[Federal Register Volume 83, Number 97 (Friday, May 18, 2018)]
[Notices]
[Pages 23328-23336]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-10652]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for Positive Train Control Systems 
Grants Under the Consolidated Rail Infrastructure and Safety 
Improvements Program

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

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

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SUMMARY: This NOFO details the application procedures and requirements 
to obtain grant funding for eligible positive train control (PTC) 
system projects of the Consolidated Rail Infrastructure and Safety 
Improvements (CRISI) Program. The funding in this NOFO is provided by 
the Consolidated Appropriations Act, 2018, Division L, Title I, Public 
Law 115-141 (2018 Appropriation). The opportunity described in this 
notice is made available under Catalog of Federal Domestic Assistance 
(CFDA) number 20.325, ``Consolidated Rail Infrastructure and Safety 
Improvements.''

DATES: Applications under this solicitation are due no later than 5:00 
p.m. EDT, July 2, 2018. Applications for funding or supplemental 
material in support of such an application received after 5:00 p.m. EDT 
on July 2, 2018 will not be considered for funding. Incomplete 
applications will not be considered for funding. See Section D of this 
notice for additional information on the application process.

ADDRESSES: Applications must be submitted via www.Grants.gov. Only 
applicants who comply with all submission requirements described in 
this notice and submit applications through www.Grants.gov will be 
eligible for award. For any supporting application materials that an 
applicant is unable to submit via www.Grants.gov (such as oversized 
engineering drawings), an applicant may submit an original and two (2) 
copies to Ms. Amy Houser, Office of Program Delivery, Federal Railroad 
Administration, 1200 New Jersey Avenue SE, Room W36-412, Washington, DC 
20590. However, due to delays caused by enhanced screening of mail 
delivered via the U.S. Postal Service, applicants are advised to use 
other means of conveyance (such as courier service) to assure timely 
receipt of materials before the application deadline.

FOR FURTHER INFORMATION CONTACT: For further information in this 
notice, please contact Ms. Amy Houser, Office of Program Delivery, 
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
412, Washington, DC 20590; email: [email protected]; phone: 202-493-
0303.

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

Table of Contents

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

[[Page 23329]]

A. Program Description

1. Overview

    The purpose of this notice is to solicit applications for 
competitive PTC system project funding authorized under Section 11301 
of the Fixing America's Surface Transportation (FAST) Act, Public Law 
114-94 (2015); 49 U.S.C. 24407 and funded in the 2018 Appropriation. 
Together with the FAST Act, the 2018 Appropriation provides funding 
made available under this NOFO to fund the deployment of PTC system 
technology for Intercity Passenger Rail Transportation, freight rail 
transportation and/or Commuter Rail Passenger Transportation. Projects 
selected under this NOFO for Commuter Rail Passenger Transportation may 
be transferred to the Federal Transit Administration for grant 
administration. Projects selected for Intercity Passenger Rail 
Transportation and freight rail transportation will be administered by 
the FRA.
    A railroad must fully implement a PTC system on all required route 
miles by December 31, 2018, unless a railroad qualifies for and obtains 
FRA approval of an alternative schedule (i.e., a deadline no later than 
December 31, 2020) under the Positive Train Control Enforcement and 
Implementation Act of 2015 (PTCEI Act). The PTCEI Act authorizes, and 
requires, FRA to approve a railroad's alternative schedule only if the 
railroad demonstrates in a written notification that it has met all 
statutory criteria for an alternative schedule, including that it has: 
(1) Installed, by December 31, 2018, all PTC system hardware consistent 
with the governing PTC Implementation Plan (PTCIP); (2) acquired, by 
December 31, 2018, all spectrum necessary to implement its PTC system 
consistent with the governing PTCIP, and (3) made sufficient progress 
on employee training, revenue service demonstration, and other criteria 
as specified under 49 U.S.C. 20157(a)(3)(B)(i)-(vii).

