[Federal Register Volume 89, Number 132 (Wednesday, July 10, 2024)]
[Notices]
[Pages 56788-56807]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-15061]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for the FY 2023-FY 2024 Railroad
Crossing Elimination Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of funding opportunity (NOFO or Notice).
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SUMMARY: This Notice details the application requirements and
procedures to obtain grant funding for eligible projects under the
Railroad Crossing Elimination Program for Fiscal Years (FY) 2023 and
2024. This Notice solicits applications for funds made available by the
Infrastructure Investment and Jobs Act (IIJA). The opportunity
described in this notice is made available under Assistance Listings
Number 20.327, ``Railroad Crossing Elimination.''
DATES: Applications for funding under this solicitation are due no
later than 11:59 p.m. EST, September 23, 2024. Applications that are
incomplete or received after 11:59 p.m. EST, on September 23, 2024 will
not be considered for funding. See section D of this notice for
additional information on the application process.
ADDRESSES: Applications must be submitted via www.Grants.gov. Only
applicants who comply with all submission requirements described in
this notice and submit applications through www.Grants.gov will be
eligible for award.
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice, please contact the FRA NOFO Support program staff via
email at dot.gov">FRA-NOFO-Support@dot.gov. If additional assistance is needed,
you may contact Ms. Jenny Zeng, Transportation Industry Analyst, at
email: dot.gov">Jenny.Zeng@dot.gov or telephone: 857-330-2481; Stefani Gaede,
Transportation Industry Analyst, at email: dot.gov">stefani.gaede@dot.gov or
telephone: 202-940-8426; in FRA's Office of Rail Program Development.
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing
[[Page 56789]]
application materials. Definitions of key terms used throughout the
NOFO are provided in section A(2) below. These key terms are
capitalized throughout the NOFO. There are several administrative and
specific eligibility requirements described herein with which
applicants must comply. Additionally, applicants should note that the
required Project Narrative component of the application package may not
exceed 25 pages in length.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information
Summary Overview of Key Information: Railroad Crossing Elimination
Program (RCE)
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Issuing Agency............... Federal Railroad Administration, U.S.
Department of Transportation.
Program Overview............. The purpose of the RCE Program is to fund
highway-rail or pathway-rail grade
crossing improvement projects that focus
on improving the safety and mobility of
people and goods.
Eligible Applicants.......... A State (including the District
of Columbia Puerto Rico, and other
United States territories and
possessions).
A political subdivision of a
State.
A federally recognized Indian
Tribe.
A unit of local government or a
group of local governments.
A public port authority.
A metropolitan planning
organization.
A group of entities included
above.
Eligible Project Types....... Grade separation or closure,
including through the use of a bridge,
embankment, tunnel, or combination
thereof.
Track relocation.
The improvement or installation
of protective devices, signals, signs,
or other measures to improve safety,
provided that such activities are
related to a separation or relocation
project described above.
Other means to improve the
safety and mobility of people and goods
at highway-rail grade crossings
(including technological solutions).
A group of related projects
described above that would collectively
improve the mobility of people and
goods.
The planning, environmental
studies, and final design for a project
or group of projects described above.
Funding...................... The total funding available for awards
under this NOFO is up to $1,148,809,580.
Deadline..................... Deadline: No later than 11:59 p.m. EST,
September 23, 2024.
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A. Program Description
1. Overview
The RCE Program provides a federal funding opportunity to fund
highway-rail or pathway-rail grade crossing improvement projects that
focus on improving the safety and mobility of people and goods. Such
projects will improve American rail infrastructure to enhance rail
safety, improve the health and safety of communities, eliminate
highway-rail and pathway-rail grade crossings that are frequently
blocked by trains, and reduce the impacts that freight movement and
railroad operations may have on underserved communities.
The purpose of this NOFO is to solicit applications for projects
through the competitive RCE Program, which is authorized by the
Infrastructure Investment and Jobs Act (IIJA), Sec. 22104, Public Law
117-58 (November 15, 2021), and funded by the 2023 and 2024 advance
appropriations in Title VIII of Division J of the IIJA. This NOFO
describes funding available, application submission requirements, and
the selection and evaluation criteria for projects under the RCE
Program. The RCE Program requirements are codified at 49 U.S.C. 22909.
This NOFO integrates FRA's Guidance on Development and
Implementation of Railroad Capital Projects (Jan. 12, 2023, 88 FR 2163)
(FRA's Capital Projects Guidance), which assists project sponsors in
developing effective and complete capital projects by defining the
project development process and describing implementation tools,
processes, and documentation that may be required for a grant. FRA's
Capital Projects Guidance can be found here: https://railroads.dot.gov/elibrary/fra-guidance-development-and-implementation-railroad-capital-project.
In December 2023, FRA updated its standard grant agreement terms
and conditions. The new FRA grant agreement consists of three parts:
Attachment 1: Standard Terms and Conditions, Attachment 2: Project-
Specific Terms and Conditions, and Terms and Conditions Exhibits. The
updated agreements are available at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
DOT seeks to fund projects that advance the Administration
Priorities of safety, equity, climate and sustainability, workforce
development, job quality, and wealth creation as described in the U.S.
Department of Transportation (DOT) Strategic Plan,\1\ and in executive
orders, which are described in section E.
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\1\ Additional information about the USDOT Strategic Plan,
Research, Development and Technology Strategic Plan can be found
here: https://www.transportation.gov/dot-strategic-plan.
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2. Definitions of Key Terms
Terms defined in this section are capitalized throughout this
notice.
a. ``Capital Project'' means a project for acquiring, constructing,
improving, or inspecting rail equipment, track and track structures, or
a rail facility, including expenses incidental to the acquisition or
construction including pre-construction activities (such as designing,
engineering, location surveying, mapping, acquiring rights-of-way) and
related relocation costs,\2\ environmental studies, and all work
necessary for FRA to consider the effects of the proposed project under
the National Environmental Policy Act; Highway-Rail Grade Crossing
improvements; communication and signalization improvements; and
rehabilitating, remanufacturing, or overhauling rail rolling stock and
rail facilities.
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\2\ FRA will consider right-of-way acquisition only if it is
included in an application also seeking Construction funding.
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b. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple rides, and commuter tickets, and morning
and evening peak period
[[Page 56790]]
operations, consistent with 49 U.S.C. 24102(3); the term does not
include rapid transit operations in an urban area that are not
connected to the general railroad system of transportation.
c. ``Construction'' means the Lifecycle Stage of a Capital Project
during which the Capital Project is completely built, installed, and
placed in use. Construction activities include, but are not limited to,
physical construction and installation of the Capital Project,
including testing of equipment, workforce training, and start-up
testing. Construction activities occur after a project has completed
Final Design. Construction is described in FRA's Capital Projects
Guidance.
d. ``Final Design'' or ``FD'' means the Lifecycle Stage of a
Capital Project during which the Capital Project design is advanced to
be ready for Construction. This is when the agreements necessary to
construct and operate the Capital Project are secured, acquisition of
right-of-way is completed, and final engineering plans and
specifications necessary for the construction of the project are
produced. Final Design activities occur after a Capital Project has
completed Project Development, and before a Capital Project can advance
to Construction. Final Design is described in FRA's Capital Projects
Guidance.
e. ``Grade Separation or Closure'' means an underpass or overpass
to eliminate level crossings between railroad and highway users at an
existing highway-rail or pathway-rail grade crossing, or the closing of
a highway-rail grade crossing to vehicular or pedestrian traffic.
f. ``Highway-Rail Grade Crossing'' means a location where a public
highway, road, street, or private roadway, including associated
sidewalks and pathways, crosses one or more railroad tracks at grade.
g. ``Improvement Project'' means a project related to an existing
highway or pathway-rail crossing including: installation, repair, or
improvement of crossings, grade separations, railroad crossing signals,
gates, bells, audible warning devices and related technologies; highway
traffic signalization, lighting, crossing approach signage, and roadway
improvements such as medians or other barriers; pathway improvements
such as bollards; railroad crossing panels and surfaces; and other
safety engineering improvements, or highway-rail programs to reduce
risk.
h. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except Commuter Rail Passenger Transportation, see 49
U.S.C. 22901(3), and in this NOFO, it has the same meaning as
``Intercity Passenger Rail Service'' and ``Intercity Passenger Rail
Transportation.''
i. ``Lifecycle Stage'' means each of the consecutive stages of a
Capital Project as it is developed and implemented that include Systems
Planning, Project Planning, Project Development, Final Design,
Construction, and Operation. Each sequential stage involves specific
activities. Lifecycle Stages are described in FRA's Capital Projects
Guidance.
j. ``Major Project'' means a Capital Project with a capital cost
estimate equal to or greater than $500 million and with at least $100
million in federal assistance under the Railroad Crossing Elimination
Program. Major Project is described in FRA's Capital Project Guidance.
k. ``National Environmental Policy Act'' or ``NEPA'' (42 U.S.C.
4321 et seq.) is a federal law that requires federal agencies to
analyze and document the environmental impacts of a proposed action in
consultation with appropriate federal, tribal, state, and local
authorities, and with the public. Environmental Review under NEPA
consists of an Environmental Impact Statement (EIS), Environmental
Analysis (EA) or Categorical Exclusion (CE). The NEPA class of action
depends on the potential environmental impacts of the proposed action.
For purposes of this NOFO, NEPA also includes all related federal laws
and regulations including the Clean Air Act, section 4(f) of the
Department of Transportation Act, section 7 of the Endangered Species
Act, and section 106 of the National Historic Preservation Act.
Additional information regarding FRA's environmental processes and
requirements is located at https://railroads.dot.gov/rail-network-development/environment/environment. NEPA consultation and
documentation are considered part of the Project Development Lifecycle
Stage, as described in FRA's Capital Projects Guidance.
l. ``Pathway-Rail Grade Crossing'' means a pathway that crosses one
or more railroad tracks at grade and that is: (1) explicitly authorized
by a public authority or a railroad; (2) dedicated for the use of non-
vehicular traffic, including pedestrians, bicyclists, and others; and
(3) not associated with a public highway, road, or street, or a private
roadway.
m. ``Preliminary Engineering'' or ``PE'' means engineering design
to define a Capital Project, including identification of all
environmental impacts and design of all critical project elements at a
level sufficient to ensure reliable cost estimates and schedules. The
PE development process starts with specific project design alternatives
that allow for the assessment of a range of rail improvements, specific
alignments, and project designs. PE is considered part of the Project
Development Lifecycle Stage, as described in FRA's Capital Projects
Guidance.
n. ``Project Development'' means the Lifecycle Stage of a Capital
Project during which the project sponsor conducts design,
environmental, and other studies to ensure the project is ready for
implementation. Project Development activities occur after a project
has completed Project Planning, and before a Capital Project can
advance to Final Design. Project Development is described in FRA's
Capital Projects Guidance.
o. ``Project Management Plan'' means, under this NOFO, a document
that describes how the Capital Project will be implemented, monitored,
and controlled to help the project sponsor effectively, efficiently,
and safely deliver the project on-time, within budget, and at the
highest appropriate quality. Project Management Plan is described in
FRA's Capital Projects Guidance.
p. ``Project Planning'' is the first Lifecycle Stage of a Capital
Project during which the project sponsor identifies Capital Project
concepts to adequately address transportation needs and opportunities;
identifies and compares costs, benefits, and impacts of project
options; identifies the impacted environmental resources; and engages
with interested parties, agencies, and infrastructure owners. Project
Planning activities are completed before a Capital Project advances to
Project Development. Project Planning is described in FRA's Capital
Projects Guidance.
q. ``Rural Area'' means any area that is not within an area
designated as an urbanized area by the most recent Bureau of the
Census.
r. ``Track Relocation'' means moving a rail line vertically or
laterally to a new location in order to eliminate an existing Highway-
Rail Grade Crossing. ``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.
s. ``Tribal Lands'' means any lands reserved for a federally
recognized Native American tribe or tribes under treaty or other
agreement with the United States, executive order, or federal statute
or administrative action as permanent tribal homelands, and
[[Page 56791]]
where the federal government holds title to the land in trust on behalf
of the tribe.
