[Federal Register Volume 85, Number 76 (Monday, April 20, 2020)]
[Notices]
[Pages 21923-21935]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-08226]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for Consolidated Rail 
Infrastructure and Safety Improvements

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Notice of Funding Opportunity (NOFO or notice).

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SUMMARY: This notice details the application requirements and 
procedures to obtain grant funding for eligible projects under the 
Consolidated Rail Infrastructure and Safety Improvements (CRISI) 
Program. CRISI Program funding under this notice is provided by the 
Further Consolidated Appropriations Act, 2020 (2020 Appropriation). The 
opportunities described in this notice are made available under Catalog 
of Federal Domestic Assistance (CFDA) number 20.325, ``Consolidated 
Rail Infrastructure and Safety Improvements.''

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. ET, June 19, 2020. Applications received after 
5:00 p.m. ET on June 19, 2020 will not be considered for funding. 
Incomplete applications will not be considered for funding. See Section 
D of this notice for additional information on the application process.

ADDRESSES: Applications must be submitted via www.Grants.gov. Only 
applicants who comply with all submission requirements described in 
this notice and submit applications through www.Grants.gov will be 
eligible for award. For any supporting application materials that an 
applicant is unable to submit via www.Grants.gov (such as oversized 
engineering drawings), an applicant may submit an original and two (2) 
copies to Ms. Frances Bourne, Office of Policy and Planning, Federal 
Railroad Administration, 1200 New Jersey Avenue SE, Room W38-207, 
Washington, DC 20590. However, due to delays caused by enhanced 
screening of mail delivered via the U.S. Postal Service, applicants are 
advised to use other means of conveyance (such as courier service) to 
assure timely receipt of materials before the application deadline.

FOR FURTHER INFORMATION CONTACT: For further project or program-related 
information in this notice, please contact Ms. Frances Bourne, Office 
of Policy and Planning, Federal Railroad Administration, 1200 New 
Jersey Avenue SE, Room W38-207, Washington, DC 20590; email: 
[email protected]; phone: 202-493-6366.

SUPPLEMENTARY INFORMATION: 
    Notice to applicants: FRA recommends that applicants read this 
notice in its entirety prior to preparing application materials. 
Definitions of key terms used throughout the NOFO are provided in 
Section A(2) below. These key terms are capitalized throughout the 
NOFO. There are several administrative prerequisites and specific 
eligibility requirements described herein with which applicants must 
comply. Additionally, applicants should note that the required Project 
Narrative component of the application package may not exceed 25 pages 
in length.

Table of Contents

A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information

A. Program Description

1. Overview

    This program leverages private, state and local investments to 
support safety enhancements and general improvements to infrastructure 
for both intercity passenger and freight railroads. The U.S. rail 
network is central to the success of the American economy, carrying 
more than 1.8 billion tons of freight valued at more than $830 billion 
annually, and over 32.5 million passengers on Intercity Rail Passenger 
Transportation services. Both services primarily operate over 
privately-owned and maintained infrastructure, allowing for strong 
private, capital market investment that generates public benefit, 
including public-private partnerships among other models.
    A strong transportation network is critical to the functioning and 
growth of the American economy. The nation's industry depends on the 
transportation network to move the goods that it produces, and 
facilitate the movements of the workers who are responsible for that 
production. When the nation's highways, railways, and ports function 
well, that infrastructure connects people to jobs, increases the 
efficiency of delivering goods and thereby cuts the costs of doing 
business, reduces the burden of commuting, and improves overall well-
being.
    Rural transportation networks play a vital role in supporting our 
national economic vitality. Addressing the deteriorating conditions and 
disproportionately high fatality rates on our rural transportation 
infrastructure is of critical interest to DOT, as rural transportation 
networks face unique challenges in safety, infrastructure condition, 
and passenger and freight usage. Consistent with the Rural 
Opportunities to Use Transportation for

[[Page 21924]]

Economic Success (R.O.U.T.E.S.) Initiative, DOT will consider how the 
project will address the challenges faced by rural areas.
    DOT is committed to addressing the unmet transportation 
infrastructure needs of rural areas. Underinvestment in rural 
transportation systems has allowed a slow and steady decline in the 
transportation routes that connect rural American communities to each 
other and to the rest of the country, fraying the fabric of American 
interconnectivity. A majority of the nation's rail route miles are in 
rural America. Investment is necessary to grow rural economies, 
facilitate freight movement, improve access to reliable and affordable 
transportation options and enhance access to healthcare and safety for 
residents.
    DOT also recognizes the importance of applying life cycle asset 
management principles throughout America's infrastructure. It is 
important for rail infrastructure owners and operators, as well as 
those who may apply on their behalf, to plan for the maintenance and 
replacement of assets and the associated costs.
    Congress authorized this grant program for the Secretary to invest 
in a wide range of projects within the United States to improve 
railroad safety, efficiency, and reliability; mitigate congestion at 
both intercity passenger and freight rail chokepoints; enhance multi-
modal connections; and lead to new or substantially improved intercity 
passenger rail transportation corridors. Rail safety projects include, 
but are not limited to, grade crossing enhancements, rail line 
relocations and improvements, and deployment of railroad safety 
technology. Eligible work also includes: Regional rail and corridor 
planning, environmental analyses, and research, workforce development, 
and training. The purpose of this notice is to solicit applications for 
the competitive CRISI Program funding provided in the 2020 
Appropriation. The CRISI Program is authorized under Section 11301 of 
the Fixing America's Surface Transportation (FAST) Act, Public Law 114-
94 (2015); 49 U.S.C. 22907 and funds made available in this NOFO are 
provided in the 2020 Appropriation.

2. Definitions of Key Terms

    a. ``Benefit-Cost Analysis'' (or ``Cost-Benefit Analysis'') is a 
systematic, data driven, and transparent analysis comparing monetized 
project benefits and costs, using a no-build baseline and properly 
discounted present values, including concise documentation of the 
assumptions and methodology used to produce the analysis; a description 
of the baseline, data sources used to project outcomes, and values of 
key input parameters; basis of modeling including spreadsheets, 
technical memos, etc.; and presentation of the calculations in 
sufficient detail and transparency to allow the analysis to be 
reproduced and for sensitivity of results evaluated by FRA. Please 
refer to the Benefit-Cost Analysis Guidance for Discretionary Grant 
Programs prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In 
addition, please also refer to the BCA FAQs on FRA's website for rail 
specific examples of how to apply the BCA Guidance for Discretionary 
Grant Programs to CRISI applications.
    b. ``Capital Project'' means a project for: Acquiring, 
constructing, improving, or inspecting rail equipment, track and track 
structures, or a rail facility; expenses incidental to the acquisition 
or construction including pre-construction activities (such as 
designing, engineering, location surveying, mapping, acquiring rights-
of-way) and related relocation costs, environmental studies, and all 
work necessary for FRA to approve the project under the National 
Environmental Policy Act; highway-rail grade crossing improvements; 
communication and signalization improvements; and rehabilitating, 
remanufacturing or overhauling rail rolling stock and facilities.\1\
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    \1\ For any project that includes purchasing Intercity Passenger 
Rail equipment, applicants are encouraged to use a standardized 
approach to the procurement of passenger rail equipment, such as the 
specifications developed by the Next Generation Corridor Equipment 
Pool Committee or a similar uniform process.
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    c. ``Construction'' means the production of fixed works and 
structures or substantial alterations to such structures or land and 
associated costs.
    d. ``Final Design (FD)'' means design activities following 
Preliminary Engineering, and at a minimum, includes the preparation of 
final Construction plans, detailed specifications, and estimates 
sufficiently detailed to inform project stakeholders (designers, 
reviewers, contractors, suppliers, etc.) of the actions required to 
advance the project from design through completion of Construction.
    e. ``Improvement'' means repair or enhancement to existing rail 
infrastructure, or Construction of new rail infrastructure, that 
results in efficiency of the rail system and the safety of those 
affected by the system.
    f. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except commuter rail passenger transportation. See 49 
U.S.C. 22901(3). In this notice, ``Intercity Passenger Rail Service'' 
and ``Intercity Passenger Rail Transportation'' are equivalent terms to 
``Intercity Rail Passenger Transportation.''
    g. ``National Environmental Policy Act (NEPA)'' is a Federal law 
that requires Federal agencies to analyze and document the 
environmental impacts of a proposed action in consultation with 
appropriate Federal, state, and local authorities, and with the public. 
NEPA classes of action include an Environmental Impact Statement (EIS), 
Environmental Analysis (EA) or Categorical Exclusion (CE). The NEPA 
class of action depends on the nature of the proposed action, its 
complexity, and the potential impacts. For purposes of this NOFO, NEPA 
also includes all related Federal laws and regulations including the 
Clean Air Act, Section 4(f) of the Department of Transportation Act, 
Section 7 of the Endangered Species Act, and Section 106 of the 
National Historic Preservation Act. Additional information regarding 
FRA's environmental processes and requirements are located at https://www.fra.dot.gov/environment.
    h. ``Planning'' means activities that support the development of a 
state or regional rail plan or a corridor service development plan. 
Project-specific (e.g., rail station or port improvements) planning is 
not eligible.
    i. ``Positive Train Control (PTC) system'' is defined by 49 CFR 
270.5 to mean a system designed to prevent train-to-train collisions, 
overspeed derailments, incursions into established work zone limits, 
and the movement of a train through a switch left in the wrong 
position, as described in 49 CFR part 236, subpart I.
    j. ``Preliminary Engineering (PE)'' means engineering design to: 
(1) Define a project, including identification of all environmental 
impacts, design of all critical project elements at a level sufficient 
to assure reliable cost estimates and schedules, (2) complete project 
management and financial plans, and (3) identify procurement 
requirements and strategies. The PE development process starts with 
specific project design alternatives that allow for the assessment of a 
range of rail improvements, specific alignments, and project designs. 
PE generally occurs concurrently with NEPA and related analyses, and 
prior to FD and Construction.
    k. ``Rail Carrier'' means a person providing common carrier 
railroad

