[Federal Register Volume 84, Number 215 (Wednesday, November 6, 2019)]
[Notices]
[Pages 59907-59914]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-24225]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for the Restoration and Enhancement 
Grants 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 
Restoration and Enhancement (R&E) Grants Program. This notice makes 
available R&E Grants Program funding provided by the Consolidated 
Appropriations Act, 2018 (2018 Appropriation) and the Consolidated 
Appropriations Act, 2019 (2019 Appropriation), as well as available 
funding remaining from the Consolidated Appropriations Act, 2017 (2017 
Appropriation). The opportunities described in this notice are made 
available under Catalog of Federal Domestic Assistance (CFDA) number 
20.324, ``Restoration and Enhancement.''

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. EDT January 6, 2020. Applications for funding, or 
supplemental material in support of an application, received after 5:00 
p.m. EDT on January 6, 2020 will not be considered for funding. 
Incomplete applications will not be considered for funding. See Section 
D of this notice for additional information on the application process.

ADDRESSES: Applications must be submitted via www.Grants.gov. Only 
applicants who comply with all submission requirements described in 
this notice and submit applications through www.Grants.gov will be 
eligible for award. For any supporting application materials that an 
applicant is unable to submit via www.Grants.gov, an applicant may 
submit an original and two (2) copies to 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 regarding the 
R&E Grant Program, please contact Ruthie Americus, Office of Policy and 
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Room W36-403, Washington, DC 20590; email: ruthie.americus@dot.gov; 
phone: 202-493-0431. Grant application submission and processing 
questions should be addressed to Amy Houser, Office of Program 
Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Room W36-412, Washington, DC 20590; email: amy.houser@dot.gov; phone: 
202-493-0303.

SUPPLEMENTARY INFORMATION: Notice to applicants: FRA recommends that 
applicants read this notice in its entirety prior to preparing 
application materials. The term ``grant'' is used throughout this 
document and is intended to reference funding awarded through a grant 
agreement, as well as funding awarded through a cooperative agreement. 
Definitions of key terms used throughout the NOFO are provided in 
Section A(2) below. These key terms are capitalized throughout the 
NOFO. There are several administrative prerequisites and eligibility 
requirements described herein with which applicants must comply. 
Additionally, applicants should note that the required Project 
Narrative component of the application package may not exceed 25 pages 
in length.

Table of Contents

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

A. Program Description

1. Overview

    The purpose of this notice is to solicit applications for Operating 
Assistance grants for Initiating, Restoring, or Enhancing Intercity 
Rail Passenger Transportation authorized in Sections 11104 and 11303 of 
the Fixing America's Surface Transportation (FAST) Act, Public Law 114-
94 (2015); now codified at 49 U.S.C. 22908 \1\ and funded in the 2018 
and 2019 Appropriations Acts. FRA will consider applications consistent 
with the priorities in 49 U.S.C. 22908(d).
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    \1\ The Department of Transportation Reports Harmonization Act, 
Public Law 115-420, sec. 7 (2019) transferred this section from its 
location at 49 U.S.C. 24408 to 49 U.S.C. 22908.
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2. Definitions of Key Terms

    a. ``Enhancing'' or ``Enhance'' means upgrading or modifying the 
service currently offered on a route or train. Examples may include 
Operating Costs associated with, but not limited to, adding a station 
stop, increasing frequency of a train (e.g., tri-weekly to daily train 
service or increasing daily train service frequencies), or modifying 
on-board services offered on the train (e.g., food or sleeping 
accommodations).
    b. ``Initiating'' or ``Initiate'' means commencing service on a 
route that did not previously operate Intercity Rail Passenger 
Transportation.
    c. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except commuter rail passenger transportation. See 49 
U.S.C. 22901(3). In this notice, ``Intercity Passenger Rail Service'' 
and ``Intercity Passenger Rail Transportation'' are equivalent terms to 
``Intercity Rail Passenger Transportation.''
    d. ``Net Operating Costs'' are defined as operating expenses 
incurred minus operating revenue for an Intercity Rail Passenger 
Transportation route.
    e. ``Operating Assistance'' refers to financial assistance covering 
allowable Operating Costs.
    f. ``Operating Costs'' means expenses associated with the operation 
of Intercity Rail Passenger Transportation. Examples of such expenses 
may include: Staffing costs for train engineers, conductors, and on-
board service crew; diesel fuel or electricity costs associated with 
train propulsion power; station costs such as ticket sales, customer 
information, and train dispatching services; station building utility 
and maintenance costs; lease payments on rolling stock; routine planned 
maintenance costs of equipment and train cleaning; host railroad access 
costs; train yard

[[Page 59908]]

operation costs; general and administrative costs; and management, 
marketing, sales and reservations costs.
    g. ``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).
    h. ``Restoring'' or ``Restore'' means reinstating service to a 
route that formerly operated Intercity Rail Passenger Transportation.

