
[Federal Register Volume 81, Number 65 (Tuesday, April 5, 2016)]
[Notices]
[Pages 19705-19709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-07780]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


FY 2016 Railroad Safety Technology Grant Funds

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

ACTION: Notice of Funding Opportunity (NOFO).

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SUMMARY: This notice details the application requirements and 
procedures for obtaining funding for eligible Railroad Safety 
Technology Grant projects. The opportunities described in this notice 
are available under Catalog of Federal Domestic Assistance number 
20.321, ``Railroad Safety Technology.''

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. DST May 20, 2016. Applications for funding 
received after 5:00 p.m. DST on May 20, 2016 will not be considered. 
See Section 4 of this notice for additional information regarding the 
application process.

ADDRESSES: Applications must be submitted via Grants.gov. For any 
required or supporting application materials that an applicant is 
unable to submit via Grants.gov (such as oversized engineering 
drawings), an applicant may submit an original and two (2) copies to 
Mr. Marvin Winston, Office of Program Delivery, Federal Railroad 
Administration, 1200 New Jersey Avenue SE., Room W36-440, Washington, 
DC 20590; Email: marvin.winston@dot.gov. However, due to delays caused 
by enhanced screening of mail delivered via the U.S. Postal Service, 
applicants are advised to use other means of conveyance (such as 
courier service) to assure timely receipt of materials.

FOR FURTHER INFORMATION CONTACT: If you have a project related 
question, you may contact Dr. Mark Hartong, Scientific and Technical 
Advisor (Phone: (202) 493-1332; email: Mark.Hartong@dot.gov), or Mr. 
Devin Rouse, Program Manager (Phone: (202) 493-6185, email: 
devin.rouse@dot.gov). Grant application submission and processing 
questions should be addressed to Mr. Marvin Winston, Office of Program 
Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE., 
Room W36-440, Washington, DC 20590; Email: marvin.winston@dot.gov.

SUPPLEMENTARY INFORMATION: 
    Notice to applicants: FRA recommends applicants read this notice in 
its entirety prior to preparing application materials. There are 
several administrative prerequisites described herein that applicants 
must comply with in order to submit an application, as well as specific 
eligibility requirements that must be met. Additionally, applicants 
should note that the required Project Narrative component of the 
application package may not exceed 25 pages in length (including any 
appendices).

Table of Contents

1. Funding Opportunity Description
2. Award Information
3. Eligibility and Review Criteria
4. Application and Submission Information
5. Award Administration Information
6. Agency Contact

Section 1: Funding Opportunity Description

    The purpose of this notice is to solicit applications for grants 
for eligible railroad safety technology projects. Congress appropriated 
the funding available under this NOFO, $25 million, in the Consolidated 
Appropriations Act, 2016, Division L, Title I (Pub. L. 114-113 
(December 18, 2015)), to carry out railroad safety technology grants as 
set forth in 49 U.S.C. 20158. To maximize the benefits of the funding 
available, FRA is limiting the eligible projects to those that 
implement a Positive Train Control (PTC) system or, as described in 
Section 3, will otherwise benefit overall PTC system implementation on 
freight, intercity passenger, and commuter railroads.

Section 2: Award Information

    FRA anticipates making multiple awards from the funding made 
available in this notice and is not predetermining any minimum or 
maximum dollar amounts for awards. However, given the limited amount of 
funding currently available, applicants are encouraged to

[[Page 19706]]

limit their Federal funding requests to a maximum of $3,000,000 per 
application. While this $3,000,000 application limit is a 
recommendation and not a firm requirement, applicants exceeding this 
$3,000,000 threshold must explain why any requested funding over 
$3,000,000 is necessary to implement the proposed project. 
Collaborative applicants submitting a project that will benefit more 
than five (5) entities (e.g., one entity implementing back office 
systems for multiple (five or more) railroads) may request up to the 
authorized appropriation limit of $25,000,000. Additionally, FRA may 
choose to award a grant for less than the amount requested in the 
application. FRA will make awards for projects selected under this 
notice as grants with an 80% federal/20% non-federal cost share. The 
funding provided under these grants will be made available to grantees 
on a reimbursable basis.
    Applications will proceed through a three-part review process:
    1. Screening for completeness and eligibility;
    2. Evaluation of eligible applications by technical panels applying 
the evaluation criteria; and
    3. Project selection by the FRA Administrator applying additional 
selection criteria.
    Each application will first be screened for eligibility 
(requirements outlined in Section 3 of this notice) and completeness 
(containing all required documentation outlined in Section 4 of this 
notice).
    A technical panel consisting of subject-matter experts will 
evaluate eligible and complete applications using the evaluation 
criteria outlined in Section 3 of this notice. FRA will award funds to 
projects that are well-aligned with one or more of the evaluation and 
selection criteria. In addition, FRA will consider whether a project 
has a negative effect on any of the evaluation and selection criteria, 
and any such negative effect may reduce the likelihood that it will 
select the project for award.

