Notice2021-26835
Notice of Funding Opportunity for the Federal-State Partnership for State of Good Repair Program
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
December 10, 2021
Issuing agencies
Transportation DepartmentFederal Railroad Administration
Abstract
This notice details the application requirements and procedures to obtain grant funding for eligible projects under the Federal-State Partnership for State of Good Repair Program (Partnership Program). This notice solicits applications for Partnership Program funds made available by the Consolidated Appropriations Act, 2021. The opportunity described in this notice is made available under Assistance Listings Number 20.326, "Federal-State Partnership for State of Good Repair."
Full Text
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<title>Federal Register, Volume 86 Issue 235 (Friday, December 10, 2021)</title>
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[Federal Register Volume 86, Number 235 (Friday, December 10, 2021)]
[Notices]
[Pages 70582-70595]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-26835]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for the Federal-State Partnership
for State of Good Repair Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
[[Page 70583]]
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
Federal-State Partnership for State of Good Repair Program (Partnership
Program). This notice solicits applications for Partnership Program
funds made available by the Consolidated Appropriations Act, 2021. The
opportunity described in this notice is made available under Assistance
Listings Number 20.326, ``Federal-State Partnership for State of Good
Repair.''
DATES: Applications for funding under this solicitation are due no
later than 5:00 p.m. ET, March 7, 2022. Late or 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 <a href="http://www.Grants.gov">www.Grants.gov</a>. Only
applicants who comply with all submission requirements described in
this notice and submit applications through <a href="http://www.Grants.gov">www.Grants.gov</a> will be
eligible for award. For any supporting application materials that an
applicant is unable to submit via <a href="http://www.Grants.gov">www.Grants.gov</a> (such as oversized
engineering drawings), an applicant may submit an original and two (2)
copies to Mr. Bryan Rodda, Office of Policy and Planning, Federal
Railroad Administration, 1200 New Jersey Avenue SE, Room W38-203,
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 information related to
this notice, please contact Mr. Bryan Rodda, Office of Policy and
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Room W38-203, Washington, DC 20590; email: <a href="/cdn-cgi/l/email-protection#3270404b535c1c605d56565372565d461c555d44"><span class="__cf_email__" data-cfemail="d99baba0b8b7f78bb6bdbdb899bdb6adf7beb6af">[email protected]</span></a>; phone:
202-493-0443.
SUPPLEMENTARY INFORMATION: This notice wholly supersedes and cancels
FRA's prior notice for this program, published in the Federal Register
on December 7, 2021 (86 FR 69352), which was incomplete. Applicants
should refer only to this notice for application requirements and
procedures.
Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing application materials.
Definitions of key terms used throughout the NOFO are provided in
Section A(2) below. These key terms are capitalized throughout the
NOFO. There are several administrative and specific eligibility
requirements described herein with which applicants must comply.
Additionally, applicants should note that the required Project
Narrative component of the application package may not exceed 25 pages
in length.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information
A. Program Description
1. Overview
Our nation's rail network is a critical component of the U.S.
transportation system and economy. Prior to the coronavirus disease
2019 (COVID-19) pandemic, rail carried over 32.5 million passengers on
Amtrak services and approximately 1.6 billion tons of freight valued at
over $600 billion each year. The Partnership Program provides a Federal
funding opportunity to improve American passenger rail infrastructure
to enhance rail safety, reduce the backlog of deferred maintenance for
Amtrak or publicly owned or controlled railroad assets, create new
opportunities for underserved communities, and invest in projects that
support and spur economic growth.
The purpose of the Partnership Program is to fund projects within
the United States to repair, replace, or rehabilitate Qualified
Railroad Assets to reduce the state of good repair backlog and improve
Intercity Passenger Rail performance. Section E of this NOFO provides
additional information on these program priorities.
The Partnership Program is authorized in Sections 11103 and 11302
of the Passenger Rail Reform and Investment Act of 2015 (Title XI of
the Fixing America's Surface Transportation (FAST) Act, Pub. L. 114-94
(2015)); codified at 49 U.S.C. 24911, and this NOFO is funded by the
Consolidated Appropriations Act, 2021 (Pub. L. 116-260) (Appropriations
Act).\1\ The opportunity described in this notice is made available
under Assistance Listings Number 20.326, ``Federal-State Partnership
for State of Good Repair.''
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\1\ Funds made available under this NOFO are subject to 49
U.S.C. 24911 as it existed on the day of the enactment of the
Appropriations Act.
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Consistent with Biden-Harris Administration priorities, the
Department seeks to fund projects under the Partnership Program that
address climate change impacts and environmental justice. Projects
should include components that reduce emissions, promote energy
efficiency, increase resilience, and recycle or redevelop existing
infrastructure. This objective is consistent with Executive Order
14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619). As
part of the Department's implementation of that Executive Order, the
Department encourages the submission of applications that would direct
resources and benefits towards low-income communities, overburdened
communities, or communities underserved by affordable transportation.
The Department also seeks to use the Partnership Program to
encourage racial equity by investing in projects that proactively
address racial equity and barriers to opportunity. Projects should
include components that improve or expand transportation options and
mitigate the safety risks and detrimental quality of life effects that
rail lines can have on communities, particularly low-income areas, and
communities of color. This objective supports the Department's
strategic goal related to infrastructure, with the potential for
significantly enhancing environmental stewardship and community
partnerships, and reflects Executive Order 13985, Advancing Racial
Equity and Support for Underserved Communities Through the Federal
Government (86 FR 7009). Section E describes the climate change,
environmental justice, and racial equity considerations further.
The Partnership Program is intended to benefit both railroad assets
in the Northeast Corridor (``NEC'') and public or Amtrak-owned or
controlled infrastructure, equipment, and facilities located in other
areas of the country. Applicants should note that the Partnership
Program has distinct eligibility requirements based on project
location. In addition to the generally applicable requirements,
applicants proposing NEC Projects should specifically review the NEC-
specific requirements provided in Section C(3)(b), and the Qualified
Railroad Asset information provided in Section D(2)(a)(vi) while
applicants proposing Non-NEC Projects should review the Qualified
Railroad Asset information provided in Section D(2)(a)(v).
[[Page 70584]]
2. Changes From FY 2020 Partnership Program NOFO
This notice updates the FY 2020 Partnership Program NOFO to reflect
the Biden-Harris Administration's priorities for creating good-paying
jobs, improving safety, applying transformative technology, and
explicitly addressing climate change and racial equity as discussed in
Section E(1)(c)(ii).