B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is 
$24,419,000. Should additional R&E funds become available after the 
release of this NOFO, FRA may elect to award such funds to applications 
received under this NOFO.
    Of the $25,000,000 made available for R&E in the 2018 and 2019 
Appropriations, $23,982,500 is available for grants; $767,500 is set 
aside for Special Transportation Circumstances \2\ as required under 49 
U.S.C. 22907(l); and FRA will set aside $250,000 for award and program 
oversight. Of the $5,000,000 made available for R&E in the 2017 
Appropriation, awards and set-asides were previously determined and 
$436,500 remains available under this NOFO.
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    \2\ The Special Transportation Circumstances funds will be 
announced under a separate NOFO(s).
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2. Award Limits

    The R&E grants may not provide funding for more than three years 
for any individual Intercity Rail Passenger Transportation route and 
may not be renewed. Applicants can apply to use R&E funding for: (a) 
Multiple (up to the first three) years of service or (b) only one year 
of service, provided the service has not already received three years 
of R&E funding. Grantees receiving less than three years of funding for 
any individual Intercity Rail Passenger Transportation route under this 
NOFO and/or previous R&E NOFOs may apply for R&E Operating Assistance 
under future NOFOs if available. In addition, no more than six R&E 
grants may be active simultaneously, but an applicant may be awarded 
more than one grant.

3. Award Size

    There are no predetermined minimum or maximum dollar thresholds for 
awards. FRA will only make a maximum of six simultaneous awards with 
all available R&E program funding. Given the limited amount of funding 
currently available, applicants are encouraged to identify scalable 
project elements. FRA may select a project for funding that is less 
than the total amount requested in the application.
    FRA strongly encourages applicants to identify and include other 
state, local, public, and private funding to support the proposed 
project in order to maximize competitiveness. A recipient of an R&E 
grant may use the grant funding in combination with other Federal 
grants that would benefit the applicable rail service.

4. Award Type

    FRA will make awards for projects selected under this notice 
through grant agreements 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 involvement in carrying out the funded activity, 
including technical assistance, and increased program oversight under 2 
CFR 200.24.
    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. FRA may award grants in installments, and may terminate any 
grant or cooperative agreement upon the cessation of service or the 
violation of any other term of the grant. See an example of standard 
terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057.

C. Eligibility Information

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

1. Eligible Applicants

    The following entities are eligible applicants for all projects 
permitted under this notice:
    (1) A State (including the District of Columbia);
    (2) A group of States;
    (3) An Interstate Compact;
    (4) A public agency or publicly chartered authority established by 
one or more States; \3\
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    \3\ See Section D(2)(a)(iv) for supporting documentation 
required to demonstrate eligibility under this eligibility category.
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    (5) A political subdivision of a State;
    (6) Amtrak or another Rail Carrier that provides Intercity Rail 
Passenger Transportation;
    (7) Any Rail Carrier in partnership with at least one of the 
entities described in paragraphs (1) through (5); \4\ and
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    \4\ See Section D(2)(a)(iv) for supporting information required 
to demonstrate eligibility under this eligibility category.
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    (8) Any combination of the entities described in paragraph (1) 
through (7).
    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 R&E 
Program grant award. Eligible applicants may reference entities that 
are not eligible applicants in an application as a project partner.