[[Page 21925]]

transportation for compensation, but does not include street, suburban, 
or interurban electric railways not operated as part of the general 
system of rail transportation. See 49 U.S.C. 10102(5).
    l. ``Relocation'' is defined to mean moving a rail line vertically 
or laterally to a new location. Vertical Relocation refers to raising 
above the current ground level or sinking below the current ground 
level of a rail line. Lateral Relocation refers to moving a rail line 
horizontally to a new location.
    m. ``Rural Project'' means a project in which all or the majority 
of the project (determined by the geographic location or locations 
where the majority of the project funds will be spent) is located in a 
Rural Area.
    n. ``Rural Area'' is defined in 49 U.S.C. 22907(g)(2) to mean any 
area not in an urbanized area as defined by the Census Bureau. The 
Census Bureau defines Urbanized Area (UA) as an area with a population 
of 50,000 or more people.\2\ Updated lists of UAs as defined by the 
Census Bureau are available on the Census Bureau website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/.
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    \2\ See 74 FR 53030, 53043 (August 24, 2011) available at 
https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
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B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is 
$311,772,500. Should additional CRISI funds become available after the 
release of this NOFO, FRA may elect to award such additional funds to 
applications received under this NOFO.
    Of the $325,000,000 made available in the 2020 Appropriation, at 
least 25 percent, or $81,250,000 will be made available for Rural 
Projects as required by 49 U.S.C. 22907 and $45 million will be made 
available for projects eligible under 49 U.S.C. 22907(c)(2) that 
require the acquisition of rights-of-way, track, or track structure 
projects to support the development of new intercity passenger rail 
service routes. Additionally, $9,977,500 has been set aside for Special 
Transportation Circumstances, which will be made available under a 
separate NOFO. FRA will also set aside $3,250,000 for award and program 
oversight.

2. Award Size

    There are no minimum or maximum dollar thresholds for awards. FRA 
anticipates making multiple awards with the available funding. FRA may 
not be able to award grants to all eligible applications, nor even to 
all applications that meet or exceed the stated evaluation criteria 
(see Section E, Application Review Information). Projects may require 
more funding than is available. FRA encourages applicants to propose 
projects or components of projects that have operational independence 
and that can be completed and implemented with CRISI funding as a part 
of the total project cost together with other, non-Federal sources.
    FRA strongly encourages applicants to identify and include other 
state, local, public, or private funding or financing to support the 
proposed project in order to maximize competitiveness.

3. Award Type

    FRA will make awards for projects selected under this notice 
through grant agreements and/or cooperative agreements. Grant 
agreements are used when FRA does not expect to have substantial 
Federal involvement in carrying out the funded activity. Cooperative 
agreements allow for substantial Federal involvement in carrying out 
the agreed upon investment, including technical assistance, review of 
interim work products, and increased program oversight. The funding 
provided under this NOFO will be made available to grantees on a 
reimbursable basis. Applicants must certify that their expenditures are 
allowable, allocable, reasonable, and necessary to the approved project 
before seeking reimbursement from FRA. Additionally, the grantee is 
expected to expend matching funds at the required percentage concurrent 
with Federal funds throughout the life of the project. See an example 
of standard terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057. This template is subject to 
revision.

4. Concurrent Applications

    DOT and FRA may be concurrently soliciting applications for 
transportation infrastructure projects for several financial assistance 
programs, and applicants may submit applications requesting funding for 
a particular project to one or more of these programs. In the 
application for CRISI Program funding under this NOFO, applicants must 
indicate other programs, including other CRISI NOFOs, to which they 
submitted or plan to submit an application for funding the entire 
project or certain project components, as well as highlight new or 
revised information in the application responsive to this NOFO that 
differs from the application(s) for other Federal financial assistance 
programs or other CRISI NOFOs.

C. Eligibility Information

    This section of the notice explains applicant eligibility, cost 
sharing and matching requirements, project eligibility, and project 
component operational independence. Applications that do not meet the 
requirements in this section will be ineligible for funding. 
Instructions for submitting eligibility information to FRA are detailed 
in Section D of this NOFO.

1. Eligible Applicants

    The following entities are eligible applicants for all project 
types permitted under this notice:
    a. A State;
    b. A group of States;
    c. An Interstate Compact;
    d. A public agency or publicly chartered authority established by 
one or more States; \3\
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    \3\ See Section D(2)(a)(iv) for supporting documentation 
required to demonstrate eligibility under this eligibility category.
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    e. A political subdivision of a State;
    f. Amtrak or another Rail Carrier that provides Intercity Rail 
Passenger Transportation (as defined in 49 U.S.C. 24102);
    g. A Class II railroad or Class III railroad (as those terms are 
defined in 49 U.S.C. 20102) or a holding company of a Class II or III 
railroad;
    h. Any Rail Carrier or rail equipment manufacturer in partnership 
with at least one of the entities described in paragraph (a) through 
(e); \4\
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    \4\ See Section D(2)(a)(iv) for supporting information required 
to demonstrate eligibility under this eligibility category.
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    i. The Transportation Research Board together with any entity with 
which it contracts in the development of rail-related research, 
including cooperative research programs;
    j. A University transportation center engaged in rail-related 
research; or
    k. A non-profit labor organization representing a class or craft of 
employees of Rail Carriers or Rail Carrier contractors.
    Applications must identify an eligible applicant as the lead 
applicant. The lead applicant serves as the primary point of contact 
for the application, and if selected, as the grantee of the CRISI 
Program grant award. Eligible applicants may reference entities that 
are not eligible applicants in an application as a project partner.

