Notice of Funding Opportunity for Consolidated Rail Infrastructure and Safety Improvements
| Published date | 20 April 2020 |
| Citation | 85 FR 21923 |
| Record Number | 2020-08226 |
| Section | Notices |
| Court | Federal Railroad Administration |
Federal Register, Volume 85 Issue 76 (Monday, April 20, 2020)
[Federal Register Volume 85, Number 76 (Monday, April 20, 2020)]
[Notices]
[Pages 21923-21935]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-08226]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for Consolidated Rail
Infrastructure and Safety Improvements
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 (CRISI)
Program. CRISI Program funding under this notice is provided by the
Further Consolidated Appropriations Act, 2020 (2020 Appropriation). The
opportunities described in this notice are made available under Catalog
of Federal Domestic Assistance (CFDA) number 20.325, ``Consolidated
Rail Infrastructure and Safety Improvements.''
DATES: Applications for funding under this solicitation are due no
later than 5:00 p.m. ET, June 19, 2020. Applications received after
5:00 p.m. ET on June 19, 2020 will not be considered for funding.
Incomplete applications 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. Frances Bourne, Office of Policy and Planning, Federal
Railroad Administration, 1200 New Jersey Avenue SE, Room W38-207,
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 courier service) to
assure timely receipt of materials before the application deadline.
FOR FURTHER INFORMATION CONTACT: For further project or program-related
information in this notice, please contact Ms. Frances Bourne, Office
of Policy and Planning, Federal Railroad Administration, 1200 New
Jersey Avenue SE, Room W38-207, Washington, DC 20590; email:
[email protected]; phone: 202-493-6366.
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 prerequisites 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
A. Program Description
1. Overview
This program leverages private, state and local investments to
support safety enhancements and general improvements to infrastructure
for both intercity passenger and freight railroads. The U.S. rail
network is central to the success of the American economy, carrying
more than 1.8 billion tons of freight valued at more than $830 billion
annually, and over 32.5 million passengers on Intercity Rail Passenger
Transportation services. Both services primarily operate over
privately-owned and maintained infrastructure, allowing for strong
private, capital market investment that generates public benefit,
including public-private partnerships among other models.
A strong transportation network is critical to the functioning and
growth of the American economy. The nation's industry depends on the
transportation network to move the goods that it produces, and
facilitate the movements of the workers who are responsible for that
production. When the nation's highways, railways, and ports function
well, that infrastructure connects people to jobs, increases the
efficiency of delivering goods and thereby cuts the costs of doing
business, reduces the burden of commuting, and improves overall well-
being.
Rural transportation networks play a vital role in supporting our
national economic vitality. Addressing the deteriorating conditions and
disproportionately high fatality rates on our rural transportation
infrastructure is of critical interest to DOT, as rural transportation
networks face unique challenges in safety, infrastructure condition,
and passenger and freight usage. Consistent with the Rural
Opportunities to Use Transportation for
[[Page 21924]]
Economic Success (R.O.U.T.E.S.) Initiative, DOT will consider how the
project will address the challenges faced by rural areas.
DOT is committed to addressing the unmet transportation
infrastructure needs of rural areas. Underinvestment in rural
transportation systems has allowed a slow and steady decline in the
transportation routes that connect rural American communities to each
other and to the rest of the country, fraying the fabric of American
interconnectivity. A majority of the nation's rail route miles are in
rural America. Investment is necessary to grow rural economies,
facilitate freight movement, improve access to reliable and affordable
transportation options and enhance access to healthcare and safety for
residents.
DOT also recognizes the importance of applying life cycle asset
management principles throughout America's infrastructure. It is
important for rail infrastructure owners and operators, as well as
those who may apply on their behalf, to plan for the maintenance and
replacement of assets and the associated costs.
Congress authorized this grant program for the Secretary 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 and freight rail chokepoints; enhance multi-
modal connections; and lead to new or substantially improved intercity
passenger rail transportation corridors. Rail safety projects include,
but are not limited to, grade crossing enhancements, rail line
relocations and improvements, and deployment of railroad safety
technology. Eligible work also includes: Regional rail and corridor
planning, environmental analyses, and research, workforce development,
and training. The purpose of this notice is to solicit applications for
the competitive CRISI Program funding provided in the 2020
Appropriation. The CRISI Program is authorized under Section 11301 of
the Fixing America's Surface Transportation (FAST) Act, Public Law 114-
94 (2015); 49 U.S.C. 22907 and funds made available in this NOFO are
provided in the 2020 Appropriation.
2. Definitions of Key Terms
a. ``Benefit-Cost Analysis'' (or ``Cost-Benefit Analysis'') 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. Please
refer to the Benefit-Cost Analysis Guidance for Discretionary Grant
Programs prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. 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.
b. ``Capital Project'' means a project for: Acquiring,
constructing, improving, or inspecting rail equipment, track and track
structures, or a rail facility; 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, environmental studies, and all
work necessary for FRA to approve the 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 facilities.\1\
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\1\ For any project that includes purchasing Intercity Passenger
Rail equipment, 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. ``Construction'' means the production of fixed works and
structures or substantial alterations to such structures or land and
associated costs.
d. ``Final Design (FD)'' means design activities following
Preliminary Engineering, and at a minimum, includes the preparation of
final Construction plans, detailed specifications, and estimates
sufficiently detailed to inform project stakeholders (designers,
reviewers, contractors, suppliers, etc.) of the actions required to
advance the project from design through completion of Construction.
e. ``Improvement'' means repair or enhancement to existing rail
infrastructure, or Construction of new rail infrastructure, that
results in efficiency of the rail system and the safety of those
affected by the system.
f. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except commuter rail passenger transportation. See 49
U.S.C. 22901(3). In this notice, ``Intercity Passenger Rail Service''
and ``Intercity Passenger Rail Transportation'' are equivalent terms to
``Intercity Rail Passenger Transportation.''
g. ``National Environmental Policy Act (NEPA)'' is a Federal law
that requires Federal agencies to analyze and document the
environmental impacts of a proposed action in consultation with
appropriate Federal, state, and local authorities, and with the public.