This notice expands the definition of Capital Project, making
expenses incidental to the acquisition or construction (including
designing, engineering, location surveying, mapping, environmental
studies, and acquiring rights-of-way) of a Capital Project eligible for
funding independently or in conjunction with proposed funding for
construction or acquisition, as directed by the Appropriations Act.
3. Definitions of Key Terms
Terms defined in this section are capitalized throughout this
notice.
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, 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 sensitivity
of results evaluated by FRA. Please refer to the Benefit-Cost Analysis
(BCA) Guidance for Discretionary Grant Programs prior to preparing a
BCA at <a href="https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance">https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance</a>. 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 Partnership
Program applications.
b. ``Capital Project'' means a project primarily intended to
replace, rehabilitate, or repair major infrastructure assets utilized
for providing Intercity Passenger Rail service, including tunnels,
bridges, stations, and other assets, as determined by the Secretary of
Transportation; a project primarily intended to improve Intercity
Passenger Rail performance, including reduced trip times, increased
train frequencies, and higher operating speeds, and other improvements,
as determined by the Secretary; and a project for expenses incidental
to the acquisition or construction (including designing, engineering,
location surveying, mapping, environmental studies, and acquiring
rights-of-way) of a project, consistent with 49 U.S.C. 24911(a)(2) and
the Appropriations Act.
c. ``Construction'' means the production of fixed works and
structures or substantial alterations to such structures or land and
associated costs.
d. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple ride, and commuter tickets and morning
and evening peak period operations, consistent with 49 U.S.C. 24102(3).
e. ``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.
f. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except Commuter Rail Passenger Transportation,
consistent with 49 U.S.C. 24911(a)(3). In this notice, ``Intercity
Passenger Rail'' is an equivalent term to ``Intercity Rail Passenger
Transportation.''
g. ``Major Capital Project'' means a Capital Project with an
estimated total project cost of $300 million or more.
h. ``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 <a href="https://www.fra.dot.gov/environment">https://www.fra.dot.gov/environment</a>.
i. ``NEC Project'' means a Capital Project where the Qualified
Railroad Assets involved in the project are part of, or in primary use
for, the Northeast Corridor (``NEC'').
j. ``Non-NEC Project'' means a Capital Project where the Qualified
Railroad Assets involved in the project are not part of, or are not in
primary use for, the Northeast Corridor (``NEC'').
k. ``Northeast Corridor'' (``NEC'') means the main rail line
between Boston, Massachusetts, and the District of Columbia; the branch
rail lines connecting to Harrisburg, Pennsylvania, Springfield,
Massachusetts, and Spuyten Duyvil, New York; and facilities and
services used to operate and maintain these lines, consistent with 49
U.S.C. 24911(a)(4).
l. ``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.
m. A ``Qualified Railroad Asset,'' consistent with 49 U.S.C.
24911(a)(5), means infrastructure, equipment, or a facility that:
i. Is owned or controlled by an eligible applicant;
ii. is contained in the planning document developed under 49 U.S.C.
24904 and for which a cost-allocation policy has been developed under
49 U.S.C. 24905(c), or is contained in an equivalent planning document
and for which a similar cost-allocation policy has been developed; and
iii. was not in a State of Good Repair on the date of enactment of
the Passenger Rail Reform and Investment Act of 2015 (December 4,
2015).
See Section D(2)(a), Project Narrative, for further details about
the Qualified Railroad Asset requirements and application submission
instructions related to Qualified Railroad Assets.\2\
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\2\ For any project that includes purchasing intercity passenger
rail equipment, applicants are encouraged to use a standardized
approach to the procurement, such as the specifications developed by
the Next Generation Corridor Equipment Pool Committee or a similarly
uniform process.
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n. ``State of Good Repair'' means a condition in which physical
assets, both
[[Page 70585]]
individually and as a system, are (A) performing at a level at least
equal to that called for in their as-built or as-modified design
specification during any period when the life cycle cost of maintaining
the assets is lower than the cost of replacing them; and (B) sustained
through regular maintenance and replacement programs, consistent with
49 U.S.C. 24102(12).
B. Federal Award Information
1. Available Award Amount
The total funding available for awards under this NOFO is
$198,000,000 made available by the Appropriations Act. Should
additional Partnership Program funds become available after the release
of this NOFO, FRA may elect to award such additional funds to
applications received under this NOFO. Any selection and award under
this NOFO is subject to the availability of appropriated funds.
2. Award Size
There are no predetermined minimum or maximum dollar thresholds for
awards. FRA anticipates making multiple awards with the available
funding. Given the limited amount of funding currently available, FRA
may not be able to award grants to all eligible applications even if
they meet or exceed the stated evaluation criteria (see Section E,
Application Review Information). Projects may require more funding than
is available. FRA encourages applicants to propose a project that has
operational independence or a component of such project and that can be
completed and implemented with funding under this NOFO as a part of the
total project cost together with other, non-Federal sources. (See
Section C(3)(c) for more information.)
Applicants proposing a Major Capital Project may identify and
describe project phases or elements that could be candidates for
subsequent Partnership Program funding, if such funding becomes
available. Applications for a Major Capital Project that would seek
future funds beyond funding made available in this notice should
indicate anticipated annual Federal funding requests from this program
for the expected duration of the project. FRA may issue Letters of
Intent to Partnership Program grant recipients proposing Major Capital
Projects under 49 U.S.C. 24911(g); such Letters of Intent would serve
to announce FRA's intention to obligate an amount from future available
budget authority toward a grant recipient's future project phases or
elements. A Letter of Intent is not an obligation of the Federal
government and is subject to the availability of appropriations for
Partnership Program grants and subject to Federal laws in force or
enacted after the date of the Letter of Intent.
4. Award Type
FRA will make awards for projects selected under this notice
through grant agreements and/or cooperative agreements. Grant
agreements are used when FRA does not expect to have substantial
Federal involvement in carrying out the funded activity. Cooperative
agreements allow for substantial Federal involvement in carrying out
the agreed upon investment, including technical assistance, review of
interim work products, and increased program oversight. The term
``grant'' is used throughout this document and is intended to reference
funding awarded through a grant agreement, as well as funding awarded
through a cooperative agreement. The funding provided under this NOFO
will be made available to grantees on a reimbursable basis. Applicants
must certify that their expenditures are allowable, allocable,
reasonable, and necessary to the approved project before seeking
reimbursement from FRA. Additionally, the grantee is expected to expend
matching funds at the required percentage concurrent with Federal funds
throughout the life of the project. See an example of standard terms
and conditions for FRA grant awards at: <a href="https://www.fra.dot.gov/eLib/Details/L19057">https://www.fra.dot.gov/eLib/Details/L19057</a>. This template is subject to revision.