2. Cost Sharing or Matching

    The Federal share of total costs for projects funded under this 
notice will

[[Page 21926]]

not exceed 80 percent though FRA will provide selection preference to 
applications where the proposed Federal share of total project costs is 
50 percent or less. The estimated total cost of a project must be based 
on the best available information, including engineering studies, 
studies of economic feasibility, environmental analyses, and 
information on the expected use of equipment and/or facilities. 
Additionally, in preparing estimates of total project costs, applicants 
should refer to FRA's cost estimate guidance documentation, ``Capital 
Cost Estimating: Guidance for Project Sponsors,'' which is available 
at: https://www.fra.dot.gov/Page/P0926.
    The minimum 20 percent non-Federal match may be comprised of public 
sector (e.g., state or local) and/or private sector funding. FRA will 
not consider any Federal financial assistance \5\ or any non-Federal 
funds already expended (or otherwise encumbered) toward the matching 
requirement, unless compliant with 2 CFR part 200. FRA is limiting the 
first 20 percent of the non-Federal match to cash contributions only. 
Eligible in-kind contributions may be accepted for any non-Federal 
matching beyond the first 20 percent. In-kind contributions, including 
the donation of services, materials, and equipment, may be credited as 
a project cost, in a uniform manner consistent with 2 CFR 200.306. 
Moreover, FRA encourages applicants to broaden their funding table in 
applications. Non-federal shares consisting of funding from multiple 
sources (e.g., a state, county, railroad, and university contributing 
to a grade crossing improvement) to demonstrate broad participation and 
cost sharing from affected stakeholders, will be given preference.
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    \5\ See Section D(2)(a)(iii) for supporting information required 
to demonstrate eligibility of Federal funds for use as match.
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    Amtrak or another Rail Carrier may use ticket and other non-Federal 
revenues generated from its operations and other sources as matching 
funds. Applicants must identify the source(s) of its matching and other 
funds, and must clearly and distinctly reflect these funds as part of 
the total project cost.
    Before applying, applicants should carefully review the principles 
for cost sharing or matching in 2 CFR 200.306. See Section D(2)(a)(iii) 
for required application information on non-Federal match and Section E 
for further discussion of FRA's consideration of matching funds in the 
review and selection process. FRA will approve pre-award costs 
consistent with 2 CFR 200.458, as applicable. See Section D(6). Cost 
sharing or matching may be used only for authorized Federal award 
purposes.

3. Other

a. Project Eligibility
    The following rail projects within the United States that improve 
the safety, efficiency, and/or reliability of passenger and/or freight 
rail transportation systems are eligible for funding under 49 U.S.C. 
22907 and this NOFO:
    i. Deployment of railroad safety technology, including positive 
train control and rail integrity inspection systems.\6\ PTC examples 
include: Back office systems; wayside, communications and onboard 
hardware equipment; software; equipment installation; spectrum; any 
component, testing and training for the implementation of PTC systems; 
and interoperability. Maintenance and operating expenses incurred after 
a PTC system is placed in revenue service are ineligible. Railroad 
safety technology and rail integrity inspection system examples 
include: Broken rail detection and warning systems; track intrusion 
systems; and hot box detectors, wheel impact load detectors, and other 
safety improvements.\7\
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    \6\ Pursuant to the 2020 Appropriation, 49 U.S.C. 22905(f) shall 
not apply to projects for the implementation of positive train 
control systems, otherwise eligible under 49 U.S.C. 22907(c)(1).
    \7\ Only costs for FD and Construction project stages and 
forward are eligible within this project eligibility category.
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    ii. A capital project as defined in 49 U.S.C. 22901(2) relating to 
Intercity Passenger Rail Service, except that such projects are not 
required to be in a State rail plan under the CRISI Program. Examples 
include: Acquisition, improvement, or rehabilitation of railroad 
equipment (locomotives and rolling stock); railroad infrastructure 
(grade crossings, catenary, and signals); and rail facilities (yards, 
passenger stations, or maintenance and repair shops). For any project 
that includes purchasing Intercity Passenger Rail equipment, applicants 
are encouraged to use a standardized approach to the procurement of 
passenger rail equipment, such as the specifications developed by the 
Next Generation Corridor Equipment Pool Committee or a similar uniform 
process.
    iii. A Capital Project necessary to address congestion challenges 
affecting rail service. Examples include: Projects addressing 
congestion that increase rail capacity; add or upgrade the condition, 
clearances, and capacity of rail mainlines; enhance capacity and 
service with less conflict between freight and Intercity Passenger 
Rail; reduce delays and risks associated with highway-rail grade 
crossings; and provide more effective rail equipment.
    iv. A Capital Project necessary to reduce congestion and facilitate 
ridership growth in Intercity Passenger Rail Transportation along 
heavily traveled rail corridors. Examples include: Projects addressing 
congestion that improve stations; increase rail capacity; reduce 
conflict between freight and Intercity Passenger Rail; reduce delays 
and risks associated with highway-rail grade crossings; and provide 
more effective rail equipment.
    v. A highway-rail grade crossing improvement project, including 
installation, repair, or improvement of grade separations, railroad 
crossing signals, gates, and related technologies; highway traffic 
signalization; highway lighting and crossing approach signage; roadway 
improvements such as medians or other barriers; railroad crossing 
panels and surfaces; and safety engineering improvements to reduce risk 
in quiet zones or potential quiet zones.
    vi. A rail line Relocation and Improvement project. Examples 
include projects that: Improve the route or structure of a rail line by 
replacing degraded track; enhance/relocate railroad switching 
operations; add or lengthen passing tracks to increase capacity; 
improve interlockings; and relocate rail lines to alleviate congestion, 
and eliminate frequent rail service interruptions.
    vii. A Capital Project to improve short-line or regional railroad 
infrastructure.
    viii. The preparation of regional rail and corridor service 
development plans and corresponding environmental analyses. (See the 
examples under Track 1 and 2 below in Subsections C(3)(b)(i)-(ii) as 
they apply to regional and corridor rail Planning.)
    ix. A project necessary to enhance multimodal connections or 
facilitate service integration between rail service and other modes, 
including between Intercity Rail Passenger Transportation and intercity 
bus service or commercial air service. Examples include: Intermodal 
transportation facilities projects that encourage joint scheduling, 
ticketing, and/or baggage handling; freight rail intermodal 
connections; and rail projects improving access to ports.
    x. The development and implementation of a safety program or 
institute designed to improve rail safety. Examples include: Employee 
training; and public safety outreach and education.

[[Page 21927]]

    xi. Any research that the Secretary considers necessary to advance 
any particular aspect of rail related capital, operations, or safety 
improvements.
    xii. Workforce development and training activities, coordinated to 
the extent practicable with the existing local training programs 
supported by the Department of Transportation, the Department of Labor, 
and the Department of Education.\8\
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    \8\ See Section D.2.a.vi.(D) for required application 
information relevant to this eligibility category.
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    Applicants that intend to charge indirect costs through the use of 
a negotiated indirect cost rate must have a current, signed, federal-
approved indirect cost rate agreement. Applicants that have never 
received a federally-approved indirect cost rate may elect to charge a 
de minimis rate of 10% of modified total direct costs, which may be 
used indefinitely. This includes state and local governments that have 
never negotiated an indirect cost rate with the federal government and 
receive less than $35 million in direct federal funding per year. 
Organizations that wish to negotiate an indirect cost rate should 
contact FRA's Office of the Chief Financial Officer at [email protected].
    For a project that uses rights-of-way owned by a railroad, and the 
railroad is not the applicant, FRA requires that a written agreement 
exist between the applicant and the railroad regarding use and 
ownership consistent with 49 U.S.C. 22905(c)(1). This requirement is a 
condition to making a grant under the CRISI Program.
b. Project Tracks for Eligible Projects
    Applicants are not limited in the number of projects for which they 
seek funding. FRA will not limit eligible projects from consideration 
for funding for planning, environmental, engineering, design, and 
construction elements of the same project in the same application. 
Applicants are allowed to include multiple phases of a project in the 
same application. However, depending on the project, applications for 
multiple phases of project development may not contain sufficient 
detail with regards to scope, schedule, or budget for all phases of the 
application to compete well in the application review process.\9\
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    \9\ The scope, schedule, and budget necessary to implement a 
project, as well as the definition of the project's potential 
benefits, are typically informed by the work conducted in prior 
phases of project development (e.g., the specific elements of an FD/
Construction project and their cost estimates are developed and 
refined through PE.) The evaluation criteria for the CRISI Program 
(see Section E of this NOFO) considers the level of detail contained 
in the applicant's proposed scope of work and readiness for the 
project to be implemented.
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    An applicant must identify one or more of the following four tracks 
for an eligible project: Track 1--Planning; Track 2--PE/NEPA; Track 3--
FD/Construction; or Track 4--Research, Safety Programs and Institutes.
i. Track 1--Planning
    Track 1 consists of eligible rail Planning projects. Examples 
include the technical analyses and associated environmental analyses 
that support the development of state rail plans, regional rail plans, 
and corridor service development plans, including: identification of 
alternatives, rail network Planning, market analysis, travel demand 
forecasting, revenue forecasting, railroad system design, railroad 
operations analysis and simulation, equipment fleet Planning, station 
and access analysis, conceptual engineering and capital programming, 
operating and maintenance cost forecasting, capital replacement and 
renewal analysis, and economic analysis. Project-specific (e.g., rail 
station or port improvements) planning is not an eligible Track 1 
project.
ii. Track 2--PE/NEPA
    Track 2 consists of eligible PE/NEPA projects. PE examples include: 
PE drawings and specifications (scale drawings at the 30% design level, 
including track geometry as appropriate); design criteria, schematics 
and/or track charts that support the development of PE; and work that 
can be funded in conjunction with developing PE, such as operations 
modeling, surveying, project work/management plans, preliminary cost 
estimates, and preliminary project schedules. PE/NEPA projects funded 
under this NOFO must be sufficiently developed to support FD or 
Construction activities.
iii. Track 3--FD/Construction
    Track 3 consists of eligible projects for FD, Construction, and 
project implementation and deployment activities. Applicants must 
complete all necessary Planning, PE and NEPA requirements for FD/
Construction projects. FD funded under this track must: Resolve 
remaining uncertainties or risks associated with changes to design 
scope; address procurement processes; and update and refine plans for 
financing the project or program to reflect accurately the expected 
year-of-expenditure costs and cash flow projections. Applicants 
selected for funding for FD/Construction must demonstrate the following 
to FRA's satisfaction:
    (A) PE is completed for the proposed project, resulting in project 
designs that are reasonably expected to conform to all regulatory, 
safety, security, and other design requirements, including those under 
the Americans with Disabilities Act (ADA);
    (B) NEPA is completed for the proposed project;
    (C) Signed agreements with key project partners, including 
infrastructure-owning entities; and
    (D) A project management plan is in-place for managing the 
implementation of the proposed project, including the management and 
mitigation of project risks.
    FD examples include: Drawings at the 100% Design Level, interim 
design drawings that support development (e.g., drawings at the 60% 
Design Level), project work/project management plan, cost estimates, 
project schedules, and right-of-way acquisition and relocation plans. 
Construction examples include: Additions, improvements, replacements, 
renovations and/or repairs to track, bridge, station, rail yard, 
signal, and communication system infrastructure, or other railroad 
safety technology.
iv. Track 4--Research, Safety Programs and Institutes (Non-Railroad 
Infrastructure)
    Track 4 consists of projects not falling within Tracks 1-3 
including workforce development activities, research, safety programs 
or institutes designed to improve rail safety that clearly demonstrate 
the expected positive impact on rail safety. Sufficient detail must be 
provided on what the project will accomplish, as well as the 
applicant's capability to achieve the proposed outcomes. Examples 
include: initiatives for improving rail safety, training, public 
outreach, and education.
c. Project Component Operational Independence
    If an applicant requests funding for a project that is a component 
or set of components of a larger project, the project component(s) must 
be attainable with the award amount, together with other funds as 
necessary, obtain operational independence, and must comply with all 
eligibility requirements described in Section C.
    In addition, the component(s) must be capable of independent 
analysis and decision making, as determined by FRA, under NEPA (i.e., 
have independent utility, connect logical termini, if applicable, and 
not restrict the consideration of alternatives for other reasonably 
foreseeable rail projects.)

