Stage. Consistent with the 2023
Appropriations, railroad project-level planning activities are also
eligible.
---------------------------------------------------------------------------
ix. Any project that the Secretary considers necessary to enhance
multimodal connections or facilitate service integration between rail
service and other modes, including between intercity rail passenger
transportation and intercity bus service or commercial air service.\16\
---------------------------------------------------------------------------
\16\ FRA interprets ``project'' in this section to mean a
Capital Project as defined in this NOFO.
---------------------------------------------------------------------------
x. The development and implementation of a safety program or
institute designed to improve rail safety.
xi. The development and implementation of measures to prevent
trespassing and reduce associated injuries and fatalities. Examples
include: trespass-related Capital Projects (such as physical barriers,
fencing, or equipment), trespassing enforcement activities, and
outreach campaigns resulting in trespasser deterrence and prevention.
xii. Any research that the Secretary considers necessary to advance
any particular aspect of rail-related capital, operations, or safety
improvements.
xiii. Workforce development and training activities, coordinated to
the extent practicable with the existing local training programs
supported by the Department of Transportation, the Department of Labor,
and the Department of Education.\17\
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\17\ Workforce development, training and related eligible
activities are not limited to those coordinated with the existing
local training programs supported by the Department of
Transportation, the Department of Labor, and the Department of
Education.
---------------------------------------------------------------------------
xiv. Research, development, and testing to advance and facilitate
innovative rail projects, including projects using electromagnetic
guideways in an enclosure in a very low-pressure environment.
xv. The preparation of emergency plans for communities through
which hazardous materials are transported by rail.
xvi. Rehabilitating, remanufacturing, procuring, or overhauling
locomotives, provided that such activities result in a significant
reduction of emissions.
xvii. Deployment of Magnetic Levitation Transportation
Projects.\18\ Project eligibility is further provided in Track 5, as
described in section C(3)(c)(v).
---------------------------------------------------------------------------
\18\ This category covers projects that are eligible under the
Maglev Grants Program. Projects under this category may also be
eligible to receive CRISI Program funds, to the extent the
application complies with all CRISI Program requirements.
Applications for funding under both Programs will be evaluated
consistent with the selection criteria for the Maglev Grants
Program.
---------------------------------------------------------------------------
b. Project Component
If an applicant requests funding for a component or set of
components of a larger Capital Project, the project component(s)
included in the application must be attainable with the award amount
and comply with all eligibility requirements described in section C. In
addition, the component(s) must enable independent analysis and
decision making, as determined by FRA, under NEPA (i.e., have
independent utility, connect logical termini, and not restrict the
consideration of alternatives for other reasonably foreseeable rail
projects).
c. Application Tracks
Applicants are not limited in the number of projects for which they
seek funding. FRA generally evaluates applications in Tracks based on
the Lifecycle Stages of a Capital Project. While applications covering
multiple Lifecycle Stages are not precluded, FRA generally expects that
applications identify only one of the following tracks for an eligible
proposed project:
Track 1--Systems Planning and Project Planning;
Track 2--Project Development;
Track 3--FD/Construction;
Track 4--Research, Workforce Development, Safety Programs
and Institutes (Non-Railroad Infrastructure); or
Track 5--Deployment of Magnetic Levitation Transportation
Projects.
FRA strongly encourages applicants to seek funding for the
appropriate Lifecycle Stage of a Capital Project, consistent with these
application tracks. To the extent possible, applicants should describe
their projects consistent with FRA's Capital Projects Guidance, which
provides a detailed description of each Lifecycle Stage and its
required activities: https://railroads.dot.gov/elibrary/fra-guidance-development-and-implementation-railroad-capital-project.
If an application seeks funding under more than one application
Track for multiple Lifecycle Stages, FRA may award funds for the
application Track and corresponding Lifecycle Stage(s) it determines
most appropriate based on project readiness information. Applicants are
directed to identify the project components and estimated amount of
Federal funding requested for each Lifecycle Stage. If an application
selected for award includes multiple Lifecycle Stages, FRA will require
the grantee to complete the Lifecycle Stages in the order consistent
with FRA's Capital Projects Guidance.
i. Track 1--Systems Planning and Project Planning: Track 1 consists
of Systems Planning and/or Project Planning specific to an eligible
Capital Project. Systems Planning examples include the technical
analyses and associated environmental analyses that support the
development of railroad capital plans, state rail plans, regional rail
plans, and corridor service development plans, including:
Identification of alternatives, rail network planning, market analysis,
travel demand forecasting, revenue forecasting, railroad system design,
railroad operations analysis and simulation, equipment fleet planning,
station and access analysis, conceptual engineering and capital
programming, operating and maintenance cost forecasting, capital
replacement and renewal analysis, and economic analysis. Example
activities for Project Planning include: the development of a purpose
and need statement; completion of conceptual engineering and other
design; documentation showing that project alternatives were
considered; completion of an environmental resource inventory and
potential environmental concerns analysis; scale design drawings;
public and stakeholder involvement; completion of an order-of-magnitude
project cost estimate; and for Major Projects, completion of an initial
Project Management Plan. Project Planning projects funded under this
NOFO must be sufficiently developed when complete to support Project
Development activities.
ii. Track 2--Project Development: Track 2 consists of projects for
eligible Project Development activities. Example activities include:
completion of PE and architectural or other design; PE drawings and
specifications (scale drawings at the 30 percent design level,
including track geometry as appropriate); design criteria, schematics
and/or track charts that support the development of PE; work that can
be funded in conjunction with developing PE, such as operations
modeling, surveying, project work/management
[[Page 22213]]
plans, preliminary cost estimates, and preliminary project schedules;
completion of environmental review; and completion of applicable
project management documentation (such as a project management plan,
schedule, capital cost estimate, and financial plan). Project
Development projects funded under this NOFO must first demonstrate
completion of Project Planning elements prior to Project Development
funds being awarded and be sufficiently developed when complete to
support FD or Construction activities.
iii. Track 3--FD/Construction: Track 3 consists of projects for
eligible FD and Construction activities. Applicants must complete all
necessary Planning and Project Development stages, including PE and
NEPA requirements, prior to moving to the FD/Construction stage of a
project. FD activities may include completion of the FD documentation,
acquisition of right-of-way,\19\ resolving remaining uncertainties or
risks associated with changes to the design and scope of the Capital
Project; addressing procurement processes; and updating/completing the
applicable project management documentation (such as a Project
Management Plan, schedule, capital cost estimate, and financial
plan).\20\ Construction activities may include physical construction
and installation of the capital project, including procurement and
manufacturing of vehicles and equipment, project administration,
testing of equipment (e.g., signal equipment and rolling stock),
systems integration testing, workforce training, system certification,
procurement of insurance, provision of warrantees, pre-revenue service,
and start-up testing. Prior to obligation, applicants selected for
funding for FD/Construction must demonstrate completion of applicable
Systems Planning and Project Planning and Project Development
activities, consistent with FRA's Capital Projects Guidance.
---------------------------------------------------------------------------
\19\ FRA will only award funds for right-of-way (ROW)/property
acquisition activities if the proposed project also includes
construction activities consistent with the Construction Lifecycle
Stage. FRA will not fund ROW acquisition activities independently or
if proposed project only includes pre-construction activities or
Lifecycle Stages (i.e., Project Planning, Project Development, or
Final Design).
\20\ Applicants selected for funding are encouraged to submit
the following before obligation: an updated Project Management Plan
(including a schedule, capital cost estimate, and financial plan),
as grantees will be expected to develop a Project Management Plan
under the grant agreement. See FRA's Capital Projects Guidance,
Section V--Project Management for additional information.
---------------------------------------------------------------------------
iv. Track 4--Research, Workforce Development, Safety Programs, and
Institutes (Non-Railroad Infrastructure): Track 4 consists of projects
not falling within Tracks 1-3, or 5, and includes workforce development
activities, research, safety programs or institutes designed to improve
rail safety that clearly demonstrate the expected positive impact on
rail safety and research, development and testing to advance innovative
rail projects. Sufficient detail must be provided on what the project
will accomplish, over what duration as well as the applicant's
capability to achieve the proposed outcomes. Funding under this track
may be sought for projects extending over multiple fiscal years.
Examples include initiatives for improving rail safety, training,
preparation of hazardous materials emergency plans, trespass
enforcement activities, and outreach campaigns resulting in trespasser
deterrence and prevention. Applicants with proposed projects at the FRA
Transportation Technology Center (TTC), located in Pueblo, Colorado,
must demonstrate there is appropriate participation from relevant
stakeholders, at the time of application.
v. Track 5--Deployment of Magnetic Levitation Transportation
Projects: Track 5 consists of eligible projects that (1) involve a
segment or segments of a high-speed ground transportation corridor; (2)
result in an operating transportation facility that provides a revenue
producing service; (3) are approved by the Secretary based on an
application submitted to the Secretary of Transportation by a State or
authority designated by one or more States. Eligible project costs are:
(1) The capital cost of the fixed guideway infrastructure of a Maglev
project including land acquisition, support structures, guideways,
propulsion equipment and other components attached to guideways, power
distribution facilities (including substations), control and
communications facilities, access roads, and storage, repair, and
maintenance facilities and (2) preconstruction planning activities.
Eligible project costs exclude new stations and rolling stock, as well
as costs incurred solely for land or right-of-way acquisition (even if
such acquisition is to secure future operational right-of-way).
Applicants applying under Track 5 will be evaluated under the
additional Maglev Grants Program criteria, even if also applying for
CRISI Program funding. Please see section E(2)(b) for further details.
d. Rural Project
FRA will consider a project to be in a Rural Area if all or the
majority of the project (determined by geographic location(s) where the
majority of the project funds will be spent) is located in a Rural
Area. However, in the event FRA elects to fund a component of the
project, then FRA will reevaluate whether the project is in a Rural
Area.
D. Application and Submission Information
Required documents for the application are outlined in the
following paragraphs. Applicants must complete and submit all
components of the application for the application to be reviewed by
FRA. An applicant that fails to submit all required documentation prior
to the closing period of the notice may have its application deemed
incomplete and will not advance to evaluation review. See section D(2)
for the required documents and information for an application package.
FRA welcomes the submission of additional relevant supporting
documentation, such as planning, engineering, and design documentation,
and letters of support from partnering organizations, which will not
count against the Project Narrative 25-page limit.
1. Address To Request Application Package
Applicants may access application materials at https://www.Grants.gov and must submit all application materials in their
entirety through https://www.Grants.gov no later than 11:59 p.m. EST,
on May 28, 2024. Applicants must complete an Authorized Organization
Representative (AOR) profile on www.Grants.gov and create a username
and password. Additional information about the registration process is
available at: https://www.grants.gov/applicants/applicant-registration.
