[Federal Register Volume 86, Number 232 (Tuesday, December 7, 2021)]
[Notices]
[Pages 69352-69359]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-26457]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for the Federal-State Partnership 
for State of Good Repair Program

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

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

-----------------------------------------------------------------------

SUMMARY: This notice details the application requirements and 
procedures to obtain grant funding for eligible projects under the 
Federal-State Partnership for State of Good Repair Program (Partnership 
Program). This notice solicits applications for Partnership Program 
funds made available by the Consolidated Appropriations Act, 2021. The 
opportunity described in this notice is made available under Assistance 
Listings Number 20.326, ``Federal-State Partnership for State of Good 
Repair.''

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. ET, March 7, 2022. Late or 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 Mr. Bryan Rodda, Office of Policy and Planning, Federal 
Railroad Administration, 1200 New Jersey Avenue SE, Room W38-203, 
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 related to 
this notice, please contact Mr. Bryan Rodda, Office of Policy and 
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Room W38-203, Washington, DC 20590; email: [email protected]dot.gov; phone: 
202-493-0443.

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

Table of Contents

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

A. Program Description

1. Overview

    Our nation's rail network is a critical component of the U.S. 
transportation system and economy. Prior to the coronavirus disease 
2019 (COVID-19) pandemic, rail carried over 32.5 million passengers on 
Amtrak services and approximately 1.6 billion tons of freight valued at 
over $600 billion each year. The Partnership Program provides a Federal 
funding opportunity to improve American passenger rail infrastructure 
to enhance rail safety, reduce the backlog of deferred maintenance for 
Amtrak or publicly owned or controlled railroad assets, create new 
opportunities for underserved communities, and invest in projects that 
support and spur economic growth.
    The purpose of the Partnership Program is to fund projects within 
the United States to repair, replace, or rehabilitate Qualified 
Railroad Assets to reduce the state of good repair backlog and improve 
Intercity Passenger Rail performance. Section E of this NOFO provides 
additional information on these program priorities.
    The Partnership Program is authorized in Sections 11103 and 11302 
of the Passenger Rail Reform and Investment Act of 2015 (Title XI of 
the Fixing America's Surface Transportation (FAST) Act, Public Law 114-
94 (2015)); codified at 49 U.S.C. 24911, and this NOFO is funded by the 
Consolidated Appropriations Act, 2021 (Public Law 116-260) 
(Appropriations Act).\1\ The opportunity described in this notice is 
made available under Assistance

[[Page 69353]]

Listings Number 20.326, ``Federal-State Partnership for State of Good 
Repair.''
---------------------------------------------------------------------------

    \1\ Funds made available under this NOFO are subject to 49 
U.S.C. 24911 as it existed on the day of the enactment of the 
Appropriations Act.
---------------------------------------------------------------------------

    Consistent with Biden-Harris Administration priorities, the 
Department seeks to fund projects under the Partnership Program that 
address climate change impacts and environmental justice. Projects 
should include components that reduce emissions, promote energy 
efficiency, increase resilience, and recycle or redevelop existing 
infrastructure. This objective is consistent with Executive Order 
14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619). As 
part of the Department's implementation of that Executive Order, the 
Department encourages the submission of applications that would direct 
resources and benefits towards low-income communities, overburdened 
communities, or communities underserved by affordable transportation.
    The Department also seeks to use the Partnership Program to 
encourage racial equity by investing in projects that proactively 
address racial equity and barriers to opportunity. Projects should 
include components that improve or expand transportation options and 
mitigate the safety risks and detrimental quality of life effects that 
rail lines can have on communities, particularly low-income areas, and 
communities of color. This objective supports the Department's 
strategic goal related to infrastructure, with the potential for 
significantly enhancing environmental stewardship and community 
partnerships, and reflects Executive Order 13985, Advancing Racial 
Equity and Support for Underserved Communities Through the Federal 
Government (86 FR 7009). Section E describes the climate change, 
environmental justice, and racial equity considerations further.
    The Partnership Program is intended to benefit both railroad assets 
in the Northeast Corridor (``NEC'') and public or Amtrak-owned or 
controlled infrastructure, equipment, and facilities located in other 
areas of the country. Applicants should note that the Partnership 
Program has distinct eligibility requirements based on project 
location. In addition to the generally applicable requirements, 
applicants proposing NEC Projects should specifically review the NEC-
specific requirements provided in Section C(3)(b), and the Qualified 
Railroad Asset information provided in Section D(2)(a)(vi) while 
applicants proposing Non-NEC Projects should review the Qualified 
Railroad Asset information provided in Section D(2)(a)(v).

