[Federal Register Volume 83, Number 139 (Thursday, July 19, 2018)]
[Notices]
[Pages 34283-34295]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-15412]
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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).
[[Page 34284]]
ACTION: Notice of Funding Opportunity (NOFO or notice).
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SUMMARY: This notice details the application requirements and
procedures to obtain grant \1\ funding for eligible projects under the
Consolidated Rail Infrastructure and Safety Improvements (CRISI)
Program. CRISI Program funding under this notice is provided by the
Consolidated Appropriations Act, 2018, (2018 Appropriation). Funding
for positive train control (PTC) systems deployment included in the
2018 Appropriation is provided under a different NOFO published on May
18, 2018 (CRISI PTC NOFO). Applicants may apply for funding for PTC
system elements under this NOFO as well if such elements are otherwise
eligible under the CRISI Program. 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.''
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\1\ The term ``grant'' is used throughout this document and is
intended to reference funding awarded through a grant agreement, as
well as funding awarded through a cooperative agreement.
DATES: Applications for funding under this solicitation are due no
later than 5:00 p.m. EDT, September 17, 2018. Applications received
after 5:00 p.m. EDT on September 17, 2018 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
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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. Amy Houser, Office of Program Delivery, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W36-412, 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. Grant application
submission and processing questions should be addressed to Ms. Amy
Houser, Office of Program Delivery, Federal Railroad Administration,
1200 New Jersey Avenue SE, Room W36-412, Washington, DC 20590; email:
[email protected]; phone: 202-493-0303.
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing application materials. A list
providing the definitions of key terms used throughout the NOFO is in
Section A(2) below. These key terms are capitalized throughout the
NOFO. There are several administrative prerequisites and specific
eligibility requirements described herein that applicants must comply
with to submit an application. 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
A. Program Description
1. Overview
This program provides a comprehensive solution to leverage 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 1.6 billion tons of freight valued
at nearly $600 billion annually, and over 31.3 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.
The Department 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 health access and safety for
residents.
The Department 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. In light of recent
fatal passenger rail accidents, the Department particularly recognizes
the opportunity to enhance safety in both track and equipment through
this grant program.
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. Additionally, the program
includes rail safety projects, such as grade crossing enhancements, and
rail line relocations and improvements. Applicable work also includes:
rail regional 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 2018 Appropriation that was not included in the
CRISI PTC NOFO. 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. 24407 and funds made available in this NOFO are
provided in the 2018 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
[[Page 34285]]
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 some 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 and related environmental laws and
regulations; highway-rail grade crossing improvements; communication
and signalization improvements; and rehabilitating, remanufacturing or
overhauling rail rolling stock and facilities.
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. ``Initiation'' or ``Initiate'' means commencing service on a
route that did not previously operate Intercity Rail Passenger
Transportation.
g. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except commuter rail passenger transportation. See 49
U.S.C. 24401(3). In this notice, ``Intercity Passenger Rail Service''
and ``Intercity Passenger Rail Transportation'' are equivalent terms to
``Intercity Rail Passenger Transportation.''
h. ``National Environmental Policy Act (NEPA)'' is a Federal law
that requires Federal agencies to assess the environmental impacts of a
proposed action in consultation with appropriate federal, state, and
local authorities, and with the public. 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 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. (See
FRA's Environmental Procedures at: https://www.fra.dot.gov/eLib/details/L02561.)
i. ``Planning'' means activities that support the development of a
state or regional rail plan or a corridor service development plan.
j. ``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.
k. ``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--
to be used concurrent with project or service level NEPA and related
analyses. PE occurs prior to FD and Construction.
l. ``Rail Carrier'' means a person providing common carrier
railroad 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).
m. ``Railroad Infrastructure'' means intermodal or rail facilities,
including track, bridges, tunnels, rail yards, buildings, passenger
stations, and maintenance and repair shops. In this NOFO, ``Rail
Infrastructure'' is an equivalent term to ``Railroad Infrastructure.''
n. ``Relocation'' is defined by 49 CFR 262.3 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.
o. ``Restoration'' means reinstating service to a route that
formerly operated Intercity Rail Passenger Transportation.
p. ``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.
q. ``Rural Area'' is defined in 49 U.S.C. 24407(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.\1\ 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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\1\ See 74 FR 53030, 53043 (August 24, 2011) available at
https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
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r. ``Tier 1 NEPA'' includes the analysis and evaluation of the
potential environmental impacts of an action at a broad level, such as
a program concept for an entire corridor, and typically does not lead
directly to project construction. It identifies the potential
environmental impacts of the alternatives being considered for the
program, as well as the mitigations that may be needed to address the
impacts. The potential environmental impacts and mitigations must be
incorporated into each alternative that is evaluated. These are
generally Environmental Impact Statements (EISs) that result in the
identification of a preferred alternative.
s. ``Tier 2 NEPA'' includes the required analysis and evaluation of
the potential environmental impacts of an action at a project-specific
level of detail. Tier 2 NEPA should be sufficient to support Final
Design and Construction activities and may include an EIS, an
environmental assessment (EA), or a categorical exclusion (CE).