B. Federal Award Information
1. Available Award Amount & Special Funding Set-Asides
The total funding available for awards under this NOFO is up to
$1,148,809,580, made available by the FY 2023 and 2024 advance
appropriations provided in Title VIII of Division J of IIJA and by
remaining unawarded FY 2022 RCE Program balances.\3\ Should additional
RCE Program funds become available after the release of this NOFO, FRA
may elect to award such additional funds to applications received under
this NOFO. Any selection and award under this NOFO are subject to the
availability of appropriated funds.
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\3\ $1,146,528,000 in combined FY 2023-2024 supplemental
appropriations ($573,264,000 each year) are provided by Title VIII
of Division J of IIJA, as well as $2,281,580 in carryover FY 2022
supplemental appropriations from Title VIII of Division J of IIJA.
This creates a total of $1,148,809,580 available.
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Further, of the available award amount listed above, certain
funding amounts are set-aside for the following purposes under this
NOFO:
a. Planning Projects--At least three percent of the total FY 2023-
2024 RCE Program grant funds available, or $36,000,000, as well as
$2,281,580 in FY 2022 RCE funds, will combine to make $38,281,580
available for planning projects described in 49 U.S.C. 22909(d)(6). Of
these funds, $10,840,000 (which includes $1,840,000 in FY 2022
carryover funds) will be made available for planning projects located
in Rural Areas or on Tribal Lands. Further, FRA specifically expects to
support planning projects that seek to advance efforts to grade
separate at least one or more at-grade crossings. Planning projects are
also subject to special considerations for award size and preference,
as detailed in the following section 2(a).
b. Rural or Tribal set-aside--At least 20 percent of the total FY
2023-2024 RCE Program grant funds available, or $229,305,600, will be
made available for projects located in Rural Areas or on Tribal Lands,
as required by 49 U.S.C. 22909(f)(3)(A).\4\ At least five percent of
these set-aside funds, or $11,465,280, will be made available for
projects in counties with 20 or fewer residents per square mile,
according to the most recent decennial census, provided that sufficient
eligible applications have been submitted.
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\4\ FRA awarded all of the FY 2022 Rural or Tribal set-aside to
eligible applicants. No additional set-aside funds are carried
forward to FY 2023-2024.
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c. In addition, FRA will make at least $3,000,000 available for
grants that carry out Highway-Rail Grade Crossing safety information
and education programs. FRA expects that activities to promote further
awareness of grade crossing safety will be based on existing best
practices and such efforts will be implemented in a comprehensive
manner through coordination with relevant stakeholders.
2. Award Size
FRA anticipates making multiple awards with the available funding.
FRA may not be able to award grants to all eligible applications even
if they meet or exceed the stated evaluation criteria (see section E,
Application Review Information). FRA strongly encourages applicants to
seek funding for the appropriate Lifecycle Stage of a Capital Project,
consistent with the application tracks in section C(3)(c) below. Where
an application includes multiple Lifecycle Stages of a Capital Project,
FRA may decide to only award funds for what it determines is the
appropriate Lifecycle Stage.
In addition, projects may require more funding than is available.
FRA encourages applicants to propose a project that has operational
independence, or a component of such project, which can be completed
and implemented with funding under this NOFO as a part of the total
project cost together with other, non-federal sources. (See section
C(3)(c) for more information). There are no predetermined maximum
dollar thresholds for individual awards, but no more than 20 percent of
the grant funds available ($229,761,916 total from both FY 2023-2024
funding and FY 2022 carryover funds) will be awarded for projects in
any single State.
Applicants are not limited in the number of projects for which they
seek funding. Applicants submitting more than one application are
requested to submit a priority ranking of their submitted applications
that is consistent with each application package submitted.
a. Award Minimums and Planning Exception
FRA will not award grants for less than $1,000,000, except for a
Planning project, as described in 49 U.S.C. 22909(d)(6). Projects
requesting less than $1,000,000 must consist solely of Planning
activities (Planning is defined in section A.3.n of this NOFO) to be
considered eligible. Applications that request funding for a
combination of Planning and Project Development activities must exceed
$1,000,000 in federal assistance under this NOFO.
3. Award Type
FRA will make awards for projects selected under this notice
through grant agreements and/or cooperative agreements. Grant
agreements are used when FRA does not expect to have substantial
federal involvement in carrying out the funded activity. Cooperative
agreements allow for substantial federal involvement in carrying out
the agreed upon investment, including technical assistance, review of
interim work products, and increased program oversight. The term
``grant'' is used throughout this document and is intended to reference
funding awarded through a grant agreement or a cooperative agreement.
The funding provided under this NOFO will be made available to
grantees on a reimbursable basis. Applicants must certify that their
expenditures are allowable, allocable, reasonable, and necessary to the
approved project before seeking reimbursement from FRA. Additionally,
the grantee is expected to expend matching funds at the required
percentage concurrent with federal funds throughout the life of the
project.
The new FRA grant agreement consists of three parts: Attachment 1:
Standard Terms and Conditions, Attachment 2: Project-Specific Terms and
Conditions, and Terms and Conditions Exhibits. The grant agreement
templates are available at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements. These templates are subject to
revision.
4. Concurrent Applications
DOT and FRA may concurrently solicit applications for
transportation infrastructure projects for several financial assistance
programs. Applicants may submit applications requesting funding for a
particular project to one or more of these programs. In the application
for funding under this NOFO, applicants must indicate the other
program(s) to which they submitted an application for funding the
entire project or certain components, as well as highlight new or
revised information in the application responsive to this NOFO that
differs from the previously submitted application(s).
C. Eligibility Information
This section of the notice explains applicant eligibility, cost
sharing and matching requirements, project eligibility, and project
component
[[Page 56792]]
operational independence. Applications that do not meet the
requirements in this section are ineligible for funding. Instructions
for submitting eligibility information to FRA are detailed in section D
of this NOFO.
1. Eligible Applicants
The following entities are eligible applicants for all projects
permitted under this notice:
a. A State (including the District of Columbia, Puerto Rico, and
other United States territories and possessions).
b. A political subdivision of a State.
c. A federally recognized Indian Tribe.
d. A unit of local government or a group of local governments.
e. A public port authority.
f. A metropolitan planning organization.
g. A group of entities described in any of paragraphs (a) through
(f).
The applicant serves as the primary point of contact for the
application, and if selected, as the recipient of the RCE Program grant
award. An application may identify entities that are not eligible
applicants as project partners.
2. Cost Sharing and Matching
The federal share of total costs for RCE Program projects funded
under this NOFO may not exceed 80 percent. The estimated total cost of
a project must be based on the best available information, including
engineering studies, studies of economic feasibility, environmental
analyses, and information on the expected use of equipment and/or
facilities. Additionally, in preparing estimates of total project
costs, applicants are encouraged to use FRA's cost estimate guidance
documentation, ``Capital Cost Estimating: Guidance for Project
Sponsors,'' which is available at: https://www.fra.dot.gov/Page/P0926.
Project sponsors should account for the impact of factors such as
inflation as the applicant prepares their scope, schedule, and budget.
The minimum 20 percent non-federal share may be comprised of public
sector (e.g., State or local) or private sector funding. FRA will not
consider any federal financial assistance, or any non-federal funds
already expended (or otherwise encumbered) toward the matching
requirement, unless such sources are compliant with 2 CFR part 200. In-
kind contributions, including the donation of services, materials, and
equipment, may be credited as a project cost in a uniform manner
consistent with 2 CFR 200.306. In addition, applicants may count costs
incurred for Preliminary Engineering associated with Highway-Rail Grade
Crossing and Pathway-Rail Grade Crossing Improvement Projects as part
of the total project costs. Such costs are eligible as non-federal
share or for reimbursement, even if they were incurred before project
selection for award, consistent with 49 U.S.C. 22909(g). Such costs
must have been incurred no earlier than November 15, 2021, and must be
otherwise compliant with 2 CFR part 200 and the requirements of this
RCE Program.
Funding under this NOFO may not be used for costs that are included
in or used to meet cost sharing or matching requirements of any other
federally financed award or program. If the applicant is seeking
additional funding for a project that has already received federal
financial assistance, costs associated with the scope of work for the
existing federal award are not eligible for funding under this NOFO.
Only new scope elements/activities (e.g., new deliverables) are
eligible for funding under this NOFO.
Before applying, applicants should carefully review the principles
for cost sharing or matching in 2 CFR 200.306. See section D(2)(a)(iii)
of this NOFO for required application information on non-federal match
and section E for further discussion of FRA's consideration of matching
funds in the review and selection process. FRA will approve pre-award
costs incurred after announcement of awards consistent with 2 CFR
200.458, as applicable. See section D(6). Cost sharing or matching may
be used only for eligible expenses for authorized Federal award
purposes.
All contracts for projects financed with federal funds will be
subject to applicable federal requirements. Applicants that have
entered into contracts for a proposed project prior to award must
ensure that applicable federal requirements are included in the
contract in the event the project is selected and federal funds are
obligated.
3. Eligible Projects
a. The Following Are Eligible Under This NOFO
The following Highway-Rail or Pathway-Rail Grade Crossing
Improvement Projects (including acquiring real property interests) that
focus on improving the safety and mobility of people and goods are
eligible for funding under 49 U.S.C. 22909(d) and this NOFO:
i. Grade separation or closure, including through the use of a
bridge, embankment, tunnel, or combination thereof;
ii. Track Relocation;
iii. The improvement or installation of protective devices,
signals, signs, or other measures the improve safety, provided that
such activities are related to a separation or relocation project
described in paragraph (i) or (ii);
iv. Other means to improve the safety and mobility of people and
goods at highway-rail grade crossings (including technological
solutions); \5\
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\5\ Highway-Rail Grade Crossing Safety Information and Education
Programs are eligible under this category. FRA generally interprets
this project eligibility category to relate to projects that
directly improve safety and mobility at existing at-grade crossing
locations.
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v. A group of related projects described in paragraphs (i) through
(iv) that would collectively improve the mobility of people and goods;
or
vi. The planning, environmental review, and design of an eligible
project described in paragraphs (i) through (v).
Consistent with 49 U.S.C. 22909(j)(1), grants under the RCE Program
are not subject to the limitation in 49 U.S.C. 22905(f) and may
therefore be awarded for commuter rail passenger transportation
projects. Consistent with 49 U.S.C. 22909(j)(2), FRA will transfer such
projects to the Federal Transit Administration to administer.
b. Project Component
If an applicant requests funding for a component or set of
components of a larger Capital Project, the project component(s)
included in the application must be attainable with the award amount
and comply with all eligibility requirements described in section C. In
addition, the component(s) must enable independent analysis and
decision making, as determined by FRA, under NEPA (i.e., have
independent utility, connect logical termini, and not restrict the
consideration of alternatives for other reasonably foreseeable rail
projects).
c. Application Tracks
Applicants are not limited in the number of projects for which they
seek funding. FRA generally evaluates applications in Tracks based on
the Lifecycle Stages of a Capital Project. While applications covering
multiple Lifecycle Stages are not precluded, FRA generally expects that
applications identify only one of the following tracks for an eligible
proposed project:
Track 1--Project Planning;
Track 2--Project Development;
Track 3--Final Design (FD)/Construction.
FRA strongly encourages applicants to seek funding for the
appropriate Lifecycle Stage of a Capital Project, consistent with these
application tracks.
[[Page 56793]]
To the extent possible, applicants should describe their projects
consistent with FRA's Capital Projects Guidance, which provides a
detailed description of each Lifecycle Stage and its required
activities: https://railroads.dot.gov/elibrary/fra-guidance-development-and-implementation-railroad-capital-project.