2. Changes From FY 2020 Partnership Program NOFO

    This notice updates the FY 2020 Partnership Program NOFO to reflect 
the Biden-Harris Administration's priorities for creating good-paying 
jobs, improving safety, applying transformative technology, and 
explicitly addressing climate change and racial equity as discussed in 
Section E(1)(c)(ii).
    This notice expands the definition of Capital Project, making 
expenses incidental to the acquisition or construction (including 
designing, engineering, location surveying, mapping, environmental 
studies, and acquiring rights-of-way) of a Capital Project eligible for 
funding independently or in conjunction with proposed funding for 
construction or acquisition, as directed by the Appropriations Act.

3. Definitions of Key Terms

    Terms defined in this section are capitalized throughout this 
notice.
    a. ``Benefit-Cost Analysis'' (or ``Cost-Benefit Analysis'') is a 
systematic, data-driven, and transparent analysis comparing monetized 
project benefits and costs, using a no-build baseline and properly 
discounted present values, including concise documentation of the 
assumptions and methodology used to produce the analysis, a description 
of the baseline, data sources used to project outcomes, 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 
(BCA) Guidance for Discretionary Grant Programs prior to preparing a 
BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer 
to the BCA FAQs on FRA's website for rail-specific examples of how to 
apply the BCA Guidance for Discretionary Grant Programs to Partnership 
Program applications.
    b. ``Capital Project'' means a project primarily intended to 
replace, rehabilitate, or repair major infrastructure assets utilized 
for providing Intercity Passenger Rail service, including tunnels, 
bridges, stations, and other assets, as determined by the Secretary of 
Transportation; a project primarily intended to improve Intercity 
Passenger Rail performance, including reduced trip times, increased 
train frequencies, and higher operating speeds, and other improvements, 
as determined by the Secretary; and a project for expenses incidental 
to the acquisition or construction (including designing, engineering, 
location surveying, mapping, environmental studies, and acquiring 
rights-of-way) of a project, consistent with 49 U.S.C. 24911(a)(2) and 
the Appropriations Act.
    c. ``Construction'' means the production of fixed works and 
structures or substantial alterations to such structures or land and 
associated costs.
    d. ``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, consistent with 49 U.S.C. 24102(3).
    e. ``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.
    f. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except Commuter Rail Passenger Transportation, 
consistent with 49 U.S.C. 24911(a)(3). In this notice, ``Intercity 
Passenger Rail'' is an equivalent term to ``Intercity Rail Passenger 
Transportation.''
    g. ``Major Capital Project'' means a Capital Project with an 
estimated total project cost of $300 million or more.
    h. ``National Environmental Policy Act (NEPA)'' is a Federal law 
that requires Federal agencies to analyze and document the 
environmental impacts of a proposed action in consultation with 
appropriate Federal, state, and local authorities, and with the public. 
NEPA classes of action include an Environmental Impact Statement (EIS), 
Environmental Analysis (EA) or Categorical Exclusion (CE). The NEPA 
class of action depends on the nature of the proposed action, its 
complexity, and the potential impacts. For purposes of this NOFO, NEPA 
also includes all related Federal laws and regulations including the 
Clean Air Act, Section 4(f) of the Department of Transportation Act, 
Section 7 of the Endangered Species Act, and Section 106 of the 
National Historic Preservation Act. Additional information regarding 
FRA's environmental processes and requirements are located at https://www.fra.dot.gov/environment.

[[Page 69354]]