2. Cost Sharing or Matching

    Grants for a project funded under the R&E program shall not exceed 
80 percent of the projected Net Operating Costs for the first year of 
service; 60 percent of the Net Operating Costs for the second year of 
service; and 40 percent of the projected Net Operating Costs for the 
third year of service. The matching funds for the projected Net 
Operating Costs not covered by the R&E grant may be comprised of 
eligible public sector funding (e.g., state, local, or other federal 
funding) or private sector funding. FRA encourages applicants to 
broaden their funding table in applications.
    FRA will give preference to non-federal shares consisting of 
funding from multiple sources (e.g., a state, county, railroad) that 
demonstrate broad participation and cost sharing from affected 
stakeholders. FRA will give priority to applications proposing a lower 
R&E grant share of projected Net Operating Costs than stated above, as 
further discussed in Section E(1). Applicants must identify the 
source(s) of their matching funds for the R&E grant associated with the 
service, and must clearly and distinctly reflect these funds in the 
application budget.
    FRA will not consider funds already expended (or otherwise 
encumbered) that do not comply with 2 CFR 200.458 toward the matching 
funds requirement. Additionally, only cash contributions will be 
counted toward the matching funds requirements. Before submitting an 
application, applicants should

[[Page 59909]]

carefully review the principles for cost sharing or matching in 2 CFR 
200.306.
    A recipient of an operating assistance grant under this NOFO may 
use that grant in combination with other Federal grants awarded that 
would benefit the applicable service.

3. Project Eligibility

    Projects eligible for funding under this NOFO must be projects 
within the United States and be for Operating Assistance to Initiate, 
Restore, or Enhance Intercity Rail Passenger Transportation. FRA will 
give priority to proposed projects in applications that:
    a. Show completed or nearly completed planning, design, 
environmental reviews, negotiation of agreements, acquisition of 
equipment, construction, and other actions necessary for Initiation, 
Restoration, or Enhancement of Intercity Rail Passenger Transportation;
    b. Restore service over routes formerly operated by Amtrak, 
including routes in the Gulf Coast region between New Orleans, 
Louisiana, and Orlando, Florida as described in Section 11304 of the 
Passenger Rail Reform and Investment Act of 2015;
    c. Provide daily or daytime service over routes where such service 
did not previously exist;
    d. Include funding or other significant participation by State, 
local, and regional governmental and private entities;
    e. Include a funding plan that demonstrates the Intercity Rail 
Passenger Service will be financially sustainable beyond the three-year 
grant period;
    f. Provide service to regions and communities that are underserved 
or not served by other intercity public transportation;
    g. Foster economic development, particularly in rural communities 
and for disadvantaged populations;
    h. Provide other non-transportation benefits, such as livability 
benefits; and
    i. Enhance connectivity and geographic coverage of the existing 
national network of Intercity Rail Passenger Service.
    For a project that uses rights-of-way owned by a railroad, 49 
U.S.C. 22905(c)(1) requires that a written agreement exist between the 
applicant and the owning railroad regarding use and ownership. This 
requirement is a condition to making a grant under the R&E Program.

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 host railroad agreements, Amtrak/
operator agreements, and funding commitment documentation. The 
additional relevant supporting documentation will not count against the 
Project Narrative page limit.

1. Address To Request Application Package

    Applicants must submit all application materials in their entirety 
through http://www.Grants.gov no later than 5:00 p.m. EDT, on January 
6, 2020. FRA reserves the right to modify this deadline. General 
information for submitting applications through Grants.gov can be found 
at: https://www.fra.dot.gov/Page/P0270.
    For any supporting application materials that an applicant cannot 
submit via Grants.gov, an applicant may submit an original and two (2) 
copies to Amy Houser, Office of Program Delivery, Federal Railroad 
Administration, 1200 New Jersey Avenue SE, Room W36-412, Washington, DC 
20590. Due to delays caused by enhanced screening of mail delivered via 
the U.S. Postal Service, FRA advises applicants to use other means of 
conveyance (such as courier service) to assure timely receipt of 
materials before the application deadline. Additionally, if documents 
can be obtained online, providing instructions to FRA on how to access 
files on a referenced website may also be sufficient.

2. Content and Form of Application Submission

    FRA strongly advises applicants to read this section carefully. 
Applicants must submit all required information and components of the 
application package to be considered for funding.
    Required documents for an application package are outlined in the 
checklist below.