If an application seeks funding under more than one application
Track for multiple Lifecycle Stages, FRA may award funds for the
application Track and corresponding Lifecycle Stage(s) it determines
most appropriate based on project readiness information. Applicants are
directed to identify the project components and estimated amount of
federal funding requested for each Lifecycle Stage. If an application
selected for award includes multiple Lifecycle Stages, FRA will require
the grantee to complete the Lifecycle Stages in the order consistent
with FRA's Capital Projects Guidance.
i. Track 1--Project Planning: Track 1 consists of Project Planning
specific to an eligible Capital Project. Example activities for Project
Planning include: the development of a purpose and need statement;
completion of conceptual engineering and other design; documentation
showing that project alternatives were considered; completion of an
environmental resource inventory and potential environmental concerns
analysis; scale design drawings; public and stakeholder involvement;
completion of an order-of-magnitude project cost estimate; and for
Major Projects, completion of an initial Project Management Plan.
Project Planning projects funded under this NOFO must be sufficiently
developed when complete to support Project Development activities.
FRA strongly encourages Track 1 Planning projects given the RCE
Program's dedicated set-aside funding for planning activities. Please
note that, pursuant to 49 U.S.C. 22909(d)(6), the minimum award
requirement of $1,000,000 does not apply to applications for awards
that fund only activities consistent with the Project Planning
Lifecycle Stage. Consistent with Section A.2 of this NOFO, FRA intends
to prioritize Planning projects that seek to grade separate one or more
grade crossings.
ii. Track 2--Project Development: Track 2 consists of projects for
eligible Project Development activities. Example activities include:
completion of PE and architectural or other design; PE drawings and
specifications (scale drawings at the 30 percent design level,
including track geometry as appropriate); design criteria, schematics
and/or track charts that support the development of PE; work that can
be funded in conjunction with developing PE, such as operations
modeling, surveying, project work/management plans, preliminary cost
estimates, and preliminary project schedules; completion of
environmental review; and completion of applicable project management
documentation (such as a Project Management Plan, schedule, capital
cost estimate, and financial plan). Project Development projects funded
under this NOFO must first demonstrate completion of Project Planning
elements prior to Project Development funds being awarded and be
sufficiently developed when complete to support FD or Construction
activities.
iii. Track 3--Final Design (FD)/Construction: Track 3 consists of
projects for eligible FD and Construction activities. Applicants must
complete all necessary Planning and Project Development stages,
including PE and NEPA requirements, prior to moving to the FD/
Construction stage of a project. FD activities may include completion
of the FD documentation, acquisition of right-of-way,\6\ resolving
remaining uncertainties or risks associated with changes to the design
and scope of the Capital Project; addressing procurement processes; and
updating/completing the applicable project management documentation
(such as a Project Management Plan, schedule, capital cost estimate,
and financial plan).\7\ Construction activities may include physical
construction and installation of the Capital Project, including
procurement and manufacturing of vehicles and equipment, project
administration, testing of equipment (e.g., signal equipment and
rolling stock), systems integration testing, workforce training, system
certification, procurement of insurance, provision of warrantees, pre-
revenue service, and start-up testing. Prior to obligation, applicants
selected for funding for FD/Construction must demonstrate completion of
applicable Systems Planning and Project Planning and Project
Development activities, consistent with FRA's Capital Projects
Guidance.
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\6\ FRA will only award funds for right-of-way (ROW)/property
acquisition activities if the proposed project also includes
construction activities consistent with the Construction Lifecycle
Stage. FRA will not fund ROW acquisition activities independently or
if proposed project only includes pre-construction activities or
Lifecycle Stages (i.e., Project Planning, Project Development, or
Final Design).
\7\ Applicants selected for funding are encouraged to submit the
following before obligation: an updated Project Management Plan
(including a schedule, capital cost estimate, and financial plan),
as grantees will be expected to develop a Project Management Plan
under the grant agreement. See FRA's Capital Projects Guidance,
Section V--Project Management for additional information.
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d. Rural or Tribal Lands Project
FRA will consider a project to be in a Rural Area or on Tribal
Lands 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 or on Tribal Lands. However, in the event FRA
elects to fund a component of the project, then FRA will reevaluate
whether the project is in a Rural Area or on Tribal Lands.
D. Application and Submission Information
Required documents for the application are outlined in the
following paragraphs. Applicants must complete and submit all
components of the application for the application to be reviewed by
FRA. An applicant that fails to submit all required documentation prior
to the closing period of the notice may have its application deemed
incomplete and will not advance to evaluation review. See section D(2)
for the required documents and information for an application package.
FRA welcomes the submission of additional relevant supporting
documentation, such as planning, engineering, and design documentation,
and letters of support from partnering organizations, which will not
count against the Project Narrative 25-page limit.
1. Address To Request Application Package
Applicants may access application materials at https://www.Grants.gov and must submit all application materials in their
entirety through https://www.Grants.gov no later than 11:59 p.m. EST,
on September 23, 2024. Applicants must complete an Authorized
Organization Representative (AOR) profile on www.Grants.gov and create
a username and password. Additional information about the registration
process is available at: https://www.grants.gov/applicants/applicant-registration.
Applicants are strongly encouraged to apply early to ensure that
all materials are received before the application deadline. FRA
reserves the right to modify this deadline. General information for
submitting applications through Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270. FRA is committed to ensuring that
information is available in appropriate alternative formats to meet the
requirements of persons who have a
[[Page 56794]]
disability. If you require an alternative version of files provided or
paper copies of materials, please contact Ms. Laura Mahoney, Office of
the Chief Financial Officer, Federal Railroad Administration, 1200 New
Jersey Avenue SE, Washington, DC 20590; email: dot.gov">laura.mahoney@dot.gov;
or telephone: 202-578-9337.
The E-Biz point of contact (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.
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\8\ The amount requested from the RCE program on the SF-424 is
the official record of request, and therefore must be consistent
with the amount requested in the Project Narrative and Statement of
Work documents, including the breakdown of Federal and non-Federal
sources. For applications with discrepancies, FRA will defer to the
funding amount in the SF-424.
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If an applicant has difficulty at any point during this process,
please call the Grants.gov Customer Center Hotline at 1-800-518-4726,
24 hours a day, 7 days a week (closed on federal holidays). For
information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/support.
2. Content and Form of Application Submission
FRA strongly advises applicants to read this section carefully.
Applicants must submit all required information and components of the
application package to be considered for funding. Applications that are
not submitted on time or do not contain all required documentation will
not be considered for funding. To support the application, applicants
may provide additional relevant and available optional supporting
documentation that may have been developed by the applicant, especially
such documentation that provides evidence of completion of the
appropriate Lifecycle Stage(s) of a Capital Project. Additionally,
applicants selected to receive funding must satisfy the requirements in
49 U.S.C. 22903 and 22905, including FRA's Buy America requirement and
conditions explained in part at https://www.fra.dot.gov/page/P0185 and
further in section F.2 of this notice.
Required documents and information for an application package
include the following:
------------------------------------------------------------------------
Application information NOFO section for guidance
------------------------------------------------------------------------
Project Narrative.......................... See D.2.a.
Statement of Work (SOW), project budget, See D.2.b.i.
estimated project schedule, and
performance measures.
Environmental Compliance Documentation..... See D.2.b.ii.
Draft Agreement required under 49 U.S.C See D.2.b.iii.
22905(c)(1), if applicable.
SF 424--Application for Federal Assistance See D.2.b.iv.
\8\.
SF 424A--Budget Information for Non- See D.2.b.v.
Construction or SF 424C--Budget
Information for Construction.
SF 424B--Assurances for Non-Construction or See D.2.b.vi.
SF 424D--Assurances for Construction.
FRA's F 30--Certifications Regarding See D.2.b.vii.
Debarment, Suspension and Other
Responsibility Matters, Drug-Free
Workplace Requirements and Lobbying.
FRA F 251--Applicant Financial Capability See D.2.b.viii.
Questionnaire.
SF LLL--Disclosure of Lobbying Activities, See D.2.b.ix.
if applicable.
------------------------------------------------------------------------
a. Project Narrative
This section describes the minimum content the applicant is
required to provide in the Project Narrative section of the grant
application. The Project Narrative must follow the basic outline below
to address the program requirements and assist evaluators in locating
relevant information.
------------------------------------------------------------------------
------------------------------------------------------------------------
I. Cover Page.............................. See D.2.a.i.
II. Project Summary........................ See D.2.a.ii.
III. Grant Funds, Sources and Uses of See D.2.a.iii.
Project Funds.
IV. Applicant Eligibility Criteria......... See D.2.a.iv.
V. Project Eligibility Criteria............ See D.2.a.v.
VI. Detailed Project Description........... See D.2.a.vi.
VII. Highway-Rail Grade Crossing Safety See D.2.a.vii.
Information and Education Programs.
VIII. Project Location..................... See D.2.a.viii.
IX. Grade Crossing Information............. See D.2.a.ix.
X. Safety Benefit.......................... See D.2.a.x.
XI. Evaluation and Selection Criteria...... See D.2.a.xi.
XII. Project Implementation and Management. See D.2.a.xii.
------------------------------------------------------------------------
[[Page 56795]]
The applicant must provide the content listed above in a narrative
statement. The Project Narrative may not exceed 25 pages in length
(excluding cover pages, table of contents, and supporting
documentation). When possible, applicants should submit supporting
documents via website links rather than hard copies. If supporting
documents are submitted, applicants must clearly identify the relevant
portion of the supporting document with the page numbers of the cited
information in the Project Narrative. The Project Narrative must adhere
to the following outline.
i. Cover Page: include a cover page that lists the following
elements in either a table or formatted list:
------------------------------------------------------------------------
------------------------------------------------------------------------
Project Title..............................
Applicant Name.............................
------------------------------------------------------------------------
FUNDING
------------------------------------------------------------------------
Amount of RCE Program Funding Requested $:
under this NOFO.
Amount of Proposed Non-Federal Match....... $:
Does some or all of the proposed Non- If yes, how much?
Federal Match for the total project cost
consist of Preliminary Engineering costs
incurred before project selection (but
after November 15, 2021)?
Other Sources of Federal funding, if Provide funding source and
applicable. amount $:
Source(s) of Proposed Non-Federal Match....
If applicable, are set-aside funds Yes/No. If yes, please
requested? Is the project eligible for a specify which one
funding set-aside in Section B.1? [Planning Projects, Safety
Information and Education
Program, Rural or Tribal
Set-Aside].
If ``Yes,'' amount of set-aside funds $:
requested:.
Total Project Cost......................... $:
------------------------------------------------------------------------
PREVIOUS FEDERAL GRANTS
------------------------------------------------------------------------
Was a Federal Grant Application Previously Yes/No. If yes, please
Submitted for this Project?. specify the program,
funding year and project
title of the previous
application, and identify
any differences between
the applications.
------------------------------------------------------------------------
LOCATION
------------------------------------------------------------------------
City(ies), County(ies), State(s) Where the
Project is Located.
Is the Project Located in a Rural Area or Yes/No.
on Tribal Lands?.
If the Project is located in a Rural Area Yes/No.
or Tribal Land, is the Project Located in
a county with 20 or fewer residents per
square mile, according to the most recent
decennial census?
Congressional District(s) Where the Project
is Located.
------------------------------------------------------------------------
APPLICATION TRACKS/PROJECT LIFECYCLE STAGES
------------------------------------------------------------------------
Application Track(s) proposed to be funded
by this NOFO?
Lifecyle Stage(s) proposed to be funded by
this NOFO?
Current Lifecycle Stage and Anticipated
completion of current Lifecycle Stage?
------------------------------------------------------------------------
RAIL LINE INFORMATION
------------------------------------------------------------------------
Is the Project located on real property Yes/No. If yes, list real
owned by someone other than the applicant?. property owners and the
nature of the property
interest.