    i. ``NEC Project'' means a Capital Project where the Qualified 
Railroad Assets involved in the project are part of, or in primary use 
for, the Northeast Corridor (``NEC'').
    j. ``Non-NEC Project'' means a Capital Project where the Qualified 
Railroad Assets involved in the project are not part of, or are not in 
primary use for, the Northeast Corridor (``NEC'').
    k. ``Northeast Corridor'' (``NEC'') means the main rail line 
between Boston, Massachusetts, and the District of Columbia; the branch 
rail lines connecting to Harrisburg, Pennsylvania, Springfield, 
Massachusetts, and Spuyten Duyvil, New York; and facilities and 
services used to operate and maintain these lines, consistent with 49 
U.S.C. 24911(a)(4).
    l. ``Preliminary Engineering (PE)'' means engineering design to: 
(1) Define a project, including identification of all environmental 
impacts, design of all critical project elements at a level sufficient 
to assure reliable cost estimates and schedules, (2) complete project 
management and financial plans, and (3) identify procurement 
requirements and strategies. The PE development process starts with 
specific project design alternatives that allow for the assessment of a 
range of rail improvements, specific alignments, and project designs. 
PE generally occurs concurrently with NEPA and related analyses, and 
prior to FD and Construction.
    m. A ``Qualified Railroad Asset,'' consistent with 49 U.S.C. 
24911(a)(5), means infrastructure, equipment, or a facility that:
    i. Is owned or controlled by an eligible applicant;
    ii. is contained in the planning document developed under 49 U.S.C. 
24904 and for which a cost-allocation policy has been developed under 
49 U.S.C. 24905(c), or is contained in an equivalent planning document 
and for which a similar cost-allocation policy has been developed; and
    iii. was not in a State of Good Repair on the date of enactment of 
the Passenger Rail Reform and Investment Act of 2015 (December 4, 
2015).
    See Section D(2)(a), Project Narrative, for further details about 
the Qualified Railroad Asset requirements and application submission 
instructions related to Qualified Railroad Assets.\2\
---------------------------------------------------------------------------

    \2\ For any project that includes purchasing intercity passenger 
rail equipment, applicants are encouraged to use a standardized 
approach to the procurement, such as the specifications developed by 
the Next Generation Corridor Equipment Pool Committee or a similarly 
uniform process.
---------------------------------------------------------------------------

    n. ``State of Good Repair'' means a condition in which physical 
assets, both individually and as a system, are (A) performing at a 
level at least equal to that called for in their as-built or as-
modified design specification during any period when the life cycle 
cost of maintaining the assets is lower than the cost of replacing 
them; and (B) sustained through regular maintenance and replacement 
programs, consistent with 49 U.S.C. 24102(12).

B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is 
$198,000,000 made available by the Appropriations Act. Should 
additional Partnership Program funds become available after the release 
of this NOFO, FRA may elect to award such additional funds to 
applications received under this NOFO. Any selection and award under 
this NOFO is subject to the availability of appropriated funds.

2. Award Size

    There are no predetermined minimum or maximum dollar thresholds for 
awards. FRA anticipates making multiple awards with the available 
funding. Given the limited amount of funding currently available, FRA 
may not be able to award grants to all eligible applications even if 
they meet or exceed the stated evaluation criteria (see Section E, 
Application Review Information). Projects may require more funding than 
is available. FRA encourages applicants to propose a project that has 
operational independence or a component of such project and that can be 
completed and implemented with funding under this NOFO as a part of the 
total project cost together with other, non-Federal sources. (See 
Section C(3)(c) for more information.)
    Applicants proposing a Major Capital Project may identify and 
describe project phases or elements that could be candidates for 
subsequent Partnership Program funding, if such funding becomes 
available. Applications for a Major Capital Project that would seek 
future funds beyond funding made available in this notice should 
indicate anticipated annual Federal funding requests from this program 
for the expected duration of the project. FRA may issue Letters of 
Intent to Partnership Program grant recipients proposing Major Capital 
Projects under 49 U.S.C. 24911(g); such Letters of Intent would serve 
to announce FRA's intention to obligate an amount from future available 
budget authority toward a grant recipient's future project phases or 
elements. A Letter of Intent is not an obligation of the Federal 
government and is subject to the availability of appropriations for 
Partnership Program grants and subject to Federal laws in force or 
enacted after the date of the Letter of Intent.

4. Award Type

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

5. Concurrent Applications

    DOT and FRA may be 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 funding under this NOFO, applicants must indicate the other 
program(s) to which they submitted or plan to submit an application for 
funding the entire project or certain project components, as well as 
highlight new or revised information in the application responsive to 
this NOFO that differs from the previously submitted application(s).

C. Eligibility Information

    This section of the notice explains applicant eligibility, cost 
sharing and matching requirements, project eligibility, and project 
component

[[Page 69355]]

operational independence. Applications that do not meet the 
requirements in this section will be ineligible for funding. 
Instructions for submitting eligibility information to FRA are detailed 
in Section D of this NOFO.