5. Concurrent Applications
DOT and FRA may be 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 funding under this NOFO, applicants must indicate the other
program(s) 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 previously submitted application(s).
C. Eligibility Information
This section of the notice explains applicant eligibility, cost
sharing and matching requirements, project eligibility, and project
component operational independence. Applications that do not meet the
requirements in this section 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 projects
permitted under this notice:
(1) A State (including the District of Columbia);
(2) a group of States;
(3) an Interstate Compact;
(4) 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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(5) a political subdivision of a State;
(6) Amtrak, acting on its own behalf or under a cooperative
agreement with one or more states; or
(7) any combination of the entities described in (1) through (6).
Applications must identify a lead applicant. The lead applicant
serves as the primary point of contact for the application, and if
selected, as the grantee of the Partnership Program grant award. To
submit a joint application, the lead applicant must identify the joint
applicant(s) and include a signed statement from an authorized
representative of each joint applicant entity that affirms the entity
joins the application. See Section D(2) for further instructions about
submitting a joint application.
An application submitted by Amtrak and one or more States, whether
eligible under (1), (2) or (6) above, must identify the lead applicant
and include a signed cooperative agreement between Amtrak and the
state(s) consistent with 49 U.S.C. 24911(a)(1)(F). Selection preference
will be provided for joint applications, as further discussed in
Section E(1)(c). Applications may reference entities that are not
eligible applicants (e.g., private sector firms) in an application as a
partner in project funding or implementation, but ineligible entities
do not qualify as lead or joint applicants. FRA will provide selection
preference only to joint applications submitted by multiple eligible
applicants.
2. Cost Sharing or Matching
The Federal share of total costs for Partnership Program projects
funded under this notice shall not exceed 80 percent. FRA will provide
selection preference to applications where the proposed Federal share
of total project
[[Page 70586]]
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
may use FRA's cost estimate guidance documentation, ``Capital Cost
Estimating: Guidance for Project Sponsors,'' which is available at:
<a href="https://www.fra.dot.gov/Page/P0926">https://www.fra.dot.gov/Page/P0926</a>.
The minimum 20 percent non-Federal share may be comprised of public
sector (e.g., State or local) or private sector funding. FRA will not
consider any Federal financial assistance \4\ or any non-Federal funds
already expended (or otherwise encumbered) toward the matching
requirement, unless compliant with 2 CFR part 200. In-kind
contributions, including the donation of services, materials, and
equipment, may be credited as a project cost, in a uniform manner
consistent with 2 CFR 200.306.
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\4\ See Section D(2)(a)(iii) for supporting information required
to demonstrate eligibility of Federal funds for use as match.
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If Amtrak is an applicant, Amtrak may use its ticket and other non-
Federal revenues generated from its operations and other sources to
satisfy the non-Federal share requirements. Applicants must identify
the source(s) of their 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 to replace or
rehabilitate Qualified Railroad Assets and improve Intercity Passenger
Rail performance are eligible for funding under 49 U.S.C. 24911, the
Appropriations Act, and this NOFO:
(1) Capital Projects to replace existing assets in-kind;
(2) Capital Projects to replace existing assets with assets that
increase capacity or provide a higher level of service;
(3) Capital Projects to ensure that service can be maintained while
existing assets are brought to a State of Good Repair; and
(4) Capital Projects to bring existing assets into a State of Good
Repair.
Qualified Railroad Assets, as further defined in Section A(2), are
owned or controlled by an eligible applicant and may include:
Infrastructure, including track, ballast, switches and interlockings,
bridges, communication and signal systems, power systems, highway-rail
grade crossings, and other railroad infrastructure and support systems
used in intercity passenger rail service; stations, including station
buildings, support systems, signage, and track and platform areas;
equipment, including passenger cars, locomotives, and maintenance-of-
way equipment; and facilities, including yards and terminal areas and
maintenance shops. Capital Projects, as further defined in Section
A(2), may include PE, NEPA, Final Design, Construction, or expenses
incidental to the acquisition or Construction of a Capital Project.
Corridor or project-specific planning studies are not eligible. Pre-
Construction activities are eligible for funding independently or in
conjunction with proposed funding for construction.
PE/NEPA examples include: Engineering 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. (See Section D(2)(a)(xii) for additional information.)
b. Additional Eligibility Requirements for NEC Projects
This section provides additional eligibility requirements for NEC
Projects. Applicants proposing Non-NEC Projects are not subject to the
requirements in this section and do not need to respond to them in
their application and may proceed to Section C(3)(c) below.
In the Partnership Program, grant funds may not be provided to an
eligible recipient for an eligible NEC Project unless Amtrak and the
public authorities providing commuter rail passenger transportation at
the eligible project location on the NEC are in compliance with 49
U.S.C. 24905(c)(2). Applicants must demonstrate compliance with 49
U.S.C. 24905(c)(2) by describing the status of compliance with such
cost-allocation policy between Amtrak and the public authorities
providing commuter rail passenger transportation at the eligible
project location, which may include demonstrating that such authorities
are excepted from allocating costs for the proposed NEC Project, such
as for a project that solely benefits intercity passenger rail,
consistent with 49 U.S.C. 24905(c)(1)(A)(ii). Such providers must
maintain compliance with 49 U.S.C. 24905(c)(2) for the duration of the
project.
c. Project Component
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 and comply with all eligibility
requirements described in Section C.
In addition, the component(s) must enable independent analysis and
decision making, as determined by FRA under NEPA (i.e., have
independent utility, connect logical termini, and do not restrict the
consideration of alternatives for other reasonably foreseeable rail
projects).
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 <a href="http://www.Grants.gov">http://www.Grants.gov</a> no later than 5:00 p.m. ET, on March 7,
2022. Applicants are strongly encouraged to apply early to ensure that
all materials are received before the application deadline. FRA
reserves the right to modify this deadline. General information for
submitting applications through <a href="http://Grants.gov">Grants.gov</a> can be found at: <a href="https://www.fra.dot.gov/Page/P0270">https://www.fra.dot.gov/Page/P0270</a>.
[[Page 70587]]
FRA is committed to ensuring that information is available in
appropriate alternative formats to meet the requirements of persons who
have a disability. If you require an alternative version of files
provided, please contact Lou Lorello, Office of the Chief Financial
Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Room W36-111, Washington, DC 20590; email: <a href="/cdn-cgi/l/email-protection#98f4f7edb6f4f7eafdf4f4f7d8fcf7ecb6fff7ee"><span class="__cf_email__" data-cfemail="55393a207b393a273039393a15313a217b323a23">[email protected]</span></a>; phone:
202-493-8026.