2. Definitions of Key Terms

    a. ``Benefit-Cost Analysis'' (``BCA'' or ``Cost-Benefit Analysis'') 
is a systematic, data driven, and transparent analysis comparing 
monetized project benefits and costs, using a no-build baseline and 
properly discounted present values, including concise documentation of 
the assumptions and methodology used to produce the analysis; a 
description of the baseline, data sources used to project outcomes, and 
values of key input parameters; basis of modeling including 
spreadsheets, technical memos, etc.; and presentation of the 
calculations in sufficient detail and transparency to allow the 
analysis to be reproduced and sensitivity of results evaluated by FRA. 
Please refer to the Benefit-Cost Analysis Guidance for Discretionary 
Grant Programs prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer to the BCA FAQs 
on FRA's website for some rail specific examples of how to apply the 
BCA Guidance for Discretionary Grant Programs to CRISI applications.
    b. ``Commuter Rail Passenger Transportation'' means short-haul rail 
passenger transportation in metropolitan and suburban areas usually 
having reduced fare, multiple ride, and commuter tickets and morning 
and evening peak period operations. See 49 U.S.C. 24102(3).
    c. ``Construction'' means the production of fixed works and 
structures or substantial alterations to such structures or land and 
associated costs.
    d. ``Final Design'' (``FD'') means design activities following 
Preliminary Engineering, and at a minimum, includes the preparation of 
final Construction plans, detailed specifications, and estimates 
sufficiently detailed to inform project stakeholders (designers, 
reviewers, contractors, suppliers, etc.) of the actions required to 
advance the project from design through completion of Construction.
    e. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except Commuter Rail Passenger Transportation. See 49 
U.S.C. 24401(3). In this notice, ``Intercity Passenger Rail Service'' 
and ``Intercity Passenger Rail Transportation'' are equivalent terms to 
``Intercity Rail Passenger Transportation.''
    f. ``National Environmental Policy Act'' (``NEPA'') is a Federal 
law that requires Federal agencies to assess the environmental impacts 
of a proposed action in consultation with appropriate federal, state, 
and local authorities, and with the public. The NEPA class of action 
depends on the nature of the proposed action, its complexity, and the 
potential impacts. For purposes of this NOFO, NEPA also includes all 
related Federal laws and regulations including Section 4(f) of the 
Department of Transportation Act, Section 7 of the Endangered Species 
Act, and Section 106 of the National Historic Preservation Act. (See 
FRA's Environmental Procedures at: https://www.fra.dot.gov/eLib/details/L02561.)
    g. ``Positive Train Control system'' (``PTC system'') is defined by 
49 CFR 270.5 to mean a system designed to prevent train-to-train 
collisions, overspeed derailments, incursions into established work 
zone limits, and the movement of a train through a switch left in the 
wrong position, as described in 49 CFR part 236, subpart I.
    h. ``Preliminary Engineering'' (``PE'') means engineering design 
to: (1) Define a project, including identification of all environmental 
impacts, design of all critical project elements at a level sufficient 
to assure reliable cost estimates and schedules, (2) complete project 
management and financial plans, and (3) identify procurement 
requirements and strategies. The PE development process starts with 
specific project design alternatives that allow for the assessment of a 
range of rail improvements, specific alignments, and project designs--
to be used concurrent with NEPA and related analyses. PE occurs prior 
to FD and Construction.
    i. ``Rail Carrier'' means a person providing common carrier 
railroad transportation for compensation, but does not include street, 
suburban, or interurban electric railways not operated as part of the 
general system of rail transportation. See 49 U.S.C. 10102(5).
    j. ``Rural Project'' means a project in which all or the majority 
of the project (determined by the geographic location or locations 
where the majority of the project funds will be spent) is located in a 
Rural Area.
    k. ``Rural Area'' is defined in 49 U.S.C. 24407(g)(2) to mean any 
area not in an urbanized area as defined by the Census Bureau. The 
Census Bureau defines ``Urbanized Area'' (``UA'') as an area with a 
population of 50,000 or more people.\1\ Updated lists of UAs as defined 
by the Census Bureau are available on the Census Bureau website at 
http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/.
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    \1\ See 74 FR 53030, 53043 (August 24, 2011) available at 
https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
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B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is 
$250,000,000 for eligible PTC system projects under 49 U.S.C. 
24407(c)(1). Under 49 U.S.C. 24407(g), at least $62,500,000 of the PTC 
funds are available for Rural Projects. The balance of the CRISI 
Program funding provided under the 2018 Appropriation for eligible 
intercity passenger and freight railroad projects will be made 
available under a separate NOFO.

[[Page 23330]]

2. Award Size

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

3. Award Type

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

4. Concurrent Applications

    As DOT and FRA are concurrently soliciting applications for 
transportation infrastructure projects for several financial assistance 
programs, applicants may submit applications requesting funding for a 
particular project to one or more of these programs. In the application 
for PTC system project funding, applicants must indicate the other 
programs to which they submitted or plan to submit an application for 
funding the entire project or certain project components, as well as 
highlight new or revised information in the PTC system project 
application that differs from the application(s) for other federal 
financial assistance programs.

C. Eligibility Information

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

1. Eligible Applicants

    The following entities are eligible applicants:

    a. A State;
    b. A group of States;
    c. An Interstate Compact;
    d. A public agency or publicly chartered authority established 
by one or more States; \2\
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    \2\ See Section D(2)(a)(iv) for supporting documentation 
required to demonstrate eligibility under this eligibility category.
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    e. A political subdivision of a State;
    f. Amtrak or another Rail Carrier that provides Intercity Rail 
Passenger Transportation (as defined in 49 U.S.C. 24102);
    g. A Class II railroad or Class III railroad (as those terms are 
defined in 49 U.S.C. 20102);
    h. Any Rail Carrier or rail equipment manufacturer in 
partnership with at least one of the entities described in paragraph 
(a) through (e);
    i. The Transportation Research Board together with any entity 
with which it contracts in the development of rail-related research, 
including cooperative research programs;
    j. A University transportation center engaged in rail-related 
research; or
    k. A non-profit labor organization representing a class or craft 
of employees of Rail Carriers or Rail Carrier contractors.