Host Railroad/Infrastructure Owner(s) of
Project Assets;
Other impacted Railroad(s).................
Tenant Railroad(s), if applicable..........
If applicable, is a 49 U.S.C. 22905- Yes/No/Pending.
compliant Railroad Agreement executed or
pending?.
------------------------------------------------------------------------
PLANNING CONSIDERATIONS
------------------------------------------------------------------------
Is the project currently programmed in ANY Yes/No. If yes, please
medium- or long-range planning document: specify.
For example, State rail plan, or
interregional intercity passenger rail
systems planning study, State Freight
Plan, TIP, STIP, MPO Long Range
Transportation Plan, State Long Range
Transportation Plan, etc.?
Is the project located on a potential Yes/No. If yes, please
corridor selected for the Corridor specify the corridor(s).
Identification and Development Program?
\9\
------------------------------------------------------------------------
ii. Project Summary: Provide a brief 4-6 sentence summary of the
proposed project. Include challenges the proposed project aims to
address and summarize the intended outcomes and anticipated benefits
that will result from the proposed project.
---------------------------------------------------------------------------
\9\ For more information about selected Corridors under the
Corridor Identification Program, please visit: https://railroads.dot.gov/elibrary/fy22-CID-program-selections.
---------------------------------------------------------------------------
iii. Grant Funds, Sources and Uses of Project Funds: Project
budgets should show how different funding sources will fund project
activities and present the data in dollars and percentages. The budget
should identify other federal funds the applicant is applying for or
has been awarded, if any, or intends to use. Funding sources should be
grouped into three categories: RCE request, non-federal, and other
federal with specific amounts for each funding source. If other federal
funding is proposed as match, demonstrate the applicant's determination
of eligibility for such use,
[[Page 56796]]
and the legal basis for that determination. If federal funding for the
project is currently or has previously been sought, identify the
federal program and fiscal year of the funding request(s), as well as
highlight new or revised information in the application responsive to
this NOFO that differs from the application(s) to other financial
assistance programs.
As shown in the table format below, the applicant should indicate
the amount in dollars and percentages of RCE Program funding requested,
the amount of non-federal match, source(s) for all non-federal
match,\10\ other federal funds (if applicable), and the total project
cost. FRA may not award more funding for a project than is requested in
an application.
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\10\ Applicants should submit evidence of the availability of
non-Federal funds, which may include a board resolution, letter of
support from the State, a budget document highlighting the line item
or section committing funds to the proposed project. The applicant
may provide this documentation in an appendix. Documentation of
previous and recent local investments in the project may evidence of
local financial commitment project, but cannot be used to satisfy
non-Federal matching requirements. Any funding commitment letters
must be signed by an authorized representative of the entity
providing a non-Federal match.
---------------------------------------------------------------------------
The applicant should itemize funding by project Lifecycle Stage(s)
and by project activity. For a Major Project, applicants are encouraged
to provide an annualized budget in year of expenditure dollars. Project
budget information must be consistent throughout all application
materials, specifically the Standard Form (SF) 424, Project Narrative,
Statement of Work, and funding commitment letters.\11\ The project
budget should be specific to the project scope described in the
applicant's request for funding under this NOFO. If the project
proposed to be funded under this NOFO is part of a larger scope, the
applicant may reference the larger scope in the Project Narrative but
should only include the project scope proposed to be funded under this
NOFO within the budget table.
---------------------------------------------------------------------------
\11\ If there is a discrepancy between materials, FRA will defer
to the funding amounts shown in the applicant's SF 424 as the amount
requested for funding.
---------------------------------------------------------------------------
If applicable, the applicant should explain if the RCE Program
request or other funds must be obligated or spent by a certain date.
If applicable, the applicant should provide the type and estimated
value of any proposed in-kind contributions, as well as explain how the
contributions meet the requirements in 2 CFR 200.306. If the applicant
is requesting set-aside funds per section B(1), identify the dedicated
activities and amount requested within the budget table.
Example Project Funding Table: Applicants may use the following
table to describe project funding, and may use additional rows and
columns, or additional project funding tables, as appropriate.
----------------------------------------------------------------------------------------------------------------
Source of
Task name Percentage of funds and
Task No. project Cost total cost citation, as
component applicable
----------------------------------------------------------------------------------------------------------------
1.....................................
2.....................................
-------------------------------------------------------
Total Project Cost....................................
Federal Funding Requested in this Application (RCE
Program Request).
Total Non-Federal Match...............................
Non-Federal Funding (State)........................... Cash:
In-Kind:
Non-Federal Funding (Private Sector).................. Cash:
In-Kind:
Non-Federal Federal Funding (Local)................... Cash:
In-Kind:
Other Committed Federal Funding \12\ (e.g., Federal
Highway Administration, congressionally directed/
earmark, other FRA grant program funds--including
previous RCE grants, etc.).
Note: If there are multiple sources of other federal
funding, please break funding down by each source.
Other Pending Federal Funding Requests \13\...........
Amount (if any) of funding request eligible for set-
aside funds as described in section B(1) (Planning,
Rural/Tribal set-aside, or Highway-Rail Grade
Crossing safety information and education programs).
Portion of Total Project Costs Spent in a Rural Area,
if applicable.
Does some or all the proposed Non-Federal Match for If yes, how much?
the total project cost consist of Preliminary
Engineering costs incurred before project selection
(but after November 15, 2021)? \14\.
----------------------------------------------------------------------------------------------------------------
iv. Applicant Eligibility Criteria: In this section, the applicant
must explain how it meets the applicant eligibility criteria outlined
in section C of this NOFO and include citations to appropriate
authorities that demonstrate the applicant's eligibility to receive
federal funds. For example, if the applicant is a political subdivision
of a State, public agency or publicly chartered authority established
by one or more States, the applicant should provide relevant
legislative language, including citations to the applicable enabling
legislation, that demonstrate the applicant's legal status. Applicants
that fail to adequately demonstrate their
[[Page 56797]]
legal status may be found ineligible and their application will not be
reviewed.
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\12\ For other Federal funding sources proposed as match, the
applicant should explain why the Federal funds are eligible as match
and the legal basis for that determination.
\13\ For other Federal funds that will be used for the project,
the applicant should identify the Federal program and fiscal year of
the funding request(s), as well as highlight new or revised
information in the application responsive to this NOFO that differs
from the application(s) to other financial assistance programs.
\14\ If seeking to use Preliminary Engineering costs as match
for a Highway-Rail and Pathway-Rail Grade Crossing Improvement
Project or trespassing prevention projects, please identify the
costs incurred before project selection (but after November 15,
2021).
---------------------------------------------------------------------------
v. Project Eligibility Criteria: Explain how the proposed project
meets the project eligibility criteria in section C(3) of this NOFO.
vi. Detailed Project Description: In this section, the applicant
must provide a detailed project description that expands upon the brief
project summary. This detailed description should provide, at a
minimum: additional background on the challenges the project aims to
address; a summary of current and proposed railroad operations in the
project area and service frequency, which should include identification
of all railroad owners and operators; typical daily, weekly, or annual
train counts by operator; the primary expected project outcomes such as
increased safety outcomes or reduced delays, improved rail network
asset condition and performance, or similar outcomes and benefits; the
expected users and beneficiaries of the project, including all railroad
operators; the specific components and elements of the project; and any
other information the applicant deems necessary to justify the proposed
project. Applicants should specify whether the project will result in
the elimination of one or more grade crossings. Provide detailed
descriptions on the proposed improvement to each grade crossing
included in the application. For all projects, applicants must provide
information about proposed performance measures, as described in
section F(3) and required in 2 CFR 200.301.
vii. Highway-Rail Grade Crossing Safety Information and Education
Programs: For these projects, specify how the program will enhance
education and informational outreach to help prevent and reduce
pedestrian, motor vehicle and other accidents, incidents, injuries, and
facilities, and how the program will help improve awareness along
railroad rights-of-way and at Highway-Rail Grade Crossings. FRA expects
that activities to promote further awareness of grade crossing safety
will be based on existing best practices and such efforts will be
implemented in a comprehensive manner through coordination with
relevant stakeholders.
viii. Project Location: Applicants must include geospatial data for
the project, as well as a map of the project's location. Geospatial
data must be expressed in decimal degrees for latitude and longitude
with at least five decimal places of precision. If the project includes
a length of track or corridor development, the start and end
coordinates for each corridor or segment must be provided. Milepost,
railroad, and subdivision identifiers can also be provided but must be
accompanied by corresponding latitudes and longitudes. For projects
with multiple locations, the corresponding geospatial data must be
included for each location, with individual columns for latitude and
longitude, in table form as an attachment to the application. On the
map, include the Congressional districts in which the project will take
place.
ix. Grade Crossing Information: Cite specific US DOT National Grade
Crossing Inventory information for each grade crossing to be addressed
in the proposed application, including the US DOT grade crossing
inventory number. Include latitude and longitude coordinates for each
grade crossing location, the railroad that owns the infrastructure (or
the crossing owner, if different from the railroad), the primary
railroad operator, and the roadway at the crossing. To find US DOT
grade crossing inventory number(s) and location(s), please visit:
https://railroads.dot.gov/safety-data/fra-safety-data-reporting/crossing-inventory-data-search. For projects involving Pathway-Rail
Grade Crossings that do not have US DOT grade crossing inventory
numbers or data, please provide as much locational data as possible.
List the following details for each grade crossing involved in the
application scope of work, either in the following table format within
the Project Narrative or, if more space is needed, in a separate,
unlocked Excel file attachment (the table will not count against the
25-page Project Narrative page limit). Please include, to the best of
the applicant's ability, specific US DOT National Grade Crossing
Inventory information that may combine information requested under both
this section and E.2.a.viii ``Grade Crossing Information,'' including:
a. US DOT grade crossing inventory number;
b. The proposed improvement requested in the application, using
``new, separated, closed, or improved'' to describe proposed
improvement (such as gate additions, lights, etc.);
c. The primary railroad operator;
d. The railroad that owns the infrastructure (or the crossing
owner, if different from the railroad); and
e. The roadway at the crossing with location latitude and longitude
coordinates.
Example Table 1. In Project Narrative or attached as an appendix in
unlocked Excel file format:
* Example Table 1--Grade Crossing Information for Proposed Project
--------------------------------------------------------------------------------------------------------------------------------------------------------
Latitude coordinates Longitude coordinates
(at least five (at least five
US DOT grade crossing inventory # Proposed improvement Rail operator(s) Railroad owner decimal places of decimal places of
precision) precision)
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
x. Safety Benefit Data: Applicants are strongly encouraged to
submit safety justifications for the project that rely on standardized,
objective safety metrics and data, if available, including data from
sources such as: GradeDec.Net; National Risk Index; 49 CFR part 234;
safety metrics found in Appendix D of 49 CFR part 222; the FRA crossing
incident dashboard (FRA Safety Data & Reporting [verbar] FRA
(dot.gov)); or other relevant safety data or metrics. FRA will analyze
data for each grade crossing, including information and data detailing
the history of each crossing's incident history for the past five
calendar years (2019-2023), to demonstrate the existing level of risk
for each grade crossing proposed for improvement, as well as other
tools and measures to better inform selection evaluation.\15\
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\15\ Applicants can review the history of highway-rail crossing
incidents relevant to their project on FRA's public safety website:
https://safetydata.fra.dot.gov/OfficeofSafety/publicsite/crossing/crossing.aspx or https://data.transportation.gov/dataset/Highway-Rail-Grade-Crossing-Accident-Data-Form-57-/aeeh-bp8c/explore.