 Project Narrative (see D.2.a)
 Statement of Work (see D.2.b.i)
 Capital and mobilization plan (see D.2.b.ii)
 Operating plan (see D.2.b.iii)
 Funding plan (see D.2.b.iv)
 Status of negotiations and agreements (see D.2.b.v)
 SF424--Application for Federal Assistance
 SF 424A--Budget Information for Non-Construction
 SF 424B--Assurances for Non-Construction
 FRA's Additional Assurances and Certifications
 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 Summary...........  See D.2.a.iii.
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. 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. Project Readiness...................  See D.2.a.x.
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    The above content must be provided in a narrative statement 
submitted by the applicant. The Project Narrative may not exceed 25 
pages in length (excluding cover pages, table of contents, and 
supporting documentation). FRA will not review or consider Project 
Narratives beyond the 25-page limitation. If possible, applicants 
should submit supporting documents via website links rather than hard 
copies. If supporting documents are submitted, applicants must clearly 
identify the page number of the relevant portion of the supporting 
documentation 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 a table:

------------------------------------------------------------------------
                        Project title
------------------------------------------------------------------------
  Lead Applicant.............................................
City(ies), State(s), Congressional District(s) where the
 project is located..........................................
Projected Total Operating Costs for the funded service (by
 year).......................................................
Projected Operating Revenue for the funded service (by year).
Projected Net Operating Costs for the funded service (by
 year).......................................................
R&E Funding Requested (by year)..............................
Match for Remaining Net Operating Costs Not Provided by R&E
 Funding (by year)...........................................
------------------------------------------------------------------------

    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 Summary: Indicate the annual amount of R&E

[[Page 59910]]

funding requested, the year or years of service operations for which 
the funding is requested, the match for the remaining Net Operating 
Costs not provided by R&E funding, and the annual projected Net 
Operating Costs for each of the first three years of operation. 
Identify the source(s) of matching funds, and clearly and distinctly 
reflect these funds as part of the total projected Net Operating Cost 
in the application budget. Additionally, identify any other sources of 
Federal funds committed to the project and any pending Federal 
requests. Also, note if the requested Federal funding under R&E 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. Additionally, specify 
whether Federal funding for the project has previously been sought, and 
identify the Federal program and fiscal year of the funding request(s). 
Rail Carriers other than Amtrak should state whether they will require 
access to Amtrak's reservation system, stations, or facilities because 
they are directly related to the Rail Carrier's operations, and whether 
they expect the FRA to award a portion of the requested R&E grant to 
Amtrak for such access (and in what amount).\5\ Provide information 
about any requests submitted to other programs for capital funding 
related to this project that supports the project's Initiation, 
Restoration, or Enhancement of the Intercity Rail Passenger Service.
    iv. Example Project Funding Table:

----------------------------------------------------------------------------------------------------------------
                   Year of operations                          Year 1             Year 2             Year 3
----------------------------------------------------------------------------------------------------------------
FY17 R&E Federal Funds Previously Secured..............
FY17 Non-Federal Funding/Match.........................
FY18-FY19 R&E Federal Funding Request..................
FY18-FY19 Non-Federal Funding/Match....................
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    v. Applicant Eligibility Criteria: Explain how the applicant meets 
the applicant eligibility criteria outlined in Section C of this 
notice. For public agencies and publicly chartered authorities 
established by one or more states, the explanation must include 
citations to the applicable enabling legislation. If the applicant is 
eligible under 49 U.S.C. 22908(a)(7) as a Rail Carrier in partnership 
with at least one of the other eligible entities, the applicant should 
explain the partnership and each entity's contribution to the 
partnership.
    vi. Project Eligibility Criteria: Explain how the project meets the 
project eligibility criteria in Section C(3) of this notice.
    vii. Detailed Project Description: Include a detailed project 
description that expands upon the brief summary required above and 
cites with page number references to information included in documents 
responsive to Subsections D(2)(b)(ii-v). This detailed description 
should provide, at a minimum: The specific components and elements of 
the project, including service frequency; name and description of the 
planned routes and schedules; station facilities; equipment that will 
be used and how it will be acquired or refurbished (if necessary); 
where equipment will be maintained and by what entity; additional 
background on the challenges the project aims to address; the expected 
users and beneficiaries of the project; projected ridership, revenues 
and costs; all railroads owning tracks to be used; service providers or 
entities expected to provide services or facilities that will be used, 
including access to Amtrak systems, stations, and facilities; train 
operators and their qualifications; plan for ensuring safe operations; 
and any other information the applicant deems necessary to justify the 
proposed project. An applicant must specify whether it is seeking 
funding for a project that has already received Federal financial 
assistance, and if applicable, explain how the new scope proposed to be 
funded under this NOFO relates to the previous scope.
    viii. Project Location: Include geospatial data for the project, as 
well as a map of the project's location. Include the Congressional 
districts in which the project will take place.
    ix. Evaluation and Selection Criteria: Include a thorough 
discussion of how the proposed project meets all of the evaluation and 
selection criteria, as outlined in Section E of this notice. If an 
application does not sufficiently address the evaluation criteria and 
the selection criteria, it is unlikely to be a competitive application. 
For the life-cycle cost selection criteria, applicants should 
demonstrate a credible plan to maintain related capital project assets 
without having to rely on Federal funding.
    x. 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.
    xi. Project Readiness: Provide a summary of the: Capital and 
mobilization plan including any capital investments; service planning 
actions; mobilization actions (such as qualification of train crews); 
and timeline for undertaking and completing each of the investments. 
Describe the appropriate planning, design, any environmental reviews, 
negotiation of agreements, acquisition of equipment, construction, and 
other actions necessary for Initiation, Restoration, and Enhancement of 
service that have been completed or remain necessary for completion. 
Provide the date when the first year of rail service will commence or 
when Enhancements to existing service will be placed into service.
b. Additional Application Elements
    Applicants must submit:
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    \5\ The Secretary, acting through the FRA, is permitted in 49 
U.S.C. 22908(h) to award an appropriate portion of R&E grants under 
this NOFO to Amtrak as compensation for permitting certain access.
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    i. A Statement of Work (SOW) addressing the scope, schedule, and 
budget for the proposed project if it were selected for award. The SOW 
must contain sufficient detail so FRA, and the applicant, can 
understand the expected outcomes of the proposed work to be performed 
and can monitor progress toward completing project tasks and 
deliverables during a prospective grant's period of performance. 
Applicants must use FRA's standard SOW, schedule, and budget templates 
to be considered for award. The templates are located at https://www.fra.dot.gov/Page/P0325. When preparing the budget, the total Net 
Operating Cost of a project must be based on the best available 
information as indicated in cited references. The project schedule 
should be sufficiently detailed to include the date when the first year 
of service will commence (or when the proposed Enhancement will be 
placed into service), as well as reasonable due dates for expenses

[[Page 59911]]

associated with the operation of the Intercity Rail Passenger 
Transportation.
    ii. Capital and mobilization plan that includes:
    (A) A description of any capital investments, service planning 
actions (such as environmental reviews), and mobilization actions (such 
as qualifications of train crews) required for Initiation of the 
Intercity Rail Passenger Transportation; and
    (B) A timeline for undertaking and completing each of the 
investments and actions referred to in subparagraph (A).
    iii. Operating plan describing:
    (A) Planned service operation;
    (B) Identity and qualifications of the train operator;
    (C) Identity and qualifications of any other service providers 
(e.g., on-board service, equipment maintenance, station staff);
    (D) Service frequency;
    (E) Planned routes and schedules;
    (F) Station facilities that will be utilized;
    (G) Projected ridership, revenues, and costs;
    (H) Descriptions of how the projections under subparagraph (G) were 
developed;
    (I) Equipment that will be utilized, how such equipment will be 
acquired or refurbished (if necessary), and where such equipment will 
be maintained; and
    (J) A plan for ensuring safe operations and compliance with 
applicable safety regulations;
    iv. Funding plan that:
    (A) Describes the funding of initial capital costs and Operating 
Costs for the first three years of operation;
    (B) Includes commitment by the applicant to provide the funds 
described in subparagraph (A) to the extent not covered by Federal 
grants and revenues; and
    (C) Describes the funding of Operating Costs and capital costs, to 
the extent necessary, after the first three years of operation.
    v. Status of negotiations and agreements with:
    (A) Each of the railroads or regional transportation authorities 
whose tracks or facilities would be utilized by the service;
    (B) The anticipated railroad carrier, if such entity is not part of 
the applicant group; and
    (C) Any other service providers or entities expected to provide 
services or facilities that will be used by the service, including any 
required access to Amtrak systems, stations, and facilities if Amtrak 
is not part of the applicant group.
    vi. SF424--Application for Federal Assistance
    vii. SF 424A--Budget Information for Non-Construction
    viii. SF 424B--Assurances for Non-Construction
    ix. FRA's Additional Assurances and Certifications; and
    x. 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) for post-selection requirements.