1. Eligible Applicants

    The following entities are eligible applicants for all 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\
---------------------------------------------------------------------------

    \3\ See Section D(2)(a)(iv) for supporting documentation 
required to demonstrate eligibility under this eligibility category.
---------------------------------------------------------------------------

    (5) a political subdivision of a State;
    (6) Amtrak, acting on its own behalf or under a cooperative 
agreement with one or more states; or
    (7) any combination of the entities described in (1) through (6).
    Applications must identify a lead applicant. The lead applicant 
serves as the primary point of contact for the application, and if 
selected, as the grantee of the Partnership Program grant award.
    To submit a joint application, the lead applicant must identify the 
joint applicant(s) and include a signed statement from an authorized 
representative of each joint applicant entity that affirms the entity 
joins the application. See Section D(2) for further instructions about 
submitting a joint application.
    An application submitted by Amtrak and one or more States, whether 
eligible under (1), (2) or (6) above, must identify the lead applicant 
and include a signed cooperative agreement between Amtrak and the 
state(s) consistent with 49 U.S.C. 24911(a)(1)(F). Selection preference 
will be provided for joint applications, as further discussed in 
Section E(1)(c). Applications may reference entities that are not 
eligible applicants (e.g., private sector firms) in an application as a 
partner in project funding or implementation, but ineligible entities 
do not qualify as lead or joint applicants. FRA will provide selection 
preference only to joint applications submitted by multiple eligible 
applicants.

2. Cost Sharing or Matching

    The Federal share of total costs for Partnership Program projects 
funded under this notice shall not exceed 80 percent. 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 may use FRA's cost estimate guidance documentation, 
``Capital Cost Estimating: Guidance for Project Sponsors,'' which is 
available at: https://www.fra.dot.gov/Page/P0926.
    The minimum 20 percent non-Federal share may be comprised of public 
sector (e.g., State or local) or private sector funding. FRA will not 
consider any Federal financial assistance \4\ or any non-Federal funds 
already expended (or otherwise encumbered) toward the matching 
requirement, unless compliant with 2 CFR part 200. In-kind 
contributions, including the donation of services, materials, and 
equipment, may be credited as a project cost, in a uniform manner 
consistent with 2 CFR 200.306.
---------------------------------------------------------------------------

    \4\ See Section D(2)(a)(iii) for supporting information required 
to demonstrate eligibility of Federal funds for use as match.
---------------------------------------------------------------------------

    If Amtrak is an applicant, Amtrak may use its ticket and other non-
Federal revenues generated from its operations and other sources to 
satisfy the non-Federal share requirements. Applicants must identify 
the source(s) of their matching and other funds and must clearly and 
distinctly reflect these funds as part of the total project cost.
    Before applying, applicants should carefully review the principles 
for cost sharing or matching in 2 CFR 200.306. See Section D(2)(a)(iii) 
for required application information on non-Federal match and Section E 
for further discussion of FRA's consideration of matching funds in the 
review and selection process. FRA will approve pre-award costs 
consistent with 2 CFR 200.458, as applicable. See Section D(6). Cost 
sharing or matching may be used only for authorized Federal award 
purposes.

3. Other

a. Project Eligibility
    The following rail projects within the United States to replace or 
rehabilitate Qualified Railroad Assets and improve Intercity Passenger 
Rail performance are eligible for funding under 49 U.S.C. 24911, the 
Appropriations Act, and this NOFO:
    (1) Capital Projects to replace existing assets in-kind;
    (2) Capital Projects to replace existing assets with assets that 
increase capacity or provide a higher level of service;
    (3) Capital Projects to ensure that service can be maintained while 
existing assets are brought to a State of Good Repair; and
    (4) Capital Projects to bring existing assets into a State of Good 
Repair.
    Qualified Railroad Assets, as further defined in Section A(2), are 
owned or controlled by an eligible applicant and may include: 
Infrastructure, including track, ballast, switches and interlockings, 
bridges, communication and signal systems, power systems, highway-rail 
grade crossings, and other railroad infrastructure and support systems 
used in intercity passenger rail service; stations, including station 
buildings, support systems, signage, and track and platform areas; 
equipment, including passenger cars, locomotives, and maintenance-of-
way equipment; and facilities, including yards and terminal areas and 
maintenance shops.
    i. Capital Projects, as further defined in Section A(2), may 
include PE, NEPA, Final Design, Construction, or expenses incidental to 
the acquisition or Construction of a Capital Project. Corridor or 
project-specific planning studies are not eligible. Pre-Construction 
activities are eligible for funding independently or in conjunction 
with proposed funding for construction.
    Forms needed for the electronic application process are at 
www.Grants.gov.
b. Post-Selection Requirements
    See Section F(2) of this notice for post-selection requirements.