    Applications must identify an eligible applicant as the lead 
applicant. The lead applicant serves as the primary point of contact 
for the application, and if selected, as the recipient of the PTC 
system grant award. Eligible applicants may reference entities that are 
not eligible applicants in an application as a project partner.

2. Cost Sharing or Matching

    The Federal share of total costs for projects funded under this 
notice will not exceed 80 percent, though FRA will provide selection 
preference to applications where the proposed Federal share of total 
project costs is 50 percent or less. The estimated total cost of a 
project must be based on the best available information, including 
engineering studies, studies of economic feasibility, environmental 
analyses, and information on the expected use of equipment and/or 
facilities. Additionally, in preparing estimates of total project 
costs, applicants should refer to FRA's cost estimate guidance 
documentation, ``Capital Cost Estimating: Guidance for Project 
Sponsors,'' which is available at: https://www.fra.dot.gov/Page/P0926.
    The minimum 20 percent non-Federal match may be comprised of public 
sector (e.g., state or local) and/or private sector funding. FRA will 
not consider any Federal financial assistance, nor any non-Federal 
funds already expended (or otherwise encumbered) that do not comply 
with 2 CFR 200.458 toward the matching requirement. FRA is limiting the 
first 20 percent of the non-Federal match to cash contributions only. 
FRA will not accept ``in-kind'' contributions for the first 20 percent 
in matching funds. Eligible in-kind contributions may be accepted for 
any non-Federal matching beyond the first 20 percent. In-kind 
contributions, including the donation of services, materials, and 
equipment, may be credited as a project cost, in a uniform manner 
consistent with 2 CFR 200.306.
    Amtrak or another Rail Carrier may use ticket and other non-Federal 
revenues generated from its operations and other sources as matching 
funds. Applicants must identify the source(s) of its matching and other 
funds, and must clearly and distinctly reflect these funds as part of 
the total project cost.
    Before applying, applicants should carefully review the principles 
for cost sharing or matching in 2 CFR 200.306. See Section D(2)(a)(iii) 
for required application information on non-Federal match and Section E 
for further discussion of FRA's consideration of matching funds in the 
review and selection process. FRA will approve pre-award costs for 
reimbursement and matching contributions consistent with 2 CFR 200.458, 
as applicable. See Section D(6).

3. Other

a. Project Eligibility
    Projects eligible for funding under this NOFO must be used to 
deploy PTC systems technology for Intercity Passenger Rail 
Transportation, freight rail transportation, and/or Commuter Rail 
Passenger Transportation. Eligible projects include: Back office 
systems; wayside, communications and onboard hardware equipment; 
software; equipment installation; spectrum; any component, testing and 
training for the

[[Page 23331]]

implementation of PTC systems; and interoperability. Maintenance and 
operating expenses incurred after a PTC system is placed in revenue 
service are ineligible. Applicants considering more comprehensive 
projects that include both PTC elements and other passenger/freight 
improvements are directed to request only the PTC element under this 
NOFO or submit applications for the more comprehensive project under 
the subsequent NOFO, which FRA will soon be issuing for the remainder 
of the 2018 CRISI funding.
    Applicants are not limited in the number of projects for which they 
seek funding.
    Applicants must complete all necessary Planning, PE and NEPA 
requirements for projects funded under this NOFO. Projects for FD must: 
Resolve remaining uncertainties or risks associated with changes to 
design scope; address procurement processes; and update and refine 
plans for financing the project or program to reflect accurately the 
expected year-of-expenditure costs and cash flow projections. 
Applicants selected for funding under this NOFO must demonstrate the 
following to FRA's satisfaction:
    i. PE is completed for the proposed project, resulting in project 
designs that are reasonably expected to conform to all regulatory, 
safety, security, and other design requirements, including those under 
the Americans with Disabilities Act (ADA);
    ii. NEPA is completed for the proposed project;
    iii. Signed agreements with key project partners, including 
infrastructure-owning entities; and
    iv. A project management plan is in-place for managing the 
implementation of the proposed project, including the management and 
mitigation of project risks.
b. Project Component Operational Independence
    If an applicant requests funding for a project that is a component 
or set of components of a larger project, the project component(s) must 
be attainable with the award amount, together with other funds as 
necessary, obtain operational independence, and must comply with all 
eligibility requirements described in Section C.
    In addition, the component(s) must be capable of independent 
analysis and decision making, as determined by FRA, under NEPA (i.e., 
have independent utility, connect logical termini, if applicable, and 
not restrict the consideration of alternatives for other reasonably 
foreseeable rail projects.)
c. Rural Project
    FRA will consider a project to be in a Rural Area if all or the 
majority of the project (determined by geographic location(s) where the 
majority of the project funds will be spent) is located in a Rural 
Area. However, in the event FRA elects to fund a component of the 
project, then FRA will reexamine whether the project is in a Rural 
Area.