[[Page 21928]]

d. Rural Project
    FRA will consider a project to be in a Rural Area if all or the 
majority of the project (determined by geographic location(s) where the 
majority of the project funds will be spent) is located in a Rural 
Area. However, in the event FRA elects to fund a component of the 
project, then FRA will reexamine whether the project is in a Rural 
Area.

D. Application and Submission Information

    Required documents for the application are outlined in the 
following paragraphs. Applicants must complete and submit all 
components of the application. See Section D(2) for the application 
checklist. FRA welcomes the submission of additional relevant 
supporting documentation, such as planning, engineering and design 
documentation, and letters of support from partnering organizations 
that will not count against the Project Narrative 25-page limit. 
Consistent with the R.O.U.T.E.S. Initiative, DOT encourages applicants 
to consider how the project will address the challenges faced by rural 
areas, generally.

1. Address To Request Application Package

    Applicants must submit all application materials in their entirety 
through www.Grants.gov no later than 5:00 p.m. ET, on June 19, 2020. 
FRA reserves the right to modify this deadline. General information for 
submitting applications through Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270.
    For any supporting application materials that an applicant cannot 
submit via Grants.gov, such as oversized engineering drawings, an 
applicant may submit an original and two (2) copies to Ms. Frances 
Bourne, Office of Policy and Planning, Federal Railroad Administration, 
1200 New Jersey Avenue SE, Room W38-207, Washington, DC 20590. Due to 
delays caused by enhanced screening of mail delivered via the U.S. 
Postal Service, FRA advises applicants to use other means of conveyance 
(such as courier service) to assure timely receipt of materials before 
the application deadline. Additionally, if documents can be obtained 
online, providing instructions to FRA on how to access files on a 
referenced website may also be sufficient.

2. Content and Form of Application Submission

    FRA strongly advises applicants to read this section carefully. 
Applicants must submit all required information and components of the 
application package to be considered for funding.
    Required documents for an application package are outlined in the 
checklist below.
    i. Project Narrative (see D.2.a)
    ii. Statement of Work (see D.2.b.i)
    iii. Benefit-Cost Analysis (see D.2. b.ii)
    iv. SF424--Application for Federal Assistance
    v. Either: SF 424A--Budget Information for Non-Construction 
projects (required for Tracks 1, 2 and 4) or SF 424C--Budget 
Information for Construction (required for any application that 
includes Track 3)
    vi. Either: SF 424B--Assurances for Non-Construction projects 
(required for Tracks 1, 2 and 4) or SF 424D--Assurances for 
Construction (required for any application that includes Track 3)
    vii. FRA's Additional Assurances and Certifications
    viii. SF LLL--Disclosure of Lobbying Activities
a. Project Narrative
    This section describes the minimum content required in the Project 
Narrative of the grant application. The Project Narrative must follow 
the basic outline below to address the program requirements and assist 
evaluators in locating relevant information.

------------------------------------------------------------------------
 
------------------------------------------------------------------------
I. Cover Page...........................  See D.2.a.i
II. Project Summary.....................  See D.2.a.ii
III. Project Funding....................  See D.2.a.iii
IV. Applicant Eligibility...............  See D.2.a.iv
V. Project Eligibility..................  See D.2.a.v
VI. Detailed Project Description........  See D.2.a.vi
VII. Project Location...................  See D.2.a.vii
VIII. Evaluation and Selection Criteria.  See D.2.a.viii
IX. Project Implementation and            See D.2.a.ix
 Management.
X. Planning Readiness...................  See D.2.a.x
XI. Environmental Readiness.............  See D.2.a.xi
------------------------------------------------------------------------

    The above content must be provided in a narrative statement 
submitted by the applicant. The Project Narrative may not exceed 25 
pages in length (excluding cover pages, table of contents, and 
supporting documentation). FRA will not review or consider Project 
Narratives beyond the 25-page limitation. If possible, applicants 
should submit supporting documents via website links rather than hard 
copies. If supporting documents are submitted, applicants must clearly 
identify the page number(s) of the relevant portion in the Project 
Narrative supporting documentation. The Project Narrative must adhere 
to the following outline.
    i. Cover Page: Include a cover page that lists the following 
elements in a table:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Project Title
Applicant
Project Track..............................  1,2,3 and/or 4
Was a Federal grant application previously   Yes/no
 submitted for this project?.
If yes, state the name of the Federal grant  Federal Grant Program:
 program and title of the project in the     Project Title:
 previous application..
Is this a Rural Project? What percentage of  Yes/no
 the project cost is based in a Rural Area?. Percentage of total project
                                              cost:
Is this a project eligible under 49 U.S.C.   Yes/no
 22907(c)(2) that requires the acquisition
 of rights-of-way, track, or track
 structure to support the development of
 new intercity passenger rail service
 routes?.
City(ies), State(s) where the project is
 located
Urbanized Area where the project is located
Population of Urbanized Area
Is the project currently programmed in the:  Yes/no
 State rail plan, State Freight Plan, TIP,   (If yes, please specify in
 STIP, MPO Long Range Transportation Plan,    which plans the project is
 State Long Range Transportation Plan?.       currently programmed)
------------------------------------------------------------------------

    ii. Project Summary: Provide a brief 4-6 sentence summary of the 
proposed project and what the project will entail. Include challenges 
the proposed project aims to address, and summarize the intended 
outcomes and anticipated

[[Page 21929]]

benefits that will result from the proposed project.
    iii. Project Funding: Indicate in table format the amount of 
Federal funding requested, the proposed non-Federal match, identifying 
contributions from the private sector if applicable, and total project 
cost. Describe the non-Federal funding arrangement, including multiple 
sources of non-Federal funding if applicable. Include funding 
commitment letters outlining funding agreements, as attachments or in 
an appendix. If federal funding is proposed as match, demonstrate the 
applicant's determination of eligibility for such use and the legal 
basis for that determination. Identify any specific project components 
that the applicant proposes for partial project funding. If all or a 
majority of a project is located in a Rural Area, identify the Rural 
Area(s) and estimated percentage of project costs that will be spent in 
the Rural Area. Identify any previously incurred costs, as well as 
other sources of Federal funds committed to the project and any pending 
Federal requests. Also, note if the requested Federal funding under 
CRISI or other programs must be obligated or spent by a certain date 
due to dependencies or relationships with other Federal or non-Federal 
funding sources, related projects, law, or other factors. If 
applicable, provide the type and estimated value of any proposed in-
kind contributions, and demonstrate how the in-kind contributions meet 
the requirements in 2 CFR 200.306.