B. Federal Award Information
1. Available Award Amount
The total funding available for awards under this NOFO is
$318,430,337 of which $35,547,000 will be for projects under 49 U.S.C.
24407(c)(2) that contribute to the Initiation or Restoration of
Intercity Passenger Rail Service consistent with the 2018
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Appropriation. Of the CRISI funding made available in the 2018
Appropriation (including amounts available under this NOFO and the
CRISI PTC NOFO) at least 25 percent, will be made available for Rural
Projects as authorized under 49 U.S.C. 24407(g).
After $5,925,470 is set aside for FRA award and program oversight,
the balance of the 2018 Appropriation CRISI Program funding includes
$250,000,000 set aside for certain PTC projects and $18,191,193 set
aside for Special Transportation Circumstances. These funds were
announced under separate NOFOs.
2. Award Size
There are no predetermined 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 piece 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 these cooperative agreements 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 alongside 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.
4. Concurrent Applications
As DOT and FRA are concurrently soliciting 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 CRISI Program funding under this NOFO, applicants must indicate the
other programs, and if applicable the 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; \2\
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\2\ 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);
h. Any Rail Carrier or rail equipment manufacturer in partnership
with at least one of the entities described in paragraph (a) through
(e); \3\
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\3\ 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 recipient 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 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, nor any non-Federal
funds already expended (or otherwise encumbered) that do not comply
with 2 CFR 200.458, as applicable, toward the matching requirement. FRA
is limiting the first 20 percent of the non-Federal match to cash
contributions only. FRA will not accept ``in-kind'' contributions for
the first 20 percent in matching funds. 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
[[Page 34287]]
from affected stakeholders, will be given preference.
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).
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.
24407 and this NOFO.
i. Under 49 U.S.C. 24407(c)(1) deployment of non-PTC railroad
safety technology and rail integrity inspection systems. Examples
include: Broken rail detection and warning systems; track intrusion
systems; and hot box detectors, wheel impact load detectors, and other
safety improvements.\5\
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\5\ Only FD and Construction costs are eligible within this
project eligibility category. Funding for PTC projects under 49
U.S.C. 24407(c)(1) are eligible under the CRISI PTC NOFO published
on May 18, 2018, and such projects are not eligible for funding
under this NOFO.
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ii. A capital project as defined in 49 U.S.C. 24401(2) relating to
Intercity Passenger Rail Service, except that such projects under this
NOFO are not required to be in a State rail plan. 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).
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.
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.
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.\4\
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\4\ 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, railroad industry governance and organization, and
economic analysis.
ii. Track 2--PE/NEPA
Track 2 consists of eligible PE/NEPA projects. PE examples include:
PE drawings and specifications (scale
[[Page 34288]]
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. NEPA examples include analysis and
documentation related to a Tier 2 NEPA EIS, EA or CE. PE/NEPA projects
funded under this NOFO must result in sufficiently developed product(s)
to support FD or Construction activities.
iii. Track 3--FD/Construction
Track 3 consists of eligible projects consisting of 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 and for
the development and implementation of 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.)
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.
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. EDT, on September 17,
2018. 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. Amy Houser,
Office of Program Delivery, Federal Railroad Administration, 1200 New
Jersey Avenue SE, Room W36-412, Washington, DC 20590. However, 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. Additionally,
applicants selected to receive funding must generally satisfy the grant
readiness checklist requirements on https://www.fra.dot.gov/Page/P0268
as a precondition to FRA issuing a grant award, as well as the
requirements in 49 U.S.C. 24405 explained in part at https://www.fra.dot.gov/page/P0185.
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
[[Page 34289]]
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 Management. See D.2.a.ix.
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 for award
applications with Project Narratives exceeding 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.
Will this project contribute to the Yes/no.
Restoration or Initiation of Intercity
Passenger Rail Service?.
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
previous application..
Project Title:
If applicable, what stage of NEPA is the NEPA stage:
project in (e.g., EA, Tier 1 NEPA, Tier 2
NEPA, or CE)?.
Is this a Rural Project? What percentage of Yes/no Percentage of total
the project cost is based in a Rural Area?. project cost:
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 (If yes, please
State rail plan, State Freight Plan, TIP, specify in which plans the
STIP, MPO Long Range Transportation Plan, project is currently
State Long Range Transportation Plan?. 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 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. 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 this or
other CRISI NOFOs 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.