Section 3: Eligibility and Review Criteria

    The following entities are eligible applicants for PTC 
implementation projects:
     Passenger and freight railroad carriers;
     Railroad suppliers; and
     State and local governments for projects that have a 
public benefit of improved safety and network efficiency.
    To be eligible for assistance, the above entities subject to 49 
U.S.C. 20157(a) must have submitted a revised Positive Train Control 
Implementation Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a). 
FRA considers the development and submission of a revised PTCIP under 
49 U.S.C. 20157(a) to meet the eligibility requirement related to 
submitting a plan required under 49 U.S.C. 20156(e)(2) containing an 
analysis of the impact, feasibility, costs and benefits of implementing 
PTC system technology. FRA believes that any submission connected to 
sec. 20156(e)(2), which has yet to be incorporated into a Federal 
regulation, would merely be duplicative of what a railroad analyzed 
when it developed and submitted a revised PTCIP. Thus, FRA considers 
the submission of a revised PTCIP to meet the eligibility requirements 
in 49 U.S.C. 20158(b)(3) for purposes of this NOFO. If an applicant is 
not required to comply with either sec. 20157(a) or sec. 20156(e)(2), 
the applicant must demonstrate that to FRA's satisfaction in its NOFO 
application.
    The FRA is soliciting applications for projects that will benefit 
overall PTC system implementation on freight, intercity passenger, and 
commuter railroads. Under 49 U.S.C. 20158(b)(2), the FRA shall give 
priority to projects that (A) focus on making technologies 
interoperable between railroad systems, such as train control 
technologies; (B) accelerate train control technology deployment on 
high-risk corridors, such as those that have high volumes of hazardous 
materials shipments or over which commuter or passenger trains operate; 
or (C) benefit both passenger and freight safety and efficiency. Given 
that the amount of funding available is not likely sufficient to cover 
the costs necessary to deploy PTC on any given railroad, FRA will 
further prioritize projects that not only fall within these areas but 
also involve:
    1. An entity or entities that have submitted a revised PTCIP and 
demonstrated progress in implementing PTC in accordance with its PTCIP 
and have shown good faith in attempting to timely complete PTC 
implementation;
    2. Collaboration between freight and passenger railroad carriers, 
railroad suppliers, and State and local governments, particularly 
related to interoperability and other industry-wide PTC technical and 
management issues;
    3. The development and deployment of technologies that will lower 
costs, accelerate implementation, increase interoperability between 
host and tenant operations, and improve reliability of PTC systems; and
    4. The development and deployment of technologies that will 
eliminate PTC communications interference, provide solutions to 
configuration management of multi-railroad PTC software and firmware 
deployments, eliminate PTC communications interference; provide 
configuration management of multi-railroad PTC software and firmware 
deployments; and provide host-tenant railroad PTC interoperability/
system certification.
    Examples of eligible projects include the following:
     Costs for implementation, installation, and testing of PTC 
systems;
     Costs for shared PTC infrastructure (e.g., back office 
systems, CAD systems); and
     Costs to advance PTC interoperability, such as pilot 
programs, standardization committees, development of standard 
processes, and spectrum acquisition, sharing, and desensitization.

Applicants should note that these aspects represent suggested areas of 
interest by the FRA, and any otherwise eligible applications meeting 
the criteria above will be evaluated and considered for award.
    By statute, 49 U.S.C. 20158 allows for up to an 80 percent Federal 
share of project costs. The required 20 percent non-Federal match may 
be comprised of public sector (state or local) or private sector 
funding. However, the FRA cannot consider any other Federal funds, nor 
any non-Federal funds already expended (or otherwise encumbered), 
towards the matching requirement. Additionally, FRA is limiting the 
method for calculating the non-Federal match to cash contributions 
only--``in-kind'' contributions will not be accepted. Matching funds 
provided in excess of the minimum requirement will be considered in 
evaluating the merit of an application.
    FRA intends to award funds to PTC projects that achieve the maximum 
public benefits possible. Analysis provided by applicants that 
quantifies the monetary value (whenever possible) of the anticipated 
public benefits of the proposed project will be particularly relevant 
to the FRA in evaluating applications. The systematic process of 
comparing expected benefits and costs helps decision-makers organize 
information about, and evaluate tradeoffs between, alternative 
transportation investments. FRA will consider benefits and costs using 
standard data and qualitative information provided by applicants and 
will evaluate applications in a manner consistent with Executive Order 
12893 (Principles for Federal Infrastructure Investments, 59 FR 4233), 
Office of Management and Budget (OMB)

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Circular A-94 (Guidelines and Discount Rates for Benefit-Cost Analysis 
of Federal Programs), and OMB Circular A-4 (Regulatory Analysis). 
Applications for PTC projects will be reviewed by DOT subject matter 
experts against the following three evaluation criteria:
     PTC Deployment Benefits;
     Technical Merit; and
     Project Development approach.