4. Unique Entity Identifier and System for Award Management (SAM)

    To apply for funding through Grants.gov, applicants must be 
properly registered in SAM before submitting an application, provide a 
valid unique entity identifier in its application, and continue to 
maintain an active SAM registration all as described in detail below. 
Complete instructions on how to register and submit an application can 
be found at www.Grants.gov. Registering with Grants.gov is a one-time 
process; however, it can take up to several weeks for first-time 
registrants to receive confirmation and a user password. FRA recommends 
that applicants start the registration process as early as possible to 
prevent delays that may preclude submitting an application package by 
the application deadline. Applications will not be accepted after the 
due date. Delayed registration is not an acceptable justification for a 
late application.

[[Page 69356]]

    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, including those that are the result of a 
failure to register or comply with Grants.gov applicant requirements in 
a timely manner, will not be considered. If an applicant has not fully 
complied with the requirements by the submission deadline, the 
application will not be considered. To submit an application through 
Grants.gov, applicants must:
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, grantees, 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, grantees, and subrecipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award, including information on a grantee's immediate and 
highest level owner and subsidiaries, as well as on all predecessors 
that have been awarded a Federal contract or grant within the last 
three years, if applicable. Information about SAM registration 
procedures is available at www.sam.gov.
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 difficulty at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.

5. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no 
later than 5:00 p.m. ET, March 7, 2022. Applicants will receive a 
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov 
information on dates/times of applications submitted to determine 
timeliness of submissions. Late applications will be neither reviewed 
nor considered. Delayed registration is not an acceptable reason for 
late submission. To apply for funding under this announcement, all 
applicants are expected to be registered as an organization with 
Grants.gov. Applicants are strongly encouraged to apply early to ensure 
all materials are received before this deadline.
    To ensure a fair competition of limited discretionary funds, no 
late submissions will be reviewed for any reason, including: (1) 
Failure to complete the Grants.gov registration process before the 
deadline; (2) failure to follow Grants.gov instructions on how to 
register and apply as posted on its website; (3) failure to follow all 
the instructions in this NOFO; and (4) technical issues experienced 
with the applicant's computer or information technology environment.

6. Intergovernmental Review

    Intergovernmental Review is required for this program. Applicants 
must contact their State Single Point of Contact to comply with their 
state's process under Executive Order 12372.

7. 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 
FRA for pre-award activities to be eligible for reimbursement under the 
grant. Activities initiated prior to the execution of a grant or 
without FRA's written approval may be ineligible for reimbursement or 
matching contribution. Cost sharing or matching may be used only for 
authorized Federal award purposes.
    FRA is prohibited under 49 U.S.C. 22905(f) \5\ from providing 
Partnership Program grants for Commuter Rail Passenger Transportation. 
FRA's interpretation of this provision is informed by the language in 
49 U.S.C. 24911, and specifically the definitions of capital project in 
49 U.S.C. 24911(a)(2)(A) and (B). FRA's primary intent in funding 
Partnership Program projects is to make reasonable investments in 
Capital Projects for Intercity Rail Passenger Transportation. Such 
projects may be located on shared corridors where Commuter Rail 
Passenger Transportation and/or freight rail also benefit from the 
project.
---------------------------------------------------------------------------

    \5\ Under 49 U.S.C. 24911(i), Partnership grants are subject to 
the conditions in 49 U.S.C. 22905.

---------------------------------------------------------------------------

[[Page 69357]]

8. Other Submission Requirements

    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 Mr. Bryan Rodda, 
Office of Policy and Planning, Federal Railroad Administration, 1200 
New Jersey Avenue SE, Room W38-203, 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, explaining to FRA how to access files on a referenced website 
may also be sufficient.

    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.