D. Application and Submission Information

    Required documents for the application are outlined in the 
following paragraphs. Applicants must complete and submit all 
components of the application. See Section D(2) for the application 
checklist. FRA welcomes the submission of additional relevant 
supporting documentation, such as planning, engineering and design 
documentation, and letters of support from partnering organizations 
that will not count against the Project Narrative 25-page limit.

1. Address To Request Application Package

    Applicants must submit all application materials for PTC system 
projects in their entirety through www.Grants.gov no later than 5:00 
p.m. EDT, on July 2, 2018. FRA reserves the right to modify this 
deadline. General information for submitting applications through 
Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270.
    For any supporting application materials that an applicant cannot 
submit via Grants.gov, such as oversized engineering drawings, an 
applicant may submit an original and two (2) copies to Ms. Amy Houser, 
Office of Program Delivery, Federal Railroad Administration, 1200 New 
Jersey Avenue SE, Room W36-412, Washington, DC 20590. However, due to 
delays caused by enhanced screening of mail delivered via the U.S. 
Postal Service, FRA advises applicants to use other means of conveyance 
(such as courier service) to assure timely receipt of materials before 
the application deadline. Additionally, if documents can be obtained 
online, providing instructions to FRA on how to access files on a 
referenced website may also be sufficient.

2. Content and Form of Application Submission

    FRA strongly advises applicants to read this section carefully. 
Applicants must submit all required information and components of the 
application package to be considered for funding. Additionally, 
applicants selected to receive funding must generally satisfy the grant 
readiness checklist requirements on https://www.fra.dot.gov/Page/P0268 
as a precondition to FRA issuing a grant award, as well as the 
requirements in 49 U.S.C. 24405 explained in part at https://www.fra.dot.gov/page/P0185. If a project is selected for PTC systems in 
Commuter Rail Passenger Transportation under 49 U.S.C. 24407(c)(1) and 
such funds are transferred in the Secretary's discretion, applicants 
will be required to comply with chapter 53 of Title 49 of the United 
States Code.
    Required documents for an application package are outlined in the 
checklist below.

i. Project Narrative (see D.2.a)
ii. Statement of Work (see D.2.b.i)
iii. Benefit-Cost Analysis (see D.2. b.ii)
iv. SF424--Application for Federal Assistance
v. Either: SF 424A--Budget Information for Non-Construction projects or 
SF 424C--Budget Information for Construction
vi. Either: SF 424B--Assurances for Non-Construction projects or SF 
424D--Assurances for Construction
vii. FRA's Additional Assurances and Certifications
viii. SF LLL--Disclosure of Lobbying Activities
a. Project Narrative
    This section describes the minimum content required in the Project 
Narrative of the grant application. The Project Narrative must follow 
the basic outline below to address the program requirements and assist 
evaluators in locating relevant information.

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

    The above content must be provided in a narrative statement 
submitted by the applicant. The Project Narrative may not exceed 25 
pages in length (excluding cover pages, table of contents, and 
supporting documentation). FRA will not review or consider for award 
applications with Project Narratives exceeding the 25-page limitation. 
If possible, applicants should

[[Page 23332]]

submit supporting documents via website links rather than hard copies. 
If supporting documents are submitted, applicants must clearly identify 
the page number(s) of the relevant portion in the Project Narrative 
supporting documentation. The Project Narrative must adhere to the 
following outline.
    i. Cover Page: Include a cover page that lists the following 
elements in a table:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Project Title                                          .................
Lead applicant                                         .................
Was a Federal grant application previously submitted   Yes/no
 for this project?
If yes, state the name of the Federal grant program    Federal Grant
 and title of the project in the previous               Program:
 application.
                                                       Project Title:
Is this a Rural Project? What percentage of the        Yes/no
 project cost is based in a Rural Area?                Percentage of
                                                        total project
                                                        cost:
City(ies), State(s) where the project is located       .................
Urbanized Area where the project is located            .................
Population of Urbanized Area                           .................
------------------------------------------------------------------------