[[Page 34290]]
[GRAPHIC] [TIFF OMITTED] TN19JY18.001
iv. Applicant Eligibility: Explain how the applicant meets the
applicant eligibility criteria outlined in Section C of this notice,
including references to creation or enabling legislation for public
agencies and publicly chartered authorities established by one or more
States. If the applicant is eligible under 49 U.S.C. 24407(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.
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. 24407(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.
(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 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.
vii. Project Location: Include geospatial data for the project, as
well as a map of the project's location. On the map, include the 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
[[Page 34291]]
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.
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, 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. Additional information
regarding FRA's environmental processes and requirements are located at
https://www.fra.dot.gov/eLib/Details/L05286.
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 template to be considered for award. The SOW
template is located at https://www.fra.dot.gov/eLib/Details/L18661.
When preparing the budget as part of the SOW, 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.
iii. 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.
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.
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. 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. (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
[[Page 34292]]
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 sub-recipients. 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 sub recipients.
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.. EDT, September 17, 2018. 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. Delayed registration is not an acceptable
reason for late submission. In order 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
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 must contact their State SPOC to
determine if the program has been selected for State review.
6. Funding Restrictions
FRA is prohibited under 49 U.S.C. 24405(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. 24407. 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.
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 not be eligible
for reimbursement or included as a grantee's matching contribution.
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 and Completeness Review
FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in
[[Page 34293]]
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 in determining whether the application is
eligible.
FRA will then consider the applicant's past performance in
developing and delivering similar projects and previous financial
contributions, and previous competitive grant technical evaluation
ratings that the proposed project received under previous competitive
grant programs administered by the DOT if applicable.
b. Evaluation Criteria
FRA subject-matter experts 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)(a)(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.\7\
---------------------------------------------------------------------------
\7\ FRA will not preclude projects for the initiation or
restoration of Intercity Passenger Rail Service under 49 U.S.C.
24407(c)(2) from consideration for funding due to a lack of
agreement among the funding recipients, operator, and host railroad
regarding access to and use of the host railroad facilities, if an
agreement or order for the use of such facilities may occur under 49
U.S.C. 24308.
---------------------------------------------------------------------------
(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 Administrator
will select projects applying the following selection criteria:
i. The Administrator 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. 24407(e).
ii. After applying the above preferences, the FRA Administrator
will take into account the following key Departmental 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.
2. Review and Selection Process
FRA will conduct a three-part application review process, as
follows:
a. Screen applications for completeness and eligibility;
b. Evaluate eligible applications (completed by technical panels
applying the evaluation criteria); and
c. Select projects for funding (completed by the FRA Administrator
applying the selection criteria).
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. 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. A formal cooperative agreement or grant agreement signed by
both the grantee and the FRA, including an approved scope, schedule,
and budget, is required to obligate the grant.
For all projects, obligation occurs when a selected applicant and
FRA enter a written project specific cooperative agreement or grant
agreement and is after the applicant has satisfied applicable
requirements. For Track 2 PE/NEPA projects, these requirements may
include transportation planning. For Track 3 FD/Construction projects,
these
[[Page 34294]]
requirements may include transportation planning, PE and environmental
reviews.
2. Administrative and National Policy Requirements
Due to funding limitations, projects that are selected for funding
may receive less than the amount originally requested. In those cases,
applicants must be able to demonstrate the proposed projects are still
viable and can be completed with the amount awarded.
Grantees and entities receiving funding from the grantee, must
comply with all applicable laws and regulations. Examples of
administrative and national policy requirements include: 2 CFR part
200; procurement standards; 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. 24407(f); 49 U.S.C.
24405, including the Buy America requirements and the provision deeming
operators rail carriers for certain purposes.
See an example of standard terms and conditions for FRA grant
awards at https://www.fra.dot.gov/Elib/Document/14426.
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
measure 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.
[[Page 34295]]
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.
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G. Federal Awarding Agency Contacts
For further information regarding this notice and the grants
program, please contact Ms. Amy Houser, Office of Program Delivery,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
412, Washington, DC 20590; email: [email protected]; phone: 202-493-
0303, or 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.
DOT protects such information from disclosure to the extent allowed
under applicable law. In the event DOT receives a Freedom of
Information Act (FOIA) request for the information, DOT will follow the
procedures described in its FOIA regulations at 49 CFR 7.17. Only
information that is ultimately determined to be confidential under that
procedure will be exempt from disclosure under FOIA.
Issued in Washington, DC, on July 11, 2018.
Ronald Louis Batory,
Administrator, Federal Railroad Administration.
[FR Doc. 2018-15412 Filed 7-18-18; 8:45 am]
BILLING CODE 4910-06-P