Applicants are strongly encouraged to apply early to ensure that
all materials are received before the application deadline. FRA
reserves the right to modify this deadline. General information for
submitting applications through Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270. FRA is committed to ensuring that
information is available in appropriate alternative formats to meet the
requirements of persons who have a disability. If you require an
alternative version of files provided or paper copies of materials,
please contact Ms. Laura Mahoney, Office of the Chief Financial
Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Washington, DC 20590; email: [email protected]; or telephone: 202-
578-9337.
The E-Biz point of contact (E-Biz POC) at the applicant's
organization
[[Page 22214]]
must respond to the registration email from Grants.gov and login at
www.Grants.gov to authorize the applicant as the AOR. Please note there
can be more than one AOR for an organization.
If an applicant has difficulty at any point during this process,
please call the Grants.gov Customer Center Hotline at 1-800-518-4726,
24 hours a day, 7 days a week (closed on Federal holidays). For
information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/support.
2. Content and Form of Application Submission
FRA strongly advises applicants to read this section carefully.
Applicants must submit all required information and components of the
application package to be considered for funding. Applications that are
not submitted on time or do not contain all required documentation will
not be considered for funding. To support the application, applicants
may provide additional relevant and available optional supporting
documentation that may have been developed by the applicant, especially
such documentation that provides evidence of completion of the
appropriate Lifecycle Stage(s) of a Capital Project. Additionally,
applicants selected to receive funding must satisfy the requirements in
49 U.S.C. 22905, including FRA's Buy America requirement and conditions
explained in part at https://www.fra.dot.gov/page/P0185 and further in
section F.2 of this notice. Required documents and information for an
application package include the following:
------------------------------------------------------------------------
Application information NOFO section for guidance
------------------------------------------------------------------------
Project Narrative...................... See D.2.a.
Statement of Work...................... See D.2.b.i.
Benefit-Cost Analysis.................. See D.2.b.ii.
Environmental Compliance Documentation. See D.2.b.iii.
Draft Agreement required under 49 See D.2.b.iv.
U.S.C. 22905(c)(1), if applicable.
SF 424--Application for Federal See D.2.b.v.
Assistance \21\.
SF 424A--Budget Information for Non- See. D.2.b.vi.
Construction or SF 424C--Budget
Information for Construction.
SF 424B--Assurances for Non- See D.2.b.vii.
Construction or SF 424D--Assurances
for Construction.
FRA's F 30--Certifications Regarding See D.2.b.viii.
Debarment, Suspension and Other
Responsibility Matters, Drug-Free
Workplace Requirements and Lobbying.
FRA F 251--Applicant Financial See D.2.b.ix.
Capability Questionnaire.
SF LLL--Disclosure of Lobbying See D.2.b.x.
Activities, if applicable.
------------------------------------------------------------------------
a. Project Narrative
---------------------------------------------------------------------------
\21\ The amount requested from the CRISI program on the SF-424
is the official record of request, and therefore must be consistent
with the amount requested in the Project Narrative and Statement of
Work documents, including the breakdown of Federal and Non-Federal
sources. For applications with discrepancies, FRA will defer to the
funding amount in the SF-424.
---------------------------------------------------------------------------
This section describes the minimum content the applicant is
required to provide in the Project Narrative section of the grant
application. The Project Narrative must follow the basic outline below
to address the program requirements and assist evaluators in locating
relevant information.
I. Cover Page.......................... See D.2.a.i.
II. Project Summary.................... See D.2.a.ii.
III. Grant Funds, Sources and Uses of See D.2.a.iii.
Project Funds.
IV. Applicant Eligibility Criteria..... See D.2.a.iv.
V. Project Eligibility Criteria........ See D.2.a.v.
VI. Detailed Project Description....... See D.2.a.vi.
VII. Project Location.................. See D.2.a.vii.
VIII. Evaluation and Selection Criteria See D.2.a.viii.
IX. Project Implementation and See D.2.a.ix.
Management.
The applicant must provide the content listed above in a narrative
statement. The Project Narrative may not exceed 25 pages in length
(excluding cover pages, table of contents, and supporting
documentation). When possible, applicants should submit supporting
documents via website links rather than hard copies. If supporting
documents are submitted, applicants must clearly identify the relevant
portion of the supporting document with the page numbers of the cited
information in the Project Narrative. The Project Narrative must adhere
to the following outline.
i. Cover Page: include a cover page that lists the following
elements in either a table or formatted list:
Project Title.............................. ...........................
Applicant Name............................. ...........................
Amount of CRISI Program Funding Requested $:
under this NOFO.
Amount of Proposed Non-Federal Match....... $:
Other Sources of Federal funding, if Provide funding source and
applicable. amount.
$:
Source(s) of Proposed Non-Federal Match.... ...........................
Total Project Cost......................... $:
Was a Federal Grant Application Previously Yes/No. If yes, please
Submitted for this Project?. specify the program,
funding year and project
title of the previous
application, and identify
any differences between
the applications.
City(ies), County(ies), State(s) Where the ...........................
Project is Located.
Is the Project Located in a Rural Area?.... Yes/No.
Congressional District(s) Where the Project ...........................
is Located.
Application Track(s) proposed to be funded ...........................
by this NOFO?
Lifecyle Stage(s) proposed to be funded by ...........................
this NOFO?
[[Page 22215]]
Current Lifecycle Stage and Anticipated ...........................
completion of current Lifecycle Stage?
Is the Project located on real property If yes, list real property
owned by someone other than the applicant?. owners and the nature of
the property interest.
Host Railroad/Infrastructure Owner(s) of ...........................
Project Assets;
Other impacted Railroad(s)................. ...........................
Tenant Railroad(s), if applicable.......... ...........................
If applicable, is a 49 U.S.C. 22905- Yes/No/Pending.
compliant Railroad Agreement executed or
pending?.
Is the project currently programmed in ANY Yes/No, and if yes,
medium- or long-range planning document: specify.
For example, State rail plan, or
interregional intercity passenger rail
systems planning study, State Freight
Plan, TIP, STIP, MPO Long Range
Transportation Plan, State Long Range
Transportation Plan, etc.?.
Is the project located on a potential Yes/No, if yes, specify the
corridor selected for the Corridor corridor(s).
Identification and Development Program?
\22\.
Is this a project eligible under 49 U.S.C. Yes/No.
22907(c)(2) that supports the development
of new intercity passenger rail service
routes including alignments for existing
routes?.
Is this a project eligible under 49 U.S.C. Yes/No.
22907(c)(11) that supports the development
and implementation of measures to prevent
trespassing and reduce associated injuries
and fatalities?.
If YES to the previous question, is this Yes/No.
project located in a county identified in
FRA's National Strategy to Prevent
Trespassing on Railroad Property?.
Is the application seeking consideration Yes/No.
for funding under the Maglev Grants
Program?.
ii. Project Summary: Provide a brief 4-6 sentence summary of the
proposed project. Include challenges the proposed project aims to
address and summarize the intended outcomes and anticipated benefits
that will result from the proposed project.
---------------------------------------------------------------------------
\22\ For more information about selected Corridors under the
Corridor Identification Program, please visit: https://railroads.dot.gov/elibrary/fy22-CID-program-selections.
---------------------------------------------------------------------------
iii. Grant Funds, Sources and Uses of Project Funds:
Project budgets should show how different funding sources will
share in each activity and present the data in dollars and percentages.
The budget should identify other Federal funds the applicant is
applying for, has been awarded, or intends to use. Funding sources
should be grouped into three categories: non-Federal, CRISI request,
and other Federal with specific amounts for each funding source. As
shown in the table format below, the applicant should indicate the
amount in dollars and percentages of CRISI or Maglev Grants Program
funding requested, the amount of non-Federal match, source(s) for all
non-Federal match,\23\ other Federal funds (if applicable), and the
total project cost. FRA may not award more funding for a project than
is requested in an application. The applicant should itemize funding by
project Lifecycle Stage(s) and by project activity. For a Major
Project, applicants are encouraged to provide an annualized budget in
year of expenditure dollars. Project budget information must be
consistent throughout all application materials, specifically the
Standard Form (SF) 424, Project Narrative, Statement of Work, and
funding commitment letters.\24\ The project budget should be specific
to the project scope described in the applicant's request for funding
under this NOFO. If the project proposed to be funded under this NOFO
is part of a larger scope, the applicant may reference the larger scope
in the Project Narrative but should only include the project scope
proposed to be funded under this NOFO within the budget table.
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\23\ Applicants should submit evidence of the availability of
Non-Federal funds, which may include a board resolution, letter of
support from the State, a budget document highlighting the line item
or section committing funds to the proposed project. The applicant
may provide this documentation in an appendix. Documentation of
previous and recent local investments in the project may evidence of
local financial commitment project, but cannot be used to satisfy
non-Federal matching requirements. Any funding commitment letters
must be signed by an authorized representative of the entity
providing a Non-Federal match.
\24\ If there is a discrepancy between materials, FRA will defer
to the funding amounts shown in the applicant's SF 424 as the amount
requested for funding.
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If applicable, the applicant should explain if the CRISI Program
request or other funds must be obligated or spent by a certain date.
If applicable, the applicant should provide the type and estimated
value of any proposed in-kind contributions, as well as explain how the
contributions meet the requirements in 2 CFR 200.306. If the applicant
is requesting set-aside funds per section B(1), identify the dedicated
activities and amount requested within the budget table.
Example Project Funding Table: Applicants may use the following
table to describe project funding, and may use additional rows and
columns, or additional project funding tables, as appropriate.
----------------------------------------------------------------------------------------------------------------
Task name/ Source of funds and
Task # project Cost Percentage of total citation, as
component cost applicable
----------------------------------------------------------------------------------------------------------------
1............................
----------------------------------------------------------------------------------------------------------------
2............................
----------------------------------------------------------------------------------------------------------------
Total Project Cost............................
----------------------------------------------------------------------------------------------------------------
Federal Funding Requested in
this Application (CRISI
Program Request).
----------------------------------------------------------------------------------------------------------------
[[Page 22216]]
Non-Federal Funding (State).. Cash:..........
In-Kind:.......
----------------------------------------------------------------------------------------------------------------
Non-Federal Funding (Private Cash:..........
Sector). In-Kind:.......
----------------------------------------------------------------------------------------------------------------
Non-Federal Federal Funding Cash:..........
(Local). In-Kind:.......
----------------------------------------------------------------------------------------------------------------
Other Committed Federal
Funding \25\ (e.g., Federal
Highway Administration,
congressionally directed/
earmark, other FRA grant
program funds--including
previous CRISI grants, etc.).
Note: If there are multiple
sources of other federal
funding, please break
funding down by each source.
----------------------------------------------------------------------------------------------------------------
Other Pending Federal Funding
Requests \26\.
----------------------------------------------------------------------------------------------------------------
Amount (if any) of funding
request eligible for set-
aside funds as described in
section B(1).
----------------------------------------------------------------------------------------------------------------
Portion of Total Project
Costs Spent in a Rural Area,
if applicable.