NEPA classes of action include an Environmental Impact Statement (EIS),
Environmental Analysis (EA) or Categorical Exclusion (CE). The NEPA
class of action depends on the nature of the proposed action, its
complexity, and the potential impacts. 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 are located at https://www.fra.dot.gov/environment.
h. ``Planning'' means activities that support the development of a
state or regional rail plan or a corridor service development plan.
Project-specific (e.g., rail station or port improvements) planning is
not eligible.
i. ``Positive Train Control (PTC) system'' 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.
j. ``Preliminary Engineering (PE)'' means engineering design to:
(1) Define a project, including identification of all environmental
impacts, design of all critical project elements at a level sufficient
to assure reliable cost estimates and schedules, (2) complete project
management and financial plans, and (3) identify procurement
requirements and strategies. 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 generally occurs concurrently with NEPA and related analyses, and
prior to FD and Construction.
k. ``Rail Carrier'' means a person providing common carrier
railroad
[[Page 21925]]
transportation for compensation, but does not include street, suburban,
or interurban electric railways not operated as part of the general
system of rail transportation. See 49 U.S.C. 10102(5).
l. ``Relocation'' is defined to mean 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.
m. ``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.
n. ``Rural Area'' is defined in 49 U.S.C. 22907(g)(2) to mean any
area not in an urbanized area as defined by the Census Bureau. The
Census Bureau defines Urbanized Area (UA) as an area with a population
of 50,000 or more people.\2\ Updated lists of UAs as defined by the
Census Bureau are available on the Census Bureau website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/.
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\2\ See 74 FR 53030, 53043 (August 24, 2011) available at
https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
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B. Federal Award Information
1. Available Award Amount
The total funding available for awards under this NOFO is
$311,772,500. Should additional CRISI funds become available after the
release of this NOFO, FRA may elect to award such additional funds to
applications received under this NOFO.
Of the $325,000,000 made available in the 2020 Appropriation, at
least 25 percent, or $81,250,000 will be made available for Rural
Projects as required by 49 U.S.C. 22907 and $45 million will be made
available for projects eligible under 49 U.S.C. 22907(c)(2) that
require the acquisition of rights-of-way, track, or track structure
projects to support the development of new intercity passenger rail
service routes. Additionally, $9,977,500 has been set aside for Special
Transportation Circumstances, which will be made available under a
separate NOFO. FRA will also set aside $3,250,000 for award and program
oversight.
2. Award Size
There are no minimum or maximum dollar thresholds for awards. FRA
anticipates making multiple awards with the available funding. FRA may
not be able to award grants to all eligible applications, nor even to
all applications that meet or exceed the stated evaluation criteria
(see Section E, Application Review Information). Projects may require
more funding than is available. FRA encourages applicants to propose
projects or components of projects that have operational independence
and that can be completed and implemented with CRISI funding as a part
of the total project cost together with other, non-Federal sources.
FRA strongly encourages applicants to identify and include other
state, local, public, or private funding or financing to support the
proposed project in order to maximize competitiveness.
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 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. See an example
of standard terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057. This template is subject to
revision.
4. Concurrent Applications
DOT and FRA may be concurrently soliciting applications for
transportation infrastructure projects for several financial assistance
programs, and applicants may submit applications requesting funding for
a particular project to one or more of these programs. In the
application for CRISI Program funding under this NOFO, applicants must
indicate other programs, including other CRISI NOFOs, to which they
submitted or plan to submit an application for funding the entire
project or certain project components, as well as highlight new or
revised information in the application responsive to this NOFO that
differs from the application(s) for other Federal financial assistance
programs or other CRISI NOFOs.
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 will be 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 project
types permitted under this notice:
a. A State;
b. A group of States;
c. An Interstate Compact;
d. A public agency or publicly chartered authority established by
one or more States; \3\
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\3\ See Section D(2)(a)(iv) for supporting documentation
required to demonstrate eligibility under this eligibility category.
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e. A political subdivision of a State;
f. Amtrak or another Rail Carrier that provides Intercity Rail
Passenger Transportation (as defined in 49 U.S.C. 24102);
g. A Class II railroad or Class III railroad (as those terms are
defined in 49 U.S.C. 20102) or a holding company of a Class II or III
railroad;
h. Any Rail Carrier or rail equipment manufacturer in partnership
with at least one of the entities described in paragraph (a) through
(e); \4\
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\4\ See Section D(2)(a)(iv) for supporting information required
to demonstrate eligibility under this eligibility category.
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i. The Transportation Research Board together with any entity with
which it contracts in the development of rail-related research,
including cooperative research programs;
j. A University transportation center engaged in rail-related
research; or
k. A non-profit labor organization representing a class or craft of
employees of Rail Carriers or Rail Carrier contractors.
Applications must identify an eligible applicant as the lead
applicant. The lead applicant serves as the primary point of contact
for the application, and if selected, as the grantee of the CRISI
Program grant award. Eligible applicants may reference entities that
are not eligible applicants in an application as a project partner.
2. Cost Sharing or Matching
The Federal share of total costs for projects funded under this
notice will
[[Page 21926]]
not exceed 80 percent though FRA will provide selection preference to
applications where the proposed Federal share of total project costs is
50 percent or less. 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
should refer to FRA's cost estimate guidance documentation, ``Capital
Cost Estimating: Guidance for Project Sponsors,'' which is available
at: https://www.fra.dot.gov/Page/P0926.