PTC Deployment Benefits

    The following factors will be considered in assessing a proposed 
project's achievement of PTC deployment benefits:
     The degree to which the successful implementation of the 
proposed project would advance the technical deployment of PTC, 
including improvements to reliability, safety, security, and 
maintainability;
     The degree to which the successful implementation of the 
proposed project would decrease PTC implementation and maintenance 
costs; and
     The degree to which the project maximizes the return on 
investment (ROI) towards industry-wide implementation efforts.

Technical Merit

    The following factors will be considered in assessing a proposed 
project's technical merit:
     The degree to which the proposed project exhibits a sound 
scientific and engineering basis;
     The degree to which the proposed project could be 
practically applied in and compatible with the railroad's operating 
environment and infrastructure; and
     The perceived likelihood of technical and practical 
success.

Project Development Approach

    The following factors will be considered in assessing the proposed 
project's planning and development to date:
     The technical qualifications and demonstrated experience 
of key personnel proposed to lead and perform the technical efforts, 
and qualifications of primary and supporting organizations to fully and 
successfully execute the proposal plan within the proposed timeframe 
and budget;
     The degree to which proposed effort is supported by 
multiple entities (letters of support are encouraged);
     The affordability and degree to which the proposed effort 
appears to be a good value for the amount of funding requested. Good 
value is defined as believing or concluding that the goods/services 
received were worth the price paid. Examples of the types of factors 
that may be considered include, but are not limited to, suitability, 
quality, skills, price, and life-cycle cost. The mix of these and other 
factors and the relevant importance of each will vary on a case by case 
basis;
     The reasonableness and realism of the proposed costs;
     The extent of proposed cost sharing or cost participation 
under the proposed effort (exclusive of the applicant's prior 
investment); and
     Preference will be given to projects that can demonstrate 
an ability to substantially complete work, or otherwise provide 
benefits to industry, prior to December 31, 2018.
    All evaluation criteria, when combined, are significantly more 
important than cost or price alone. While cost or price will be a 
factor that is considered, technical merit is appreciably more 
important and, as such, greater consideration will be given to 
technical excellence. An offer must be found acceptable under all 
applicable evaluation factors to be considered eligible for award.

Selection Criteria

    In addition to the evaluation criteria outlined above, the FRA 
Administrator will apply the following selection criteria to further 
ensure that the projects selected for funding advance FRA's current 
mission and key priorities:
    Alignment with the DOT Strategic Goals and Priorities
     Improving transportation safety;
     Maintaining transportation infrastructure in a state of 
good repair;
     Promoting economic competitiveness;
     Advancing environmentally sustainable transportation 
policies;
     Enhancing quality of life; and
     Building ladders of opportunity to expand the middle 
class.
    Proposed projects that demonstrate the ability to provide reliable, 
safe and affordable transportation choices to connect economically 
disadvantaged populations, non-drivers, senior citizens, and persons 
with disabilities in disconnected communities with employment, training 
and education will receive particular consideration during project 
selection.

Project Delivery Performance

     The applicant's track record in successfully delivering 
previous FRA and DOT grants on time, on budget, and for the full 
intended scope;
     The applicant's means for achieving satisfactory 
continuing control over project assets in a timely manner, including 
public ownership of project assets or agreements with railroad 
operators and infrastructure owners at the time of application; and
     The extent to which the proposed project complements 
previous FRA or DOT awards.

Region/Location

     The extent to which the proposed project increases the 
economic productivity of land, capital, or labor at specific locations, 
particularly in economically distressed areas;
     Ensuring appropriate level of regional balance across the 
country;
     Ensuring consistency with national transportation and rail 
network objectives; and
     Ensuring integration with other rail services and 
transportation modes.

Innovation/Resource Development

     Pursuing new rail technologies that result in favorable 
public return on investment and ensure delivery of project benefits; 
and
     Promoting innovations that demonstrate the value of new 
approaches to, among other things, transportation funding and finance, 
contracting, project delivery, congestion management, safety 
management, asset management, or long-term operations and maintenance.