----------------------------------------------------------------------------------------------------------------
For Highway-rail grade If yes, how
crossing and trespass much?
prevention projects only.
Does some or all the
proposed Non-Federal Match
for the total project cost
consist of preliminary
engineering costs incurred
before project selection
(but after November 15,
2021)? \27\.
----------------------------------------------------------------------------------------------------------------
iv. Applicant Eligibility Criteria: In this section, the applicant
must explain how it meets the applicant eligibility criteria outlined
in section C of this NOFO and include citations to appropriate
authorities that demonstrate the applicant's eligibility to receive
federal funds. For example, if the applicant is a political subdivision
of a State, public agency or publicly chartered authority established
by one or more States, the applicant should provide relevant
legislative language, including citations to the applicable enabling
legislation, that demonstrate the applicant's legal status. Applicants
that fail to adequately demonstrate their legal status may be found
ineligible and their application will not be reviewed.
---------------------------------------------------------------------------
\25\ For other Federal funding sources proposed as match, the
applicant should explain why the Federal funds are eligible as match
and the legal basis for that determination.
\26\ For other Federal funds that will be used for the project,
the applicant should identify the Federal program and fiscal year of
the funding request(s), as well as highlight new or revised
information in the application responsive to this NOFO that differs
from the application(s) to other financial assistance programs.
\27\ If seeking to use Preliminary Engineering costs as match
for a Highway-Rail Grade Crossing Improvement Project or trespassing
prevention projects, please identify the costs incurred before
project selection (but after November 15, 2021).
---------------------------------------------------------------------------
v. Project Eligibility Criteria: Explain how the proposed project
meets the project eligibility criteria in section C(3) of this NOFO.
vi. Detailed Project Description: In this section, the applicant
must provide a detailed project description that expands upon the brief
project summary. This detailed description should provide, at a
minimum: additional background on the challenges the project aims to
address; a summary of current and proposed railroad operations in the
project area and service frequency, which should include identification
of all railroad owners and operators; typical daily, weekly, or annual
train counts by operator; the primary expected project outcomes such as
increased safety outcomes or reduced delays, improved rail network
asset condition and performance, or similar outcomes and benefits; the
expected users and beneficiaries of the project, including all railroad
operators; the specific components and elements of the project; and any
other information the applicant deems necessary to justify the proposed
project. For all projects, applicants must provide information about
proposed performance measures, as described in section F(3) and
required in 2 CFR 200.301.
(A) Grade crossing information, if applicable: For any project that
includes grade crossing components, applicants must provide the
following information for each grade crossing to be addressed in the
application. The following table
[[Page 22217]]
format can be used within the Project Narrative or, if more space is
needed, in a separate, unlocked Excel file attachment (the table will
not count against the 25-page Project Narrative page limit):
1. US DOT grade crossing inventory number (for projects involving
pathway-rail grade crossings that do not have US DOT grade crossing
inventory numbers or data, applicants should provide as much locational
data as possible); \28\
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\28\ To find US DOT grade crossing inventory number(s) and
location(s) please see https://railroads.dot.gov/safety-data/fra-safety-data-reporting/crossing-inventory-data-search. Applicants are
encouraged to review and reference safety data including the most
recent 5-year history of highway-rail crossing incidents relevant to
their project on FRA's public safety website: https://safetydata.fra.dot.gov/OfficeofSafety/publicsite/crossing/crossing.aspx or https://data.transportation.gov/dataset/Highway-Rail-Grade-Crossing-Accident-Data-Form-57-/aeeh-bp8c/explore.
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2. The proposed improvement requested in the application, using
``new, separated, closed or improved'' (such as gate additions, lights,
etc.) to describe proposed improvement;
3. The operator(s) (i.e., the entity(ies) that operates on the
railroad right-of-way);
4. The property owner (i.e., the entity(ies) which own the
underlying property or right-of-way;
5. The infrastructure owner (i.e., the entity that owns the
infrastructure within the railroad right-of-way); and
6. The grade crossing location latitude and longitude coordinates,
expressed with at least five decimal places of precision.\29\
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\29\ For example, if a project was proposed to take place at the
Department of Transportation Headquarters in Washington, DC then the
reported latitude should be 38.87589 and the longitude should be
reported as-77.00337.
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Example Table 1. In Project Narrative or attached as an appendix in
unlocked Excel file format:
----------------------------------------------------------------------------------------------------------------
Latitude coordinates Longitude
US DOT grade Proposed Rail Railroad (at least five coordinates (at
crossing inventory # improvement operator(s) owner decimal places of least five decimal
precision) places of precision)
----------------------------------------------------------------------------------------------------------------
............... ............... ............ .................... ....................
----------------------------------------------------------------------------------------------------------------
............... ............... ............ .................... ....................
----------------------------------------------------------------------------------------------------------------
............... ............... ............ .................... ....................
----------------------------------------------------------------------------------------------------------------
* Example Table 1: Grade Crossing Information for Proposed Project.
In addition, if applicable, applicants should provide the page
number in the State Highway-Rail Grade Crossing Action Plan where the
grade crossing is referenced. Applicants should specify whether the
project will result in the elimination of one or more grade crossings
through grade separation or otherwise.
(B) Heavily traveled rail corridor information, if applicable: For
any project eligible under the eligibility category that reduces
congestion and facilitates ridership growth in Intercity Passenger Rail
Transportation, applicants must describe how the project is located on
a heavily traveled rail corridor.
(C) PTC information, if applicable: For any project that includes
deploying PTC, applicants must: (1) document submission of a Positive
Train Control Implementation Plan (PTCIP) to FRA pursuant to either 49
U.S.C. 20157(a) or 49 CFR part 236, subpart I (FRA's PTC regulations);
(2) document that it is a tenant on one or more host railroads that
submitted a PTCIP to FRA; or (3) document how the proposed project will
assist in the deployment (i.e., installation and/or full
implementation) of PTC, including whether the PTC technology is being
implemented voluntarily or pursuant to the statutory mandate for
certain main lines.
(D) Workforce development and training information, if applicable:
For any project that includes workforce development, applicants must
document to the extent practicable similar existing local training
programs supported by the Department of Transportation, the Department
of Labor, and/or the Department of Education. The applicant must also
(a) describe whether the workforce development project incorporates
union representation, and (b) describe any involvement or partnership
with existing in-house skills training programs, unions and worker
organizations, community colleges and public school districts,
community-based organizations, supportive services providers, pre-
apprenticeships tied to registered apprenticeships, registered
apprenticeship programs and other labor-management training programs,
or other quality workforce training providers. Applicants are strongly
encouraged to outline their plan to recruit, train, and retain a
locally hired, diverse workforce.
(E) Trespassing injury and fatality prevention and reduction, if
applicable: Provide documentation indicating whether the project is
located in a county(ies) with high pedestrian trespasser casualties, as
identified in FRA's National Strategy to Prevent Trespassing on
Railroad Property, whether the applicant has incorporated the Community
Trespass Prevention Program \30\ into their project approach, whether
and how law enforcement agencies will undertake trespass enforcement
activities as part of a larger strategy, whether the project would
include funding for law enforcement wages to undertake trespass
enforcement activities,\31\ and how and whether the project targets hot
spots identified by geospatial data. If the project includes an
outreach campaign to reduce suicide by railroad, applicants must
provide a detailed description of the proposed outreach campaign,
including (but not limited to) relevant data on rail-related suicides
in the project location, the manner and extent to which trespass
suicide is expected to be reduced, and examples of prior efforts to
address rail-related suicide.
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\30\ The Community Trespass Prevention Program is a problem-
solving model designed to provide a step-by-step approach for
dealing with trespassing issues in communities. For more
information, see https://railroads.dot.gov/sites/fra.dot.gov/files/fra_net/1265/USCommunityTrespassPreventionGuide_2010F%282-29%29.pdf.
\31\ Funding for law enforcement activities is limited to hourly
wages for law enforcement officials to undertake enforcement
activities at areas that demonstrate a rail trespassing problem in
their community on FRA-regulated track. The hourly rate for law
enforcement officers performing enforcement activities should be
limited to the officer's regular and overtime wage rate (e.g. 1.5
times the base rate).
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(F) Emissions reductions information, if applicable: For any
projects involving rehabilitating, remanufacturing, procuring, or
overhauling locomotives resulting in significant reduction of
emissions, identify the number of locomotives that will be procured,
replaced, or retired. Also, describe the
[[Page 22218]]
anticipated emissions reductions earned and fuel saving estimates. FRA
has developed the Locomotive Emissions Comparison Tool, which
applicants may use to calculate locomotive emissions reductions. The
Tool is available at: https://railroads.dot.gov/elibrary/fra-locomotive-emissions-comparison-tool.
(G) Community Emergency Plans, if applicable: For projects
involving the preparation of emergency plans for communities through
which hazardous materials are transported by railroad, include
commitments for coordination by stakeholders including representatives
from the chemical manufacturing industry, distributors, shippers,
railroads (and other transportation industry and supply chain
representatives), emergency response providers (including firefighters,
emergency medical technicians hazmat employees, and law enforcement)
and federal, state and local governments. Based on information provided
by the transporting railroads, identify the hazardous materials
transported through the relevant community by hazard class as defined
in 49 CFR 173.2. Proposed plans should address all such hazardous
materials and may include rationales for focusing on certain hazardous
materials if appropriate. Include the emergency types planned for and
the approach for developing and communicating the plan. Include a
description of proposed training, including frequency (funding may be
sought for projects extending multiple years) and attendees and any
required materials.