---------------------------------------------------------------------------
viii. Evaluation and Selection Criteria: The applicant must include
a thorough discussion of how the proposed project meets the evaluation
and selection criteria. As described in section E, FRA will evaluate
applications based on project readiness, technical merit, and project
benefits, and will consider how the applicant's project aligns with the
[[Page 56798]]
Administration Priorities. If an application does not sufficiently
address the evaluation criteria and the selection criteria, it is
unlikely to be a competitive application. Applicants are expected to
follow the directions and format requested in this NOFO, and adherence
to these directions will be considered in evaluations. Applicants are
encouraged to include quantifiable railroad data, such as information
on delay, failure or safety incidents, daily train movement, or similar
metrics, and should include qualitative data on accessibility
improvements to either new or existing assets. To the extent feasible,
such railroad metrics should be provided and analyzed discretely for
intercity passenger rail and, if applicable, Commuter Rail Passenger
Transportation and freight rail transportation services involved in the
proposed project. For more information on performance metrics see FRA's
Metrics and Minimum Standards for Intercity Passenger Rail Service,
available at: https://railroads.dot.gov/elibrary/metrics-and-standards-final-rule-november-16-2020.
xiii. Project Implementation and Management: Applicants must
describe proposed project implementation and project management
arrangements. Include descriptions of the expected arrangements for
project contracting (construction, maintenance, and operation),
contract oversight and control, change-order management, risk
management, and conformance to federal requirements for project
progress reporting (see FRA Reports, available at: https://www.fra.dot.gov/Page/P0274). Further, applicants must provide their
plan for taking affirmative steps to employ small businesses consistent
with 2 CFR 200.321. Describe experience in managing and overseeing
similar projects; the technical qualifications and demonstrated
experience of key personnel proposed to lead and perform the technical
efforts; and the qualifications of the primary and supporting
organizations to fully and successfully execute the proposed project
within the proposed timeframe and budget, including a discussion of the
factors in 2 CFR 200.206(b) and the proposed approach to assessing and
mitigating project risk.
b. Additional Application Elements
Applicants must submit the following documents and forms. Note, the
Standard OMB Forms needed for the electronic application process are
available at: www.Grants.gov.
i. A Statement of Work (SOW), addressing the scope, project budget,
estimated project schedule, and performance measures, for the proposed
project if it were selected for award. The applicant should include
sufficient detail in those documents so that FRA can understand the
expected outcomes of the proposed work to be performed and can monitor
progress toward completing project tasks and deliverables during a
prospective grant's period of performance. Applicants are expected to
include Articles 4-7 of Attachment 2: Project Specific Terms and
Conditions, at a minimum.\16\ Applications that do not follow this
format may be considered incomplete and may not be reviewed. In
addition, FRA encourages applicants submitting planning projects to
look at the planning-specific Statement of Work template available
here: https://railroads.dot.gov/elibrary/RCE-Grant-Project-Planning-SOW-sample.
---------------------------------------------------------------------------
\16\ https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
---------------------------------------------------------------------------
When preparing the budget, the total cost of a project must be
based on the best available information as indicated in cited
references that include engineering studies, economic feasibility
studies, environmental analyses, and information on the expected use of
equipment or facilities. Applicants must include annual budget
estimates in year of expenditure dollars for the duration of the
project.
ii. Environmental compliance documentation, as applicable, if a
website link to such documentation is not provided in the Project
Narrative.
Applicants should explain what Federal (and, if appropriate, State,
Tribal, and local) environmental compliance and permitting requirements
have been completed. Such requirements include NEPA and other Federal,
State, Tribal, and local environmental permitting requirements, if
applicable. For all other Federal, State, Tribal, and local permitting
requirements, the applicant should describe which permits apply, the
status of those reviews, and the expected timeline for completion. If
the NEPA process is complete, an applicant should indicate the date of
completion, and provide a website link or other reference to the
documents demonstrating compliance with NEPA, which might include a
final Categorical Exclusion determination documentation, Finding of No
Significant Impact, or Record of Decision. If the NEPA process is not
yet underway, the application should state this. If the NEPA process is
underway, but not complete, the application should detail the type of
NEPA review underway, where the project is in the process, and indicate
the anticipated date of completion of all NEPA and other environmental
requirements. Additional information regarding FRA's environmental
processes and requirements is located at https://fra.dot.gov/environment.
iii. Draft or finalized agreement required under 49 U.S.C.
22905(c)(1), if applicable. Provide information about the status of
agreements with infrastructure owners. FRA encourages early cooperation
between applicants and any relevant infrastructure owners. Under
section 22905(c)(1), a grant applicant must have entered into a written
agreement with a railroad that owns rights-of-way to be used by the
project (referred to as the 22905 Agreement) prior to grant obligation.
If the agreement is complete at the time of the application, an
applicant should indicate the agreement's effective date, and provide a
website link or attach the agreement as part of the application.
Applicants are also encouraged to provide draft agreements. The written
agreement between the grantee and the railroad should describe use and
ownership, including any compensation for such use; assurances
regarding the adequacy of infrastructure capacity to accommodate both
existing and future freight and passenger operations; an assurance by
the railroad that collective bargaining agreements with the railroad's
employees including terms regulating the contracting of work will
remain in full force and effect according to their terms for work
performed by the railroad on the railroad transportation corridor; and
an assurance that the grantee complies with liability requirements
consistent with 49 U.S.C. 28103. For additional guidance see the FRA
Answers to Frequently Asked Questions about Rail Improvement Grant
Conditions under 49 U.S.C. 22905(c)(1): https://railroads.dot.gov/elibrary/frequently-asked-questions-about-rail-improvement-grant-conditions-under-49-usc-ss-22905c1.
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 F30--Certification Regarding Debarment, Suspension and
Other Responsibility Matters, Drug-Free Workplace Requirements and
Lobbying, located at https://railroads.dot.gov/elibrary/fra-f-30-certifications-regarding-debarment-suspension-and-other-responsibility-matters.
[[Page 56799]]
viii. FRA F 251--Applicant Financial Capability Questionnaire,
located at https://railroads.dot.gov/elibrary/fra-f-251.
ix. SF LLL--Disclosure of Lobbying Activities.
Forms needed for the electronic application process are at
www.Grants.gov.
c. Post-Selection Requirements
See section F(2) of this notice for post-selection requirements.
3. Unique Entity Identifier and System for Award Management (SAM)
To apply for funding through Grants.gov, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier in its application, and continue to
maintain an active SAM registration all as described in detail below.
Complete instructions on how to register and submit an application can
be found at www.Grants.gov. Registering with Grants.gov is a one-time
process; however, it can take up to several weeks for first-time
registrants to receive confirmation and a user password. FRA recommends
that applicants start the registration process as early as possible to
prevent delays that may preclude submitting an application package by
the application deadline. Applications will not be accepted after the
due date. 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 SAM requirements, and if an applicant
has not fully complied with the requirements by the time the federal
awarding agency is ready to make a federal award, the federal awarding
agency may determine that the applicant is not qualified to receive a
federal award and use that determination as a basis for making a
federal award to another applicant. Late applications, including those
that are the result of a failure to register or comply with Grants.gov
applicant requirements in a timely manner, will not be considered. If
an applicant has not fully complied with the requirements by the
submission deadline, the application will not be considered. To submit
an application through Grants.gov, applicants must follow the
directions below in this subsection.
a. Register With the SAM at www.SAM.gov
All applicants for federal financial assistance must maintain
current registrations in the SAM database. An applicant must be
registered in SAM to successfully register in Grants.gov. The SAM
database is the repository for standard information about federal
financial assistance applicants, grantees, and subrecipients.
Organizations that have previously submitted applications via
Grants.gov are already registered with SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award, including information on a grantee's immediate and
highest-level owner and subsidiaries, as well as on all predecessors
that have been awarded a federal contract or grant within the last
three years, if applicable. Information about SAM registration
procedures is available at www.SAM.gov.
b. Obtain a Unique Entity Identifier
On April 4, 2022, the Federal government discontinued using DUNS
numbers. The DUNS Number was replaced by a new, non-proprietary
identifier that is provided by the System for Award Management
(SAM.gov). This new identifier is called the Unique Entity Identifier
(UEI), or the Entity ID. To find or request a Unique Entity Identifier,
please visit: www.SAM.gov.
c. Create a Grants.gov Username and Password
Applicants must complete an Authorized Organization Representative
(AOR) profile on www.Grants.gov and create a username and password.
Applicants must use the organization's UEI to complete this step.
Additional information about the registration process is available at:
https://www.grants.gov/applicants/applicant-registration.
d. Acquire Authorization for Your AOR From the E-Business Point of
Contact (E-Biz POC)
The E-Biz POC at the applicant's organization must respond to the
registration email from Grants.gov and login at www.Grants.gov to
authorize the applicant as the AOR. Please note there can be more than
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This
NOFO
If an applicant has trouble at any point during this process,
please call the Grants.gov Customer Center Hotline at 1-800-518-4726,
24 hours a day, 7 days a week (closed on Federal holidays). For
information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/support.
4. Submission Dates and Times
Applicants must submit complete applications to www.Grants.gov no
later than 11:59 p.m. EST, September 23, 2024. Applicants will receive
a system-generated acknowledgement of receipt. FRA reviews
www.Grants.gov information on dates/times of applications submitted to
determine timeliness of submissions. Late applications will be neither
reviewed nor considered, no exceptions. To apply for funding under this
announcement, all applicants are required to be registered as an
organization with Grants.gov. Applicants are strongly encouraged to
apply early to ensure all materials are received before this deadline.
To ensure fair competition for limited discretionary funds, no late
submissions will be reviewed for any reason, including: (1) failure to
complete the Grants.gov registration process before the deadline; (2)
failure to follow Grants.gov instructions on how to register and apply
as posted on its website; (3) failure to follow all the instructions in
this NOFO; and (4) technical issues experienced with the applicant's
computer or information technology environment.
5. Intergovernmental Review
Intergovernmental Review is required for this program. Applicants
must contact their State Single Point of Contact to comply with their
State's process under Executive Order 12372.
6. Funding Restrictions
Consistent with 2 CFR 200.458, as applicable, FRA will only approve
pre-award costs if such costs are incurred pursuant to the negotiation
and in anticipation of the grant agreement and if such costs are
necessary for efficient and timely performance of the scope of
work.\17\ Under 2 CFR 200.458, grant recipients must seek written
approval from FRA for pre-award activities to be
[[Page 56800]]
eligible for reimbursement under the grant. Activities initiated prior
to the execution of a grant or without FRA's written approval may be
ineligible for reimbursement or matching contribution. Cost sharing or
matching may be used only for authorized Federal award purposes.
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\17\ For more information on pre-award costs, see FRA Answers to
Frequently Asked Questions about Pre-Award Authority, available at:
https://railroads.dot.gov/elibrary/federal-railroad-administration-answers-frequently-asked-questions-about-pre-award.
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Applicants may count costs incurred for Preliminary Engineering
costs on Highway-Rail and Pathway-Rail Grade Crossing Projects as part
of the total project costs. Consistent with 49 U.S.C. 22909(g), such
costs are eligible as non-federal share or reimbursement, even if they
were incurred before project selection for award. Such costs must have
been incurred no earlier than November 15, 2021, and must be otherwise
compliant with 2 CFR part 200 and the requirements of this NOFO.
7. Other Submission Requirements
Please use generally accepted formats such as .pdf, .doc, .docx,
.xls, .xlsx and .ppt, when uploading attachments. While applicants may
embed picture files, such as .jpg, .gif, and .bmp, in document files,
applicants should not submit attachments in these formats.
Additionally, the following formats will not be accepted: .com, .bat,
.exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and
.zip.