    ii. Project Summary: Provide a brief 4-6 sentence summary of the 
proposed project and what the project will entail. Include challenges 
the proposed project aims to address, and summarize the intended 
outcomes and anticipated benefits that will result from the proposed 
project.
    iii. Project Funding: Indicate in table format the amount of 
Federal funding requested, the proposed non-Federal match, identifying 
contributions from the private sector if applicable, and total project 
cost. Describe the non-Federal funding arrangement. Include funding 
commitment letters outlining funding agreements, as attachments or in 
an appendix. Identify any specific project components that the 
applicant proposes for partial project funding. If all or a majority of 
a project is located in a Rural Area, identify the Rural Area(s) and 
estimated percentage of project costs that will be spent in the Rural 
Area. Identify any previously incurred costs, as well as other sources 
of Federal funds committed to the project and any pending Federal 
requests. Also, note if the requested Federal funding under this NOFO 
or other programs must be obligated or spent by a certain date due to 
dependencies or relationships with other Federal or non-Federal funding 
sources, related projects, law, or other factors. If applicable, 
provide the type and estimated value of any proposed in-kind 
contributions, and demonstrate how the in-kind contributions meet the 
requirements in 2 CFR 200.306.
    Example Project Funding Table:

------------------------------------------------------------------------
                   Task name/project                      Percentage of
     Task No.          component             Cost           total cost
------------------------------------------------------------------------
1                  .................  .................  ...............
2                  .................  .................  ...............
------------------------------------------------------------------------
Total Project Cost                    .................  ...............
Federal Funds Received from Previous  .................  ...............
 Grant
Federal Funding Request               .................  ...............
Non-Federal Funding/Match             Cash:
                                      In-Kind:           ...............
Portion of Non-Federal Funding from   .................  ...............
 the Private Sector
Portion of Total Project Costs Spent  .................  ...............
 in a Rural Area
Pending Federal Funding Requests      .................  ...............
------------------------------------------------------------------------

    iv. Applicant Eligibility: Explain how the applicant meets the 
applicant eligibility criteria outlined in Section C of this notice, 
including references to creation or enabling legislation for public 
agencies and publicly chartered authorities established by one or more 
States.
    v. Project Eligibility: Explain how the project meets the project 
eligibility criteria.
    vi. Detailed Project Description: Include a detailed project 
description that expands upon the brief project summary. This detailed 
description should provide, at a minimum, background on the challenges 
the project aims to address; the expected users and beneficiaries of 
the project, including all railroad operators; the specific components 
and elements of the project; and any other information the applicant 
deems necessary to justify the proposed project. If applicable, explain 
how the project will benefit communities in Rural Areas. Applicants 
must also:
    (A) Document submission of a revised Positive Train Control 
Implementation Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a);
    (B) Document that it is a tenant on one or more host railroads that 
submitted a revised PTCIP to FRA as required by 49 U.S.C. 20157(a), 
which states the tenant railroad is equipping its rolling stock with a 
PTC system and provides all other information required under 49 CFR 
236.1011 regarding the tenant railroad; or
    (C) Document why the applicant is not required to submit a revised 
PTCIP as required by 49 U.S.C. 20157(a), and whether the proposed 
project will assist in the deployment (i.e., installation and/or full 
implementation) of a PTC system required under 49 U.S.C. 20157.
    For all projects, applicants must provide information about 
proposed performance measures, as discussed in Section F(3)(c) and 
required in 2 CFR 200.301 and 49 U.S.C. 24407(f).
    vii. Project Location: Include geospatial data for the project, as 
well as a map of the project's location. On the map, include the Rural 
Area boundaries, if applicable, in which the project will take place.
    viii. Evaluation and Selection Criteria: Include a thorough 
discussion of how the proposed project meets all the evaluation 
criteria and selection criteria, as outlined in Section E of this 
notice. If an application does not sufficiently address the evaluation 
and selection criteria, it is unlikely to be a competitive application.

[[Page 23333]]