(H) Maglev Grants Program Magnetic Levitation Transportation
Projects, if applicable. Applicants must provide a detailed description
of the project, which should include, at a minimum: background on the
current transportation challenges the project aims to address, the
expected users, beneficiaries, and outcomes of the project, and any
other information the applicant deems necessary to justify the proposed
project. Applicants should provide specific information regarding the
relevance or relationship of the proposed project to other investments
in the region along the corridor, as well as the operating changes that
are anticipated to result from the introduction and integration of
Maglev services within existing transportation corridors and assess the
major risks (including safety risks and energy consumption) or
obstacles to Maglev's successful deployment and operation. Provide
information on the variety of operating conditions that would be
expected for the project area, which may include, for example, a
variety of at-grade, elevated and depressed guideway structures;
extreme temperatures; or intermodal connections at terminals. Provide a
detailed summary of all work completed to date, including any
preliminary engineering work, the project's previous accomplishments
and funding history including Federal financial assistance, and a
chronology of key documents produced and funding events (e.g., grants
and financing). The applicant should specify whether they are seeking
funding for a project that has already received Federal financial
assistance, and if applicable, explain how the new scope proposed to be
funded under this NOFO relates to the previous scope.
vii. Project Location: Applicants must include geospatial data for
the project, as well as a map of the project's location. Geospatial
data must be expressed in decimal degrees for latitude and longitude
with at least five decimal places of precision. If the project includes
a length of track or corridor development, the start and end
coordinates for each corridor or segment must be provided. Milepost,
railroad, and subdivision identifiers can also be provided but must be
accompanied by corresponding latitudes and longitudes. For projects
with multiple locations, the corresponding geospatial data must be
included for each location, with individual columns for latitude and
longitude, in table form as an attachment to the application. On the
map, include the Congressional districts in which the project will take
place.
viii. Evaluation and Selection Criteria: The applicant must include
a thorough discussion of how the proposed project meets the evaluation
and selection criteria. As described in section E, FRA will evaluate
applications based on project readiness, technical merit and project
benefits, and will consider how the applicant's project aligns with the
Administration Priorities. If an application does not sufficiently
address the evaluation criteria and the selection criteria, it is
unlikely to be a competitive application. Applicants are expected to
follow the directions and format requested in this NOFO, and adherence
to these directions will be considered in evaluations. Applicants are
encouraged to include quantifiable railroad data, such as information
on delay, failure or safety incidents, daily train movement, or similar
metrics, and should include qualitative data on accessibility
improvements to either new or existing assets. To the extent feasible,
such railroad metrics should be provided and analyzed discretely for
intercity passenger rail and, if applicable, commuter rail passenger
transportation and freight rail transportation services involved in the
proposed project. For more information on performance metrics see FRA's
Metrics and Minimum Standards for Intercity Passenger Rail Service,
available at: https://railroads.dot.gov/elibrary/metrics-and-standards-final-rule-november-16-2020.
xiii. Project Implementation and Management: Applicants must
describe proposed project implementation and project management
arrangements. Include descriptions of the expected arrangements for
project contracting (construction, maintenance and operation), contract
oversight and control, change-order management, risk management, and
conformance to Federal requirements for project progress reporting (see
FRA Reports, available at: https://www.fra.dot.gov/Page/P0274).
Further, applicants must provide their plan for taking affirmative
steps to employ small businesses consistent with 2 CFR 200.321.
Describe experience in managing and overseeing similar projects; the
technical qualifications and demonstrated experience of key personnel
proposed to lead and perform the technical efforts; and the
qualifications of the primary and supporting organizations to fully and
successfully execute the proposed project within the proposed timeframe
and budget, including a discussion of the factors in 2 CFR 200.206(b)
and the proposed approach to assessing and mitigating project risk.
b. Additional Application Elements
Applicants must submit the following documents and forms. Note, the
Standard OMB Forms needed for the electronic application process are
available at: www.Grants.gov.
i. A Statement of Work (SOW) addressing the scope, schedule,
budget, and performance measures for the proposed project if it were
selected for award. The applicant should include sufficient detail in
the SOW so FRA can understand the expected outcomes of the proposed
work to be performed and can monitor progress toward completing project
tasks and deliverables during a prospective grant's period of
performance. Applicants are expected to include Articles 4-7 of
Attachment 2: Project Specific Terms and Conditions, at a minimum.\32\
Applications that do not follow this format may be considered
incomplete and may not be reviewed.
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\32\ https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
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When preparing the budget, the total cost of a project must be
based on the
[[Page 22219]]
best available information as indicated in cited references that
include engineering studies, economic feasibility studies,
environmental analyses, and information on the expected use of
equipment or facilities. Applicants must include annual budget
estimates in year of expenditure dollars for the duration of the
project.
ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project
Narrative, for each project described in the application. A Benefit-
Cost Analysis is required for all CRISI program submissions. The BCA
must demonstrate in economic terms the merits of investing in the
proposed project. Estimates of benefits should be presented in monetary
terms whenever possible; if a monetary estimate is not possible, the
applicant should provide a quantitative estimate (in physical, non-
monetary terms, such as crash or employee casualty rates, ridership
estimates, emissions levels, energy efficiency improvements, etc.). The
BCA for Track 1 Planning and Track 2 Project Development projects
should be for the underlying project, not the planning or PE/NEPA work
itself. The Project Narrative should summarize the project's benefits,
and should draw from the BCA, as necessary, for quantitative support.
Benefits may apply to existing and new rail users, as well as users
of other modes of transportation. In some cases, benefits may be
applied to populations in the general vicinity of the project area.
Improvements to multimodal connections and shared-use rail corridors
may benefit all users involved. Benefits may be quantified for savings
in safety costs, reduced costs from disruption of service, maintenance
costs, reduced travel time, emissions reductions, and increases in
capacity or ability to offer new types of freight or passenger
services. Applicants may also describe other categories of benefits
that are difficult to quantify such as noise reduction, environmental
impact mitigation, improved quality of life, or reliability of travel
times. All benefits claimed for the project must be clearly tied to the
expected outcomes of the project. Please refer to the Benefit-Cost
Analysis Guidance for Discretionary Grant Programs prior to preparing a
BCA, available at: https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition,
please also refer to FRA's BCA FAQs for some rail-specific examples of
how to apply the BCA Guidance for Discretionary Grant Programs to CRISI
funding found here: https://railroads.dot.gov/sites/fra.dot.gov/files/fra_net/19011/BCA_FAQ_updated_Sept2019.pdf.
iii. Environmental compliance documentation, as applicable, if a
website link to such documentation is not provided in the Project
Narrative.
Applicants should explain what Federal (and, if appropriate, State,
Tribal, and local) environmental compliance and permitting requirements
have been completed. Such requirements include NEPA and other Federal,
Tribal, local, and State environmental permitting requirements, if
applicable. For all other Federal, State, Tribal, and local permitting
requirements, the applicant should describe which permits apply, the
status of those reviews, and the expected timeline for completion. If
the NEPA process is complete, an applicant should indicate the date of
completion, and provide a website link or other reference to the
documents demonstrating compliance with NEPA, which might include a
final Categorical Exclusion determination documentation, Finding of No
Significant Impact, or Record of Decision. If the NEPA process is not
yet underway, the application should state this. If the NEPA process is
underway, but not complete, the application should detail the type of
NEPA review underway, where the project is in the process, and indicate
the anticipated date of completion of all NEPA and other environmental
requirements. Additional information regarding FRA's environmental
processes and requirements is located at https://fra.dot.gov/environment.
iv. Draft or finalized agreement required under 49 U.S.C.
22905(c)(1), if applicable. Provide information about the status of
agreements with infrastructure owners. FRA encourages early cooperation
between applicants and any relevant infrastructure owners. Under
section 22905(c)(1), a grant applicant must have entered into a written
agreement with a railroad that owns rights-of-way to be used by the
project (referred to as the 22905 Agreement) prior to grant obligation.
If the agreement is complete at the time of the application, an
applicant should indicate the agreement's effective date, and provide a
website link or attach the agreement as part of the application.
Applicants are also encouraged to provide draft agreements. The written
agreement between the grantee and the railroad should describe use and
ownership, including any compensation for such use; assurances
regarding the adequacy of infrastructure capacity to accommodate both
existing and future freight and passenger operations; 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
an assurance that the grantee complies with liability requirements
consistent with 49 U.S.C. 28103. For additional guidance see the FRA
Answers to Frequently Asked Questions about Rail Improvement Grant
Conditions under 49 U.S.C. 22905(c)(1): https://railroads.dot.gov/elibrary/frequently-asked-questions-about-rail-improvement-grant-conditions-under-49-usc-ss-22905c1.
v. SF 424--Application for Federal Assistance.
vi. SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction.
vii. SF 424B--Assurances for Non-Construction or SF 424D--
Assurances for Construction.
viii. FRA F30--Certification Regarding Debarment, Suspension and
Other Responsibility Matters, Drug-Free Workplace Requirements and
Lobbying, located at https://railroads.dot.gov/elibrary/fra-f-30-certifications-regarding-debarment-suspension-and-other-responsibility-matters.
ix. FRA F 251--Applicant Financial Capability Questionnaire,
located at https://railroads.dot.gov/elibrary/fra-f-251.
x. SF LLL--Disclosure of Lobbying Activities.
c. Post-Selection Requirements
See section F(2) of this notice for post-selection requirements.
3. Unique Entity Identifier and System for Award Management (SAM)
To apply for funding through Grants.gov, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier in its application, and continue to
maintain an active SAM registration all as described in detail below.
Complete instructions on how to register and submit an application can
be found at www.Grants.gov. Registering with Grants.gov is a one-time
process; however, it can take up to several weeks for first-time
registrants to receive confirmation and a user password. FRA recommends
that applicants start the registration process as early as possible to
prevent delays that may preclude submitting an application package by
the application deadline. Applications will not be accepted after the
due date.
FRA may not make a grant award to an applicant until the applicant
has
[[Page 22220]]
complied with all applicable SAM requirements, and if an applicant has
not fully complied with the requirements by the time the Federal
awarding agency is ready to make a Federal award, the Federal awarding
agency may determine that the applicant is not qualified to receive a
Federal award and use that determination as a basis for making a
Federal award to another applicant. Late applications, including those
that are the result of a failure to register or comply with Grants.gov
applicant requirements in a timely manner, will not be considered. If
an applicant has not fully complied with the requirements by the
submission deadline, the application will not be considered. To submit
an application through Grants.gov, applicants must follow the
directions below in subsection D.
a. Register With the SAM at www.SAM.gov
All applicants for Federal financial assistance must maintain
current registrations in the SAM database. An applicant must be
registered in SAM to successfully register in Grants.gov. The SAM
database is the repository for standard information about Federal
financial assistance applicants, grantees, and subrecipients.
Organizations that have previously submitted applications via
Grants.gov are already registered with SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award, including information on a grantee's immediate and
highest-level owner and subsidiaries, as well as on all predecessors
that have been awarded a Federal contract or grant within the last
three years, if applicable. Information about SAM registration
procedures is available at www.SAM.gov.
b. Obtain a Unique Entity Identifier
On April 4, 2022, the Federal government discontinued using DUNS
numbers. The DUNS Number was replaced by a new, non-proprietary
identifier that is provided by the System for Award Management
(www.SAM.gov). This new identifier is called the Unique Entity
Identifier (UEI), or the Entity ID. To find or request a Unique Entity
Identifier, please visit www.SAM.gov.
c. Create a Grants.gov Username and Password
Applicants must complete an Authorized Organization Representative
(AOR) profile on www.Grants.gov and create a username and password.
Applicants must use the organization's UEI to complete this step.
Additional information about the registration process is available at:
https://www.grants.gov/applicants/applicant-registration.
d. Acquire Authorization for Your AOR From the E-Business Point of
Contact (E-Biz POC)
The E-Biz POC at the applicant's organization must respond to the
registration email from Grants.gov and login at www.Grants.gov to
authorize the applicant as the AOR. Please note there can be more than
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This
NOFO
If an applicant has trouble at any point during this process,
please call the Grants.gov Customer Center Hotline at 1-800-518-4726,
24 hours a day, 7 days a week (closed on Federal holidays). For
information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/support.