The minimum 20 percent non-Federal match may be comprised of public
sector (e.g., state or local) and/or private sector funding. FRA will
not consider any Federal financial assistance \5\ or any non-Federal
funds already expended (or otherwise encumbered) toward the matching
requirement, unless compliant with 2 CFR part 200. FRA is limiting the
first 20 percent of the non-Federal match to cash contributions only.
Eligible in-kind contributions may be accepted for any non-Federal
matching beyond the first 20 percent. 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.
Moreover, FRA encourages applicants to broaden their funding table in
applications. Non-federal shares consisting of funding from multiple
sources (e.g., a state, county, railroad, and university contributing
to a grade crossing improvement) to demonstrate broad participation and
cost sharing from affected stakeholders, will be given preference.
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\5\ See Section D(2)(a)(iii) for supporting information required
to demonstrate eligibility of Federal funds for use as match.
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Amtrak or another Rail Carrier may use ticket and other non-Federal
revenues generated from its operations and other sources as matching
funds. Applicants must identify the source(s) of its matching and other
funds, and must clearly and distinctly reflect these funds as part of
the total project cost.
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
consistent with 2 CFR 200.458, as applicable. See Section D(6). Cost
sharing or matching may be used only for authorized Federal award
purposes.
3. Other
a. Project Eligibility
The following rail projects within the United States that improve
the safety, efficiency, and/or reliability of passenger and/or freight
rail transportation systems are eligible for funding under 49 U.S.C.
22907 and this NOFO:
i. Deployment of railroad safety technology, including positive
train control and rail integrity inspection systems.\6\ 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.\7\
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\6\ Pursuant to the 2020 Appropriation, 49 U.S.C. 22905(f) shall
not apply to projects for the implementation of positive train
control systems, otherwise eligible under 49 U.S.C. 22907(c)(1).
\7\ Only costs for FD and Construction project stages and
forward are eligible within this project eligibility category.
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ii. A capital project as defined in 49 U.S.C. 22901(2) relating to
Intercity Passenger Rail Service, except that such projects are not
required to be in a State rail plan under the CRISI Program. Examples
include: Acquisition, improvement, or rehabilitation of railroad
equipment (locomotives and rolling stock); railroad infrastructure
(grade crossings, catenary, and signals); and rail facilities (yards,
passenger stations, or maintenance and repair shops). For any project
that includes purchasing Intercity Passenger Rail equipment, 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.
iii. A Capital Project necessary to address congestion challenges
affecting rail service. Examples include: Projects addressing
congestion that increase rail capacity; add or upgrade the condition,
clearances, and capacity of rail mainlines; enhance capacity and
service with less conflict between freight and Intercity Passenger
Rail; reduce delays and risks associated with highway-rail grade
crossings; and provide more effective rail equipment.
iv. A Capital Project necessary to reduce congestion and facilitate
ridership growth in Intercity Passenger Rail Transportation along
heavily traveled rail corridors. Examples include: Projects addressing
congestion that improve stations; increase rail capacity; reduce
conflict between freight and Intercity Passenger Rail; reduce delays
and risks associated with highway-rail grade crossings; and provide
more effective rail equipment.
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 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 and Improvement project. Examples
include projects that: Improve the route or structure of a rail line by
replacing degraded track; enhance/relocate railroad switching
operations; add or lengthen passing tracks to increase capacity;
improve interlockings; and relocate rail lines to alleviate congestion,
and eliminate frequent rail service interruptions.
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. (See the
examples under Track 1 and 2 below in Subsections C(3)(b)(i)-(ii) as
they apply to regional and corridor rail Planning.)
ix. A project 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. Examples include: Intermodal
transportation facilities projects that encourage joint scheduling,
ticketing, and/or baggage handling; freight rail intermodal
connections; and rail projects improving access to ports.
x. The development and implementation of a safety program or
institute designed to improve rail safety. Examples include: Employee
training; and public safety outreach and education.
[[Page 21927]]
xi. Any research that the Secretary considers necessary to advance
any particular aspect of rail related capital, operations, or safety
improvements.
xii. 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.\8\
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\8\ See Section D.2.a.vi.(D) for required application
information relevant to this eligibility category.
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Applicants that intend to charge indirect costs through the use of
a negotiated indirect cost rate must have a current, signed, federal-
approved indirect cost rate agreement. Applicants that have never
received a federally-approved indirect cost rate may elect to charge a
de minimis rate of 10% of modified total direct costs, which may be
used indefinitely. This includes state and local governments that have
never negotiated an indirect cost rate with the federal government and
receive less than $35 million in direct federal funding per year.
Organizations that wish to negotiate an indirect cost rate should
contact FRA's Office of the Chief Financial Officer at [email protected].
For a project that uses rights-of-way owned by a railroad, and the
railroad is not the applicant, FRA requires that a written agreement
exist between the applicant and the railroad regarding use and
ownership consistent with 49 U.S.C. 22905(c)(1). This requirement is a
condition to making a grant under the CRISI Program.
b. Project Tracks for Eligible Projects
Applicants are not limited in the number of projects for which they
seek funding. FRA will not limit eligible projects from consideration
for funding for planning, environmental, engineering, design, and
construction elements of the same project in the same application.
Applicants are allowed to include multiple phases of a project in the
same application. However, depending on the project, applications for
multiple phases of project development may not contain sufficient
detail with regards to scope, schedule, or budget for all phases of the
application to compete well in the application review process.\9\
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\9\ The scope, schedule, and budget necessary to implement a
project, as well as the definition of the project's potential
benefits, are typically informed by the work conducted in prior
phases of project development (e.g., the specific elements of an FD/
Construction project and their cost estimates are developed and
refined through PE.) The evaluation criteria for the CRISI Program
(see Section E of this NOFO) considers the level of detail contained
in the applicant's proposed scope of work and readiness for the
project to be implemented.