Federal Awardee Performance and Integrity Information System (FAPIIS) 
Review

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

[[Page 19708]]

CFR 200.205 (Federal Awarding Agency Review of Risk Posed by 
Applicants).

Section 4: Application and Submission Information

    Complete applications must be submitted to Grants.gov no later than 
5:00 p.m. DST, May 20, 2016. Applicants are strongly encouraged to 
apply early to ensure that all materials are received before this 
deadline.
    To apply for funding through Grants.gov, applicants must be 
properly registered. Complete instructions on how to register and 
submit an application can be found at Grants.gov gov. Registering with 
Grants.gov is a onetime 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. (Please note 
that if a Dun &Bradstreet (DUNS) number must be obtained, this may take 
a significant amount of time to complete.)
    Required documents for the application package are outlined in the 
following paragraphs. Applicants must complete and submit all 
components of the application package. FRA welcomes the submission of 
other relevant supporting documentation that may have been developed by 
the applicant (planning, engineering and design documentation, and 
letters of support). In particular, applications accompanied by 
completed feasibility studies and cost estimates may be more favorably 
considered during the evaluation process, as they demonstrate that an 
applicant has a greater understanding of the scope and cost of the 
project.
    Applicants should submit all application materials through 
Grants.gov. For any required or supporting application materials that 
an applicant is unable to submit via Grants.gov (such as oversized 
engineering drawings), an applicant may submit an original and two (2) 
copies to Mr. Marvin Winston, Office of Program Delivery, Federal 
Railroad Administration, 1200 New Jersey Avenue SE., Room W36-440, 
Washington, DC 20590; Email: marvin.winston@dot.gov. However, due to 
delays caused by enhanced screening of mail delivered via the U.S. 
Postal Service, applicants are advised to use other means of conveyance 
(such as courier service) to assure timely receipt of materials. 
Additionally, if documents can be obtained online, direction to access 
files on a referenced Web site may also be sufficient.
    The following points describe the minimum content which are 
required in the Project Narrative component of grant applications 
(additionally, FRA recommends that the Project Narrative generally 
adhere to the following outline). These requirements must be satisfied 
through a narrative statement submitted by the applicant, and may be 
supported by spreadsheet documents, tables, maps, drawings, and other 
materials, as appropriate. The Project Narrative may not exceed 25 
pages in length (including any appendices). Applications containing 
Project Narratives that exceed this 25 page limitation will not be 
reviewed or considered for award.
    Applicants should read this section carefully and must submit all 
required information.
    1. Include a title page that lists the following elements in either 
a table or formatted list: Project title, location (i.e., city, State, 
district), the applicant organization name, the name of any co-
applicants, and the amount of Federal funding requested and the 
proposed non-Federal match.
    2. Designate a point of contact for the applicant and provide his 
or her name and contact information, including phone number, mailing 
address and email address. The point of contact must be an employee of 
an eligible applicant.
    3. Indicate the amount of Federal funding requested, the proposed 
non-Federal match, and total project cost. Additionally, identify any 
other sources of Federal funds committed to the project, as well as any 
pending Federal requests. Make sure to also note if the requested 
Federal funding must be obligated or expended by a certain date due to 
dependencies or relationships with other Federal or non-Federal funding 
sources, related projects, or other factors. Finally, specify whether 
Federal funding has ever previously been sought for the project and not 
secured, and name the Federal program and fiscal year for funding 
request.
    4. Explain how the applicant meets the applicant eligibility 
criteria, as outlined in Section 3 of this notice.
    5. Provide a brief 4-6 sentence summary of the proposed project, 
capturing the transportation challenges the proposed project aims to 
address, as well as the intended outcomes and anticipated benefits that 
will result from the proposed project.
    6. Include a detailed project description that expands upon the 
brief summary required above. This detailed description should provide, 
at a minimum, additional background on the transportation challenges 
the project aims to address, the expected users and beneficiaries of 
the project, the specific components and elements of the project, and 
any other information the applicant deems necessary to justify the 
proposed project. The detailed description should also clearly explain 
how the proposed project meets the project eligibility criteria, as 
outlined in Section 3 of this notice.
    7. Include a thorough discussion of how the project meets all of 
the evaluation criteria for the respective project type, as outlined in 
Section 3 of this notice. Applicants should note that FRA reviews 
applications based upon the evaluation criteria. If an application does 
not sufficiently address the evaluation criteria, it is unlikely to be 
a competitive application. In responding to the criteria, applicants 
are reminded to clearly identify, quantify, and compare expected 
benefits and costs of proposed projects. The FRA understands that the 
level of detail and sophistication of analysis that should be expected 
for relatively small projects (i.e., those encouraged to be limited to 
under $3,000,000 in this notice) is less than for larger investments.
    8. Describe proposed project implementation and project management 
arrangements. Include descriptions of the expected arrangements for 
project contracting, contract oversight, change-order management, risk 
management, and conformance to Federal requirements for project 
progress reporting.