4. Submission Dates and Times
Applicants must submit complete applications to www.Grants.gov no
later than 11:59 p.m. ET, May 28, 2024. Applicants will receive a
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov
information on dates/times of applications submitted to determine
timeliness of submissions. Late applications will be neither reviewed
nor considered, no exceptions. To apply for funding under this
announcement, all applicants are required to be registered as an
organization with Grants.gov. Applicants are strongly encouraged to
apply early to ensure all materials are received before this deadline.
To ensure fair competition for limited discretionary funds, no late
submissions will be reviewed for any reason, including: (1) failure to
complete the Grants.gov registration process before the deadline; (2)
failure to follow Grants.gov instructions on how to register and apply
as posted on its website; (3) failure to follow all the instructions in
this NOFO; and (4) technical issues experienced with the applicant's
computer or information technology environment.
5. Intergovernmental Review
Intergovernmental Review is required for this program. Applicants
must contact their State Single Point of Contact to comply with their
state's process under Executive Order 12372.
6. Funding Restrictions
Consistent with 2 CFR 200.458, as applicable, FRA will only approve
pre-award costs if such costs are incurred pursuant to the negotiation
and in anticipation of the grant agreement and if such costs are
necessary for efficient and timely performance of the scope of
work.\33\ Under 2 CFR 200.458, grant recipients must seek written
approval from FRA for pre-award activities to be eligible for
reimbursement under the grant. Activities initiated prior to the
execution of a grant or without FRA's written approval may be
ineligible for reimbursement or matching contribution. Cost sharing or
matching may be used only for authorized Federal award purposes.
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\33\ For more information on pre-award costs, see FRA Answers to
Frequently Asked Questions about Pre-Award Authority, available at:
https://railroads.dot.gov/elibrary/federal-railroad-administration-answers-frequently-asked-questions-about-pre-award.
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Applicants may count costs incurred for Preliminary Engineering
costs on highway-rail grade crossing projects, as described in 49
U.S.C. 22907(c)(5), and trespassing prevention projects, as described
in 49 U.S.C. 22907(c)(11), as part of the total project costs. Such
costs are eligible as non-Federal share or reimbursement, even if they
were incurred before project selection for award, consistent with 49
U.S.C. 22907(h)(4). Such costs must have been incurred no earlier than
November 15, 2021, and must be otherwise compliant with 2 CFR part 200
and the requirements of this NOFO.
7. Other Submission Requirements
Please use generally accepted formats such as .pdf, .doc, .docx,
.xls, .xlsx and .ppt, when uploading attachments. While applicants may
embed picture files, such as .jpg, .gif, and .bmp in document files,
applicants should not submit attachments in these formats.
Additionally, the following formats will not be accepted: .com, .bat,
.exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and
.zip.
[[Page 22221]]
E. Application Review Information
1. Criteria
a. Eligibility and Completeness
FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in section C of this
NOFO), completeness (application documentation and submission
requirements are outlined in section D of this NOFO), and the 20
percent minimum non-Federal match.
b. Evaluation Criteria
FRA will evaluate all eligible and complete applications using the
evaluation criteria outlined in this section to determine project
readiness, technical merit, and project benefits.
i. Project Readiness:
In evaluating Project Readiness, FRA will evaluate project and
applicant risk based on the applicant's preparedness and capacity to
implement the proposed project, including whether the applicant is
reasonably equipped to begin the capital or planning project in a
timely manner to meet its proposed schedule. FRA will evaluate whether
the applicant is able to meet project milestones and use Federal funds
efficiently to deliver the proposed project.\34\
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\34\ Additional information on DOT's Project Readiness checklist
can be found here: https://www.transportation.gov/grants/dot-navigator/project-readiness-checklist-dot-discretionary-grant-applicants.
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FRA will evaluate the application for the degree to which--
(A) The application demonstrates strong project readiness,
evidenced by status of required NEPA actions and environmental
permitting readiness (if applicable);
(B) The status and timeline of agreements, such as an agreement
required under 49 U.S.C. 22905(c)(1), necessary for the legal,
financial, and technical capacity to complete the project as proposed,
are sufficiently developed;
(C) The application identifies the appropriate Lifecycle Stage(s)
for the proposed project, demonstrates that the project has completed
or will complete any preceding Lifecycle Stage(s), and the project is
able to complete all requirements of the identified Lifecycle Stage(s);
and
(D) Project partner coordination and commitments, including letters
of support, agreements, and funding, are secured or able to be secured
without undue delay.
ii. Technical Merit:
In evaluating Technical Merit, FRA will evaluate the degree to
which the application, statement of work, schedule and budget are
reasonable and appropriate to achieve the expected outcomes, commitment
of necessary resources and workforce to deliver the project, and the
proposed project elements are appropriate for the project funding
request. FRA will also consider applicant risk, including the
applicant's past performance in developing and delivering similar
projects.
FRA will evaluate application information for the degree to which--
(A) The tasks and subtasks outlined in the statement of work (SOW)
are appropriate to achieve the expected outcomes of the proposed
project;
(B) The technical qualifications and experience of key personnel
the applicant proposes to lead and perform the technical efforts,
including the qualifications of the primary and supporting
organizations, demonstrates the ability to fully and successfully
execute the proposed project within the proposed time frame and budget;
(C) The proposed project's business plan considers potential
private sector participation in the financing, construction, or
operation of the proposed project.
(D) The applicant has, or will have, the legal, financial, and
technical capacity to carry out the proposed project; satisfactory
continuing control over the use of the equipment or facilities; and the
capability and willingness to maintain the equipment or facilities.
(E) The degree to which the applicant and project deploy innovative
technology, encourage innovative approaches to project delivery, and
incentivize the use of innovative financing.
(F) The proposed project is consistent with planning guidance and
documents set forth by DOT, including those required by law or State
rail plans developed under title 49, United State Code, chapter 227.
For projects identified as Deployment of Magnetic Levitation
Transportation Projects (Track 5), FRA will also evaluate application
information for the degree to which--
(A) The project would feasibly integrate Maglev systems with
conventional rail systems, such as establishing efficient connections
and transfers.
(B) The funds awarded under this section would result in
investments that are beneficial not only to the Maglev project, but
also to other current or near-term transportation projects.
(C) The project demonstrates: (a) The potential for public-private
partnerships and (b) that the project will stand alone as a complete,
self-sustaining operation where fully allocated operating expenses of
the Maglev service are projected to be offset by revenues attributable
to the service.
(D) The financial commitment to the construction of the proposed
project from both non-Federal public and private sources is
demonstrated.
(E) The project demonstrates coordination and consistency with any
applicable ongoing or completed environmental and planning studies for
passenger rail on or connecting to the geographic route segment being
proposed for Maglev investment.
(F) The project will successfully operate in the variety of Maglev
operating conditions which are to be expected in the United States.
(G) The project may feasibly be capable of safe use by the public
at a speed in excess of 240 miles per hour.
iii. Project Benefits:
FRA will evaluate the Benefit-Cost Analysis and as well as the
project benefits of the proposed project for the anticipated private
and public benefits relative to the costs of the proposed project and
the summary of benefits provided in the narrative and in response to
subsection D.2.b.ii including--
(A) Effects on system and service performance;
(B) Effects on safety, competitiveness, reliability, trip or
transit time, and resilience;
(C) Efficiencies from improved integration with other modes; and
(D) Ability to meet existing or anticipated demand.
For each evaluation criterion--Project Readiness, Technical Merit
and Project Benefits--FRA will evaluate whether the application
demonstrates level of risk or responsiveness, as applicable, as
described in the rubrics below.
For each merit criterion, FRA will use rubric ratings with applied
criteria to evaluate whether the applications meet the defined
thresholds:
[[Page 22222]]
Merit Criteria Ratings--Project Readiness
For the Project Readiness Criteria described in section E(2)(a), FRA
will evaluate the application's responsiveness to the criteria,
including an assessment of supporting justifications, and assign a
cumulative Project Readiness risk rating.
------------------------------------------------------------------------
Unacceptable High risk Medium risk Low risk
------------------------------------------------------------------------
Application Application Application Application
provides limited provides provides provides
or no insufficient sufficient thorough and
information information to information to complete
necessary to assess the assess the information and
assess the project project evidence to
project readiness readiness assess the
readiness criteria; criteria; project
criteria; application does demonstrates readiness
application does not demonstrate support, criteria, and
not demonstrate sufficient progress, or demonstrates
support, support, completion on strong support,
progress, or progress, or one or more progress, or
completion of completion of required completion on
required required Lifecycle required
Lifecycle Lifecycle Stage(s) pre- Lifecycle
Stage(s) pre- Stage(s) pre- requisites, but Stage(s) pre-
requisites; or requisites but indicates some requisites, and
application indicates risk risk to indicates
contains one or to advancing the advancing the minimal risk to
more significant project without project in a advancing the
barriers that foreseeable timely manner; project in a
would prevent delays; or and the timely manner;
project application application and application
delivery. contains a does not does not
barrier that contain a contain a
would likely barrier that barrier that
prevent project would likely would likely
delivery in any prevent project prevent project
of these areas. delivery in any delivery in any
of these areas. of these areas.
------------------------------------------------------------------------
Merit Criteria Ratings--Technical Merit
For the Technical Merit Criteria described in section E(2)(b), FRA will
evaluate the application's responsiveness to the criteria, including an
assessment of supporting justifications, and assign a cumulative
technical merit rating.
------------------------------------------------------------------------
Highly
Unacceptable Acceptable Responsive responsive
------------------------------------------------------------------------
Application Application Application Application
provides limited contains provides provides
or no insufficient sufficient thorough and
information information to information and complete
necessary to assess one or evidence to information and
assess the more of the assess the evidence to
technical merit technical merit technical merit assess the
criteria, or criteria, or criteria and technical merit
application application demonstrates criteria, and
demonstrates one demonstrates that the sufficiently
or more technical applicant can demonstrates
significant challenges that deliver the that the
technical could affect project with project can be
challenges that project minimal successfully
would prevent delivery, but technical delivered by
the applicant not prevent the challenges. the applicant.
from delivering applicant from
the project. delivering the
project.
------------------------------------------------------------------------
Merit Criteria Ratings--Technical Merit (Only Applicable to Applications
That Request Funding Under the Maglev Grants Program)
For projects identified as Deployment of Magnetic Levitation
Transportation Projects in section E(2)(b), FRA will also evaluate the
application's responsiveness to the criteria, including an assessment of
supporting justifications, and assign a cumulative technical merit
rating.
------------------------------------------------------------------------
Highly
Unacceptable Acceptable Responsive responsive
------------------------------------------------------------------------
The application Application Application Application
provides little contains provides provides
or no insufficient sufficient thorough and
information information to information and complete
necessary to assess one or evidence to information and
assess the more of the assess the evidence to
technical merit technical merit technical merit assess the
criteria, or criteria, or criteria and technical merit
application application demonstrates criteria, and
demonstrates one demonstrates that the sufficiently
or more technical applicant can demonstrates
significant challenges that deliver the that the
technical could affect project with project can be
challenges that project minimal successfully
would prevent delivery, but technical delivered by
the applicant not prevent the challenges. the applicant.
from delivering applicant from
the project. delivering the
project.