                                          Example Project Funding Table
----------------------------------------------------------------------------------------------------------------
                                          Task name/ project                               Percentage of  total
                Task #                        component                   Cost                     cost
----------------------------------------------------------------------------------------------------------------
1....................................
----------------------------------------------------------------------------------------------------------------
2....................................
----------------------------------------------------------------------------------------------------------------
Total Project Cost............................................
----------------------------------------------------------------------------------------------------------------
Federal Funds Received from Previous Grant....................
----------------------------------------------------------------------------------------------------------------
CRISI Federal Funding Request.................................
----------------------------------------------------------------------------------------------------------------
Non-Federal Funding/Match.....................................  Cash: In-Kind:
----------------------------------------------------------------------------------------------------------------
Portion of Non-Federal Funding from the Private Sector........
----------------------------------------------------------------------------------------------------------------
Portion of Total Project Costs Spent in a Rural Area Pending
 Federal Funding Requests.
----------------------------------------------------------------------------------------------------------------

    iv. Applicant Eligibility: Explain how the applicant meets the 
applicant eligibility criteria outlined in Section C of this notice. 
For public agencies and publicly chartered authorities established by 
one or more states, the explanation must include citations to the 
applicable enabling legislation. If the applicant is eligible under 49 
U.S.C. 22907(b)(8) as a Rail Carrier or rail equipment manufacturer in 
partnership with at least one of the other eligible entities, the 
applicant should explain the partnership and each entity's contribution 
to the partnership.
    v. Project Eligibility: Identify which project eligibility category 
the project is eligible under in Section C(3) of this notice, and 
explain how the project meets the project eligibility criteria.
    vi. Detailed Project Description: Include a detailed project 
description that expands upon the brief project summary. This detailed 
description should provide, at a minimum, background on the challenges 
the project aims to address; the expected users and beneficiaries of 
the project, including all railroad operators; the specific components 
and elements of the project; and any other information the applicant 
deems necessary to justify the proposed project. If applicable, explain 
how the project will benefit communities in Rural Areas. An applicant 
should specify whether it is seeking funding for a project that has 
already received Federal financial assistance, and if applicable, 
explain how the new scope proposed to be funded under this NOFO relates 
to the previous scope. Consistent with DOT's R.O.U.T.E.S. Initiative 
(https://www.transportation.gov/rural), DOT encourages applicants to 
describe how activities proposed in their application would address the 
unique challenges facing rural transportation networks, regardless of 
the geographic location of those activities.
    For all projects, applicants must provide information about 
proposed performance measures, as discussed in Section F(3)(c) and 
required in 2 CFR 200.301 and 49 U.S.C. 22907(f).
    (A) Grade crossing information, if applicable: For any project that 
includes grade crossing components, cite specific DOT National Grade 
Crossing Inventory information, including the railroad that owns the 
infrastructure (or the crossing owner, if different from the railroad), 
the primary railroad operator, the DOT crossing inventory number, and 
the roadway at the crossing. Applicants can search for data to meet 
this requirement at the following link: http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx. In addition, if applicable, applicants 
must cite the page number in the grade crossing action plan where the 
grade crossing is referenced.
    (B) Heavily traveled rail corridor information, if applicable: For 
any project eligible under the eligibility category in Subsection 
C(3)(a)(iv), that reduces congestion and facilitates ridership growth 
in Intercity Passenger Rail Transportation, describe how the project is 
located on a heavily traveled rail corridor.
    (C) PTC information, if applicable: For any project that includes 
deploying PTC systems, applicants must:
    1. Document submission of a revised Positive Train Control 
Implementation Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a);
    2. Document that it is a tenant on one or more host railroads that 
submitted a revised PTCIP to FRA as required by 49 U.S.C. 20157(a), 
which states the tenant railroad is equipping its rolling stock with a 
PTC system and provides all other information required under 49 CFR 
236.1011 regarding the tenant railroad; or
    3. Document why the applicant is not required to submit a revised 
PTCIP as

[[Page 21930]]

required by 49 U.S.C. 20157(a), and whether the proposed project will 
assist in the deployment (i.e., installation and/or full 
implementation) of a PTC system required under 49 U.S.C. 20157.
    (D) Workforce development and training information, if applicable: 
For any project that includes workforce development, applicants must 
document to the extent practicable similar existing local training 
programs supported by the Department of Transportation, the Department 
of Labor, and/or the Department of Education.
    vii. Project Location: Include geospatial data for the project, as 
well as a map of the project's location. On the map, include the 
Congressional districts and Rural Area boundaries, if applicable, in 
which the project will take place.
    viii. Evaluation and Selection Criteria: Include a thorough 
discussion of how the proposed project meets all the evaluation 
criteria and selection criteria, as outlined in Section E of this 
notice. If an application does not sufficiently address the evaluation 
and selection criteria, it is unlikely to be a competitive application. 
For the life-cycle cost selection criteria, applicants should 
demonstrate a credible plan to maintain their asset without having to 
rely on Federal funding including a description of the applicants' 
approach to ensuring operations and maintenance will not be underfunded 
in future years. For projects (other than those projects for the 
implementation of positive train control systems otherwise eligible 
under 49 U.S.C. 22907(c)(1)) that are on a shared corridor with 
Commuter Railroad Passenger Transportation, demonstrate how funding the 
proposed project would be a reasonable investment in Intercity 
Passenger Rail Transportation and/or freight rail transportation.
    ix. Project Implementation and Management: Describe proposed 
project implementation and project management arrangements. Include 
descriptions of the expected arrangements for project contracting, 
contract oversight, change-order management, risk management, and 
conformance to Federal requirements for project progress reporting (see 
https://www.fra.dot.gov/Page/P0274). Describe past experience in 
managing and overseeing similar projects.
    x. Planning Readiness for Tracks 2 and 3 (PE/NEPA and FD/
Construction Projects: Provide information about the planning process 
that analyzed the investment needs and service objectives of the 
project. If applicable, cite sources of this information from a service 
development plan, State or regional rail plan, or similar planning 
document where the project has been identified for solving a specific 
existing transportation problem, and makes the case for investing in 
the proposed solution.
    xi. Environmental Readiness for Track 3 FD/Construction Projects: 
If the NEPA process is complete, an applicant should indicate the date 
of completion, and provide a website link or other reference to the 
documents demonstrating compliance with NEPA, which might include a 
final CE determination, Finding of No Significant Impact, or Record of 
Decision. If the NEPA process is not yet underway or is underway, but 
is not complete, the application should detail the type of NEPA review 
underway, where the project is in the process, and indicate the 
anticipated date of completion of all NEPA and related milestones. If 
the last agency action with respect to NEPA documents occurred more 
than three years before the application date, the applicant should 
describe why the project has been delayed and include a proposed 
approach for verifying, and if necessary, updating this information in 
accordance with applicable NEPA requirements.
b. Additional Application Elements
    Applicants must submit:
    i. A Statement of Work (SOW) addressing the scope, schedule, and 
budget for the proposed project if it were selected for award. The SOW 
must contain sufficient detail so FRA, and the applicant, can 
understand the expected outcomes of the proposed work to be performed 
and monitor progress toward completing project tasks and deliverables 
during a prospective grant's period of performance. Applicants must use 
FRA's standard SOW, schedule, and budget templates to be considered for 
award. The templates are located at https://www.fra.dot.gov/Page/P0325. 
When preparing the budget, the total cost of a project must be based on 
the best available information as indicated in cited references that 
include engineering studies, studies of economic feasibility, 
environmental analyses, and information on the expected use of 
equipment or facilities.
    ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project 
Narrative for each project submitted by an applicant. The BCA must 
demonstrate in economic terms the merits of investing in the proposed 
project. The BCA for Track 2--PE/NEPA projects should be for the 
underlying project, not the PE/NEPA work itself. The project narrative 
should summarize the project's benefits.
    Benefits may apply to existing and new rail users, as well as users 
of other modes of transportation. In some cases, benefits may be 
applied to populations in the general vicinity of the project area. 
Improvements to multimodal connections and shared-use rail corridors 
may benefit all users involved. Benefits may be quantified for savings 
in safety costs, reduced costs from disruption of service, maintenance 
costs, reduced travel time, emissions reductions, and increases in 
capacity or ability to offer new types of freight or passenger 
services. Applicants may also describe other categories of benefits 
that are difficult to quantify such as noise reduction, environmental 
impact mitigation, improved quality of life, or reliability of travel 
times. All benefits claimed for the project must be clearly tied to the 
expected outcomes of the project. Please refer to the Benefit-Cost 
Analysis Guidance for Discretionary Grant Programs prior to preparing a 
BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer 
to the BCA FAQs on FRA's website for some rail specific examples of how 
to apply the BCA Guidance for Discretionary Grant Programs to CRISI 
applications.
    For Tracks 1 and 4--Applicants are required to document project 
benefits. Any subjective estimates of benefits and costs should be 
quantified whenever possible, and applicants should provide appropriate 
evidence to support their subjective estimates. Estimates of benefits 
should be presented in monetary terms whenever possible; if a monetary 
estimate is not possible, then a quantitative estimate (in physical, 
non-monetary terms, such as crash or employee casualty rates, ridership 
estimates, emissions levels, energy efficiency improvements, etc.) 
should be provided. At a minimum, qualitatively describe the project 
benefits.
    iii. Environmental compliance documentation, as applicable, if a 
website link is not cited in the Project Narrative.
    iv. SF 424--Application for Federal Assistance;
    v. SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction;
    vi. SF 424B--Assurances for Non-Construction or SF 424D--Assurances 
for Construction;
    vii. FRA's Additional Assurances and Certifications; and
    viii. SF LLL--Disclosure of Lobbying Activities.
    ix. A statement that the lead applicant has a system for procuring 
property and services under a Federal award under