    ix. Project Implementation and Management: Describe proposed 
project implementation and project management arrangements. Include 
descriptions of the expected arrangements for project contracting, 
contract oversight, change-order management, risk management, and 
conformance to Federal requirements for project progress reporting (see 
https://www.fra.dot.gov/Page/P0274). Describe past experience in 
managing and overseeing similar projects.
    x. PTC Readiness: If the railroad is subject to the statutory PTC 
mandate or if the railroad is a tenant railroad that operates on PTC-
equipped territory and must equip its locomotives and other controlling 
rolling stock under 49 CFR 236.1006(a), provide a brief summary about 
the railroad's current progress toward fully implementing a PTC system 
under 49 CFR part 236, subpart I. For such railroads and for any other 
railroad, provide information about the railroad's progress towards 
completing all hardware installation required for implementation of a 
PTC system, testing the PTC system (including field testing and revenue 
service demonstration), training personnel under 49 CFR 236.1041-
236.1049, conducting interoperability testing with any other railroads 
that operate on the same main line, and operating an FRA-certified PTC 
system in revenue service. In addition, and if applicable, applicants 
may refer to their most recent Quarterly PTC Progress Report (FRA Form 
F 6180.165) to provide additional details.
    xi. Environmental Readiness: If the NEPA process is complete, an 
applicant should indicate the date of completion, and provide a website 
link or other reference to the documents demonstrating compliance with 
NEPA, which might include a final CE, Finding of No Significant Impact, 
or Record of Decision. If the NEPA process is not yet underway or is 
underway, but is not complete, the application should detail the type 
of NEPA review underway, where the project is in the process, and 
indicate the anticipated date of completion of all NEPA and related 
milestones. If the last agency action with respect to NEPA documents 
occurred more than three years before the application date, the 
applicant should describe why the project has been delayed and include 
a proposed approach for verifying, and if necessary, updating this 
information in accordance with applicable NEPA requirements. Additional 
information regarding FRA's environmental processes and requirements 
are located at https://www.fra.dot.gov/eLib/Details/L05286.
b. Additional Application Elements
    Applicants must submit:
    i. A Statement of Work (SOW) addressing the scope, schedule, and 
budget for the proposed project if it were selected for award. The SOW 
must contain sufficient detail so FRA, and the applicant, can 
understand the expected outcomes of the proposed work to be performed 
and monitor progress toward completing project tasks and deliverables 
during a prospective grant's period of performance. Applicants must use 
FRA's standard SOW template to be considered for award. The SOW 
template is located at https://www.fra.dot.gov/eLib/Details/L18661. 
When preparing the budget as part of the SOW, the total cost of a 
project must be based on the best available information as indicated in 
cited references that include engineering studies, studies of economic 
feasibility, environmental analyses, and information on the expected 
use of equipment or facilities.
    ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project 
Narrative for each project submitted by an applicant. The BCA must 
demonstrate in economic terms the merits of investing in the proposed 
project. The project narrative should summarize the project's benefits.
    Benefits may apply to existing and new rail users, as well as users 
of other modes of transportation. In some cases, benefits may be 
applied to populations in the general vicinity of the project area. 
Improvements to shared-use rail corridors may benefit all users 
involved. All benefits claimed for the project must be clearly tied to 
the expected outcomes of the project. Please refer to the Benefit-Cost 
Analysis Guidance for Discretionary Grant Programs prior to preparing a 
BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer 
to the BCA FAQs on FRA's website for some rail specific examples of how 
to apply the Benefit-Cost Analysis Guidance for Discretionary Grant 
Programs to CRISI applications.
    iii. SF 424--Application for Federal Assistance;
    iv. SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction;
    v. SF 424B--Assurances for Non-Construction or SF 424D--Assurances 
for Construction;
    vi. FRA's Additional Assurances and Certifications; and
    vii. SF LLL--Disclosure of Lobbying Activities.
    Forms needed for the electronic application process are at 
www.Grants.gov.
c. Post-Selection Requirements
    See subsection F(2) of this notice for post-selection requirements.

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

    To apply for funding through Grants.gov, applicants must be 
properly registered. Complete instructions on how to register and 
submit an application can be found at www.Grants.gov. Registering with 
Grants.gov is a one-time process; however, it can take up to several 
weeks for first-time registrants to receive confirmation and a user 
password. FRA recommends that applicants start the registration process 
as early as possible to prevent delays that may preclude submitting an 
application package by the application deadline. Applications will not 
be accepted after the due date. Delayed registration is not an 
acceptable justification for an application extension.
    FRA may not make a grant award to an applicant until the applicant 
has complied with all applicable Data Universal Numbering System (DUNS) 
and SAM requirements. (Please note that if a Dun & Bradstreet DUNS 
number must be obtained or renewed, this may take a significant amount 
of time to complete.) Late applications that are the result of a 
failure to register or comply with Grants.gov applicant requirements in 
a timely manner will not be considered. If an applicant has not fully 
complied with the requirements by the submission deadline, the 
application will not be considered. To submit an application through 
Grants.gov, applicants must:
a. Obtain a DUNS Number
    A DUNS number is required for Grants.gov registration. The Office 
of Management and Budget requires that all businesses and nonprofit 
applicants for Federal funds include a DUNS number in their 
applications for a new award or renewal of an existing award. A DUNS 
number is a unique nine-digit sequence recognized as the universal 
standard for the government in identifying and keeping track of 
entities receiving Federal funds. The identifier is used for tracking 
purposes and to validate address and point of contact information for 
Federal assistance applicants, recipients, and sub-recipients. The DUNS 
number will be used throughout the grant life cycle. Obtaining a DUNS 
number is a free, one-time activity. Applicants may obtain a DUNS 
number by calling 1-

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866-705-5711 or by applying online at http://www.dnb.com/us.
b. Register With the SAM at www.SAM.gov
    All applicants for Federal financial assistance must maintain 
current registrations in the SAM database. An applicant must be 
registered in SAM to successfully register in Grants.gov. The SAM 
database is the repository for standard information about Federal 
financial assistance applicants, recipients, and sub recipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award. Information about SAM registration procedures is 
available at www.sam.gov.
c. Create a Grants.gov Username and Password
    Applicants must complete an Authorized Organization Representative 
(AOR) profile on www.Grants.gov and create a username and password. 
Applicants must use the organization's DUNS number to complete this 
step. Additional information about the registration process is 
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
d. Acquire Authorization for Your AOR From the E-Business Point of 
Contact (E-Biz POC)
    The E-Biz POC at the applicant's organization must respond to the 
registration email from Grants.gov and login at www.Grants.gov to 
authorize the applicant as the AOR. Please note there can be more than 
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This 
NOFO
    If an applicant experiences difficulties at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.