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 satisfy the requirements in
49 U.S.C. 22905 explained in part at <a href="https://www.fra.dot.gov/page/P0185">https://www.fra.dot.gov/page/P0185</a>
and further in section F.2 of this notice.
Required documents for an application package are outlined in the
checklist below.
<bullet> Project Narrative (see D.2.a).
<bullet> Statement of Work (see D.2.b.i).
<bullet> Benefit-Cost Analysis (see D.2.b.ii).
<bullet> Environmental Compliance Documentation (see D.2.b.iii).
<bullet> SF424--Application for Federal Assistance.
<bullet> SF 424C--Budget Information for Construction, or, for an
equipment procurement project or non-Construction project, SF 424A--
Budget Information for Non-Construction.
<bullet> SF 424D--Assurances for Construction, or, for an equipment
procurement project or non-Construction project, SF 424B--Assurances
for Non-Construction.
<bullet> FRA's Additional Assurances and Certifications.
<bullet> SF LLL--Disclosure of Lobbying Activities.
<bullet> Draft Agreement required under 49 U.S.C. 22905(c)(1), if
applicable (see D.2.b.xi).
a. Project Narrative
This section describes the minimum content required in the Project
Narrative of grant applications. 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 Criteria....... See D.2.a.iv
V. Non-NEC Project Eligibility Criteria.. See D.2.a.v
VI. NEC Project Eligibility Criteria..... See D.2.a.vi
VII. Detailed Project Description........ See D.2.a.vii
VIII. Project Location................... See D.2.a.viii
IX. Grade Crossing Information, if See D.2.a.ix
applicable.
X. Evaluation and Selection Criteria..... See D.2.a.x
XI. Project Implementation and Management See D.2.a.xi
XII. Environmental Readiness............. See D.2.a.xii
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 relevant portion of the supporting document with the page
numbers of the cited information in the Project Narrative. The Project
Narrative must adhere to the following outline.
i. Cover Page: Include a cover page that lists the following
elements in either a table or formatted list:
------------------------------------------------------------------------
------------------------------------------------------------------------
Project Title ...........................
Lead Applicant Name ...........................
Joint Applicant(s) Name(s), if any ...........................
Amount of Federal Funding Requested Under ...........................
this NOFO
Proposed Non-Federal Match ...........................
Total Project Cost ...........................
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.
City(-ies), State(s) Where the Project is ...........................
Located
Congressional District(s) Where the Project ...........................
is Located
------------------------------------------------------------------------
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, and total
project cost. Identify the source(s) of matching and other funds, and
clearly and distinctly reflect these funds as part of the total project
cost in the application budget. 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. Also, note if the requested Federal funding under this
NOFO 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, as well as substantiate how the contributions meet
the requirements in 2 CFR 200.306. For a Major Capital Project that
would seek future funds beyond funding made available in this notice,
provide the anticipated annual Federal funding requests from this grant
program, anticipated future non-Federal match, and total project cost
for the entire expected duration of the project. Finally, specify
whether Federal funding for the project has previously been sought, and
identify the Federal program and fiscal year of the funding request(s),
as well as highlight new or revised information in the Partnership
Program application that differs from the application(s) to other
financial assistance programs.
Example Project Funding Table:
----------------------------------------------------------------------------------------------------------------
Task name/project Percentage of total
Task No. component Cost cost
----------------------------------------------------------------------------------------------------------------
1
2
----------------------------------------------------------------------------------------------------------------
[[Page 70588]]
Total Project Cost
Federal Funds Received from Previous Grant
Federal Funding Under this NOFO 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 Criteria: Explain how the lead applicant
and joint applicant(s) meet 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. To submit a
joint application, the lead applicant must identify the joint
applicant(s) and include a signed statement from an authorized
representative of each joint applicant entity that affirms the entity
joins the application.
For joint applications involving Amtrak and one or more States,
Amtrak and the State(s) must provide a cooperative agreement for the
project signed by authorized representatives of Amtrak and each State.
Joint applications are expected to include a description of the roles
and responsibilities of each applicant, including budget and
subrecipient information showing how the applicants will share project
costs.
v. Non-NEC Project Eligibility Criteria: This section provides
project eligibility requirements for Non-NEC Projects. Applicants
proposing NEC Projects may skip this section and proceed to section
D(2)(a)(vi). For Non-NEC Projects, demonstrate that the proposed
project is a Capital Project that meets the project eligibility
criteria in Section C(3) of this notice. Further, demonstrate that the
infrastructure, equipment and/or facilities involved in the proposed
project are Qualified Railroad Assets under 49 U.S.C. 24911(a)(5), as
follows:
(A) To demonstrate ownership or control by an eligible applicant
under 49 U.S.C. 24911(a)(5)(A), show either:
(1) The lead or joint applicant owns or will, at project
completion, have ownership of the infrastructure, equipment, or
facility improved by the project; or
(2) The lead or joint applicant controls or will, at project
completion, have control over the infrastructure, equipment, or
facility improved by the project including by agreement with the
infrastructure, equipment, or facility owner(s). Applicants should
describe such agreement(s) in sufficient detail in their application
for FRA to understand the extent of the control, including the lead or
joint applicant's management and decision-making authority regarding
the infrastructure, equipment, or facility improved by the project, and
the remaining or anticipated duration of the agreement(s). Agreements
involving railroad rights-of-way should also demonstrate the lead or
joint applicant has train dispatching and maintenance-of-way
responsibilities for the right-of-way.
(B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B),
show that the infrastructure, equipment, or facilities involved in the
proposed project are contained in a planning document equivalent to the
planning document developed under 49 U.S.C. 24904 and for which a
similar cost-allocation policy to the cost-allocation policy developed
under 49 U.S.C. 24905(c) has been developed.
Non-NEC Projects may satisfy the equivalent planning document
requirement described above by demonstrating the project is contained
in the planning document(s) prepared under 49 U.S.C. Chapter 227,
``State Rail Plans,'' for the State(s) where the infrastructure,
equipment and facilities are located or in primary use. Applicants with
projects contained in a State Rail Plan should indicate the location
(e.g., table or page number) where the project is discussed in the
document. If a project is not contained in the State Rail Plan,
applicants may demonstrate the infrastructure, equipment and facilities
involved in the proposed project are contained in an alternate
equivalent planning document or amend the relevant State Rail Plan(s)
to contain the project. Amending a State Rail Plan requires a letter to
FRA from an authorized representative of the relevant State rail
transportation authority adding the proposed project to the plan and
stating that the letter serves as an addendum to the current plan. Such
a letter should include the project name, a brief description of the
project, and estimated project cost and Federal and non-Federal share
by funding source. FRA encourages State rail transportation authorities
to make any such addendum letters publicly available with their State
Rail Plans. FRA recommends such letters be submitted as part of an
applicant's Partnership Program application via <a href="http://Grants.gov">Grants.gov</a>. Whether
submitted as part of a Partnership Program application package or
separately to FRA, FRA must receive the letter by the application due
date of this notice.