[[Page 21931]]

this NOFO that supports the provisions in 2 CFR 200 Subpart D-
Procurement Standards at 2 CFR 200.317-326 and 2 CFR 1201.317.
    x. A statement indicating whether the applicant or any of its 
principals:
    a. is presently suspended, debarred, voluntarily excluded, or 
disqualified;
    b. has been convicted within the preceding 3 years of any of the 
offenses listed in 2 CFR 180.800(a); or had a civil judgment rendered 
against the organization or the individual for one of those offenses 
within that time period;
    c. is presently indicted for, or otherwise criminally or civilly 
charged by a governmental entity (Federal, state or local) with, 
commission of any of the offenses listed in 2 CFR 180.800(a); or,
    d. has had one or more public transactions (Federal, state, or 
local) terminated within the preceding 3 years for cause or default 
(including material failure to comply).
    Forms needed for the electronic application process are at 
www.Grants.gov.
c. Post-Selection Requirements
    See subsection F(2) of this notice for post-selection requirements.

3. Unique Entity Identifier, System for Award Management (SAM), and 
Submission Instructions

    To apply for funding through Grants.gov, applicants must be 
properly registered in SAM before submitting an application, provide a 
valid unique entity identifier, and continue to maintain an active SAM 
registration all as described in detail below. Complete instructions on 
how to register and submit an application can be found at 
www.Grants.gov. Registering with Grants.gov is a one-time process; 
however, it can take up to several weeks for first-time registrants to 
receive confirmation and a user password. FRA recommends that 
applicants start the registration process as early as possible to 
prevent delays that may preclude submitting an application package by 
the application deadline. Applications will not be accepted after the 
due date. Delayed registration is not an acceptable justification for 
an application extension.
    FRA may not make a grant award to an applicant until the applicant 
has complied with all applicable Data Universal Numbering System (DUNS) 
and SAM requirements, and if an applicant has not fully complied with 
the requirements by the time the Federal awarding agency is ready to 
make a Federal award, the Federal awarding agency may determine that 
the applicant is not qualified to receive a Federal award and use that 
determination as a basis for making a Federal award to another 
applicant. (Please note that if a Dun & Bradstreet DUNS number must be 
obtained or renewed, this may take a significant amount of time to 
complete.) Late applications that are the result of a failure to 
register or comply with Grants.gov applicant requirements in a timely 
manner will not be considered. If an applicant has not fully complied 
with the requirements by the submission deadline, the application will 
not be considered. To submit an application through Grants.gov, 
applicants must:
a. Obtain a DUNS number.
    A DUNS number is required for Grants.gov registration. The Office 
of Management and Budget requires that all businesses and nonprofit 
applicants for Federal funds include a DUNS number in their 
applications for a new award or renewal of an existing award. A DUNS 
number is a unique nine-digit sequence recognized as the universal 
standard for the government in identifying and keeping track of 
entities receiving Federal funds. The identifier is used for tracking 
purposes and to validate address and point of contact information for 
Federal assistance applicants, recipients, and subrecipients. The DUNS 
number will be used throughout the grant life cycle. Obtaining a DUNS 
number is a free, one-time activity. Applicants may obtain a DUNS 
number by calling 1-866-705-5711 or by applying online at http://www.dnb.com/us.
b. Register with the SAM at www.SAM.gov.
    All applicants for Federal financial assistance must maintain 
current registrations in the SAM database. An applicant must be 
registered in SAM to successfully register in Grants.gov. The SAM 
database is the repository for standard information about Federal 
financial assistance applicants, recipients, and subrecipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award. Information about SAM registration procedures is 
available at www.sam.gov.
c. Create a Grants.gov Username and Password
    Applicants must complete an Authorized Organization Representative 
(AOR) profile on www.Grants.gov and create a username and password. 
Applicants must use the organization's DUNS number to complete this 
step. Additional information about the registration process is 
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
d. Acquire Authorization for Your AOR From the E-Business Point of 
Contact (E-Biz POC)
    The E-Biz POC at the applicant's organization must respond to the 
registration email from Grants.gov and login at www.Grants.gov to 
authorize the applicant as the AOR. Please note there can be more than 
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This 
NOFO
    If an applicant experiences difficulties at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html
    Note: Please use generally accepted formats such as .pdf, .doc, 
.docx, .xls, .xlsx and .ppt, when uploading attachments. While 
applicants may embed picture files, such as .jpg, .gif, and .bmp, in 
document files, applicants should not submit attachments in these 
formats. Additionally, the following formats will not be accepted: 
.com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, 
.sys, and .zip.

4. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no 
later than 5:00 p.m.. ET, June 19, 2020. FRA reviews www.Grants.gov 
information on the dates and times of applications submitted to 
determine timeliness of submissions. Late applications will be neither 
reviewed nor considered. Delayed registration is not an acceptable 
reason for late submission. To apply for funding under this 
announcement, all applicants are expected to be registered as an 
organization with Grants.gov. Applicants are strongly encouraged to

[[Page 21932]]

apply early to ensure all materials are received before this deadline.
    To ensure a fair competition of limited discretionary funds, the 
following conditions are not valid reasons to permit late submissions: 
(1) Failure to complete the Grants.gov registration process before the 
deadline; (2) failure to follow Grants.gov instructions on how to 
register and apply as posted on its website; (3) failure to follow all 
instructions in this NOFO; and (4) technical issues experienced with 
the applicant's computer or information technology environment.

5. Intergovernmental Review

    Executive Order 12372 requires applicants from state and local 
units of government or other organizations providing services within a 
state to submit a copy of the application to the State Single Point of 
Contact (SPOC), if one exists, and if this program has been selected 
for review by the state. Applicants may contact their State SPOC to 
determine if the program has been selected for state review. 
Intergovernmental Review is not required for this program.