    Note: Please use generally accepted formats such as .pdf, .doc, 
.docx, .xls, .xlsx and .ppt, when uploading attachments. While 
applicants may embed picture files, such as .jpg, .gif, and .bmp, in 
document files, applicants should not submit attachments in these 
formats. Additionally, the following formats will not be accepted: 
.com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, 
.ora, .sys, and .zip.

4. Submission Dates and Times

    Applicants must submit complete applications for PTC system 
projects to www.Grants.gov no later than 5:00 p.m. EDT, July 2, 2018. 
FRA reviews www.Grants.gov information on dates/times of applications 
submitted to determine timeliness of submissions. Late applications 
will be neither reviewed nor considered. Delayed registration is not an 
acceptable reason for late submission. In order to apply for funding 
under this announcement, all applicants are expected to be registered 
as an organization with Grants.gov. Applicants are strongly encouraged 
to apply early to ensure all materials are received before this 
deadline.
    To ensure a fair competition of limited discretionary funds, the 
following conditions are not valid reasons to permit late submissions: 
(1) Failure to complete the Grants.gov registration process before the 
deadline; (2) failure to follow Grants.gov instructions on how to 
register and apply as posted on its website; (3) failure to follow all 
instructions in this NOFO; and (4) technical issues experienced with 
the applicant's computer or information technology environment.

5. Intergovernmental Review

    Executive Order 12372 requires applicants from State and local 
units of government or other organizations providing services within a 
State to submit a copy of the application to the State Single Point of 
Contact (SPOC), if one exists, and if this program has been selected 
for review by the State. Applicants must contact their State SPOC to 
determine if the program has been selected for State review.

6. Funding Restrictions

    Consistent with 2 CFR 200.458, as applicable, FRA will only approve 
pre-award costs if such costs are incurred pursuant to the negotiation 
and in anticipation of the grant agreement and if such costs are 
necessary for efficient and timely performance of the scope of work. 
Under 2 CFR 200.458, grant recipients must seek written approval from 
the administering agency for pre-award activities to be eligible for 
reimbursement under the grant. Activities initiated prior to the 
execution of a grant or without written approval may not be eligible 
for reimbursement or included as a grantee's matching contribution.

7. Other Submission Requirements

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

E. Application Review Information

1. Criteria

a. Eligibility and Completeness Review
    FRA will first screen each application for applicant and project 
eligibility (eligibility requirements are outlined in Section C of this 
notice), completeness (application documentation and submission 
requirements are outlined in Section D of this notice), and the 20 
percent minimum match in determining whether the application is 
eligible.
    FRA will then consider the applicant's past performance in 
developing and delivering similar projects and previous financial 
contributions, and previous competitive grant technical evaluation 
ratings that the proposed project received under previous competitive 
grant programs administered by the DOT if applicable.
b. Evaluation Criteria
    FRA subject-matter experts will evaluate all eligible and complete 
applications using the evaluation criteria outlined in this section to 
determine project benefits and technical merit.
    i. Project Benefits:
    FRA will evaluate the Benefit-Cost Analysis of the proposed project 
for the anticipated private and public benefits relative to the costs 
of the proposed project and the summary of benefits provided in 
response to subsection D(2)(a)(ii) including--
    (A) Effects on system and service performance;
    (B) Effects on safety, competitiveness, reliability, trip or 
transit time, and resilience;
    (C) Efficiencies from improved integration with other modes; and
    (D) Ability to meet existing or anticipated demand.
    ii. Technical Merit:

[[Page 23335]]