E. Application Review Information
1. Criteria
a. Eligibility and Completeness
FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in section C of this
NOFO), completeness (application documentation and submission
requirements are outlined in section D of this NOFO), and the 20
percent minimum non-federal match.
b. Evaluation Criteria
FRA will evaluate all eligible and complete applications using the
evaluation criteria outlined in this section to determine project
readiness, technical merit, and project benefits.
i. Project Readiness:
In evaluating Project Readiness, FRA will evaluate project and
applicant risk based on the applicant's preparedness and capacity to
implement the proposed project, including whether the applicant is
reasonably equipped to begin the capital or planning project in a
timely manner to meet its proposed schedule. FRA will evaluate whether
the applicant is able to meet project milestones and use Federal funds
efficiently to deliver the proposed project.\18\
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\18\ Additional information on DOT's Project Readiness checklist
can be found here: https://www.transportation.gov/grants/dot-navigator/project-readiness-checklist-dot-discretionary-grant-applicants.
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FRA will evaluate the application for the degree to which--
(A) The application demonstrates strong project readiness,
evidenced by status of required NEPA actions and environmental
permitting readiness (if applicable);
(B) The status and timeline of agreements, such as an agreement
required under 49 U.S.C. 22905(c)(1), necessary for the legal,
financial, and technical capacity to complete the project as proposed,
are sufficiently developed;
(C) The application identifies the appropriate Lifecycle Stage(s)
for the proposed project, demonstrates that the project has completed
or will complete any preceding Lifecycle Stage(s), and the project is
able to complete all requirements of the identified Lifecycle Stage(s);
and
(D) Project partner coordination and commitments, including letters
of support, agreements, and funding, are secured or able to be secured
without undue delay.
ii. Technical Merit:
In evaluating Technical Merit, FRA will evaluate the degree to
which the application, statement of work, schedule and budget are
reasonable and appropriate to achieve the expected outcomes, commitment
of necessary resources and workforce to deliver the project, and the
proposed project elements are appropriate for the project funding
request. FRA will also consider applicant risk, including the
applicant's past performance in developing and delivering similar
projects.
FRA will evaluate application information for the degree to which--
(A) The tasks and subtasks outlined in the SOW, project budget, and
estimated project schedule are appropriate to achieve the expected
outcomes of the proposed project;
(B) The technical qualifications and experience of key personnel
the applicant proposes to lead and perform the technical efforts,
including the qualifications of the primary and supporting
organizations, demonstrates the ability to fully and successfully
execute the proposed project within the proposed time frame and budget;
(C) The project is identified in the freight investment plan
component of a state freight plan, a state rail plan, a state highway-
rail grade crossing action plan, a state freight plan, or other
equivalent document;
(D) The project will use innovative technologies, innovative design
and construction techniques, or construction materials that reduce
greenhouse gas emissions;
(E) The project will use financial support from impacted rail
carriers; and
(F) The project will improve the mobility of multiple modes of
transportation, including ingress and egress from freight facilities,
or users of nonvehicular modes of transportation such as pedestrians,
bicycles, and public transportation.
iii. Project Benefits:
FRA will evaluate application information for the extent to which
the proposed project--
(A) Improves safety at Highway-Rail or Pathway-Rail Grade
Crossings;
(B) Proposes to grade separate, eliminate, or close one or more
Highway-Rail or Pathway-Rail Grade Crossings;
(C) Improves the mobility of both people and goods;
(D) Reduces emissions, protects the environment, and provides
community benefit (including noise reduction);
(E) Improves access to emergency services;
(F) Improves access to communities;
(G) Provides economic benefit; and
(H) Uses contracting incentives to employ local labor, to the
extent permissible under federal law.
For each evaluation criterion--Project Readiness, Technical Merit,
and Project Benefits--FRA will evaluate whether the application
demonstrates level of risk or responsiveness, as applicable, as
described in the rubrics below.
For each merit criterion, FRA will use rubric ratings with applied
criteria to evaluate whether the applications meet the defined
thresholds:
Merit Criteria Ratings--Project Readiness
For the Project Readiness Criteria described in section E(B)(i),
FRA will evaluate the application's responsiveness to the criteria,
including an assessment of supporting justifications, and assign a
cumulative Project Readiness risk rating.
[[Page 56801]]
----------------------------------------------------------------------------------------------------------------
Unacceptable High risk Medium risk Low risk
----------------------------------------------------------------------------------------------------------------
Application provides limited or no Application provides Application provides Application provides
information necessary to assess the insufficient sufficient information thorough and complete
project readiness criteria; information to assess to assess the project information and
application does not demonstrate the project readiness readiness criteria; evidence to assess the
support, progress, or completion of criteria; application demonstrates support, project readiness
required Lifecycle Stage(s) pre- does not demonstrate progress, or criteria, and
requisites; or application contains sufficient support, completion on one or demonstrates strong
one or more significant barriers progress, or more required support, progress, or
that would prevent project delivery. completion of required Lifecycle Stage(s) pre- completion on required
Lifecycle Stage(s) pre- requisites, but Lifecycle Stage(s) pre-
requisites but indicates some risk to requisites, and
indicates risk to advancing the project indicates minimal risk
advancing the project in a timely manner; to advancing the
without foreseeable and the application project in a timely
delays; or application does not contain a manner; and
contains a barrier barrier that would application does not
that would likely likely prevent project contain a barrier that
prevent project delivery in any of would likely prevent
delivery in any of these areas. project delivery in
these areas. any of these areas.
----------------------------------------------------------------------------------------------------------------
Merit Criteria Ratings--Technical Merit
For the Technical Merit Criteria described in section E(B)(ii), FRA
will evaluate the application's responsiveness to the criteria,
including an assessment of supporting justifications, and assign a
cumulative technical merit rating.
----------------------------------------------------------------------------------------------------------------
Unacceptable Acceptable Responsive Highly responsive
----------------------------------------------------------------------------------------------------------------
Application provides limited or no Application contains Application provides Application provides
information necessary to assess the insufficient sufficient information thorough and complete
technical merit criteria, or information to assess and evidence to assess information and
application demonstrates one or more one or more of the the technical merit evidence to assess the
significant technical challenges technical merit criteria and technical merit
that would prevent the applicant criteria, or demonstrates that the criteria, and
from delivering the project. application applicant can deliver sufficiently
demonstrates technical the project with demonstrates that the
challenges that could minimal technical project can be
affect project challenges. successfully delivered
delivery, but not by the applicant.
prevent the applicant
from delivering the
project.
----------------------------------------------------------------------------------------------------------------
Merit Criteria Ratings--Project Benefits
For the Project Benefits Criteria described in section E(B)(iii),
FRA will evaluate the application's responsiveness to the criteria,
including an assessment of supporting justifications, and assign a
cumulative Project Benefits rating.
----------------------------------------------------------------------------------------------------------------
Unacceptable Acceptable Responsive Highly responsive
----------------------------------------------------------------------------------------------------------------
Application provides insufficient The application Application provides Application provides
information necessary to assess the contains limited sufficient information thorough and complete
project benefits criteria, and does information to assess to assess the project information and
not demonstrate that the project the project benefits benefits criteria, and evidence to assess the
will achieve its intended benefits. criteria; or the adequately project benefits
project is not likely demonstrates that the criteria, and
to achieve all of its project will likely sufficiently
intended benefits. achieve its intended demonstrates that the
benefits. project will achieve
its intended benefits.
----------------------------------------------------------------------------------------------------------------
In addition to the ratings described above, FRA will also apply the
selection preferences described in section E(C)(i) and consider the
Administration Priorities described in section E(2)(c)(ii).
c. Selection Criteria
After completing the merit review, FRA will apply the selection
criteria and consider the Administration Priorities in this section.
i. FRA will give preference to eligible projects that--
(A) result in one or more grade separated crossings;
(B) close grade crossings through Track Relocation; or
(C) result in corridor-wide grade crossing improvements.\19\
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\19\ FRA considers corridor-wide grade crossing improvements to
be projects that directly improve a series of linked, consecutive
grade crossings.
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ii. Administration Priorities
FRA will consider how projects address the following key
Administration Priorities:
Safety: FRA will assess the project's ability to foster a safe
transportation system for the movement of goods and people, consistent
with DOT's strategic goal to reduce transportation-related fatalities
and serious injuries across the transportation system. Such
considerations will include, but are not limited to, the extent to
which the project improves and upgrades infrastructure to achieve a
higher level of safety, reduces incidences of rail-related trespassing,
upgrades infrastructure to achieve a higher level of safety, and uses
an appropriately trained workforce. Overall, FRA expects that projects
will provide positive safety benefits for all users and not negatively
impact safety for all users.
Climate Change and Sustainability: FRA will assess the project's
ability to reduce the harmful effects of climate change and anticipate
necessary improvements to prepare for extreme weather events. Such
considerations may include, but are not limited to, the extent to which
the project reduces emissions, promotes energy efficiency, increases
resiliency, incorporates evidence-based climate resilience measures or
features, and avoids adverse environmental impacts to air or
[[Page 56802]]
water quality, wetlands, and endangered species.
Applicants are encouraged to use the DOT Navigator Climate
checklist in responding to this criterion. Applications that are rated
highly on this criterion will be those that use data-driven and
evidence-based methods to demonstrate that the project will:
Significantly reduce GHG emissions in the transportation
sector; and
Incorporate evidence-based climate resilience measures or
features.
Equity and Justice40: FRA will assess elements including how the
project will create positive outcomes that will reduce, mitigate, or
reverse how a community is experiencing disadvantage through increasing
affordable transportation options, improving health or safety, reducing
pollution, connecting Americans to good-paying jobs, fighting climate
change, and/or improving access to nature, resources, transportation or
mobility, and quality of life. FRA will consider the benefits and
potential burdens a project may create, who would experience them and
how the benefits and potential burdens will impact disadvantaged
communities.
Applicants are strongly encouraged to use the FRA's Justice40 Rail
Explorer Tool (https://usdot.maps.arcgis.com/apps/webappviewer/index.html?id=fd9810f673b64d228ae072bead46f703) to identify the rail
infrastructure in their project and features of the surrounding
community as the basis of their assessment. The FRA Justice40 Rail
Explorer Tool is a rail-specific complement to the USDOT ETC Explorer
and leverages the same methodology and metrics. The FRA Justice40 Rail
Explorer Tool provides GIS information on existing rail infrastructure,
communities, and pollution levels based on the proposed project's
location, and applicants can thus use this tool to note how their
project location scores across several different measures.
Transportation disadvantaged communities experience burden, as a result
of underinvestment in transportation, in the following five components:
Transportation Insecurity, Climate and Disaster Risk Burden,
Environmental Burden, Health Vulnerability, and Social Vulnerability.
Applicants are also encouraged to use Climate & Economic Justice
Screening Tool (CEJST), a new tool by the White House Council on
Environmental Quality (CEQ), that aims to help Federal agencies
identify disadvantaged communities as part of the Justice40 initiative
to accomplish the goal that 40% of benefits from certain federal
investment reach disadvantaged communities. Applicants should use CEJST
to identify disadvantaged communities (Justice40 communities).
Applicants are encouraged to use the USDOT Equitable Transportation
Community (ETC) Explorer to understand how their community or project
area is experiencing disadvantage related to lack of transportation
investments or opportunities. Through understanding how a community or
project area is experiencing transportation-related disadvantage,
applicants are able to address how the benefits of a project will
reverse or mitigate the burdens of disadvantage and demonstrate how the
project will address challenges and accrued benefits.
Workforce Development, Job Quality, and Wealth Creation: FRA will
assess how the project will create good-paying, safe jobs with free and
fair choice to join a union including through the use of a project
labor agreement, promote investments in high-quality workforce
development programs, adopt local and economic hiring preferences for
the project workforce, and promote local inclusive economic and
entrepreneurship programs.
For Administration Priorities, FRA will consider the application's
responsiveness to the criteria, and will result in a rating of ``Non-
responsive, ``Acceptable,'' ``Responsive,'' or ``Highly Responsive'' as
described in the rubric below. Applicants do not need to respond to all
of the Administration Priorities if the criterion is not applicable to
the proposed project.