Non-NEC Projects must satisfy the similar cost-allocation policy
requirement either by demonstrating the infrastructure, equipment or
facilities involved in the proposed project are for routes subject to
the cost-sharing methodology adopted under Section 209 of the Passenger
Rail Investment and Improvement Act of 2008 (PRIIA), Public Law 110-
432, Oct. 16, 2008; or by demonstrating the infrastructure, equipment
or facilities involved in the proposed project are subject to a similar
cost-sharing or cost-allocation policy.
(C) To demonstrate the state of good repair requirement under 49
U.S.C. 24911(a)(5)(B):
(1) Describe the condition and performance of the infrastructure,
equipment, or facility as of the time of enactment of the Passenger
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
(2) indicate how the infrastructure, equipment, or facility's
condition or performance falls short of the definition of ``State of
Good Repair'' in Section A(2); and
(3) indicate, if known, when the infrastructure, equipment, or
facility last received comprehensive repair, replacement, or
rehabilitation work similar to the applicant's proposed scope of work.
vi. NEC Project Eligibility Criteria: This section provides project
eligibility requirements for NEC Projects. (Applicants proposing Non-
NEC Projects may skip this section and proceed to Section
D(2)(a)(vii).) For NEC Projects, demonstrate that the proposed project
is a Capital Project that meets the project eligibility criteria in
Section C(3) of this notice including the requirements in 49 U.S.C.
24911(e). Further, demonstrate that the
[[Page 70589]]
infrastructure, equipment, and/or facilities involved in the project
are Qualified Railroad Assets under 49 U.S.C. 24911(a)(5), as follows:
(A) To demonstrate ownership or control by an eligible applicant
under 49 U.S.C. 24911(a)(5)(A), show either:
(1) The lead or joint applicant owns or will, at project
completion, have ownership of the infrastructure, equipment, or
facility improved by the project; or
(2) The lead or joint applicant controls or will, at project
completion, have control over the infrastructure, equipment, or
facility improved by the project including by agreement with the
infrastructure, equipment, or facility owner(s). Applicants should
describe such agreement(s) in sufficient detail in their application
for FRA to understand the extent of the control, including the lead or
joint applicant's management and decision-making authority regarding
the infrastructure, equipment, or facility improved by the project, and
the remaining or anticipated duration of the agreement(s). Agreements
involving railroad rights-of-way should also demonstrate the lead or
joint applicant has train dispatching and maintenance-of-way
responsibilities for the right-of-way.
(B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B),
show that the infrastructure, equipment, or facilities involved in the
proposed project are contained in the planning document developed under
49 U.S.C. 24904 and for which a cost-allocation policy has been
developed under 49 U.S.C. 24905(c), or are contained in an equivalent
planning document and for which a similar cost-allocation policy has
been developed.
NEC Projects must satisfy the planning document requirement by
demonstrating the project is contained in the current approved planning
document developed under 49 U.S.C. 24904 (i.e., the NEC Commission
Five-Year Capital Investment Plan). Applicants with projects contained
this plan should indicate the location (e.g., table or page number)
where the project in discussed in the document. If an NEC Project is
not contained in the 49 U.S.C. 24904 planning document at the time of
this notice, applicants may demonstrate that the infrastructure,
equipment and facilities involved in the proposed project are contained
in an equivalent planning document or update the 49 U.S.C. 24904
planning document to contain the project by the due date for
applications under this notice. An equivalent planning document may
include a planning document developed under 49 U.S.C. 24320(c).
NEC Projects must satisfy the cost-allocation policy requirement by
demonstrating the infrastructure, equipment, or facilities are subject
to the cost-allocation policy developed under 49 U.S.C. 24905(c) (i.e.,
Northeast Corridor Commuter and Intercity Rail Cost Allocation Policy),
or a similar cost-allocation policy.
(C) To demonstrate the state of good repair requirement under 49
U.S.C. 24911(a)(5)(C), the NEC applicant must:
(1) Describe the condition and performance of the infrastructure,
equipment, or facility as of the time of enactment of the Passenger
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
(2) indicate how the infrastructure, equipment, or facility's
condition or performance falls short of the definition of ``State of
Good Repair'' in Section A(2); and
(3) indicate, if known, when the infrastructure, equipment, or
facility last received comprehensive repair, replacement, or
rehabilitation work similar to the applicant's proposed scope of work.
vii. Detailed Project Description: Include a detailed project
description that expands upon the brief project summary. This detailed
description should provide, at a minimum: Additional background on the
transportation challenges the project aims to address; a summary of
current and proposed railroad operations in the project area, to
include identification of all railroad owners and operators, typical
daily, weekly, or annual train counts by operator, and ridership data
for passenger operations \5\; the primary expected project outcomes
such as increased ridership, reduced delays, improved rail network
asset condition and performance, or similar outcomes and benefits; the
expected users and beneficiaries of the project, including all railroad
operators and types of passenger or freight rail service operating or
proposed to operate in the project area; the specific components and
elements of the project; and any other information the applicant deems
necessary to justify the proposed project. Applicants with Major
Capital Projects are encouraged to identify and describe project phases
or elements that would be candidates for subsequent Partnership Program
funding if such funding becomes available. Include information to
demonstrate the project is reasonably expected to begin construction in
a timely manner. For all projects, applicants must provide information
about proposed performance measures, as described in Section F(3)(c)
and required in 2 CFR 200.301.
---------------------------------------------------------------------------
\5\ Given the on-going impact of the COVID-19 pandemic,
applicants may provide pre-pandemic ridership data (i.e., fiscal or
calendar year 2019 data), as well as more recent ridership data.