D. Application Review Information

1. Criteria

a. Eligibility, Completeness, and Applicant Risk Review
    FRA will first screen each application for applicant and project 
eligibility (eligibility requirements are outlined in Section C of this 
notice), completeness (application documentation and submission 
requirements are outlined in Section D of this notice), applicant risk 
and the 20 percent minimum non-Federal match in determining whether the 
application is eligible.
    FRA will then consider applicant risk, including the applicant's 
past performance in developing and delivering similar projects and 
previous financial contributions, and if applicable, previous 
competitive grant technical evaluation ratings that the proposed 
project received under previous competitive grant programs administered 
by DOT.
b. Evaluation Criteria
    FRA will evaluate all eligible and complete applications using the 
evaluation criteria outlined in this section to determine technical 
merit and project benefits.
    i. Technical Merit: FRA will take into account--
    (A) The degree to which the tasks and subtasks outlined in the SOW 
are appropriate to achieve the expected outcomes of the proposed 
project;
    (B) The technical qualifications and demonstrated experience of key 
personnel proposed to lead and perform the technical efforts, and the 
qualifications of the primary and supporting organizations to fully and 
successfully execute the proposed project within the proposed timeframe 
and budget;
    (C) The degree to which the proposed project's business plan 
considers potential private sector participation in the financing, 
construction, or operation of the proposed project;
    (D) Whether the applicant has, or will have, the legal, financial, 
and technical capacity to carry out the project; satisfactory 
continuing control over the use of the equipment or facilities; and the 
capability and willingness to maintain the equipment or facilities;
    (E) The applicant's past performance in developing and delivering 
similar projects, and previous financial contributions;
    (F) Whether the project has completed necessary prerequisites and 
demonstrates strong project readiness; and
    (G) Whether the project is consistent with planning guidance and 
documents set forth by the Secretary of Transportation or required by 
law.
    ii. Project Benefits: FRA will take into account the benefit-cost 
analysis of the proposed project, including anticipated private and 
public benefits relative to the costs of the proposed project 
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.
c. Selection Criteria
    In addition to the eligibility and completeness review and the 
evaluation criteria outlined in this section, FRA will apply the 
following selection criteria:
    i. FRA will give preference to applications where:
    (A) Amtrak is not the sole applicant;
    (B) Applications were submitted jointly by multiple eligible 
applicants; and
    (C) The proposed Federal share of total project costs is 50 percent 
or less.
    ii. After applying the above preferences, FRA will take in account 
the following key DOT objectives:
    (A) Safety. DOT will assess the project's ability to foster a safe 
transportation system for the movement of goods and people, consistent 
with the Department's strategic goal to reduce transportation-related 
fatalities and serious injuries across the transportation system. Such 
considerations will include, but are not limited to, the extent to 
which the project improves safety at highway-rail grade crossings, 
reduces incidences of rail-related trespassing, and upgrades 
infrastructure to achieve a higher level of safety.
    (B) Equitable economic strength and improving core assets. DOT will 
assess the project's ability to contribute to economic progress 
stemming from infrastructure investment and associated creation of good 
jobs with fair wages, labor protections, and the opportunity to join a 
union. Such considerations will include, but are not limited to, the 
extent to which the project invests in vital infrastructure assets and 
provides opportunities for families to achieve economic security 
through rail industry employment.
    (C) Ensuring investments meet racial equity and economic inclusion 
goals. DOT will assess the project's ability to encourage racial equity 
by investing in projects that proactively address racial equity and 
barriers to opportunities. Such considerations will include, but are 
not limited to, the extent to which the project improves or expands 
transportation options, mitigates the safety risks and detrimental 
quality of life effects that rail lines can have on communities, and 
expands workforce development and training opportunities to foster a 
more diverse rail industry.
    (D) Resilience and addressing climate change. DOT will assess the 
project's ability to reduce the harmful effects of climate change and 
anticipate necessary improvements for preparedness. Such considerations 
will include, but are not limited to, the extent to which the project 
reduces emissions, promotes energy efficiency, increases resilience, 
and recycles or redevelops existing infrastructure.
    (E) Transformation of our nation's transportation infrastructure. 
DOT will assess the project's ability to expand and improve the 
nation's rail network, which needs to balance new infrastructure for 
increased capacity with proper maintenance of aging assets. Such 
considerations will include, but are not limited to, the extent to 
which the project adds capacity to congested corridors, builds new 
connections or attracts new users to passenger rail, and ensures assets 
will be improved to a state of good repair.
    iii. For NEC Projects, FRA will consider the appropriate sequence 
and phasing of projects as contained in the

[[Page 69358]]

Northeast Corridor capital investment plan developed pursuant to 49 
U.S.C. 24904(a).
    iv. In determining the allocation of program funds, FRA may also 
consider geographic diversity, diversity in the size of the systems 
receiving funding, and the applicant's receipt of other competitive 
awards.