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An applicant must identify one or more of the following four tracks
for an eligible project: Track 1--Planning; Track 2--PE/NEPA; Track 3--
FD/Construction; or Track 4--Research, Safety Programs and Institutes.
i. Track 1--Planning
Track 1 consists of eligible rail Planning projects. Examples
include the technical analyses and associated environmental analyses
that support the development of 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. Project-specific (e.g., rail
station or port improvements) planning is not an eligible Track 1
project.
ii. Track 2--PE/NEPA
Track 2 consists of eligible PE/NEPA projects. PE examples include:
PE drawings and specifications (scale drawings at the 30% design level,
including track geometry as appropriate); design criteria, schematics
and/or track charts that support the development of PE; and work that
can be funded in conjunction with developing PE, such as operations
modeling, surveying, project work/management plans, preliminary cost
estimates, and preliminary project schedules. PE/NEPA projects funded
under this NOFO must be sufficiently developed to support FD or
Construction activities.
iii. Track 3--FD/Construction
Track 3 consists of eligible projects for FD, Construction, and
project implementation and deployment activities. Applicants must
complete all necessary Planning, PE and NEPA requirements for FD/
Construction projects. FD funded under this track must: Resolve
remaining uncertainties or risks associated with changes to design
scope; address procurement processes; and update and refine plans for
financing the project or program to reflect accurately the expected
year-of-expenditure costs and cash flow projections. Applicants
selected for funding for FD/Construction must demonstrate the following
to FRA's satisfaction:
(A) PE is completed for the proposed project, resulting in project
designs that are reasonably expected to conform to all regulatory,
safety, security, and other design requirements, including those under
the Americans with Disabilities Act (ADA);
(B) NEPA is completed for the proposed project;
(C) Signed agreements with key project partners, including
infrastructure-owning entities; and
(D) A project management plan is in-place for managing the
implementation of the proposed project, including the management and
mitigation of project risks.
FD examples include: Drawings at the 100% Design Level, interim
design drawings that support development (e.g., drawings at the 60%
Design Level), project work/project management plan, cost estimates,
project schedules, and right-of-way acquisition and relocation plans.
Construction examples include: Additions, improvements, replacements,
renovations and/or repairs to track, bridge, station, rail yard,
signal, and communication system infrastructure, or other railroad
safety technology.
iv. Track 4--Research, Safety Programs and Institutes (Non-Railroad
Infrastructure)
Track 4 consists of projects not falling within Tracks 1-3
including workforce development activities, research, safety programs
or institutes designed to improve rail safety that clearly demonstrate
the expected positive impact on rail safety. Sufficient detail must be
provided on what the project will accomplish, as well as the
applicant's capability to achieve the proposed outcomes. Examples
include: initiatives for improving rail safety, training, public
outreach, and education.
c. Project Component Operational Independence
If an applicant requests funding for a project that is a component
or set of components of a larger project, the project component(s) must
be attainable with the award amount, together with other funds as
necessary, obtain operational independence, and must comply with all
eligibility requirements described in Section C.
In addition, the component(s) must be capable of independent
analysis and decision making, as determined by FRA, under NEPA (i.e.,
have independent utility, connect logical termini, if applicable, and
not restrict the consideration of alternatives for other reasonably
foreseeable rail projects.)
[[Page 21928]]
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 reexamine 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. See Section D(2) for the application
checklist. FRA welcomes the submission of additional relevant
supporting documentation, such as planning, engineering and design
documentation, and letters of support from partnering organizations
that will not count against the Project Narrative 25-page limit.
Consistent with the R.O.U.T.E.S. Initiative, DOT encourages applicants
to consider how the project will address the challenges faced by rural
areas, generally.
1. Address To Request Application Package
Applicants must submit all application materials in their entirety
through www.Grants.gov no later than 5:00 p.m. ET, on June 19, 2020.
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.
For any supporting application materials that an applicant cannot
submit via Grants.gov, such as oversized engineering drawings, an
applicant may submit an original and two (2) copies to Ms. Frances
Bourne, Office of Policy and Planning, Federal Railroad Administration,
1200 New Jersey Avenue SE, Room W38-207, Washington, DC 20590. Due to
delays caused by enhanced screening of mail delivered via the U.S.
Postal Service, FRA advises applicants to use other means of conveyance
(such as courier service) to assure timely receipt of materials before
the application deadline. Additionally, if documents can be obtained
online, providing instructions to FRA on how to access files on a
referenced website may also be sufficient.
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.
Required documents for an application package are outlined in the
checklist below.
i. Project Narrative (see D.2.a)
ii. Statement of Work (see D.2.b.i)
iii. Benefit-Cost Analysis (see D.2. b.ii)
iv. SF424--Application for Federal Assistance
v. Either: SF 424A--Budget Information for Non-Construction
projects (required for Tracks 1, 2 and 4) or SF 424C--Budget
Information for Construction (required for any application that
includes Track 3)
vi. Either: SF 424B--Assurances for Non-Construction projects
(required for Tracks 1, 2 and 4) or SF 424D--Assurances for
Construction (required for any application that includes Track 3)
vii. FRA's Additional Assurances and Certifications
viii. SF LLL--Disclosure of Lobbying Activities
a. Project Narrative
This section describes the minimum content required in the Project
Narrative 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. Project Funding.................... See D.2.a.iii
IV. Applicant Eligibility............... See D.2.a.iv
V. Project Eligibility.................. 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.
X. Planning Readiness................... See D.2.a.x
XI. Environmental Readiness............. See D.2.a.xi
------------------------------------------------------------------------
The above content must be provided in a narrative statement
submitted by the applicant. The Project Narrative may not exceed 25
pages in length (excluding cover pages, table of contents, and
supporting documentation). FRA will not review or consider Project
Narratives beyond the 25-page limitation. If possible, applicants
should submit supporting documents via website links rather than hard
copies. If supporting documents are submitted, applicants must clearly
identify the page number(s) of the relevant portion in the Project
Narrative supporting documentation. The Project Narrative must adhere
to the following outline.
i. Cover Page: Include a cover page that lists the following
elements in a table:
------------------------------------------------------------------------
------------------------------------------------------------------------
Project Title
Applicant
Project Track.............................. 1,2,3 and/or 4
Was a Federal grant application previously Yes/no
submitted for this project?.