---------------------------------------------------------------------------
viii. 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 in which the project will take place.
ix. 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: <a href="http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx">http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx</a>.
x. Evaluation and Selection Criteria: Include a thorough discussion
of how the proposed project meets all of the evaluation and selection
criteria, as outlined in Section E of this notice. If an application
does not sufficiently address the evaluation criteria and the selection
criteria, it is unlikely to be a competitive application. To support a
finding of eligibility, for projects that are on a shared corridor with
Commuter Railroad Passenger Transportation, clearly demonstrate how the
proposed project directly benefits Intercity Passenger Rail
Transportation and that funding the proposed project would be a
reasonable investment in Intercity Passenger Rail Transportation,
independent and separate from consideration of the proposed project's
benefits to Commuter Railroad Passenger Transportation.
xi. Project Implementation and Management: Describe proposed
project implementation and project management arrangements, including
between the lead and joint applicants, if any. Include descriptions of
the expected arrangements for project contracting, contract oversight
and control, change-order management, risk management, and conformance
to Federal requirements for project progress reporting (see <a href="https://www.fra.dot.gov/Page/P0274">https://www.fra.dot.gov/Page/P0274</a>). Describe past experience in managing and
overseeing similar projects. For Major Capital Projects, explain plans
for a rigorous project management and oversight approach.
xii. Environmental Readiness: If the NEPA process is complete, an
applicant should indicate the date of completion, and provide a website
link or other
[[Page 70590]]
reference to the documents demonstrating compliance with NEPA, which
might include a final Categorical Exclusion, Finding of No Significant
Impact, or Record of Decision. If the NEPA process is not yet underway,
the application should state this. If the NEPA process is underway, but
not complete, the application should detail the type of NEPA review
underway, where the project is in the process, and indicate the
anticipated date of completion of all NEPA-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 why NEPA documents have not been
updated and include a proposed approach for verifying and, if
necessary, updating this material in accordance with applicable NEPA
requirements. Additional information regarding FRA's environmental
processes and requirements are located at <a href="https://www.fra.dot.gov/environment">https://www.fra.dot.gov/environment</a>.
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 can 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 <a href="https://www.fra.dot.gov/Page/P0325">https://www.fra.dot.gov/Page/P0325</a>.
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, economic feasibility
studies, environmental analyses, and information on the expected use of
equipment or facilities. For Major Capital Projects, the SOW must
include annual budget estimates and anticipated Federal funding for the
expected duration of the project.
ii. A Benefit-Cost Analysis consistent with 49 U.S.C.
24911(d)(2)(A), as an appendix to the Project Narrative for each
project submitted by an applicant. The BCA should demonstrate in
economic terms the merit of investing in the proposed project. The BCA
should include anticipated private and public benefits relative to the
costs of the proposed project, including the project's anticipated:
i. Effects on system and service performance;
ii. effects on safety, competitiveness, reliability, trip or
transit time, and resilience;
iii. efficiencies from improved integration with other modes; and
iv. ability to meet existing or anticipated demand.
The BCA should be systematic, data driven, and examine the trade-
offs between reasonably expected project costs and benefits. Applicants
are encouraged to include quantifiable railroad data related to the
Qualified Railroad Assets involved in the project, such as information
on delay, failure or safety incidents, passengers carried (e.g.,
ridership), daily train movements, or similar metrics. To the extent
feasible, such railroad metrics should be provided discretely for
Intercity Passenger Rail and, if applicable, Commuter Rail Passenger
Transportation and freight rail transportation services involved in the
proposed project. 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. BCAs for proposed projects that include benefits to
another transportation mode or service in addition to Intercity
Passenger Rail Transportation (e.g., Commuter Rail Passenger
Transportation, freight rail, or local public transportation), should
provide discrete data and analysis identifying the Intercity Passenger
Rail Transportation portion of project benefits. The complexity and
level of detail in the Benefit-Cost Analysis prepared for the
Partnership Program should reflect the scope and scale of the proposed
project. Please refer to the Benefit-Cost Analysis Guidance for
Discretionary Grant Programs prior to preparing a BCA at <a href="https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance">https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance</a>. In addition, please also refer to the BCA FAQs
on FRA's website (<a href="https://railroads.dot.gov/elibrary/consolidated-rail-infrastructure-and-safety-improvements-crisi-and-federal-state">https://railroads.dot.gov/elibrary/consolidated-rail-infrastructure-and-safety-improvements-crisi-and-federal-state</a>) for
some rail-specific examples of how to apply the Benefit-Cost Analysis
Guidance for Discretionary Grant Programs to Partnership applications.
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.
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 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).
xi. Draft Agreement required under 49 U.S.C. 22905(c)(1), if
applicable. As a condition of receiving a grant under this program for
a project that uses rights-of-way owned by a railroad, the grant
recipient shall have in place a written agreement between the grant
recipient and the railroad regarding such use and ownership, including
any compensation for such use; assurances regarding the adequacy of
infrastructure capacity to accommodate both existing and future freight
and passenger operations; an assurance by the railroad that collective
bargaining agreements with the railroad's employees including terms
regulating the contracting of work) will remain in full force and
effect according to their terms for work performed by the railroad on
the railroad transportation corridor; and an assurance that the grant
recipient complies with liability requirements consistent with 49
U.S.C. 28103.
[[Page 70591]]
xii. FRA F 251, Applicant Financial Capability Questionnaire.
Forms needed for the electronic application process are at
<a href="http://www.Grants.gov">www.Grants.gov</a>.
c. Post-Selection Requirements
See Section F(2) of this notice for post-selection requirements.
3. Unique Entity Identifier and System for Award Management (SAM)
To apply for funding through <a href="http://Grants.gov">Grants.gov</a>, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier in its application, and continue to
maintain an active SAM registration all as described in detail below.
Complete instructions on how to register and submit an application can
be found at <a href="http://www.Grants.gov">www.Grants.gov</a>. Registering with <a href="http://Grants.gov">Grants.gov</a> 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 a
late application.
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, including those that are the result of a
failure to register or comply with <a href="http://Grants.gov">Grants.gov</a> 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
<a href="http://Grants.gov">Grants.gov</a>, applicants must:
a. Obtain a DUNS Number
A DUNS number is required for <a href="http://Grants.gov">Grants.gov</a> 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, grantees, 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 <a href="http://www.dnb.com/us">http://www.dnb.com/us</a>.
b. Register With the SAM at <a href="http://www.SAM.gov">www.SAM.gov</a>
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 <a href="http://Grants.gov">Grants.gov</a>. The SAM
database is the repository for standard information about Federal
financial assistance applicants, grantees, and subrecipients.
Organizations that have previously submitted applications via
<a href="http://Grants.gov">Grants.gov</a> are already registered with SAM, as it is a requirement for
<a href="http://Grants.gov">Grants.gov</a> registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award, including information on a grantee's immediate and
highest level owner and subsidiaries, as well as on all predecessors
that have been awarded a Federal contract or grant within the last
three years, if applicable. Information about SAM registration
procedures is available at www.sam.gov.
c. Create a <a href="http://Grants.gov">Grants.gov</a> Username And Password
Applicants must complete an Authorized Organization Representative
(AOR) profile on <a href="http://www.Grants.gov">www.Grants.gov</a> 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: <a href="https://www.grants.gov/web/grants/applicants/organization-registration.html">https://www.grants.gov/web/grants/applicants/organization-registration.html</a>.