6. Funding Restrictions

    FRA is prohibited under 49 U.S.C. 22905(f) from providing CRISI 
grants for commuter rail passenger transportation (as defined in 49 
U.S.C. 24102(3)). FRA's interpretation of this restriction is informed 
by the language in 49 U.S.C. 22907. FRA's primary intent in funding 
passenger rail projects is to make reasonable investments in Intercity 
Passenger Rail Transportation. Such projects may be located on shared 
corridors where Commuter Rail Passenger Transportation and/or freight 
rail also benefit from the project. The 2020 Appropriation makes an 
exception to this funding restriction for Commuter Rail Passenger 
Transportation projects for the implementation of positive train 
control systems.
    Consistent with 2 CFR 200.458, as applicable, FRA will only approve 
pre-award costs if such costs are incurred pursuant to the negotiation 
and in anticipation of the grant agreement and if such costs are 
necessary for efficient and timely performance of the scope of work. 
Under 2 CFR 200.458, grant recipients must seek written approval from 
the administering agency for pre-award activities to be eligible for 
reimbursement under the grant. Activities initiated prior to the 
execution of a grant or without written approval may be ineligible for 
reimbursement or matching contribution. Cost sharing or matching may be 
used only for authorized Federal award purposes.

7. Other Submission Requirements

    If an applicant experiences difficulties at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.

E. Application Review Information

1. Criteria

a. Eligibility, Completeness and Applicant Risk Review
    FRA will first screen each application for applicant and project 
eligibility (eligibility requirements are outlined in Section C of this 
notice), completeness (application documentation and submission 
requirements are outlined in Section D of this notice), and the 20 
percent minimum match.
    FRA will then consider applicant risk, including the applicant's 
past performance in developing and delivering similar projects and 
previous financial contributions, and if applicable, previous 
competitive grant technical evaluation ratings that the proposed 
project received under previous competitive grant programs administered 
by DOT.
    Rural transportation networks play a vital role in supporting our 
national economic vitality. Addressing the deteriorating conditions and 
disproportionately high fatality rates on our rural transportation 
infrastructure is of critical interest to DOT, as rural transportation 
networks face unique challenges in safety, infrastructure condition, 
and passenger and freight usage. Consistent with the R.O.U.T.E.S. 
Initiative, DOT will consider how the project will address the 
challenges faced by rural areas.
b. Evaluation Criteria
    FRA will evaluate all eligible and complete applications using the 
evaluation criteria outlined in this section to determine project 
benefits and technical merit.
    i. Project Benefits:
    FRA will evaluate the Benefit-Cost Analysis of the proposed project 
for the anticipated private and public benefits relative to the costs 
of the proposed project and the summary of benefits provided in 
response to subsection D(2)(b)(ii) including--
    (A) Effects on system and service performance;
    (B) Effects on safety, competitiveness, reliability, trip or 
transit time, and resilience;
    (C) Efficiencies from improved integration with other modes; and
    (D) Ability to meet existing or anticipated demand.
    ii. Technical Merit:
    FRA will evaluate application information for the degree to which--
    (A) The tasks and subtasks outlined in the SOW are appropriate to 
achieve the expected outcomes of the proposed project.
    (B) Applications indicate strong project readiness and meet 
requirements under the project track(s) designated by the applicant.
    (C) The technical qualifications and experience of key personnel 
proposed to lead and perform the technical efforts, and the 
qualifications of the primary and supporting organizations to fully and 
successfully execute the proposed project within the proposed timeframe 
and budget are demonstrated.
    (D) The proposed project's business plan considers potential 
private sector participation in the financing, construction, or 
operation of the proposed project.
    (E) The applicant has, or will have the legal, financial, and 
technical capacity to carry out the proposed project; satisfactory 
continuing control over the use of the equipment or facilities; and the 
capability and willingness to maintain the equipment or facilities.
    (F) The proposed project is consistent with planning guidance and 
documents set forth by DOT, including those required by law or State 
rail plans developed under Title 49, United State Code, Chapter 227.
c. Selection Criteria
    In addition to the eligibility and completeness review and the 
evaluation criteria outlined in this subsection, the FRA will apply the 
following selection criteria:
    i. The FRA will give preference to projects for which the:
    (A) Proposed Federal share of total project costs is 50 percent or 
less;
    (B) Proposed non-Federal share is comprised of more than one 
source, including private sources, demonstrating broad participation by 
affected stakeholders; and
    (C) Net benefits of the grant funds will be maximized considering 
the Benefit-Cost Analysis, including anticipated private and public 
benefits relative to the costs of the proposed project, and factoring 
in the other considerations in 49 U.S.C. 22907 (e).
    ii. After applying the above preferences, the FRA will take into

[[Page 21933]]

account the following key DOT objectives:
    (A) Supporting economic vitality at the national and regional 
level;
    (B) Leveraging Federal funding to attract other, non-Federal 
sources of infrastructure investment;
    (C) Preparing for future operations and maintenance costs 
associated with their project's life-cycle, as demonstrated by a 
credible plan to maintain assets without having to rely on future 
Federal funding;
    (D) Using innovative approaches to improve safety and expedite 
project delivery; and,
    (E) Holding grant recipients accountable for their performance and 
achieving specific, measurable outcomes identified by grant applicants.
    iii. In determining the allocation of program funds, FRA may also 
consider geographic diversity, diversity in the size of the systems 
receiving funding, the applicant's receipt of other competitive awards, 
and projects located in or that support transportation service in a 
qualified opportunity zone designated pursuant to 26 U.S.C. 1400Z-1.
    iv. Consistent with DOT's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), DOT recognizes that rural transportation 
networks face unique challenges. To the extent that those challenges 
are reflected in the merit criteria listed in this section, DOT will 
consider how the activities proposed in the application will address 
those challenges, regardless of the geographic location of those 
activities.

2. Review and Selection Process

    FRA will conduct a four-part application review process, as 
follows:
    a. Screen applications for completeness and eligibility and 
consider applicable past performance and previous financial 
contributions and technical evaluation ratings;
    b. Evaluate eligible applications (completed by technical panels 
applying the evaluation criteria);
    c. Review, apply selection criteria and recommend initial selection 
of projects for the FRA Administrator's review (completed by a non-
career Senior Review Team, which includes senior leadership from the 
Office of the Secretary and FRA); and,
    d. Selection of awards for the Secretary's review and approval 
(completed by the FRA Administrator).

3. Reporting Matters Related to Integrity and Performance

    Before making a Federal award with a total amount of Federal share 
greater than the simplified acquisition threshold of $150,000 (see 2 
CFR 200.88 Simplified Acquisition Threshold), FRA will review and 
consider any information about the applicant that is in the designated 
integrity and performance system accessible through SAM (currently the 
Federal Awardee Performance and Integrity Information System (FAPIIS)). 
See 41 U.S.C. 2313.
    An applicant, at its option, may review information in the 
designated integrity and performance systems accessible through SAM and 
comment on any information about itself that a Federal awarding agency 
previously entered and is currently in the designated integrity and 
performance system accessible through SAM.
    FRA will consider any comments by the applicant, in addition to the 
other information in the designated integrity and performance system, 
in making a judgment about the applicant's integrity, business ethics, 
and record of performance under Federal awards when completing the 
review of risk posed by applicants as described in 2 CFR 200.205.

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press 
release and on the FRA website after the application review period. 
This announcement is FRA's notification to successful and unsuccessful 
applicants alike. FRA will contact applicants with successful 
applications after announcement with information and instructions about 
the award process. This notification is not an authorization to begin 
proposed project activities. FRA requires satisfaction of applicable 
requirements by the applicant and a formal agreement signed by both the 
grantee and the FRA, including an approved scope, schedule, and budget, 
before obligating the grant.
    For Track 2 PE/NEPA projects, these requirements may include 
transportation planning. For Track 3 FD/Construction projects, these 
requirements may include transportation planning, PE and environmental 
reviews. See an example of standard terms and conditions for FRA grant 
awards at https://www.fra.dot.gov/eLib/details/L05285. This template is 
subject to revision.