If yes, state the name of the Federal grant Federal Grant Program:
program and title of the project in the Project Title:
previous application..
Is this a Rural Project? What percentage of Yes/no
the project cost is based in a Rural Area?. Percentage of total project
cost:
Is this a project eligible under 49 U.S.C. Yes/no
22907(c)(2) that requires the acquisition
of rights-of-way, track, or track
structure to support the development of
new intercity passenger rail service
routes?.
City(ies), State(s) where the project is
located
Urbanized Area where the project is located
Population of Urbanized Area
Is the project currently programmed in the: Yes/no
State rail plan, State Freight Plan, TIP, (If yes, please specify in
STIP, MPO Long Range Transportation Plan, which plans the project is
State Long Range Transportation Plan?. currently programmed)
------------------------------------------------------------------------
ii. Project Summary: Provide a brief 4-6 sentence summary of the
proposed project and what the project will entail. Include challenges
the proposed project aims to address, and summarize the intended
outcomes and anticipated
[[Page 21929]]
benefits that will result from the proposed project.
iii. Project Funding: Indicate in table format the amount of
Federal funding requested, the proposed non-Federal match, identifying
contributions from the private sector if applicable, and total project
cost. Describe the non-Federal funding arrangement, including multiple
sources of non-Federal funding if applicable. Include funding
commitment letters outlining funding agreements, as attachments or in
an appendix. If federal funding is proposed as match, demonstrate the
applicant's determination of eligibility for such use and the legal
basis for that determination. Identify any specific project components
that the applicant proposes for partial project funding. If all or a
majority of a project is located in a Rural Area, identify the Rural
Area(s) and estimated percentage of project costs that will be spent in
the Rural Area. Identify any previously incurred costs, as well as
other sources of Federal funds committed to the project and any pending
Federal requests. Also, note if the requested Federal funding under
CRISI or other programs must be obligated or spent by a certain date
due to dependencies or relationships with other Federal or non-Federal
funding sources, related projects, law, or other factors. If
applicable, provide the type and estimated value of any proposed in-
kind contributions, and demonstrate how the in-kind contributions meet
the requirements in 2 CFR 200.306.
Example Project Funding Table
----------------------------------------------------------------------------------------------------------------
Task name/ project Percentage of total
Task # component Cost cost
----------------------------------------------------------------------------------------------------------------
1....................................
----------------------------------------------------------------------------------------------------------------
2....................................
----------------------------------------------------------------------------------------------------------------
Total Project Cost............................................
----------------------------------------------------------------------------------------------------------------
Federal Funds Received from Previous Grant....................
----------------------------------------------------------------------------------------------------------------
CRISI Federal Funding Request.................................
----------------------------------------------------------------------------------------------------------------
Non-Federal Funding/Match..................................... Cash: In-Kind:
----------------------------------------------------------------------------------------------------------------
Portion of Non-Federal Funding from the Private Sector........
----------------------------------------------------------------------------------------------------------------
Portion of Total Project Costs Spent in a Rural Area Pending
Federal Funding Requests.
----------------------------------------------------------------------------------------------------------------
iv. Applicant Eligibility: Explain how the applicant meets the
applicant eligibility criteria outlined in Section C of this notice.
For public agencies and publicly chartered authorities established by
one or more states, the explanation must include citations to the
applicable enabling legislation. If the applicant is eligible under 49
U.S.C. 22907(b)(8) as a Rail Carrier or rail equipment manufacturer in
partnership with at least one of the other eligible entities, the
applicant should explain the partnership and each entity's contribution
to the partnership.
v. Project Eligibility: Identify which project eligibility category
the project is eligible under in Section C(3) of this notice, and
explain how the project meets the project eligibility criteria.
vi. Detailed Project Description: Include a detailed project
description that expands upon the brief project summary. This detailed
description should provide, at a minimum, background on the challenges
the project aims to address; 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. If applicable, explain
how the project will benefit communities in Rural Areas. An applicant
should specify whether it is 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. Consistent with DOT's R.O.U.T.E.S. Initiative
(https://www.transportation.gov/rural), DOT encourages applicants to
describe how activities proposed in their application would address the
unique challenges facing rural transportation networks, regardless of
the geographic location of those activities.
For all projects, applicants must provide information about
proposed performance measures, as discussed in Section F(3)(c) and
required in 2 CFR 200.301 and 49 U.S.C. 22907(f).
(A) Grade crossing information, if applicable: For any project that
includes grade crossing components, cite specific DOT National Grade
Crossing Inventory information, including the railroad that owns the
infrastructure (or the crossing owner, if different from the railroad),
the primary railroad operator, the DOT crossing inventory number, and
the roadway at the crossing. Applicants can search for data to meet
this requirement at the following link: http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx. In addition, if applicable, applicants
must cite the page number in the grade crossing action plan where the
grade crossing is referenced.
(B) Heavily traveled rail corridor information, if applicable: For
any project eligible under the eligibility category in Subsection
C(3)(a)(iv), that reduces congestion and facilitates ridership growth
in Intercity Passenger Rail Transportation, describe how the project is
located on a heavily traveled rail corridor.