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

    To apply for funding through Grants.gov, applicants must be 
properly registered in SAM before submitting its 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 Data Universal Numbering System (DUNS) 
and SAM requirements, and if an applicant has not fully complied with 
the requirements by the time the Federal awarding agency is ready to 
make a Federal award, the Federal awarding agency may determine that 
the applicant is not qualified to receive a Federal award and use that 
determination as a basis for making a Federal award to another 
applicant. (Please note that if a Dun & Bradstreet DUNS number must be 
obtained or renewed, this may take a significant amount of time to 
complete.) Late applications that are the result of failure to register 
or comply with Grants.gov applicant requirements in a timely manner 
will not be considered. If an applicant has not fully complied with the 
requirements by the submission deadline, the application will not be 
considered. To submit an application through Grants.gov, applicants 
must:
a. Obtain a DUNS Number
    A DUNS number is required for Grants.gov registration. The Office 
of Management and Budget requires that all businesses and nonprofit 
applicants for Federal funds include a DUNS number in their 
applications for a new award or renewal of an existing award. A DUNS 
number is a unique nine-digit sequence recognized as the universal 
standard for the government in identifying and keeping track of 
entities receiving Federal funds. The identifier is used for tracking 
purposes and to validate address and point of contact information for 
Federal assistance applicants, recipients, and subrecipients. The DUNS 
number will be used throughout the grant life cycle. Obtaining a DUNS 
number is a free, one-time activity. Applicants may obtain a DUNS 
number by calling 1-866-705-5711 or by applying online at http://www.dnb.com/us.
b. Register With the SAM at www.SAM.gov
    All applicants for Federal financial assistance must maintain 
current registrations in the SAM database. An applicant must be 
registered in SAM to successfully register in Grants.gov. The SAM 
database is the repository for standard information about Federal 
financial assistance applicants, recipients, and subrecipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award. Information about SAM registration procedures is 
available at www.sam.gov.
c. Create a Grants.gov Username and Password
    Applicants must complete an Authorized Organization Representative 
(AOR) profile on www.Grants.gov and create a username and password. 
Applicants must use the organization's DUNS number to complete this 
step. Additional information about the registration process is 
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.

[[Page 59912]]

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.

2. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no 
later than 5:00 p.m. EDT, January 6, 2020. Applicants will receive a 
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov 
information on the dates/and times of applications submitted to 
determine timeliness of submissions. Late applications will be neither 
reviewed nor considered. Delayed registration is not an acceptable 
reason for late submission. FRA strongly encourages applicants to apply 
early to ensure that 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 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.

3. 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.

4. Funding Restrictions

    R&E grants awarded for any individual Intercity Rail Passenger 
Transportation route will not receive funding for more than three years 
and may not be renewed. No more than six Operating Assistance grant 
awards will be simultaneously active under the R&E Grants Program. FRA 
will approve pre-award costs consistent with 2 CFR 200.458, as 
applicable. Under 2 CFR 200.458, grant recipients must seek written 
approval from FRA for pre-award activities to be eligible for 
reimbursement. Activities initiated prior to the execution of an 
agreement without FRA's written approval may not be eligible for 
reimbursement or included as a grantee's matching contribution. For 
Enhancement projects, FRA will only fund the portion of the Operating 
Costs associated with the Enhancement.
    FRA is limited to funding a percentage of projected Net Operating 
Costs and may not fund any service producing net operating profits.

5. 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. See Section D.1 for submission of applications via postal 
mail, electronic mail or hand delivery.