------------------------------------------------------------------------
Merit Criteria Ratings--Project Benefits
For the Project Benefits Criteria described in section E(2)(c), FRA will
evaluate the application's responsiveness to the criteria, including an
assessment of supporting justifications, and assign a cumulative Project
Benefits rating.
------------------------------------------------------------------------
Highly
Unacceptable Acceptable Responsive responsive
------------------------------------------------------------------------
Application The application Application Application
provides contains limited provides provides
insufficient information to sufficient thorough and
information assess the information to complete
necessary to project benefits assess the information and
assess the criteria; or the project evidence to
project benefits project is not benefits assess the
criteria, and likely to criteria, and project
does not achieve all of adequately benefits
demonstrate that its intended demonstrates criteria, and
the project will benefits. that the sufficiently
achieve its project will demonstrates
intended likely achieve that the
benefits. its intended project will
benefits. achieve its
intended
benefits.
------------------------------------------------------------------------
In addition to the ratings described above, FRA will also apply the
selection preferences described in section E(3)(a) and consider the
Administration Priorities described in section E(3)(b).
c. Selection Criteria
After completing the merit review, FRA will apply the selection
criteria and consider the Administration Priorities in this section.
i. FRA will give preference to eligible projects in the following
circumstances:
(A). The project may not be addressed by other FRA grant programs
including short line railroad infrastructure and equipment, safety
projects and technology, workforce development, congestion relief
projects addressing freight and passenger rail chokepoints, and
intercity passenger rail state of good repair (on shared public-private
and publicly owned infrastructure);
(B) The proposed Federal share of total project costs does not
exceed 50 percent; \35\
---------------------------------------------------------------------------
\35\ This preference applies to funds made available by IIJA,
division J. However, 49 U.S.C. 22907(e)(1)(A) does not apply to
projects funded by the 2023 Appropriation. Because the preference
still applies to the IIJA funding, FRA encourages applicants to
identify sufficient non-Federal contribution so that the Federal
share does not exceed 50 percent.
---------------------------------------------------------------------------
(C) The net benefits of the grant funds will be maximized
considering the Benefit-Cost Analysis, including
[[Page 22223]]
anticipated private and public benefits relative to the costs of the
proposed project, and factoring in the other considerations in 49
U.S.C. 22907(e)(2); \36\ and
---------------------------------------------------------------------------
\36\ These benefits may include the effects on system and
service performance, including measures such as improved safety,
competitiveness, reliability, trip or transit time, resilience,
efficiencies from improved integration with other modes, the ability
to meet existing or anticipated demand, and any other benefits.
---------------------------------------------------------------------------
(D) The project is eligible under 49 U.S.C. 22907(c)(11), for the
development and implementation of measures to prevent trespassing and
reduce associated injuries and fatalities that are located in the top
25 counties with the most pedestrian casualties.\37\ In addition, FRA
is strongly interested in applications that incorporate a comprehensive
approach to project development such as is described in FRA's Community
Trespass Prevention Program, and will prioritize selections for those
applications that involve multiple project partners and include
infrastructure improvements in combination with a safety program
focused on enforcement and outreach.
---------------------------------------------------------------------------
\37\ FRA has identified these 25 counties through https://railroads.dot.gov/safety-data, and includes the following:
California (Los Angeles, San Bernardino, Kern, San Joaquin, Alameda,
Contra Costa, Fresno, Riverside, Sacramento, Santa Clara, Orange,
Stanislaus, San Diego); Florida (Palm Beach, Broward); Illinois
(Cook); Nevada (Clark); Oregon (Multnomah); Pennsylvania
(Philadelphia); Tennessee (Davidson); Texas (Tarrant, Dallas, Bexar,
Harris); and Washington (King).
---------------------------------------------------------------------------
ii. Administration Priorities:
FRA will consider projects that address the following key
Administration Priorities:
Safety: FRA will assess the project's ability to foster a safe
transportation system for the movement of goods and people, consistent
with the Department's strategic goal to reduce transportation-related
fatalities and serious injuries across the transportation system. Such
considerations will include, but are not limited to, the extent to
which the project improves and upgrades infrastructure to achieve a
higher level of safety, reduces incidences of rail-related trespassing,
upgrades infrastructure to achieve a higher level of safety, and uses
an appropriately trained workforce. Overall, FRA expects that projects
will provide positive safety benefits for all users and not negatively
impact safety for all users.
Climate Change and Sustainability: FRA will assess the project's
ability to reduce the harmful effects of climate change and anticipate
necessary improvements to prepare for extreme weather events. Such
considerations may include, but are not limited to, the extent to which
the project reduces emissions, promotes energy efficiency, increases
resiliency, incorporates evidence-based climate resilience measures or
features, and avoids adverse environmental impacts to air or water
quality, wetlands, and endangered species. Projects that lead to a
significant reduction of emissions resulting from rehabilitating,
remanufacturing, procuring, and overhauling a locomotive meet the
objective of this priority.
Applicants are encouraged to use the DOT Navigator Climate
checklist in responding to this criterion. Applications that are rated
highly on this criterion will be those that use data-driven and
evidence-based methods to demonstrate that the project will:
Significantly reduce GHG emissions in the transportation
sector; and
Incorporate evidence-based climate resilience measures or
features.
Equity and Justice40: FRA will assess elements including how the
project will create positive outcomes that will reduce, mitigate, or
reverse how a community is experiencing disadvantage through increasing
affordable transportation options, improving health or safety, reducing
pollution, connecting Americans to good-paying jobs, fighting climate
change, and/or improving access to nature, resources, transportation or
mobility, and quality of life. FRA will consider the benefits and
potential burdens a project may create, who would experience them and
how the benefits and potential burdens will impact disadvantaged
communities.
Applicants are encouraged to use Climate & Economic Justice
Screening Tool (CEJST), a new tool by the White House Council on
Environmental Quality (CEQ), that aims to help Federal agencies
identify disadvantaged communities as part of the Justice40 initiative
to accomplish the goal that 40% of benefits from certain federal
investment reach disadvantaged communities. Applicants should use CEJST
as the primary tool to identify disadvantaged communities (Justice40
communities). Applicants are strongly encouraged to use the USDOT
Equitable Transportation Community (ETC) Explorer to understand how
their community or project area is experiencing disadvantage related to
lack of transportation investments or opportunities. Through
understanding how a community or project area is experiencing
transportation-related disadvantage, applicants are able to address how
the benefits of a project will reverse or mitigate the burdens of
disadvantage and demonstrate how the project will address challenges
and accrued benefits.
Applicants are strongly encouraged to use the FRA's Justice40 Rail
Explorer Tool, (https://usdot.maps.arcgis.com/apps/webappviewer/index.html?id=fd9810f673b64d228ae072bead46f703) to identify the rail
infrastructure in their project and features of the surrounding
community as the basis of their assessment. The FRA Justice40 Rail
Explorer Tool is a rail-specific complement to the USDOT ETC Explorer
and leverages the same methodology and metrics. The FRA Justice40 Rail
Explorer Tool provides GIS information on existing rail infrastructure,
communities, and pollution levels based on the proposed project's
location, and applicants can thus use this tool to note how their
project location scores across several different measures.
Transportation disadvantaged communities experience burden, as a result
of underinvestment in transportation, in the following five components:
Transportation Insecurity, Climate and Disaster Risk Burden,
Environmental Burden, Health Vulnerability, and Social Vulnerability.
Workforce Development, Job Quality, and Wealth Creation: FRA will
assess how the project will create good-paying, safe jobs with free and
fair choice to join a union including through the use of a project
labor agreement, promote investments in high-quality workforce
development programs, adopt local and economic hiring preferences for
the project workforce, and promote local inclusive economic and
entrepreneurship programs.
For Administration Priorities, FRA will consider the application's
responsiveness to the criteria, and will result in a rating of ``Non-
responsive, ``Acceptable,'' ``Responsive,'' or ``Highly Responsive'' as
described in the rubric below. Applicants do not need to respond to all
of the Administration Priorities if the criterion is not applicable to
the proposed project.
[[Page 22224]]
Administration Priorities
For the Administration Priorities Criteria described in section E(3)(b),
FRA will consider the application's responsiveness to the criteria,
including an assessment of supporting justifications.
------------------------------------------------------------------------
Highly
Non-responsive Acceptable Responsive responsive
------------------------------------------------------------------------
Application Application Application Application
contains contains limited contains contains
insufficient information that sufficient thorough and
information to is supported by information complete
assess any of some evidence, that is information
the but primarily adequately that is
Administration described supported by strongly
Priorities, or qualitatively, both supported by
project is that the project quantitative both
inconsistent is consistent and qualitative quantitative
with one or more with at least evidence that and qualitative
of the one of the the project has evidence that
Administration Administration clear and the project has
Priorities. Priorities. direct benefits clear, direct,
in at least one and significant
of the benefits in one
Administration or more of the
Priorities. Administration
Priorities, and
is not
inconsistent
with any of the
Administration
Priorities.
------------------------------------------------------------------------
Upon completion of all reviews, FRA will finalize an Overall Rating
for each application. This rating will be a combination of the results
of the three Merit Criteria reviews, specifically Project Readiness,
Project Benefits, and Technical Merit criteria ratings as described in
sections E(2)(a)-E(2)(c); the benefit-cost analysis as identified in
section E(2)(c) and further described in section D(2)(b)(ii); and the
Administration Priorities as described in section E(3)(b). Provided in
the Overall Rating Rubric below, each rating has defined parameters to
which each application will be assessed.
Overall Rating
------------------------------------------------------------------------
Highly
Not recommended Acceptable Recommended recommended
------------------------------------------------------------------------
The application The application The application The application
received an received an received an received an
overall score of overall score of overall score overall score
not recommended acceptable based of recommended of highly
based on Project on Project based on recommended
Readiness, Readiness, Project based on
Technical Merit, Technical Merit, Readiness, Project
and Project and Project Technical Readiness,
Benefits Benefits Merit, and Technical
ratings, ratings, Project Merit, and
confidence in confidence in Benefits Project
the the benefit-cost ratings, Benefits
application's analysis, and confidence in ratings,
BCA, and consideration of the benefit- confidence in
consideration of Administration cost analysis, the benefit-
Administration Priorities. and has clear cost analysis,
Priorities. and direct and has clear,
benefits in one direct, and
of the significant
Administration benefits in one
Priorities. or more of the
Administration
Priorities.
------------------------------------------------------------------------
The evaluation process may draw upon subject matter experts within
FRA Division offices whose expertise is relevant to understanding the
application's responsiveness to the program criteria, such as assessing
the applicant's capacity to successfully deliver the project in
compliance with applicable Federal requirements based on factors
including, but not limited to, the recipient's experience working with
Federal agencies, previous experience with DOT discretionary grant
awards and/or the technical experience and resources dedicated to the
project. Finally, in determining the allocation of program funds, FRA
may also consider geographic diversity, diversity in the size of the
systems receiving funding, and the applicant's receipt of other
competitive awards.