2. Review and Selection Process

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

3. Reporting Matters Related to Integrity and Performance

    Before making a Federal award with a total amount of Federal share 
greater than the simplified acquisition threshold of $250,000 (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 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.

E. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press 
release and on FRA's website after the application review period. This 
announcement is FRA's notification to successful and unsuccessful 
applicants alike. FRA will contact applicants with successful 
applications after announcement with information and instructions about 
the award process. This notification is not an authorization to begin 
proposed project activities. FRA requires satisfaction of applicable 
requirements by the applicant and a formal agreement signed by both the 
grantee and the FRA, including an approved scope, schedule, and budget, 
before obligating the grant. See an example of standard terms and 
conditions for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is 
subject to revision.

2. Administrative and National Policy Requirements

    In connection with any program or activity conducted with or 
benefiting from funds awarded under this notice, grantees 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 DOT; and applicable Federal financial assistance and 
contracting principles promulgated by the Office of Management and 
Budget. In complying with these requirements, grantees, in particular, 
must ensure that no concession agreements are denied or other 
contracting decisions made on the basis of speech or other activities 
protected by the First Amendment. If DOT determines that a grantee has 
failed to comply with applicable Federal requirements, DOT may 
terminate the award of funds and disallow previously incurred costs, 
requiring the grantee to reimburse any expended award funds.
    Examples of administrative and national policy requirements 
include: 2 CFR part 200; procurement standards at 2 CFR part 200 
Subpart D--Procurement Standards; 2 CFR 1207.317 and 2 CFR 200.401; 
compliance with Federal civil rights laws and regulations; 
disadvantaged business enterprises requirements; debarment and 
suspension requirements; drug-free workplace requirements; FRA's and 
OMB's Assurances and Certifications; Americans with Disabilities Act; 
safety requirements; NEPA; environmental justice requirements; and 
compliance with 49 U.S.C. 24905(c)(2) for the duration of NEC Projects. 
Unless otherwise stated in statutory or legislative authority, or 
appropriations language, all financial assistance awards follow the 
Uniform Administrative Requirements, Cost Principles and Audit 
Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part 1201.
    Assistance under this NOFO is subject to the grant conditions in 49 
U.S.C. 22905 including the Buy America requirements, protective 
arrangements that are equivalent to the protective arrangements 
established under section 504 of the Railroad Revitalization and 
Regulatory Reform Act of 1976 (45 U.S.C. 836) with respect to employees 
affected by actions taken in connection with the project to be financed 
in whole or in part by grants under this chapter, the provision deeming 
operators rail carriers and employers for certain purposes, and grantee 
agreements with railroad right-of-way owners for projects using 
railroad rights-of-way (see D.2.b.xi). More information about FRA's Buy 
America requirements is available at: https://railroads.dot.gov/legislation-regulations/buy-america/buy-america.
    Grantees must comply with applicable appropriations act 
requirements and all relevant requirements of 2 CFR part 200. Rights to 
intangible property under grants awarded under this NOFO are governed 
in accordance with 2 CFR 200.315. See an example of standard terms and 
conditions for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is 
subject to revision.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with 
all standard FRA reporting requirements, including quarterly progress 
reports, quarterly Federal financial reports, and interim and final 
performance reports, as well as all applicable auditing, monitoring and 
close out requirements. Reports may be submitted electronically. 
Pursuant to 2 CFR 170.210, non-Federal entities applying under this 
NOFO must have the necessary processes and systems in place to comply 
with the reporting requirements should they receive Federal funding.