2. Administrative and National Policy Requirements

    In connection with any program or activity conducted with or 
benefiting from funds awarded under this notice, grantees must comply 
with all applicable requirements of Federal law, including, without 
limitation, the Constitution of the United States; the conditions of 
performance, nondiscrimination requirements, and other assurances made 
applicable to the award of funds in accordance with regulations of the 
Department of Transportation; and applicable Federal financial 
assistance and contracting principles promulgated by the Office of 
Management and Budget. In complying with these requirements, grantees, 
in particular, must ensure that no concession agreements are denied or 
other contracting decisions made on the basis of speech or other 
activities protected by the First Amendment. If the Department 
determines that a grantee has failed to comply with applicable Federal 
requirements, the Department may terminate the award of funds and 
disallow previously incurred costs, requiring the grantee to reimburse 
any expended award funds.
    Examples of administrative and national policy requirements 
include: 2 CFR part 200; procurement standards at 2 CFR part 200 
Subpart D--Procurement Standards, 2 CFR 1207.317 and 2 CFR 200.401; 
compliance with Federal civil rights laws and regulations; requirements 
for disadvantaged business enterprises, debarment and suspension 
requirements, and drug-free workplace requirements; FRA's and OMB's 
Assurances and Certifications; Americans with Disabilities Act; safety 
requirements; NEPA; environmental justice requirements; performance 
measures under 49 U.S.C. 22907(f); grant conditions under 49 U.S.C. 
22905, including the Buy America requirements, the provision deeming 
operators rail carriers for certain purposes and grantee agreements 
with railroad right-of-way owners for projects using railroad right-of-
way. Unless otherwise stated in statutory or legislative authority, or 
appropriations language, all financial assistance awards follow the 
Uniform Administrative Requirements, Cost Principles and Audit 
Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part 1201.
    Grantees must comply with applicable appropriations act 
requirements and all relevant requirements of 2 CFR part 200. Rights to 
intangible property under grants awarded under this NOFO are governed 
in accordance with 2 CFR 200.315. For research awards, unless otherwise 
stated in the Federal award, FRA will not consider non-federal entities 
as that term is used in 2 CFR part 200 to include for-profit entities. 
See an example of standard terms and

[[Page 21934]]

conditions for FRA grant awards at https://www.fra.dot.gov/eLib/Details/L19057 and clauses specific to CRISI funding at https://www.fra.dot.gov/eLib/Details/L20078. These templates are subject to 
revision.
    Projects selected under this NOFO for Commuter Rail Passenger 
Transportation for positive train control projects may be transferred 
to the Federal Transit Administration for grant administration at the 
Secretary's discretion. If such a project is transferred to the Federal 
Transit Administration, applicants will be required to comply with 
chapter 53 of Title 49 of the United States Code.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with 
all standard FRA reporting requirements, including quarterly progress 
reports, quarterly Federal financial reports, and interim and final 
performance reports, as well as all applicable auditing, monitoring and 
close out requirements. Reports may be submitted electronically.
b. Additional Reporting
    Applicants selected for funding are required to comply with all 
reporting requirements in the standard terms and conditions for FRA 
grant awards including 2 CFR 180.335 and 2 CFR 180.350. See an example 
of standard terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057.
    If the Federal share of any Federal award under this NOFO may 
include more than $500,000 over the period of performance, applicants 
are informed of the post award reporting requirements reflected in 2 
CFR part 200, Appendix XII--Award Term and Condition for Recipient 
Integrity and Performance Matters.
c. Performance Reporting
    Each applicant selected for funding must collect information and 
report on the project's performance using measures mutually agreed upon 
by FRA and the grantee to assess progress in achieving strategic goals 
and objectives. Examples of some rail performance measures are listed 
in the table below. The applicable measure(s) will depend upon the type 
of project. Applicants requesting funding for the acquisition of 
rolling stock must integrate at least one equipment/rolling stock 
performance measure, consistent with the grantee's application 
materials and program goals.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Primary strategic    Secondary strategic
           Rail measures                 Unit measured             Temporal                goal                  goal                 Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Slow Order Miles..................  Miles.................  Annual...............  State of Good Repair  Safety..............  The number of miles per
                                                                                                                                year within the project
                                                                                                                                area that have temporary
                                                                                                                                speed restrictions
                                                                                                                                (``slow orders'')
                                                                                                                                imposed due to track
                                                                                                                                condition. This is an
                                                                                                                                indicator of the overall
                                                                                                                                condition of track. This
                                                                                                                                measure can be used for
                                                                                                                                projects to rehabilitate
                                                                                                                                sections of a rail line
                                                                                                                                since the rehabilitation
                                                                                                                                should eliminate, or at
                                                                                                                                least reduce the slow
                                                                                                                                orders upon project
                                                                                                                                completion.
Gross Ton.........................  Gross tons............  Annual...............  Economic              State of good repair  The annual gross tonnage
                                                                                    competitiveness.                            of freight shipped in
                                                                                                                                the project area. Gross
                                                                                                                                tons include freight
                                                                                                                                cargo minus tare weight
                                                                                                                                of the rail cars. This
                                                                                                                                measures the volume of
                                                                                                                                freight a railroad ships
                                                                                                                                in a year. This measure
                                                                                                                                can be useful for
                                                                                                                                projects that are
                                                                                                                                anticipated to increase
                                                                                                                                freight shipments.
Rail Track Grade Separation.......  Count.................  Annual...............  Economic              Safety..............  The number of annual
                                                                                    competitiveness.                            automobile crossings
                                                                                                                                that are eliminated at
                                                                                                                                an at-grade crossing as
                                                                                                                                a result of a new grade
                                                                                                                                separation.
Passenger Counts..................  Count.................  Annual...............  Economic              State of Good Repair  Count of the annual
                                                                                    Competitiveness.                            passenger boardings and
                                                                                                                                alightings at stations
                                                                                                                                within the project area.
Travel Time.......................  Time/Trip.............  Annual...............  Economic              Quality of Life.....  Point-to-point travel
                                                                                    Competitiveness.                            times between pre-
                                                                                                                                determined station stops
                                                                                                                                within the project area.
                                                                                                                                This measure
                                                                                                                                demonstrates how track
                                                                                                                                improvements and other
                                                                                                                                upgrades improve
                                                                                                                                operations on a rail
                                                                                                                                line. It also helps make
                                                                                                                                sure the railroad is
                                                                                                                                maintaining the line
                                                                                                                                after project
                                                                                                                                completion.
Track weight capacity.............  Yes/No................  One Time.............  State of Good Repair  Economic              If a project is upgrading
                                                                                                          Competitiveness.      a line to accommodate
                                                                                                                                heavier rail cars
                                                                                                                                (typically an increase
                                                                                                                                from 263,000 lb. rail
                                                                                                                                cars to 286,000 lb. rail
                                                                                                                                cars.)
Track Miles.......................  Miles.................  One Time.............  State of Good Repair  Economic              The number of track miles
                                                                                                          Competitiveness.      that exist within the
                                                                                                                                project area. This
                                                                                                                                measure can be
                                                                                                                                beneficial for projects
                                                                                                                                building sidings or
                                                                                                                                sections of additional
                                                                                                                                main line track on a
                                                                                                                                railroad.
--------------------------------------------------------------------------------------------------------------------------------------------------------

G. Federal Awarding Agency Contacts

    For further information regarding this notice and the grants 
program, please contact Ms. Frances Bourne, Office of Policy and 
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Room W38-207, Washington, DC 20590; email: [email protected]; 
phone: 202-493-6366.

H. Other Information

    All information submitted as part of or in support of any 
application shall use publicly available data or data that can be made 
public and methodologies that are accepted by industry practice and 
standards, to the extent possible. If the application includes 
information the applicant considers to be a trade secret or 
confidential commercial or financial information, the applicant should 
do the following: (1) Note on the front cover that the submission 
``Contains Confidential Business Information (CBI)''; (2) mark each 
affected page ``CBI''; and (3) highlight or otherwise denote the CBI 
portions. The DOT regulations implementing the Freedom of Information 
Act (FOIA) are found at 49 CFR Part 7 Subpart C--Availability of 
Reasonably Described Records under the Freedom of Information Act which 
sets forth rules for FRA to make

[[Page 21935]]

requested materials, information and, records publicly available under 
FOIA. Unless prohibited by law and to the extent permitted under the 
FOIA, contents of application and proposals submitted by successful 
applicants may be released in response to FOIA requests.

    Issued in Washington, DC, on April 14, 2020.
Quintin Kendall,
Deputy Administrator.
[FR Doc. 2020-08226 Filed 4-17-20; 8:45 am]
 BILLING CODE 4910-06-P