E. Application Review Information

1. Criteria

a. Eligibility and Completeness Review
    FRA will first screen each application for 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 minimum match.
b. Evaluation Criteria
    FRA subject-matter experts will evaluate all eligible and complete 
applications using the evaluation criteria outlined in this section to 
determine technical merit and public benefits consistent with the 
priorities in 49 U.S.C. 22908(d).
    i. Technical Merit: FRA will evaluate application information for 
the degree to which--
    (A) The tasks and subtasks outlined in the SOW are appropriate to 
achieve the expected outcomes of the proposed project.
    (B) The application is thorough and responsive to all the 
requirements outlined in this notice, including the strength and 
comprehensiveness of the capital and mobilization plan, operating plan, 
funding plan, and status of negotiations and agreements described in 
Section D(2)(b). In particular, the funding plan demonstrates the 
Intercity Rail Passenger Service will be financially sustainable beyond 
the 3-year grant period.
    (C) The appropriate planning, design, any environmental reviews, 
negotiation of agreements, acquisition of equipment, construction, and 
other actions necessary for Initiation, Restoration, or Enhancement of 
service have been completed or nearly completed.
    (D) Service is restored over routes formerly operated by Amtrak, 
including routes in the Gulf Coast region between New Orleans, 
Louisiana, and Orlando, Florida as described in Section 11304 of the 
Passenger Rail Reform and Investment Act of 2015.
    (E) The appropriate funding or other significant participation by 
State, local, and regional governmental and private entities are in 
place.
    ii. Benefits:
    FRA will evaluate the proposed rail service on:
    (A) Providing daily or daytime service over routes where such 
service did not previously exist;
    (B) Providing service to regions and communities that are 
underserved or not served by other intercity public transportation;
    (C) Fostering economic development, particularly in rural 
communities and for disadvantaged populations;
    (D) Providing other non-transportation benefits; and
    (E) Enhancing connectivity and geographic coverage of the existing 
national network of Intercity Rail Passenger Service.
c. Selection Criteria
    In addition to the eligibility and completeness review and the 
evaluation

[[Page 59913]]

criteria outlined in this subsection, the FRA Administrator (or his 
designee) will select projects in consultation with a senior review 
team, which includes senior leadership from the Office of the Secretary 
and FRA, applying the following selection criteria:
    i. The FRA will give preference to projects for which the:
    (A) Proposed matching funds exceed the annual minimum required 
amounts specified in Section C(2); and
    (B) Proposed matching funds are from more than one source, 
including private sources, demonstrating broad participation by 
affected stakeholders; and
    ii. The FRA will also 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;
    (C) Preparing for future operations and maintenance costs 
associated with their project's life-cycle, as demonstrated by a 
credible plan to maintain assets without having to rely on future 
Federal funding;
    (D) Using innovative approaches to improve safety and expedite 
project delivery; and,
    (E) Holding grant recipients accountable for their performance and 
achieving specific, measurable outcomes identified by grant applicants.
    iii. In determining the allocation of program funds, FRA may also 
consider geographic diversity, diversity in the size of the systems 
receiving funding, the applicant's receipt of other competitive awards, 
and projects located in or that support transportation service in a 
qualified opportunity zone designated pursuant to 26 U.S.C. 1400Z-1.

2. Review and Selection Process

    FRA will conduct a four-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);
    c. Review and recommend initial selection of projects for the FRA 
Administrator's review by a non-career Senior Review Team, which 
includes senior leadership from the Office of the Secretary and FRA; 
and
    d. Selection of awards by the FRA Administrator for the Secretary'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 of $150,000 (see 2 
CFR 200.88 Simplified Acquisition Threshold), FRA will review and 
consider any information about the applicant that is in the designated 
integrity and performance system accessible through SAM (currently the 
Federal Awardee Performance and Integrity Information System (FAPIIS)). 
See 41 U.S.C. 2313.
    An applicant, at its option, may review information in the 
designated integrity and performance systems accessible through SAM and 
comment on any information about itself that a Federal awarding agency 
previously entered and is currently in the designated integrity and 
performance system accessible through SAM.
    FRA will consider any comments by the applicant, in addition to the 
other information in the designated integrity and performance system, 
in making a judgment about the applicant's integrity, business ethics, 
and record of performance under Federal awards when completing the 
review of risk posed by applicants as described in 2 CFR 200.205.

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press 
release and on the FRA website after the application review period. FRA 
will contact applicants with successful applications after announcement 
with information and instructions about the award process. This 
notification is not an authorization to begin proposed project 
activities. FRA requires satisfaction of applicable requirements by the 
applicant and a formal agreement signed by both the grantee and the 
FRA, including an approved scope, schedule, and budget, before 
obligation.