[[Page 69359]]

b. Additional Reporting
    Applicants selected for funding are required to comply with all 
reporting requirements in the standard terms and conditions for FRA 
grant awards including 2 CFR 180.335 and 2 CFR 180.350.
    If the Federal share of any Federal award under this NOFO may 
include more than $500,000 over the period of performance, applicants 
are informed of the post award reporting requirements reflected in 2 
CFR part 200, Appendix XII--Award Term and Condition for Recipient 
Integrity and Performance Matters.
c. Performance Reporting
    Each applicant selected for funding must collect information and 
report on the project's performance using measures mutually agreed upon 
by FRA and the grantee to assess progress in achieving strategic goals 
and objectives. Examples of some rail performance measures are listed 
in the table below. The applicable measure(s) will depend upon the type 
of project. Applicants requesting funding for rolling stock must 
integrate at least one equipment/rolling stock performance measure, 
consistent with the grantee's application materials and program goals.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Performance measure
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Primary strategic       Secondary
          Rail measures              Unit measured            Temporal                goal           strategic goal               Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Slow Order Miles................  Miles.............  Annual.................  State of Good       Safety............  The number of miles per year
                                                                                Repair.                                 within the project area that
                                                                                                                        have temporary speed
                                                                                                                        restrictions (``slow orders'')
                                                                                                                        imposed due to track condition.
                                                                                                                        This is an indicator of the
                                                                                                                        overall condition of track. This
                                                                                                                        measure can be used for projects
                                                                                                                        to rehabilitate sections of a
                                                                                                                        rail line since the
                                                                                                                        rehabilitation should eliminate,
                                                                                                                        or at least reduce the slow
                                                                                                                        orders upon project completion.
Rail Track Grade Separation.....  Count.............  Annual.................  Economic            Safety............  The number of annual automobile
                                                                                Competitiveness.                        crossings that are eliminated at
                                                                                                                        an at-grade crossing as a result
                                                                                                                        of a new grade separation.
Passenger Counts................  Count.............  Annual.................  Economic            State of Good       Count of the annual passenger
                                                                                Competitiveness.    Repair.             boardings and alightings at
                                                                                                                        stations within the project
                                                                                                                        area.
Travel Time.....................  Time/Trip.........  Annual.................  Economic            Quality of Life...  Point-to-point travel times
                                                                                Competitiveness.                        between pre-determined station
                                                                                                                        stops within the project area.
                                                                                                                        This measure demonstrates how
                                                                                                                        track improvements and other
                                                                                                                        upgrades improve operations on a
                                                                                                                        rail line. It also helps make
                                                                                                                        sure the railroad is maintaining
                                                                                                                        the line after project
                                                                                                                        completion.
Track Miles.....................  Miles.............  One Time...............  State of Good       Economic            The number of track miles that
                                                                                Repair.             Competitiveness.    exist within the project area.
                                                                                                                        This measure can be beneficial
                                                                                                                        for projects building sidings or
                                                                                                                        sections of additional main line
                                                                                                                        track on a railroad.
--------------------------------------------------------------------------------------------------------------------------------------------------------

d. Federal Awarding Agency Contacts
    For further information related to this notice, please contact Mr. 
Bryan Rodda, Office of Policy and Planning, Federal Railroad 
Administration, 1200 New Jersey Avenue SE, Room W38-203, Washington, DC 
20590; email: [email protected]; phone: 202-493-0443
e. Other Information
    All information submitted as part of or in support of any 
application shall use publicly available data or data that can be made 
public and methodologies that are accepted by industry practice and 
standards, to the extent possible. If the application includes 
information the applicant considers to be a trade secret or 
confidential commercial or financial information, the applicant should 
do the following: (1) Note on the front cover that the submission 
``Contains Confidential Business Information (CBI)''; (2) mark each 
affected page ``CBI''; and (3) highlight or otherwise denote the CBI 
portions.
    The DOT regulations implementing the Freedom of Information Act 
(FOIA) are found at 49 CFR part 7 Subpart C--Availability of Reasonably 
Described Records under the Freedom of Information Act which sets forth 
rules for FRA to make requested materials, information, and records 
publicly available under FOIA. Unless prohibited by law and to the 
extent permitted under the FOIA, contents of application and proposals 
submitted by successful applicants may be released in response to FOIA 
requests. In addition, following the completion of the selection 
process and announcement of awards, FRA may publish a list of all 
applications received along with the names of the applicant 
organizations and funding amounts requested. Except for information 
withheld under the previous paragraph, FRA may also make application 
narratives publicly available or share application information within 
DOT or with other Federal agencies if FRA determines that sharing is 
relevant to the respective program's objectives.

    Issued in Washington, DC.
Amitabha Bose,
Deputy Administrator.
[FR Doc. 2021-26457 Filed 12-6-21; 8:45 am]
BILLING CODE 4910-06-P