(C) PTC information, if applicable: For any project that includes
deploying PTC systems, applicants must:
1. Document submission of a revised Positive Train Control
Implementation Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a);
2. Document that it is a tenant on one or more host railroads that
submitted a revised PTCIP to FRA as required by 49 U.S.C. 20157(a),
which states the tenant railroad is equipping its rolling stock with a
PTC system and provides all other information required under 49 CFR
236.1011 regarding the tenant railroad; or
3. Document why the applicant is not required to submit a revised
PTCIP as
[[Page 21930]]
required by 49 U.S.C. 20157(a), and whether the proposed project will
assist in the deployment (i.e., installation and/or full
implementation) of a PTC system required under 49 U.S.C. 20157.
(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.
vii. Project Location: Include geospatial data for the project, as
well as a map of the project's location. On the map, include the
Congressional districts and Rural Area boundaries, if applicable, in
which the project will take place.
viii. Evaluation and Selection Criteria: Include a thorough
discussion of how the proposed project meets all the evaluation
criteria and selection criteria, as outlined in Section E of this
notice. If an application does not sufficiently address the evaluation
and selection criteria, it is unlikely to be a competitive application.
For the life-cycle cost selection criteria, applicants should
demonstrate a credible plan to maintain their asset without having to
rely on Federal funding including a description of the applicants'
approach to ensuring operations and maintenance will not be underfunded
in future years. For projects (other than those projects for the
implementation of positive train control systems otherwise eligible
under 49 U.S.C. 22907(c)(1)) that are on a shared corridor with
Commuter Railroad Passenger Transportation, demonstrate how funding the
proposed project would be a reasonable investment in Intercity
Passenger Rail Transportation and/or freight rail transportation.
ix. Project Implementation and Management: Describe proposed
project implementation and project management arrangements. Include
descriptions of the expected arrangements for project contracting,
contract oversight, change-order management, risk management, and
conformance to Federal requirements for project progress reporting (see
https://www.fra.dot.gov/Page/P0274). Describe past experience in
managing and overseeing similar projects.
x. Planning Readiness for Tracks 2 and 3 (PE/NEPA and FD/
Construction Projects: Provide information about the planning process
that analyzed the investment needs and service objectives of the
project. If applicable, cite sources of this information from a service
development plan, State or regional rail plan, or similar planning
document where the project has been identified for solving a specific
existing transportation problem, and makes the case for investing in
the proposed solution.
xi. Environmental Readiness for Track 3 FD/Construction Projects:
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 CE determination, Finding of No Significant Impact, or Record of
Decision. If the NEPA process is not yet underway or is underway, but
is 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 related milestones. If
the last agency action with respect to NEPA documents occurred more
than three years before the application date, the applicant should
describe why the project has been delayed and include a proposed
approach for verifying, and if necessary, updating this information in
accordance with applicable NEPA requirements.
b. Additional Application Elements
Applicants must submit:
i. A Statement of Work (SOW) addressing the scope, schedule, and
budget for the proposed project if it were selected for award. The SOW
must contain sufficient detail so FRA, and the applicant, can
understand the expected outcomes of the proposed work to be performed
and monitor progress toward completing project tasks and deliverables
during a prospective grant's period of performance. Applicants must use
FRA's standard SOW, schedule, and budget templates to be considered for
award. The templates are located at https://www.fra.dot.gov/Page/P0325.
When preparing the budget, the total cost of a project must be based on
the best available information as indicated in cited references that
include engineering studies, studies of economic feasibility,
environmental analyses, and information on the expected use of
equipment or facilities.
ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project
Narrative for each project submitted by an applicant. The BCA must
demonstrate in economic terms the merits of investing in the proposed
project. The BCA for Track 2--PE/NEPA projects should be for the
underlying project, not the PE/NEPA work itself. The project narrative
should summarize the project's benefits.
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 at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer
to the BCA FAQs on FRA's website for some rail specific examples of how
to apply the BCA Guidance for Discretionary Grant Programs to CRISI
applications.
For Tracks 1 and 4--Applicants are required to document project
benefits. Any subjective estimates of benefits and costs should be
quantified whenever possible, and applicants should provide appropriate
evidence to support their subjective estimates. Estimates of benefits
should be presented in monetary terms whenever possible; if a monetary
estimate is not possible, then a quantitative estimate (in physical,
non-monetary terms, such as crash or employee casualty rates, ridership
estimates, emissions levels, energy efficiency improvements, etc.)
should be provided. At a minimum, qualitatively describe the project
benefits.
iii. Environmental compliance documentation, as applicable, if a
website link is not cited in the Project Narrative.
iv. SF 424--Application for Federal Assistance;
v. SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction;
vi. SF 424B--Assurances for Non-Construction or SF 424D--Assurances
for Construction;
vii. FRA's Additional Assurances and Certifications; and
viii. SF LLL--Disclosure of Lobbying Activities.
ix. A statement that the lead applicant has a system for procuring
property and services under a Federal award under
[[Page 21931]]
this NOFO that supports the provisions in 2 CFR 200 Subpart D-
Procurement Standards at 2 CFR 200.317-326 and 2 CFR 1201.317.
x. A statement indicating whether the applicant or any of its
principals:
a. is presently suspended, debarred, voluntarily excluded, or
disqualified;
b. has been convicted within the preceding 3 years of any of the
offenses listed in 2 CFR 180.800(a); or had a civil judgment rendered
against the organization or the individual for one of those offenses
within that time period;
c. is presently indicted for, or otherwise criminally or civilly
charged by a governmental entity (Federal, state or local) with,
commission of any of the offenses listed in 2 CFR 180.800(a); or,
d. has had one or more public transactions (Federal, state, or
local) terminated within the preceding 3 years for cause or default
(including material failure to comply).
Forms needed for the electronic application process are at
www.Grants.gov.
c. Post-Selection Requirements
See subsection F(2) of this notice for post-selection requirements.
3. Unique Entity Identifier, System for Award Management (SAM), and
Submission Instructions
To apply for funding through Grants.gov, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier, 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. Delayed registration is not an acceptable justification for
an application extension.