2. Administrative and National Policy Requirements

    For projects on a State-Supported route (as defined in 49 U.S.C. 
24102(13)), grant recipients must be in compliance with the cost 
allocation methodology required under Section 209 of the Passenger Rail 
Investment and Improvement Act of 2008 (Pub. L. 110-432) with respect 
to that route. Selected grantees must maintain compliance with the cost 
allocation methodology for the duration of the service.
    In connection with any program or activity conducted with or 
benefiting from funds awarded under this notice, recipients of funds 
must comply with all applicable requirements of Federal law, including, 
without limitation, the Constitution of the United States; the 
conditions of performance, nondiscrimination requirements, and other 
assurances made applicable to the award of funds in accordance with 
regulations of the Department of Transportation; and applicable Federal 
financial assistance and contracting principles promulgated by the 
Office of Management and Budget. In complying with these requirements, 
recipients, in particular, must ensure that no concession agreements 
are denied or other contracting decisions made on the basis of speech 
or other activities protected by the First Amendment. If the Department 
determines that a recipient has failed to comply with applicable 
Federal requirements, the Department may terminate the award of funds 
and disallow previously incurred costs, requiring the recipient to 
reimburse any expended award funds.
    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; FRA's and OMB's Assurances and Certifications; 
Americans with Disabilities Act; safety requirements; NEPA; 
environmental justice requirements; performance measures; grant 
conditions under 49 U.S.C. 22905, including the Buy America 
requirements, the provision deeming operators rail carriers for certain 
purposes and grantee agreements with railroad right-of-way owners for 
projects using railroad right-of-way.
    See an example of standard terms and conditions for FRA grant 
awards at https://www.fra.dot.gov/eLib/Details/L19057.

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.

[[Page 59914]]

b. Additional Reporting
    Applicants selected for funding are required to comply with all 
reporting requirements in the standard terms and conditions for FRA 
grant awards including 2 CFR 180.335 and 2 CFR 180.350. See an example 
of standard terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057.
    If the Federal share of any Federal award under this NOFO may 
include more than $500,000 over the period of performance, applicants 
are informed of the post award reporting requirements reflected in 2 
CFR part 200, Appendix XII--Award Term and Condition for Recipient 
Integrity and Performance Matters.
c. Performance Reporting
    As a part of the grant agreement, the grant recipient must provide 
similar information regarding the route performance, financial, and 
ridership projections, and capital and business plans that Amtrak is 
required to provide to FRA, as well as other implementation information 
that includes the status of the investments and funded operations, the 
plans for continued operation and funding of routes, and any 
legislative recommendations.
    Grant recipients must also collect information and report on the 
project's performance using measures established by the FRA to assess 
progress in achieving strategic goals and objectives. Examples of some 
rail measures are listed in the below table.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Primary strategic     Secondary strategic
           Rail measures                Unit measured             Temporal                 goal                  goal                 Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Passenger Counts..................  Count................  Annual...............  Economic               State of Good Repair  Count of the annual
                                                                                   Competitiveness.                             passenger boardings and
                                                                                                                                alightings at stations
                                                                                                                                within the project area.
Travel Time.......................  Time/Trip............  Annual...............  Economic               Quality of Life.....  Point-to-point travel
                                                                                   Competitiveness.                             times between pre-
                                                                                                                                determined station stops
                                                                                                                                within the project area.
                                                                                                                                This measure
                                                                                                                                demonstrates how track
                                                                                                                                improvements and other
                                                                                                                                upgrades improve
                                                                                                                                operations on a rail
                                                                                                                                line. It also helps make
                                                                                                                                sure the railroad is
                                                                                                                                maintaining the line
                                                                                                                                after project
                                                                                                                                completion.
--------------------------------------------------------------------------------------------------------------------------------------------------------

G. Federal Awarding Agency Contacts

    For further information regarding this notice, please contact Amy 
Houser, Office of Program Delivery, Federal Railroad Administration, 
1200 New Jersey Avenue SE, Room W36-412, Washington, DC 20590; email: 
amy.houser@dot.gov. For information about the R&E Grants Program or 
project specific questions, please contact Ruthie Americus, Office of 
Policy and Planning, Federal Railroad Administration,1200 New Jersey 
Avenue SE, Room W36-403, Washington, DC 20590; email: 
ruthie.americus@dot.gov.

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.
    FRA protects such information from disclosure consistent with 
applicable law. In the event FRA receives a Freedom of Information Act 
(FOIA) request for the information, FRA 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.
Quintin C. Kendall,
Deputy Administrator, Federal Railroad Administration.
[FR Doc. 2019-24225 Filed 11-5-19; 8:45 am]
BILLING CODE 4910-06-P