2. Review and Selection Process
FRA will conduct a five-part application review process, as
follows:
Intake and Eligibility Phase: Screen applications for
applicant and project eligibility, completeness, and the minimum match
(completed by the Evaluation Management and Oversight Team, or
``EMOT,'' comprised of FRA program review directors who manage the pre-
award process);
Evaluation Review Phase: Evaluate remaining applications
against the statutory technical merit criteria, project benefit
criteria, project readiness and the applicant's ability (based on past
performance and relevant project factors) to develop and deliver
similar projects, and alignment with Administration Priorities
(completed by technical merit review panels consisting of FRA and
Department of Transportation (DOT) staff). The EMOT will compile the
results of the Evaluation Review Phase consistent with the CRISI
Program set-asides and selection preferences. After considering all FRA
reviews under the statutory criteria, applications will be assigned an
overall rating of ``Highly Recommended,'' ``Recommended,''
``Acceptable,'' or ``Not Recommended'';
Steering Committee Phase: The Steering Committee is
comprised of Senior Directors with the Office of Railroad Development,
which may also include senior leadership from the Railroad Office of
Safety and other relevant offices. The EMOT briefs the Steering
Committee on all rated applications, and the Steering Committee may
request more information from FRA offices whose expertise may be
relevant. The Steering Committee provides strategic direction, in line
with program goals outlined in this NOFO, on the development of
materials and approach for the Senior Review Team (SRT) briefing;
Senior Review Phase: The SRT will review, apply selection
criteria, and recommend initial selection of projects for the FRA
Administrator's review (completed by the SRT, which may include senior
leadership from the Office of the Secretary and FRA); and
Selection and Award Phase: Select recommended awards for
the Secretary's or his designee's review and approval (completed by the
FRA Administrator).
3. Reporting Matters Related to Integrity and Performance
Before making a Federal award with a total amount of Federal share
greater than the simplified acquisition threshold of $250,000 (see 2
CFR 200.88 Simplified Acquisition Threshold), FRA will review and
consider any information about the applicant that is in the designated
integrity and performance system accessible through SAM (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)).
See 41 U.S.C. 2313.
An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
[[Page 22225]]
FRA will consider any comments by the applicant, in addition to the
other information, in making a judgment about the applicant's
integrity, business ethics, and record of performance under Federal
awards when completing the review of risk posed by applicants as
described in 2 CFR 200.205.
F. Federal Award Administration Information 38
---------------------------------------------------------------------------
\38\ More information on FRA Discretionary Grant Agreements can
be found at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
---------------------------------------------------------------------------
1. Federal Award Notices
FRA will announce applications selected for funding in a press
release and on FRA's website after the application review period. This
announcement is FRA's notification to successful and unsuccessful
applicants alike. Following this announcement, FRA will contact the
point of contact listed in the SF 424 to initiate negotiation of a
project-specific grant agreement. This notification is not an
authorization to begin proposed project activities. FRA requires
satisfaction of applicable requirements by the applicant and a formal
agreement signed by both the grantee and the FRA, including an approved
scope, schedule, and budget, before obligating the grant.
2. Administrative and National Policy Requirements
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, grantees of funds must
comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States; the relevant
authorization and appropriations, the conditions of performance,
nondiscrimination requirements, and other assurances made applicable to
the award of funds in accordance with regulations of DOT; and
applicable Federal financial assistance and contracting principles
promulgated by the Office of Management and Budget. In complying with
these requirements, grantees, in particular, must ensure that no
concession agreements are denied, or other contracting decisions made
on the basis of speech or other activities protected by the First
Amendment. If DOT determines that a grantee has failed to comply with
applicable Federal requirements, DOT may terminate the award of funds
and disallow previously incurred costs, requiring the grantee to
reimburse any expended award funds. The new FRA grant agreement
consists of three parts: Attachment 1: Standard Terms and Conditions,
Attachment 2: Project-Specific Terms and Conditions, and Terms and
Conditions Exhibits.
Examples of administrative and national policy requirements
include: 2 CFR part 200; procurement standards at 2 CFR part 200,
subpart D--Procurement Standards; 2 CFR 1207.317 and 2 CFR 200.401;
compliance with Federal civil rights laws and regulations;
disadvantaged business enterprises requirements; debarment and
suspension requirements; drug-free workplace requirements; FRA's and
OMB's Assurances and Certifications; Americans with Disabilities Act;
safety requirements; NEPA; and environmental justice; compliance with
49 U.S.C. 24905(c)(2) for the duration of NEC Projects; and 2 CFR
200.315, governing rights to intangible property. Projects assisted
with funds provided through the Maglev Grants Program are subject to 49
U.S.C. 5333(a). Unless otherwise stated in statutory or legislative
authority, or appropriations language, all financial assistance awards
follow the Uniform Administrative Requirements, Cost Principles and
Audit Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part
1201.
Assistance under this NOFO is subject to the grant conditions in 49
U.S.C. 22905, including labor protective arrangements that are
equivalent to the protective arrangements established under section 504
of the Railroad Revitalization and Regulatory Reform Act of 1976 (45
U.S.C. 836) with respect to employees affected by actions taken in
connection with the project to be financed in whole or in part by
grants subject to 49 U.S.C. 22905, the provision deeming operators rail
carriers and employers for certain purposes, and grantee agreements
with railroad right-of-way owners for projects using railroad rights-
of-way (see section D(2)(a)(viii)(A)(5)).\39\
---------------------------------------------------------------------------
\39\ More information on labor protections can be found here:
https://railroads.dot.gov/elibrary/equivalent-labor-protections.
---------------------------------------------------------------------------
Projects selected under this NOFO for commuter rail passenger
transportation for positive train control projects may be transferred
to the Federal Transit Administration for grant administration at the
Secretary's discretion. If such a project is transferred to the Federal
Transit Administration, applicants will be required to comply with
chapter 53 of title 49 of the United States Code.
Projects that have not sufficiently considered climate change
environmental justice in their planning, as determined by FRA, will be
required to do so before receiving funds for construction, consistent
with core policy goals of assessing these potential impacts. For
example, see Executive Order 14008, Tackling the Climate Crisis at Home
and Abroad (86 FR 7619) and Executive Order 14096, Revitalizing Our
Nation's Commitment to Environmental Justice. In the grant agreement,
recipients will be expected to describe activities they have taken or
will take prior to obligation of construction funds to address climate
change and environmental justice (EJ). (See Article 9 of FRA's
Attachment 2: Project-Specific Terms and Conditions for a list of
project activities that address climate change and environmental
justice priorities, available at: https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf). Activities that
address climate change include, but are not limited to, demonstrating
the project will result in significant greenhouse gas emissions
reductions; the project supports emissions reductions goals in a Local/
Regional/State plan; the project improves disaster preparedness and
resilience; the project incorporates resilience in its design, and the
project primarily focuses on funding for state of good repair and clean
transportation options, including public transportation, walking,
biking, and micro-mobility. Activities that address environmental
justice may include, but are not limited to: basing project design on
consideration of community impacts; information gained from screening
tools such as CEJST, EPA's EJ Screen, or another appropriate
environmental and community impacts tools developed by a State agency;
connecting transportation disadvantaged communities or other
communities with environmental justice concerns based on information
gained from the screening tools noted above or FRA's Justice40 Rail
Explorer Tool; conducting enhanced, targeted outreach to potentially
affected communities, including disadvantaged communities; considering
environmental justice in alternatives analysis and final project
design; and supporting a modal shift in freight or passenger movement
to reduce emissions or reduce induced travel demand.
Projects must consider and address equity and barriers to
opportunity in their planning, as determined by FRA, and as a condition
of receiving construction funds, consistent with Executive Order 13985,
Advancing Racial Equity and Support for Underserved Communities Through
the Federal Government (86 FR 7009). The grant agreement should include
the
[[Page 22226]]
grantee's description of activities it has taken or will take prior to
obligation of construction funds that addresses equity and barriers to
opportunity. These activities may include, but are not limited to:
completing an equity impact analysis for the project; completing a
community needs assessment; adopting an equity and inclusion program/
plan; conducting meaningful public engagement to ensure underserved
communities are provided an opportunity to be involved in the planning
process and is conducted in a manner that is consistent with Title VI
of the Civil Rights Act (Title VI); including investments that either
redress past barriers to opportunity or that proactively create new
connections and opportunities for underserved communities; hiring from
local communities; improving access to or providing economic growth and
wealth building opportunities for underserved, overburdened, or rural
communities; or addressing historic or current inequitable air
pollution or other environmental, health, or economic burdens and
impacts. (See Article 10 of FRA's Attachment 2: Project-Specific Terms
and Conditions for a list of project activities that address efforts to
improve racial equity and reduce barriers to opportunity, available at:
https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf). While not a
selection criterion to the extent the project includes or is part of a
station area, the Department encourages project sponsors to consider
how the submitted project could develop or facilitate economic
development, including commercial and residential development that
enhance the economic vitality and competitiveness of the surrounding
neighborhood and region.
To the extent that applicants have not sufficiently considered job
quality and labor rights in their planning, as determined by the
Department of Labor, the applicants will be required to do so before
receiving funds for construction, consistent with Executive Order
14025, Worker Organizing and Empowerment (86 FR 22829), and Executive
Order 14052, Implementation of the Infrastructure Investment and Jobs
Act (86 FR 64335). Specifically, the project planning activities and
project delivery actions must support: (a) strong labor standards and
the free and fair choice to join a union, including project labor
agreements, local hire agreements, distribution of workplace rights
notices, and use of an appropriately trained workforce; (b) support of
high-quality workforce development programs, including registered
apprenticeship, labor-management training programs, and supportive
services to help train, place, and retain people in good-paying jobs
and apprenticeships; and (c) comprehensive planning and policies to
promote hiring and inclusion for all groups of workers, including
through the use of local and economic hiring preferences, linkage
agreements with workforce programs that serve underrepresented groups,
and proactive plans to prevent harassment. (See Article 11 of FRA's
Attachment 2: Project-Specific Terms and Conditions for a list of
project activities that address efforts to support good-paying jobs and
strong labor standards, available at: https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf.
a. Federal Contract Compliance
As a condition of grant award and consistent with Executive Order
11246, Equal Employment Opportunity (30 FR 12319, and as amended), all
Federally assisted contractors are required to make good faith efforts
to meet the goals of 6.9 percent of construction project hours being
performed by women, in addition to goals that vary based on geography
for construction work hours and for work being performed by people of
color. Under Section 503 of the Rehabilitation Act and its implementing
regulations, affirmative action obligations for certain contractors
include an aspirational employment goal of 7 percent workers with
disabilities.