    FRA will evaluate application information for the degree to which--
    (A) The tasks and subtasks outlined in the SOW are appropriate to 
achieve the expected outcomes of the proposed project.
    (B) Applications indicate strong project readiness and meet project 
requirements.
    (C) The technical qualifications and experience of key personnel 
proposed to lead and perform the technical efforts, and the 
qualifications of the primary and supporting organizations to fully and 
successfully execute the proposed project within the proposed timeframe 
and budget are demonstrated.
    (D) The proposed project's business plan considers potential 
private sector participation in the financing, construction, or 
operation of the proposed project.
    (E) The applicant has, or will have the legal, financial, and 
technical capacity to carry out the proposed project; satisfactory 
continuing control over the use of the equipment or facilities; and the 
capability and willingness to maintain the equipment or facilities.
    (F) If applicable, the proposed project is consistent with planning 
guidance and documents set forth by DOT, including those required by 
law or State rail plans developed under Title 49, United State Code, 
Chapter 227.
c. Selection Criteria
    In addition to the eligibility and completeness review and the 
evaluation criteria outlined in this subsection, the FRA Administrator 
will select projects applying the following selection criteria:
    i. The FRA Administrator will give preference to projects for which 
the:
    (A) Proposed Federal share of total project costs is 50 percent or 
less; and
    (B) Net benefits of the grant funds will be maximized considering 
the BCA, including anticipated private and public benefits relative to 
the costs of the proposed project, and factoring in the other 
considerations in 49 U.S.C. 24407 (e).
    ii. After applying the above preferences, the FRA Administrator 
will take into account the following key Departmental objectives:
    (A) Supporting economic vitality at the national and regional 
level;
    (B) Leveraging Federal funding to attract other, non-Federal 
sources of infrastructure investment, as well as accounting for the 
life-cycle costs of the project;
    (C) Using innovative approaches to improve safety and expedite 
project delivery; and,
    (D) Holding grant recipients accountable for their performance and 
achieving specific, measurable outcomes identified by grant applicants.

2. Review and Selection Process

    FRA will conduct a three-part application review process, as 
follows:
    a. Screen applications for completeness and eligibility;
    b. Evaluate eligible applications (completed by technical panels 
applying the evaluation criteria); and
    c. Select projects for funding (completed by the FRA Administrator 
applying the selection criteria).

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press 
release and on the FRA website after the application review periods. 
FRA will contact applicants with successful applications after 
announcement with information and instructions about the award process. 
This notification is not an authorization to begin proposed project 
activities. A formal cooperative agreement or grant agreement signed by 
both the grantee and the FRA, including an approved scope, schedule, 
and budget, is required before the award is obligated and complete.
    For all projects, obligation occurs when a selected applicant and 
FRA enter a written project specific cooperative agreement or grant 
agreement and is after the applicant has satisfied applicable 
requirements. For FD/Construction projects, these requirements may 
include transportation planning, PE and environmental reviews.

2. Administrative and National Policy Requirements

    Due to funding limitations, projects that are selected for funding 
may receive less than the amount originally requested. In those cases, 
applicants must be able to demonstrate the proposed projects are still 
viable and can be completed with the amount awarded.
    Grantees and entities receiving funding from the grantee, must 
comply with all applicable laws and regulations. Examples of 
administrative and national policy requirements include: 2 CFR part 
200; procurement standards; compliance with Federal civil rights laws 
and regulations; requirements for disadvantaged business enterprises, 
debarment and suspension requirements, and drug-free workplace 
requirements; FRA's and OMB's Assurances and Certifications; Americans 
with Disabilities Act; safety requirements including those applicable 
to PTC projects; NEPA; environmental justice requirements; performance 
measures under 49 U.S.C. 24407(f); 49 U.S.C. 24405, including the Buy 
America requirements and the provision deeming operators rail carriers 
and employers for certain purposes. Grants for PTC system projects 
selected under 49 U.S.C. 24407(c)(1) for Commuter Rail Passenger 
Transportation, if transferred to a different agency, must comply with 
the requirements of chapter 53 of Title 49.
    See an example of standard terms and conditions for FRA grant 
awards at https://www.fra.dot.gov/eLib/Details/L19057.

3. Reporting

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

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the project's performance using measures mutually agreed upon by FRA 
and the grantee to assess progress in achieving strategic goals and 
objectives.

G. Federal Awarding Agency Contacts

    For further information regarding this notice and the grants 
program, please contact Ms. Amy Houser, Office of Program Delivery, 
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
412, Washington, DC 20590; email: [email protected]; phone: 202-493-
0303.

H. Other Information

    All information submitted as part of or in support of any 
application shall use publicly available data or data that can be made 
public and methodologies that are accepted by industry practice and 
standards, to the extent possible. If the application includes 
information the applicant considers to be a trade secret or 
confidential commercial or financial information, the applicant should 
do the following: (1) Note on the front cover that the submission 
``Contains Confidential Business Information (CBI)''; (2) mark each 
affected page ``CBI''; and (3) highlight or otherwise denote the CBI 
portions.
    DOT protects such information from disclosure to the extent allowed 
under applicable law. In the event DOT receives a Freedom of 
Information Act (FOIA) request for the information, DOT will follow the 
procedures described in its FOIA regulations at 49 CFR 7.17. Only 
information that is ultimately determined to be confidential under that 
procedure will be exempt from disclosure under FOIA.

    Issued in Washington, DC
Ronald Louis Batory,
Administrator.
[FR Doc. 2018-10652 Filed 5-17-18; 8:45 am]
 BILLING CODE 4910-06-P