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 <a href="http://Grants.gov">Grants.gov</a> and login at <a href="http://www.Grants.gov">www.Grants.gov</a> 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 difficulty at any point during this
process, please call the <a href="http://Grants.gov">Grants.gov</a> 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: <a href="http://www.grants.gov/web/grants/applicants/apply-for-grants.html">http://www.grants.gov/web/grants/applicants/apply-for-grants.html</a>.
4. Submission Dates and Times
Applicants must submit complete applications to <a href="http://www.Grants.gov">www.Grants.gov</a> no
later than 5:00 p.m. ET, March 7, 2022. Applicants will receive a
system-generated acknowledgement of receipt. FRA reviews <a href="http://www.Grants.gov">www.Grants.gov</a>
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. To apply for funding under this announcement, all
applicants are expected to be registered as an organization with
<a href="http://Grants.gov">Grants.gov</a>. 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, no
late submissions will be reviewed for any reason, including: (1)
Failure to complete the <a href="http://Grants.gov">Grants.gov</a> registration process before the
deadline; (2) failure to follow <a href="http://Grants.gov">Grants.gov</a> instructions on how to
register and apply as posted on its website; (3) failure to follow all
the instructions in this NOFO; and (4) technical issues experienced
with the applicant's computer or information technology environment.
5. Intergovernmental Review
Intergovernmental Review is required for this program. Applicants
must contact their State Single Point of Contact to comply with their
state's process under Executive Order 12372.
6. Funding Restrictions
Consistent with 2 CFR 200.458, as applicable, FRA will only approve
pre-
[[Page 70592]]
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 FRA for pre-
award activities to be eligible for reimbursement under the grant.
Activities initiated prior to the execution of a grant or without FRA's
written approval may be ineligible for reimbursement or matching
contribution. Cost sharing or matching may be used only for authorized
Federal award purposes.
FRA is prohibited under 49 U.S.C. 22905(f) \6\ from providing
Partnership Program grants for Commuter Rail Passenger Transportation.
FRA's interpretation of this provision is informed by the language in
49 U.S.C. 24911, and specifically the definitions of capital project in
49 U.S.C. 24911(a)(2)(A) and (B). FRA's primary intent in funding
Partnership Program projects is to make reasonable investments in
Capital Projects for Intercity Rail Passenger Transportation. Such
projects may be located on shared corridors where Commuter Rail
Passenger Transportation and/or freight rail also benefit from the
project.
---------------------------------------------------------------------------
\6\ Under 49 U.S.C. 24911(i), Partnership grants are subject to
the conditions in 49 U.S.C. 22905.
---------------------------------------------------------------------------
7. Other Submission Requirements
For any supporting application materials that an applicant cannot
submit via <a href="http://Grants.gov">Grants.gov</a>, such as oversized engineering drawings, an
applicant may submit an original and two (2) copies to Mr. Bryan Rodda,
Office of Policy and Planning, Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W38-203, 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, explaining to FRA how to access files on a referenced website
may also be sufficient.
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.
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), applicant risk
and the 20 percent minimum non-Federal match in determining whether the
application is eligible.
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.
b. Evaluation Criteria
FRA will evaluate all eligible and complete applications using the
evaluation criteria outlined in this section to determine technical
merit and project benefits.
i. Technical Merit: FRA will take into account--
(A) The degree to which the tasks and subtasks outlined in the SOW
are appropriate to achieve the expected outcomes of the proposed
project;
(B) The technical qualifications and demonstrated experience of key
personnel proposed to lead and perform the technical efforts, and the
qualifications of the primary and supporting organizations to fully and
successfully execute the proposed project within the proposed timeframe
and budget;
(C) The degree to which the proposed project's business plan
considers potential private sector participation in the financing,
construction, or operation of the proposed project;
(D) Whether the applicant has, or will have, the legal, financial,
and technical capacity to carry out the project; satisfactory
continuing control over the use of the equipment or facilities; and the
capability and willingness to maintain the equipment or facilities;
(E) The applicant's past performance in developing and delivering
similar projects, and previous financial contributions;
(F) Whether the project has completed necessary prerequisites and
demonstrates strong project readiness; and
(G) Whether the project is consistent with planning guidance and
documents set forth by the Secretary of Transportation or required by
law.
ii. Project Benefits: FRA will take into account the benefit-cost
analysis of the proposed project, including anticipated private and
public benefits relative to the costs of the proposed project
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.
c. Selection Criteria
In addition to the eligibility and completeness review and the
evaluation criteria outlined in this section, FRA will apply the
following selection criteria:
i. FRA will give preference to applications where:
(A) Amtrak is not the sole applicant;
(B) Applications were submitted jointly by multiple eligible
applicants; and
(C) The proposed Federal share of total project costs is 50 percent
or less.
ii. After applying the above preferences, FRA will take in account
the following key DOT objectives:
(A) Safety. DOT will assess the project's ability to foster a safe
transportation system for the movement of goods and people, consistent
with the Department's strategic goal to reduce transportation-related
fatalities and serious injuries across the transportation system. Such
considerations will include, but are not limited to, the extent to
which the project improves safety at highway-rail grade crossings,
reduces incidences of rail-related trespassing, and upgrades
infrastructure to achieve a higher level of safety.
(B) Equitable economic strength and improving core assets. DOT will
assess the project's ability to contribute to economic progress
stemming from infrastructure investment and associated creation of good
jobs with fair wages, labor protections, and the opportunity to join a
union. Such considerations will include, but are not limited to, the
extent to which the project invests in vital infrastructure assets and
provides opportunities for families to achieve economic security
through rail industry employment.
(C) Ensuring investments meet racial equity and economic inclusion
goals. DOT will assess the project's ability to encourage racial equity
by investing in projects that proactively address racial equity and
barriers to opportunities.
[[Page 70593]]
Such considerations will include, but are not limited to, the extent to
which the project improves or expands transportation options, mitigates
the safety risks and detrimental quality of life effects that rail
lines can have on communities, and expands workforce development and
training opportunities to foster a more diverse rail industry.
(D) Resilience and addressing climate change. DOT will assess the
project's ability to reduce the harmful effects of climate change and
anticipate necessary improvements for preparedness. Such considerations
will include, but are not limited to, the extent to which the project
reduces emissions, promotes energy efficiency, increases resilience,
and recycles or redevelops existing infrastructure.