Administration Priorities
For the Administration Priorities Criteria described in section
E(C)(ii), FRA will consider the application's responsiveness to the
criteria, including an assessment of supporting justifications.
----------------------------------------------------------------------------------------------------------------
Non-responsive Acceptable Responsive Highly responsive
----------------------------------------------------------------------------------------------------------------
Application contains insufficient Application contains Application contains Application contains
information to assess any of the limited information sufficient information thorough and complete
Administration Priorities, or that is supported by that is adequately information that is
project is inconsistent with one or some evidence, but supported by both strongly supported by
more of the Administration primarily described quantitative and both quantitative and
Priorities. qualitatively, that qualitative evidence qualitative evidence
the project is that the project has that the project has
consistent with at clear and direct clear, direct, and
least one of the benefits in at least significant benefits
Administration one of the in one or more of the
Priorities. Administration Administration
Priorities. Priorities, and is not
inconsistent with any
of the Administration
Priorities.
----------------------------------------------------------------------------------------------------------------
Upon completion of all reviews, FRA will finalize an Overall Rating
for each application. This rating will be a combination of the results
of the three Merit Criteria reviews, specifically Project Readiness,
Project Benefits, and Technical Merit criteria ratings as described in
sections E(B)(i)-E(B)(iii); and the Administration Priorities as
described in section E(c)(ii). Provided in the Overall Rating Rubric
below, each rating has defined parameters to which each application
will be assessed.
[[Page 56803]]
Overall Rating
----------------------------------------------------------------------------------------------------------------
Not recommended Acceptable Recommended Highly recommended
----------------------------------------------------------------------------------------------------------------
The application received an overall The application The application The application
score of not recommended based on received an overall received an overall received an overall
Project Readiness, Technical Merit, score of acceptable score of recommended score of highly
and Project Benefits ratings, and based on Project based on Project recommended based on
consideration of Administration Readiness, Technical Readiness, Technical Project Readiness,
Priorities. Merit, and Project Merit, and Project Technical Merit, and
Benefits ratings, and Benefits ratings, and Project Benefits
consideration of has clear and direct ratings, and has
Administration benefits in one of the clear, direct, and
Priorities. Administration significant benefits
Priorities. in one or more of the
Administration
Priorities.
----------------------------------------------------------------------------------------------------------------
The evaluation process may draw upon subject matter experts within
FRA Division offices whose expertise is relevant to understanding the
application's responsiveness to the program criteria, such as assessing
the applicant's capacity to successfully deliver the project in
compliance with applicable federal requirements based on factors
including, but not limited to, the recipient's experience working with
federal agencies, previous experience with DOT discretionary grant
awards and/or the technical experience and resources dedicated to the
project. Finally, in determining the allocation of program funds, FRA
may also consider geographic diversity, diversity in the size of the
systems receiving funding, and the applicant's receipt of other
competitive awards.
2. Review and Selection Process
FRA will conduct a five-part application review process, as
follows:
Intake and Eligibility Phase: Screen applications for
applicant and project eligibility, completeness, and the minimum match
(completed by the Evaluation Management and Oversight Team, or
``EMOT,'' comprised of FRA program review directors who manage the pre-
award process);
Evaluation Review Phase: Evaluate remaining applications
against the statutory technical merit criteria, project benefit
criteria, project readiness and the applicant's ability (based on past
performance and relevant project factors) to develop and deliver
similar projects, and alignment with Administration Priorities
(completed by technical merit review panels consisting of FRA and other
Department of Transportation (DOT) staff). The EMOT will compile the
results of the Evaluation Review Phase consistent with the RCE Program
set-asides and selection preferences. After considering all FRA reviews
under the statutory criteria, applications will be assigned an overall
rating of ``Highly Recommended,'' ``Recommended,'' ``Acceptable,'' or
``Not Recommended'';
Steering Committee Phase: The Steering Committee is
comprised of Senior Directors with the Office of Railroad Development,
which may also include senior leadership from the Railroad Office of
Safety and other relevant offices. The EMOT briefs the Steering
Committee on all rated applications, and the Steering Committee may
request more information from FRA offices whose expertise may be
relevant. The Steering Committee provides strategic direction, in line
with program goals outlined in this NOFO, on the development of
materials and approach for the Senior Review Team (SRT) briefing;
Senior Review Phase: The SRT, which may include senior
leadership from the Office of the Secretary and FRA, will review and
apply selection criteria, and recommend an initial selection of
projects for the FRA Administrator's review; and
Selection and Award Phase: The FRA Administrator will
recommend awards for the Secretary or his designee's review and
approval.
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 per 2 CFR 200.1 and 2
CFR 200.320, FRA will review and consider any information about the
applicant that is in the designated integrity and performance system
accessible through SAM (currently the Federal Awardee Performance and
Integrity Information System (FAPIIS)). See 41 U.S.C. 2313.
An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
FRA will consider any comments by the applicant, in addition to the
other information, in making a judgment about the applicant's
integrity, business ethics, and record of performance under federal
awards when completing the review of risk posed by applicants as
described in 2 CFR 200.206
F. Federal Award Administration Information 20
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\20\ More information on FRA Discretionary Grant Agreements can
be found at: https://railroads.dot.gov/grants-loans/fra-discretionary-grant-agreements.
---------------------------------------------------------------------------
1. Federal Award Notices
FRA will announce applications selected for funding in a press
release and on FRA's website after the application review period. This
announcement is FRA's notification to successful and unsuccessful
applicants alike. Following this announcement, FRA will contact the
point of contact listed in the SF 424 to initiate negotiation of a
project-specific grant agreement. This notification is not an
authorization to begin proposed project activities. FRA requires
satisfaction of applicable requirements by the applicant and a formal
agreement signed by both the grantee and FRA, including an approved
scope, schedule, and budget, before obligating the grant.
2. Administrative and National Policy Requirements
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, grantees of funds must
comply with all applicable requirements of federal law, including,
without limitation, the Constitution of the United States; the relevant
authorization and appropriations, the conditions of performance,
nondiscrimination requirements, and other assurances made applicable to
the award of funds in accordance with regulations of DOT; and
applicable federal financial assistance and contracting principles
promulgated by the Office of Management and Budget. In complying with
these requirements, grantees 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
[[Page 56804]]
Amendment. If DOT determines that a grantee has failed to comply with
applicable federal requirements, DOT may terminate the award of funds
and disallow previously incurred costs, requiring the grantee to
reimburse any expended award funds. The new FRA grant agreement
consists of three parts: Attachment 1: Standard Terms and Conditions,
Attachment 2: Project-Specific Terms and Conditions, and Terms and
Conditions Exhibits.
Examples of administrative and national policy requirements
include: 2 CFR part 200; procurement standards at 2 CFR part 200
subpart D, 2 CFR 1207.317, and 2 CFR 200.401; compliance with federal
civil rights laws and regulations; disadvantaged business enterprises
requirements; debarment and suspension requirements; drug-free
workplace requirements; FRA's and OMB's Assurances and Certifications;
the Americans with Disabilities Act (ADA); safety requirements; NEPA;
environmental justice; compliance with 49 U.S.C. 24905(c)(2) for the
duration of NEC Projects; and 2 CFR 200.315, governing rights to
intangible property. Projects assisted with funds provided through the
Maglev Grants Program are subject to 49 U.S.C. 5333(a). Unless
otherwise stated in statutory or legislative authority, or
appropriations language, all financial assistance awards follow the
Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part 1201.
Assistance under this NOFO is subject to the grant conditions in 49
U.S.C. 22905, including labor protective arrangements that are
equivalent to the protective arrangements established under section 504
of the Railroad Revitalization and Regulatory Reform Act of 1976 (45
U.S.C. 836) with respect to employees affected by actions taken in
connection with the project to be financed in whole or in part by
grants, subject to 49 U.S.C. 22905, the provision deeming operators as
rail carriers and employers for certain purposes, and grantee
agreements with railroad right-of-way owners for projects using
railroad rights-of-way (see section D(2)(a)(viii)(A)(5)).\21\
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\21\ More information on labor protections can be found here:
https://railroads.dot.gov/elibrary/equivalent-labor-protections.
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Projects selected under this NOFO for commuter rail passenger
transportation for positive train control projects may be transferred
to the Federal Transit Administration for grant administration at the
Secretary's discretion. If such a project is transferred to the Federal
Transit Administration, applicants will be required to comply with
chapter 53 of title 49 of the United States Code.
Projects that have not sufficiently considered climate change and
environmental justice in their planning, as determined by FRA, will be
required to do so before receiving funds for construction, consistent
with core policy goals of assessing these potential impacts. For
example, see Executive Order 14008, Tackling the Climate Crisis at Home
and Abroad (86 FR 7619), and Executive Order 14096, Revitalizing Our
Nation's Commitment to Environmental Justice. In the grant agreement,
recipients will be expected to describe activities they have taken or
will take prior to obligation of construction funds to address climate
change and environmental justice (EJ). (See Article 9 of FRA's
Attachment 2: Project-Specific Terms and Conditions for a list of
project activities that address climate change and environmental
justice priorities, available at: https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf.) Activities that
address climate change include, but are not limited to, demonstrating
the project: will result in significant greenhouse gas emissions
reductions; supports emissions reductions goals in a local/regional/
state plan; improves disaster preparedness and resilience; incorporates
resilience in its design; and primarily focuses on funding for state of
good repair and clean transportation options, including public
transportation, walking, biking, and micro-mobility. Activities that
address environmental justice may include, but are not limited to:
basing project design on consideration of community impacts;
information gained from screening tools such as CEJST, EPA's EJ Screen,
or other appropriate environmental and community impacts tools
developed by a State agency; connecting transportation disadvantaged
communities or other communities with environmental justice concerns
based on information gained from either the screening tools noted above
or FRA's Justice40 Rail Explorer Tool; conducting enhanced, targeted
outreach to potentially affected communities, including disadvantaged
communities; considering environmental justice in alternatives analysis
and final project design; and supporting a modal shift in freight or
passenger movement to reduce emissions or reduce induced travel demand.
Projects must consider and address equity and barriers to
opportunity in their planning, as determined by FRA, and as a condition
of receiving construction funds, consistent with Executive Order 13985,
Advancing Racial Equity and Support for Underserved Communities Through
the Federal Government (86 FR 7009). The grant agreement should include
the grantee's description of activities it has taken or will take prior
to obligation of construction funds that address equity and barriers to
opportunity. These activities may include, but are not limited to:
completing an equity impact analysis for the project; completing a
community needs assessment; adopting an equity and inclusion program/
plan; conducting meaningful public engagement to ensure underserved
communities are provided an opportunity to be involved in the planning
process in a manner consistent with Title VI of the Civil Rights Act
(Title VI); including investments that either redress past barriers to
opportunity or that proactively create new connections and
opportunities for underserved communities; hiring from local
communities; improving access to or providing economic growth and
wealth building opportunities for underserved, overburdened, or rural
communities; or addressing historic or current inequitable air
pollution or other environmental, health, or economic burdens and
impacts. (See Article 10 of FRA's Attachment 2: Project-Specific Terms
and Conditions for a list of project activities that address efforts to
improve racial equity and reduce barriers to opportunity, available at:
https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf.) While not a
selection criterion to the extent the project includes or is part of a
station area, DOT encourages project sponsors to consider how the
submitted project could develop or facilitate economic development,
including commercial and residential development that enhances the
economic vitality and competitiveness of the surrounding neighborhoods
and region.