FRA may not make a grant award to an applicant until the applicant
has complied with all applicable Data Universal Numbering System (DUNS)
and 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. (Please note that if a Dun & Bradstreet DUNS number must be
obtained or renewed, this may take a significant amount of time to
complete.) Late applications 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:
a. Obtain a DUNS number.
A DUNS number is required for Grants.gov registration. The Office
of Management and Budget requires that all businesses and nonprofit
applicants for Federal funds include a DUNS number in their
applications for a new award or renewal of an existing award. A DUNS
number is a unique nine-digit sequence recognized as the universal
standard for the government in identifying and keeping track of
entities receiving Federal funds. The identifier is used for tracking
purposes and to validate address and point of contact information for
Federal assistance applicants, recipients, and subrecipients. The DUNS
number will be used throughout the grant life cycle. Obtaining a DUNS
number is a free, one-time activity. Applicants may obtain a DUNS
number by calling 1-866-705-5711 or by applying online at http://www.dnb.com/us.
b. 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, recipients, 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. Information about SAM registration procedures is
available at 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 DUNS number to complete this
step. Additional information about the registration process is
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
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 experiences difficulties 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: http://www.grants.gov/web/grants/applicants/apply-for-grants.html
Note: 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.
4. Submission Dates and Times
Applicants must submit complete applications to www.Grants.gov no
later than 5:00 p.m.. ET, June 19, 2020. FRA reviews www.Grants.gov
information on the dates and times of applications submitted to
determine timeliness of submissions. Late applications will be neither
reviewed nor considered. Delayed registration is not an acceptable
reason for late submission. To apply for funding under this
announcement, all applicants are expected to be registered as an
organization with Grants.gov. Applicants are strongly encouraged to
[[Page 21932]]
apply early to ensure all materials are received before this deadline.
To ensure a fair competition of limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(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
instructions in this NOFO; and (4) technical issues experienced with
the applicant's computer or information technology environment.
5. Intergovernmental Review
Executive Order 12372 requires applicants from state and local
units of government or other organizations providing services within a
state to submit a copy of the application to the State Single Point of
Contact (SPOC), if one exists, and if this program has been selected
for review by the state. Applicants may contact their State SPOC to
determine if the program has been selected for state review.
Intergovernmental Review is not required for this program.
6. Funding Restrictions
FRA is prohibited under 49 U.S.C. 22905(f) from providing CRISI
grants for commuter rail passenger transportation (as defined in 49
U.S.C. 24102(3)). FRA's interpretation of this restriction is informed
by the language in 49 U.S.C. 22907. FRA's primary intent in funding
passenger rail projects is to make reasonable investments in Intercity
Passenger Rail Transportation. Such projects may be located on shared
corridors where Commuter Rail Passenger Transportation and/or freight
rail also benefit from the project. The 2020 Appropriation makes an
exception to this funding restriction for Commuter Rail Passenger
Transportation projects for the implementation of positive train
control systems.
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.
Under 2 CFR 200.458, grant recipients must seek written approval from
the administering agency for pre-award activities to be eligible for
reimbursement under the grant. Activities initiated prior to the
execution of a grant or without written approval may be ineligible for
reimbursement or matching contribution. Cost sharing or matching may be
used only for authorized Federal award purposes.
7. Other Submission Requirements
If an applicant experiences difficulties 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: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.
E. Application Review Information
1. Criteria
a. Eligibility, Completeness and Applicant Risk Review
FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in Section C of this
notice), completeness (application documentation and submission
requirements are outlined in Section D of this notice), and the 20
percent minimum match.
FRA will then consider applicant risk, including the applicant's
past performance in developing and delivering similar projects and
previous financial contributions, and if applicable, previous
competitive grant technical evaluation ratings that the proposed
project received under previous competitive grant programs administered
by DOT.
Rural transportation networks play a vital role in supporting our
national economic vitality. Addressing the deteriorating conditions and
disproportionately high fatality rates on our rural transportation
infrastructure is of critical interest to DOT, as rural transportation
networks face unique challenges in safety, infrastructure condition,
and passenger and freight usage. Consistent with the R.O.U.T.E.S.
Initiative, DOT will consider how the project will address the
challenges faced by rural areas.
b. Evaluation Criteria
FRA will evaluate all eligible and complete applications using the
evaluation criteria outlined in this section to determine project
benefits and technical merit.
i. Project Benefits:
FRA will evaluate the Benefit-Cost Analysis 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
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.
ii. Technical Merit:
FRA will evaluate application information for the degree to which--
(A) The tasks and subtasks outlined in the SOW are appropriate to
achieve the expected outcomes of the proposed project.
(B) Applications indicate strong project readiness and meet
requirements under the project track(s) designated by the applicant.
(C) The technical qualifications and 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 are demonstrated.
(D) The proposed project's business plan considers potential
private sector participation in the financing, construction, or
operation of the proposed project.
(E) 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.
(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.
c. Selection Criteria
In addition to the eligibility and completeness review and the
evaluation criteria outlined in this subsection, the FRA will apply the
following selection criteria:
i. The FRA will give preference to projects for which the:
(A) Proposed Federal share of total project costs is 50 percent or
less;
(B) Proposed non-Federal share is comprised of more than one
source, including private sources, demonstrating broad participation by
affected stakeholders; and
(C) Net benefits of the grant funds will be maximized considering
the Benefit-Cost Analysis, including 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).
ii. After applying the above preferences, the FRA will take into
[[Page 21933]]
account the following key DOT objectives:
(A) Supporting economic vitality at the national and regional
level;
(B) Leveraging Federal funding to attract other, non-Federal
sources of infrastructure investment;
(C) Preparing for future operations and maintenance costs
associated with their project's life-cycle, as demonstrated by a
credible plan to maintain assets without having to rely on future
Federal funding;
(D) Using innovative approaches to improve safety and expedite
project delivery; and,
(E) Holding grant recipients accountable for their performance and
achieving specific, measurable outcomes identified by grant applicants.
iii. In determining the allocation of program funds, FRA may also
consider geographic diversity, diversity in the size of the systems
receiving funding, the applicant's receipt of other competitive awards,
and projects located in or that support transportation service in a
qualified opportunity zone designated pursuant to 26 U.S.C. 1400Z-1.
iv. Consistent with DOT's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), DOT recognizes that rural transportation
networks face unique challenges. To the extent that those challenges
are reflected in the merit criteria listed in this section, DOT will
consider how the activities proposed in the application will address
those challenges, regardless of the geographic location of those
activities.