(E) Transformation of our nation's transportation infrastructure.
DOT will assess the project's ability to expand and improve the
nation's rail network, which needs to balance new infrastructure for
increased capacity with proper maintenance of aging assets. Such
considerations will include, but are not limited to, the extent to
which the project adds capacity to congested corridors, builds new
connections or attracts new users to passenger rail, and ensures assets
will be improved to a state of good repair.
iii. For NEC Projects, FRA will consider the appropriate sequence
and phasing of projects as contained in the Northeast Corridor capital
investment plan developed pursuant to 49 U.S.C. 24904(a).
iv. In determining the allocation of program funds, FRA may also
consider geographic diversity, diversity in the size of the systems
receiving funding, and the applicant's receipt of other competitive
awards.
2. Review and Selection Process
FRA will conduct a four-part application review process, as
follows:
a. Screen applications for completeness, eligibility, and applicant
risk 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. Select recommended 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 $250,000 (see 2
CFR 200.88 Simplified Acquisition Threshold), FRA will review and
consider any information about the applicant that is in the designated
integrity and performance system accessible through SAM (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)).
See 41 U.S.C. 2313.
An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a Federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
FRA will consider any comments by the applicant, in addition to the
other information, in making a judgment about the applicant's
integrity, business ethics, and record of performance under Federal
awards when completing the review of risk posed by applicants as
described in 2 CFR 200.205.
F. Federal Award Administration Information
1. Federal Award Notice
FRA will announce applications selected for funding in a press
release and on FRA's website after the application review period. This
announcement is FRA's notification to successful and unsuccessful
applicants alike. 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. See an example of standard terms and
conditions for FRA grant awards at <a href="https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions">https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions</a>. 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 of funds 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 DOT; and applicable Federal financial assistance and
contracting principles promulgated by the Office of Management and
Budget. In complying with these requirements, grantees, in particular,
must ensure that no concession agreements are denied or other
contracting decisions made on the basis of speech or other activities
protected by the First Amendment. If DOT determines that a grantee has
failed to comply with applicable Federal requirements, DOT may
terminate the award of funds and disallow previously incurred costs,
requiring the grantee to reimburse any expended award funds.
Examples of administrative and national policy requirements
include: 2 CFR part 200; procurement standards at 2 CFR part 200
Subpart D--Procurement Standards; 2 CFR 1207.317 and 2 CFR 200.401;
compliance with Federal civil rights laws and regulations;
disadvantaged business enterprises requirements; debarment and
suspension requirements; drug-free workplace requirements; FRA's and
OMB's Assurances and Certifications; Americans with Disabilities Act;
safety requirements; NEPA; environmental justice requirements; and
compliance with 49 U.S.C. 24905(c)(2) for the duration of NEC Projects.
Unless otherwise stated in statutory or legislative authority, or
appropriations language, all financial assistance awards follow the
Uniform Administrative Requirements, Cost Principles and Audit
Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part 1201.
Assistance under this NOFO is subject to the grant conditions in 49
U.S.C. 22905 including the Buy America requirements, protective
arrangements that are equivalent to the protective arrangements
established under section 504 of the Railroad Revitalization and
Regulatory Reform Act of 1976 (45 U.S.C. 836) with respect to employees
affected by actions taken in connection with the project to be financed
in whole or in part by grants under this chapter, the provision deeming
operators rail carriers and employers for certain purposes, and grantee
agreements with railroad right-of-way owners for projects using
railroad rights-of-way (see D.2.b.xi). More information about FRA's Buy
America requirements is available at: <a href="https://railroads.dot.gov/legislation-regulations/buy-america/buy-america">https://railroads.dot.gov/legislation-regulations/buy-america/buy-america</a>.
Grantees must comply with applicable appropriations act
requirements and all relevant
[[Page 70594]]
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. See an example of standard terms and conditions for FRA grant
awards at <a href="https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions">https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions</a>. This template is subject to revision.
3. Reporting
a. Progress Reporting on Grant Activity
Each applicant selected for a grant will be required to comply with
all standard FRA reporting requirements, including quarterly progress
reports, quarterly Federal financial reports, and interim and final
performance reports, as well as all applicable auditing, monitoring and
close out requirements. Reports may be submitted electronically.
Pursuant to 2 CFR 170.210, non-Federal entities applying under this
NOFO must have the necessary processes and systems in place to comply
with the reporting requirements should they receive Federal funding.
b. Additional Reporting
Applicants selected for funding are required to comply with all
reporting requirements in the standard terms and conditions for FRA
grant awards including 2 CFR 180.335 and 2 CFR 180.350.
If the 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 rolling stock must
integrate at least one equipment/rolling stock performance measure,
consistent with the grantee's application materials and program goals.
Performance Measure
--------------------------------------------------------------------------------------------------------------------------------------------------------
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.
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 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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
d. Federal Awarding Agency Contacts
For further information related to this notice, please contact Mr.
Bryan Rodda, Office of Policy and Planning, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W38-203, Washington, DC
20590; email: <a href="/cdn-cgi/l/email-protection#61231318000f4f330e05050021050e154f060e17"><span class="__cf_email__" data-cfemail="7d3f0f041c13532f1219191c3d191209531a120b">[email protected]</span></a>; phone: 202-493-0443.
e. Other Information
All information submitted as part of or in support of any
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the application includes
information the applicant considers to be a trade secret or
confidential commercial or financial information, the applicant should
do the following: (1) Note on the front cover that the submission
``Contains Confidential Business Information (CBI)''; (2) mark each
affected page ``CBI''; and (3) highlight or otherwise denote the CBI
portions.
The DOT regulations implementing the Freedom of Information Act
(FOIA) are found at 49 CFR part 7 Subpart C--Availability of Reasonably
Described Records under the Freedom of Information Act which sets forth
rules for FRA to make requested materials,
[[Page 70595]]
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. In addition, following the
completion of the selection process and announcement of awards, FRA may
publish a list of all applications received along with the names of the
applicant organizations and funding amounts requested. Except for
information withheld under the previous paragraph, FRA may also make
application narratives publicly available or share application
information within DOT or with other Federal agencies if FRA determines
that sharing is relevant to the respective program's objectives.
Issued in Washington, DC.
Allison Ishihara Fultz,
Chief Counsel.
[FR Doc. 2021-26835 Filed 12-9-21; 8:45 am]
BILLING CODE 4910-06-P
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</html>Indexed from Federal Register on December 10, 2021.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.