The U.S. Department of Labor's Office of Federal Contract
Compliance Programs (OFCCP) is charged with enforcing Executive Order
11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam
Era Veterans' Readjustment Assistance Act of 1974. OFCCP has a Mega
Construction Project Program through which it engages with project
sponsors as early as the design phase to help promote compliance with
non-discrimination and affirmative action obligations. OFCCP will
identify projects that receive an award under this notice and are
required to participate in OFCCP's Mega Construction Project Program
from a wide range of Federally-assisted projects over which OFCCP has
jurisdiction and that have a project cost above $35 million. DOT will
require project sponsors with costs above $35 million that receive
awards under this funding opportunity to partner with OFCCP, if
selected by OFCCP, as a condition of their DOT award.
b. Critical Infrastructure Security, Cybersecurity and Resilience
It is the policy of the United States to strengthen the security
and resilience of its critical infrastructure against all hazards,
including physical and cyber risks, consistent with Presidential Policy
Directive 21--Critical Infrastructure Security and Resilience, and the
National Security Memorandum (NSM-5) on Improving Cybersecurity for
Critical Infrastructure Control Systems. Each applicant selected for
Federal funding must demonstrate, prior to signing of the grant
agreement, efforts to consider and address physical and cyber security
risks relevant to the transportation mode and type and scale of the
project. Projects that have not appropriately considered and addressed
physical and cyber security and resilience in their planning, design,
and project oversight, as determined by the Department and the
Department of Homeland Security, will be required to do so before
receiving funds.
c. Domestic Preference Requirements
As expressed in Executive Order 14005, Ensuring the Future Is Made
in All of America by All of America's Workers (86 FR 7475), the
executive branch should maximize, consistent with law, the use of
goods, products, and materials produced in, and services offered in,
the United States. Funds made available under this notice are subject
to the domestic preference requirement in 49 U.S.C. 22905(a) (FRA Buy
America) and the Build America, Buy America Act, Public Law 117-58,
70901-52. The Department expects all applicants to comply with the
applicable domestic preference requirements. However, Major Projects
applicants should include a domestic sourcing plan that provides
details on the extent to which the materials covered by the plan are to
be imported and the extent to which such materials can be sourced
domestically.; and (2) Applicants should also provide an explanation in
the plan of the number of domestic jobs, temporary and permanent, that
will be generated by the project and outline a plan to transition any
foreign labor responsibilities to domestic jobs. Major projects
applicants may also request a waiver from certain Buy America
requirements along with the domestic sourcing plan.
d. Civil Rights and Title VI
As a condition of a grant award, grant recipients should
demonstrate that the recipient has a plan for compliance with civil
rights obligations and nondiscrimination laws, including Title
[[Page 22227]]
VI of the Civil Rights Act of 1964 and implementing regulations (49 CFR
part 21), the Americans with Disabilities Act of 1990 (ADA), Section
504 of the Rehabilitation Act, all other civil rights requirements, and
accompanying regulations. This may include a current Title VI plan,
completed Community Participation Plan, and a plan to address any
legacy infrastructure or facilities that are not compliant with ADA
standards. DOT's and FRA's Offices of Civil Rights may work with
awarded grant recipients to ensure full compliance with Federal civil
rights requirements.
3. Reporting
a. Progress Reporting on Grant Activity
Each applicant selected for a grant will be required to comply with
all standard FRA reporting requirements, including quarterly progress
reports, quarterly Federal financial reports, and interim and final
performance reports, as well as all applicable auditing, monitoring and
close out requirements. Reports may be submitted electronically.
Pursuant to 2 CFR 170.210, non-Federal entities applying under this
NOFO must have the necessary processes and systems in place to comply
with the reporting requirements should they receive Federal funding.
b. Additional Reporting
Applicants selected for funding are required to comply with all
reporting requirements in the standard terms and conditions for FRA
grant awards including 2 CFR 180.335 and 2 CFR 180.350. If the total
value of a selected applicant's currently active grants, cooperative
agreements, and procurement contracts from all Federal awarding
agencies exceeds $10,000,000 for any period of time during the period
of performance of this Federal award, then the applicant during that
period of time must maintain the information reported to SAM and ensure
that is made available in the designated integrity and performance
system (currently the Federal Awardee Performance and Integrity
Information System (FAPIIS)) about civil, criminal, or administrative
proceedings described in paragraph 2 of this award term and condition.
This is a statutory requirement under section 872 of Public Law 110-
417, as amended (41 U.S.C. 2313). As required by section 3010 of Public
Law 111-212, all information posted in the designated integrity and
performance system on or after April 15, 2011, except past performance
reviews required for Federal procurement contracts, will be publicly
available.
c. Performance and Program Evaluation
Recipients and subrecipients are also encouraged to incorporate
program evaluation, including associated data collection activities
from the outset of their program design and implementation, to
meaningfully document and measure their progress towards meeting an
agency priority goal(s). Title I of the Foundations for Evidence-Based
Policymaking Act of 2018 (Evidence Act), Public Law 15-435 (2019) urges
Federal awarding agencies and Federal assistance recipients and
subrecipients to use program evaluation as a critical tool to learn, to
improve equitable delivery, and to elevate program service and delivery
across the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency.'' 5 U.S.C. 311. Credible program evaluation activities are
implemented with relevance and utility, rigor, independence and
objectivity, transparency, and ethics (OMB Circular A-11, Part 6
Section 290).
For grant recipients receiving an award, evaluation costs are
allowable costs (either as direct or indirect), unless prohibited by
statute or regulation, and such costs may include the personnel and
equipment needed for data infrastructure and expertise in data
analysis, performance, and evaluation. (2 CFR part 200).
d. Performance Reporting
Each applicant selected for funding must collect information and
report on the project's performance using measures mutually agreed upon
by FRA and the grantee to assess progress in achieving strategic goals
and objectives. Examples of some rail performance measures for CRISI
funding are listed in the table below. The applicable measure(s) will
depend upon the type of project. Applicants requesting funding for the
acquisition of rolling stock must integrate at least one equipment/
rolling stock performance measure, consistent with the application
materials and program goals.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Primary Secondary
Rail measures Unit measure Measurement period Measurement administration administration Description
frequency priority priority
--------------------------------------------------------------------------------------------------------------------------------------------------------
Slow Order Miles............... Miles............. .................. Quarterly........ Workforce Safety............... The number of
Development, Job miles per
Quality, and quarter within
Wealth Creation. the project area
that have
temporary speed
restrictions
(``slow
orders'')
imposed due to
track condition.
This is an
indicator of the
overall
condition of
track. This
measure can be
used for
projects to
rehabilitate
sections of a
rail line since
the
rehabilitation
should
eliminate, or at
least reduce the
slow orders upon
project
completion.
Gross Ton...................... Gross Tons........ .................. Quarterly........ Workforce ..................... The annual gross
Development, Job tonnage of
Quality, and freight shipped
Wealth Creation. in the project
area. Gross tons
include freight
cargo minus tare
weight of the
rail cars. This
measures the
volume of
freight a
railroad ships
in a year. This
measure can be
useful for
projects that
are anticipated
to increase
freight
shipments.
Rail Track Grade Separation.... Count............. .................. Quarterly........ Workforce Safety............... The number of
Development, Job automobile
Quality, and crossings that
Wealth Creation. are eliminated
at an at-grade
crossing as a
result of a new
grade
separation.
Equity in Contracting.......... Count of small Duration of the Annual........... Equity and ..................... Contracting with
businesses Project Justice40. small and
contracted. Performance socially
Period. disadvantaged
business
enterprises, and
labor surplus
area firms (each
a ``Small
Business'') for
the Project.
Fuel Savings/Emissions......... Gallons........... .................. Annual........... Climate Change and ..................... The total gallons
Sustainability. of fuel saved as
a result of
rehabilitating,
remanufacturing,
procuring, or
overhauling
locomotives.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 22228]]
e. Program Evaluation
As a condition of grant award, grantees may be required to
participate in an evaluation undertaken by DOT, or another agency or
partner. The evaluation may take different forms such as an
implementation assessment across grant recipients, an impact and/or
outcomes analysis of all or selected sites within or across grantee, or
a benefit/cost analysis or assessment of return on investment. The
Department may require applicants to collect data elements to aid the
evaluation. As a part of the evaluation, as a condition of award,
grantee must agree to: (1) make records available to the evaluation
contractor; (2) provide access to program records, and any other
relevant documents to calculate costs and benefits; (3) in the case of
an impact analysis, facilitate the access to relevant information as
requested; and (4) follow evaluation procedures as specified by the
evaluation contractor or DOT staff. For grant recipients, evaluation
expenses are allowable costs (either as direct or indirect), unless
prohibited by statute or regulation, and such expenses may include the
personnel and equipment needed for data infrastructure and expertise in
data analysis, performance, and evaluation (2 CFR part 200).
f. Project Signage and Public Acknowledgements
As a condition of grant award, for construction and non-
construction projects, recipients may be required to post project
signage and to include public acknowledgments in published and other
collateral materials (e.g., press releases, marketing materials,
website, etc.) satisfactory in form and substance to DOT, that
identifies the nature of the project and indicates that ``the project
is funded by the Bipartisan Infrastructure Law''. In addition,
recipients employing project signage are required to use the official
Investing in America emblem in accordance with the Official Investing
in America Emblem Style Guide. Costs associated with signage and public
acknowledgments must be reasonable and limited. Signs or public
acknowledgments should not be produced, displayed, or published if
doing so results in unreasonable cost, expense, or recipient burden.
The Recipient is encouraged to use recycled or recovered materials when
procuring signs.
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
FRA NOFO Support program staff via email at [email protected].
If additional assistance is needed, you may contact Ms. Deborah Kobrin,
Supervisory Transportation Specialist, at email: [email protected]
or telephone: 202-420-1281 in FRA's Office of Rail Program Development.
H. Other Information
All information submitted as part of or in support of any
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the application includes
information the applicant considers to be a trade secret or
confidential commercial or financial information, the applicant should
do the following: (1) note on the front cover that the submission
``Contains Confidential Business Information (CBI)''; (2) mark each
affected page ``CBI''; and (3) highlight or otherwise denote the CBI
portions.
The DOT regulations implementing the Freedom of Information Act
(FOIA) are found at 49 CFR part 7, subpart C--Availability of
Reasonably Described Records under the Freedom of Information Act which
sets forth rules for FRA to make requested materials, information, and
records publicly available under FOIA. Unless prohibited by law and to
the extent permitted under the FOIA, contents of application and
proposals submitted by successful applicants may be released in
response to FOIA requests. The Department may share application
information within the Department or with other Federal agencies if the
Department determines that sharing is relevant to the respective
program's objectives.
Issued in Washington, DC.
Jennifer Mitchell,
Deputy Administrator.
[FR Doc. 2024-06710 Filed 3-28-24; 8:45 am]
BILLING CODE 4910-06-P