2. Review and Selection Process
FRA will conduct a four-part application review process, as
follows:
a. Screen applications for completeness and eligibility and
consider applicable past performance and previous financial
contributions and technical evaluation ratings;
b. Evaluate eligible applications (completed by technical panels
applying the evaluation criteria);
c. Review, apply selection criteria and recommend initial selection
of projects for the FRA Administrator's review (completed by a non-
career Senior Review Team, which includes senior leadership from the
Office of the Secretary and FRA); and,
d. Selection of awards for the Secretary'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 $150,000 (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.
FRA will consider any comments by the applicant, in addition to the
other information in the designated integrity and performance system,
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
1. Federal Award Notice
FRA will announce applications selected for funding in a press
release and on the FRA website after the application review period.
This announcement is FRA's notification to successful and unsuccessful
applicants alike. FRA will contact applicants with successful
applications after announcement with information and instructions about
the award process. 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.
For Track 2 PE/NEPA projects, these requirements may include
transportation planning. For Track 3 FD/Construction projects, these
requirements may include transportation planning, PE and environmental
reviews. See an example of standard terms and conditions for FRA grant
awards at https://www.fra.dot.gov/eLib/details/L05285. This template is
subject to revision.
2. Administrative and National Policy Requirements
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, grantees must comply
with all applicable requirements of Federal law, including, without
limitation, the Constitution of the United States; the conditions of
performance, nondiscrimination requirements, and other assurances made
applicable to the award of funds in accordance with regulations of the
Department of Transportation; 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 the Department
determines that a grantee has failed to comply with applicable Federal
requirements, the Department may terminate the award of funds and
disallow previously incurred costs, requiring the grantee to reimburse
any expended award funds.
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; requirements
for disadvantaged business enterprises, debarment and suspension
requirements, and drug-free workplace requirements; FRA's and OMB's
Assurances and Certifications; Americans with Disabilities Act; safety
requirements; NEPA; environmental justice requirements; performance
measures under 49 U.S.C. 22907(f); grant conditions under 49 U.S.C.
22905, including the Buy America requirements, the provision deeming
operators rail carriers for certain purposes and grantee agreements
with railroad right-of-way owners for projects using railroad right-of-
way. 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.
Grantees must comply with applicable appropriations act
requirements and all relevant requirements of 2 CFR part 200. Rights to
intangible property under grants awarded under this NOFO are governed
in accordance with 2 CFR 200.315. For research awards, unless otherwise
stated in the Federal award, FRA will not consider non-federal entities
as that term is used in 2 CFR part 200 to include for-profit entities.
See an example of standard terms and
[[Page 21934]]
conditions for FRA grant awards at https://www.fra.dot.gov/eLib/Details/L19057 and clauses specific to CRISI funding at https://www.fra.dot.gov/eLib/Details/L20078. These templates are subject to
revision.
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.
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.
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. See an example
of standard terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057.
If the Federal share of any Federal award under this NOFO may
include more than $500,000 over the period of performance, applicants
are informed of the post award reporting requirements reflected in 2
CFR part 200, Appendix XII--Award Term and Condition for Recipient
Integrity and Performance Matters.
c. 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 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 grantee's application
materials and program goals.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Primary strategic Secondary strategic
Rail measures Unit measured Temporal goal goal Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Slow Order Miles.................. Miles................. Annual............... State of Good Repair Safety.............. The number of miles per
year within 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............ Annual............... Economic State of good repair The annual gross tonnage
competitiveness. of freight shipped 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................. Annual............... Economic Safety.............. The number of annual
competitiveness. automobile crossings
that are eliminated at
an at-grade crossing as
a result of a new grade
separation.
Passenger Counts.................. Count................. Annual............... Economic State of Good Repair Count of the annual
Competitiveness. passenger boardings and
alightings at stations
within the project area.
Travel Time....................... Time/Trip............. Annual............... Economic Quality of Life..... Point-to-point travel
Competitiveness. times between pre-
determined station stops
within the project area.
This measure
demonstrates how track
improvements and other
upgrades improve
operations on a rail
line. It also helps make
sure the railroad is
maintaining the line
after project
completion.
Track weight capacity............. Yes/No................ One Time............. State of Good Repair Economic If a project is upgrading
Competitiveness. a line to accommodate
heavier rail cars
(typically an increase
from 263,000 lb. rail
cars to 286,000 lb. rail
cars.)
Track Miles....................... Miles................. One Time............. State of Good Repair Economic The number of track miles
Competitiveness. that exist within the
project area. This
measure can be
beneficial for projects
building sidings or
sections of additional
main line track on a
railroad.
--------------------------------------------------------------------------------------------------------------------------------------------------------
G. Federal Awarding Agency Contacts
For further information regarding this notice and the grants
program, please contact Ms. Frances Bourne, Office of Policy and
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Room W38-207, Washington, DC 20590; email: [email protected];
phone: 202-493-6366.
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
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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.
Issued in Washington, DC, on April 14, 2020.
Quintin Kendall,
Deputy Administrator.
[FR Doc. 2020-08226 Filed 4-17-20; 8:45 am]
BILLING CODE 4910-06-P