Additional Application Elements

    Applicants must:
    [cir] Submit a Statement of Work (SOW) that addresses the scope, 
schedule, and budget for the proposed project if it were to be selected 
for award. The SOW must contain sufficient detail so that both FRA and 
the applicant can understand the expected outcomes of the proposed work 
to be performed and monitor progress toward completing project tasks 
and deliverables during a prospective grant's period of performance. 
FRA has developed a standard SOW template that applicants must use to 
be considered for award. The SOW templates and other required forms are 
located at www.fra.dot.gov/Page/P0701;
    [cir] Describe anticipated environmental and historic preservation 
impacts associated with the proposed project, any environmental or 
historic preservation analyses that have been prepared, and progress 
toward

[[Page 19709]]

completing any environmental documentation or clearance required for 
the proposed project under National Environmental Policy Act (NEPA), 
the National Historic Preservation Act, section 4(f) of the U.S. DOT 
Act, the Clean Water Act, and other applicable Federal or State laws. 
Applicants are encouraged to contact FRA and obtain preliminary 
direction regarding the appropriate NEPA action and required 
environmental documentation. Generally, projects will be ineligible to 
receive funding if they have begun construction activities prior to the 
applicant receiving written approval from FRA that all environmental 
and historical analyses have been completed. Additional information 
regarding FRA's environmental processes and requirements are located at 
https://www.fra.dot.gov/eLib/Details/L05286;
    [cir] Submit the FRA's Additional Assurances and Certifications;
    [cir] Submit an SF 424A--Budget Information for Non-Construction or 
SF 424C--Budget Information for Construction;
    [cir] Submit an SF 424B--Assurances for Non-Construction or SF 
424D--Assurances for Construction; and
    [cir] Submit an SF LLL: Disclosure of Lobbying Activities.

Section 5: Award Administration

    Award Notices for applications selected for funding will be 
announced after the application review period. FRA will contact 
successful applicants after announcement with information and 
instructions about the award process. Notification of a selected 
application is not an authorization to begin proposed project 
activities. The period of performance for grants awarded under this 
notice is dependent upon the project, and will be determined on a 
grant-by-grant basis. Extensions to the period of performance will be 
considered only through written requests to the FRA with specific and 
compelling justifications for why an extension is required. Any 
obligated funding that has not been spent by the grantee and reimbursed 
by the FRA upon completion of the grant will be de-obligated.
    The grantee and any sub-grantee must comply with all applicable 
laws and regulations. A non-exclusive list of administrative and 
national policy requirements that grantees must follow includes: 2 CFR 
part 200, procurement standards, compliance with Federal civil rights 
laws and regulations, disadvantaged business enterprises (DBE), 
debarment and suspension, drug-free workplace, FRA's and OMB's 
Assurances and Certifications, Americans with Disabilities Act (ADA), 
labor standards, safety oversight, environmental protection, NEPA, 
environmental justice, and Buy America or Buy American provisions (as 
applicable).

Reporting Requirements

    The applicant 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. 
Reports may be submitted electronically. The applicant must comply with 
all relevant requirements of 2 CFR 180.335 and 180.350.
    The grantee must comply with all post-award reporting, auditing, 
monitoring, and close-out requirements.

Section 6: Agency Contact

    If you have a project related question, you may call Dr. Mark 
Hartong, Scientific and Technical Advisor (Phone: (202) 493-1332; 
email: Mark.Hartong@dot.gov), or Mr. Devin Rouse, Program Manager 
(Phone: (202) 493-6185, email: devin.rouse@dot.gov). Grant application 
submission and processing questions should be addressed to Mr. Marvin 
Winston, Office of Program Delivery, Federal Railroad Administration, 
1200 New Jersey Avenue SE., Room W36-440, Washington, DC 20590; Email: 
marvin.winston@dot.gov.
    Information Collection: OMB has approved the information collection 
associated with the Rail Safety Technology Grants Program. The approval 
number for this collection of information is OMB No. 2130-0587.

    Issued in Washington, DC on March 31, 2016.
Mary Ann McNamara,
Chief, Grant Management Division.
[FR Doc. 2016-07780 Filed 4-4-16; 8:45 am]
 BILLING CODE 4910-06-P