To the extent that applicants have not sufficiently considered job
quality and labor rights in their planning, as determined by the
Department of Labor, applicants will be required to do so before
receiving funds for construction, consistent with Executive Order
14025, Worker Organizing and Empowerment (86 FR 22829), and Executive
Order 14052, Implementation of the Infrastructure Investment and Jobs
Act (86 FR 64335). Specifically, the project planning activities and
project delivery actions must support: strong labor
[[Page 56805]]
standards and the free and fair choice to join a union, including
project labor agreements, local hire agreements, distribution of
workplace rights notices, and use of an appropriately trained
workforce; support of high-quality workforce development programs,
including registered apprenticeship, labor-management training
programs, and supportive services to help train, place, and retain
people in good-paying jobs and apprenticeships; and comprehensive
planning and policies to promote hiring and inclusion for all groups of
workers, including through the use of local and economic hiring
preferences, linkage agreements with workforce programs that serve
underrepresented groups, and proactive plans to prevent harassment.
(See Article 11 of FRA's Attachment 2: Project-Specific Terms and
Conditions for a list of project activities that address efforts to
support good-paying jobs and strong labor standards, available at:
https://railroads.dot.gov/sites/fra.dot.gov/files/2024-02/Attachment_2_Project_Specific_Terms_12.11.23_PDFa.pdf.)
a. Federal Contract Compliance
As a condition of grant award and consistent with Executive Order
11246, Equal Employment Opportunity (30 FR 12319, and as amended), all
federally assisted contractors are required to make good faith efforts
to meet the goals of 6.9 percent of construction project hours being
performed by women, in addition to goals that vary based on geography
for construction work hours and for work being performed by people of
color. Under section 503 of the Rehabilitation Act of 1973 and its
implementing regulations, affirmative action obligations for certain
contractors include an aspirational employment goal of 7 percent
workers with disabilities.
The U.S. Department of Labor's Office of Federal Contract
Compliance Programs (OFCCP) is charged with enforcing Executive Order
11246, section 503 of the Rehabilitation Act, and the Vietnam Era
Veterans' Readjustment Assistance Act of 1974. OFCCP has a Mega
Construction Project Program through which it engages with project
sponsors as early as the design phase to help promote compliance with
non-discrimination and affirmative action obligations. OFCCP will
identify projects that receive an award under this notice and are
required to participate in OFCCP's Mega Construction Project Program
from a wide range of Federally assisted projects over which OFCCP has
jurisdiction and that have a project cost above $35 million. DOT will
require project sponsors with costs above $35 million that receive
awards under this funding opportunity to partner with OFCCP (if
selected by OFCCP) as a condition of their DOT award.
b. Critical Infrastructure Security, Cybersecurity and Resilience
It is the policy of the United States to strengthen the security
and resilience of its critical infrastructure against all hazards,
including physical and cyber risks, consistent with Presidential Policy
Directive 21--Critical Infrastructure Security and Resilience, and
National Security Memorandum (NSM-5) on Improving Cybersecurity for
Critical Infrastructure Control Systems. Each applicant selected for
federal funding must demonstrate, prior to signing of the grant
agreement, efforts to consider and address physical and cyber security
risks relevant to the transportation mode and type and scale of the
project. Projects that have not appropriately considered and addressed
physical and cyber security and resilience in their planning, design,
and project oversight, as determined by DOT and the Department of
Homeland Security, will be required to do so before receiving funds.
c. Domestic Preference Requirements
As expressed in Executive Order 14005, Ensuring the Future Is Made
in All of America by All of America's Workers (86 FR 7475), the
executive branch should maximize, consistent with law, the use of
goods, products, and materials produced in, and services offered in,
the United States. Funds made available under this notice are subject
to the domestic preference requirement in 49 U.S.C. 22905(a) (FRA Buy
America) and the Build America, Buy America Act, Public Law 117-58,
70901-52. DOT expects all applicants to comply with the applicable
domestic preference requirements. However, Major Projects applicants
should include a domestic sourcing plan that provides details on the
extent to which the materials covered by the plan are to be imported
and the extent to which such materials can be sourced domestically.
Applicants should also provide an explanation in the plan of the number
of domestic jobs--temporary and permanent--that will be generated by
the project and outline a plan to transition any foreign labor
responsibilities to domestic jobs. Major Projects applicants may also
request a waiver from certain Buy America requirements along with the
domestic sourcing plan.
d. Civil Rights and Title VI
As a condition of a grant award, grant recipients should
demonstrate that the recipient has a plan for compliance with civil
rights obligations and nondiscrimination laws, including Title VI of
the Civil Rights Act of 1964 and implementing regulations (49 CFR part
21), the Americans with Disabilities Act of 1990 (ADA), section 504 of
the Rehabilitation Act, and all other civil rights requirements and
accompanying regulations. This may include a current Title VI plan,
completed Community Participation Plan, and a plan to address any
legacy infrastructure or facilities that are not compliant with ADA
standards. DOT's and FRA's Offices of Civil Rights may work with
awarded grant recipients to ensure full compliance with federal civil
rights requirements.
3. Reporting
a. Progress Reporting on Grant Activity
Each applicant selected for a grant will be required to comply with
all standard FRA reporting requirements, including quarterly progress
reports, quarterly federal financial reports, and interim and final
performance reports, as well as all applicable auditing, monitoring,
and close out requirements. Reports may be submitted electronically.
Pursuant to 2 CFR 170.210, non-federal entities applying under this
NOFO must have the necessary processes and systems in place to comply
with the reporting requirements should they receive federal funding.
b. Additional Reporting
Applicants selected for funding are required to comply with all
reporting requirements in the standard terms and conditions for FRA
grant awards, including 2 CFR 180.335 and 2 CFR 180.350. If the total
value of a selected applicant's active grants, cooperative agreements,
and procurement contracts from all federal awarding agencies exceeds
$10,000,000 for any period of time during the period of performance of
this federal award, the applicant during that period of time must
maintain the information reported to SAM and ensure it is made
available in the designated integrity and performance system (currently
the Federal Awardee Performance and Integrity Information System
(FAPIIS)) about civil, criminal, or administrative proceedings
described in paragraph 2 of this award term and condition. This is a
statutory requirement under section 872 of Public Law 110-417, as
amended (41 U.S.C. 2313). As required by section
[[Page 56806]]
3010 of Public Law 111-212, all information posted in the designated
integrity and performance system on or after April 15, 2011, except
past performance reviews required for federal procurement contracts,
will be publicly available.
c. Performance and Program Evaluation
Recipients and subrecipients are also encouraged to incorporate
program evaluation, including associated data collection activities
from the outset of their program design and implementation, to
meaningfully document and measure their progress towards meeting an
agency priority goal(s). Title I of the Foundations for Evidence-Based
Policymaking Act of 2018 (Evidence Act), Public Law 115-435 (2019)
urges Federal awarding agencies and Federal assistance recipients and
subrecipients to use program evaluation as a critical tool to learn,
improve equitable delivery, and elevate program service and delivery
across the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency'' (5 U.S.C. 311). Credible program evaluation activities are
implemented with relevance and utility, rigor, independence and
objectivity, transparency, and ethics (OMB Circular A-11, Part 6
Section 290).
For grant recipients receiving an award, evaluation costs are
allowable costs (either as direct or indirect), unless prohibited by
statute or regulation, and such costs may include the personnel and
equipment needed for data infrastructure and expertise in data
analysis, performance, and evaluation (2 CFR part 200).
d. Performance Reporting
Each applicant selected for funding must collect information and
report on the project's performance using measures mutually agreed upon
by FRA and the grantee to assess progress in achieving strategic goals
and objectives. Examples of some rail performance measures for RCE
funding are listed in the table below. The applicable measure(s) will
depend upon the type of project.
Performance Measure Examples
--------------------------------------------------------------------------------------------------------------------------------------------------------
Primary Secondary
Rail measures Unit measure Temporal administration goal administration goal Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Reduced Grade Crossing Incidents... Count................. Annual................ Safety............... Equity and Barriers The number of grade
to Opportunity. crossing incidents
at the grade
crossings addressed
by the project.
Comparison of actual
versus baseline and
expected post-
project number of
incidents.
Reduced blocked crossing times..... Count................. Annual................ Economic Strength.... Safety............... Average amount of
time trains blocks
the grade crossings
addressed by the
project. Comparison
of actual
performance versus
baseline and
expected post-
project performance.
Improved emergency vehicle response Time/Trip............. Annual................ Safety............... Equity and Barriers Measures how
times due to reduced blocked to Opportunity. improvements impact
crossings. emergency service
vehicle response
operations.
Comparison of actual
performance versus
baseline and
expected post-
performance.
Increased percentage of freight Percentage............ Annual................ Economic Strength.... Climate Change....... Increased amount of
transported by rail from freight transported
commercial facility. compared to the
baseline pre-
project.
Average Daily Minutes of Delay..... Average daily minutes Minutes/Day........... Economic Strength.... Equity and Barriers Traffic analysis can
of delay experience to Opportunity. be performed to
by vehicles. determine the
average daily
minutes of delay
experienced by
vehicles compared to
baseline and
expected post-
project performance.
--------------------------------------------------------------------------------------------------------------------------------------------------------
e. Program Evaluation
As a condition of grant award, grantees may be required to
participate in an evaluation undertaken by DOT, or another agency or
partner. The evaluation may take different forms, such as an
implementation assessment across grant recipients, an impact or
outcomes analysis of all or selected sites within or across grantees,
or a benefit/cost analysis or assessment of return on investment. DOT
may require applicants to collect data elements to aid the evaluation.
As a part of the evaluation, and as a condition of award, grantees must
agree to: (1) make records available to the evaluation contractor; (2)
provide access to program records and any other relevant documents to
calculate costs and benefits; (3) in the case of an impact analysis,
facilitate access to relevant information as requested; and (4) follow
evaluation procedures as specified by the evaluation contractor or DOT
staff. For grant recipients, evaluation expenses are allowable costs
(either as direct or indirect), unless prohibited by statute or
regulation, and such expenses may include the personnel and equipment
needed for data infrastructure and expertise in data analysis,
performance, and evaluation (2 CFR part 200).
f. Project Signage and Public Acknowledgements
As a condition of grant award, for construction and non-
construction projects, recipients may be required to post project
signage and to include public acknowledgments in published and other
collateral materials (e.g., press releases, marketing materials,
website, etc.) satisfactory in form and substance to DOT, that
identifies the nature of the project and indicates that ``the project
is funded by the Bipartisan Infrastructure Law.'' In addition,
recipients employing project signage are required to use the official
Investing in America emblem in accordance with the official Investing
in America Emblem Style Guide. Costs associated with signage and public
acknowledgments must be reasonable and limited. Signs or public
acknowledgments should not be produced, displayed, or published if
doing so results in unreasonable cost, expense, or recipient burden.
The recipient is encouraged to use recycled or recovered materials when
procuring signs.
[[Page 56807]]
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
FRA NOFO Support program staff via email at dot.gov">FRA-NOFO-Support@dot.gov.
If additional assistance is needed, you may contact Ms. Jenny Zeng,
Transportation Industry Analyst in FRA's Office of Rail Program
Development, by email: dot.gov">Jenny.Zeng@dot.gov or telephone: 857-330-2481.
H. Other Information
All information submitted as part of or in support of any
application must 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 an application includes
information the applicant considers to be a trade secret or
confidential commercial or financial information, the applicant should
do the following: (1) note on the front cover that the submission
``Contains Confidential Business Information (CBI)''; (2) mark each
affected page ``CBI''; and (3) highlight or otherwise denote the CBI
portions.
DOT regulations implementing the Freedom of Information Act (FOIA)
are found at 49 CFR part 7 subpart C--Availability of Reasonably
Described Records under the Freedom of Information Act, which sets
forth rules for FRA to make requested materials, information, and
records publicly available under FOIA. Unless prohibited by law and to
the extent permitted under the FOIA, contents of applications and
proposals submitted by successful applicants may be released in
response to FOIA requests. DOT may share application information within
DOT or with other Federal agencies if DOT determines that sharing is
relevant to the respective program's objectives.
Issued in Washington, DC.
Jennifer Mitchell,
Deputy Administrator.
[FR Doc. 2024-15061 Filed 7-9-24; 8:45 am]
BILLING CODE 4910-06-P