[Federal Register Volume 87, Number 247 (Tuesday, December 27, 2022)]
[Notices]
[Pages 79421-79438]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-28034]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for Projects Located on the 
Northeast Corridor for the Federal-State Partnership for Intercity 
Passenger Rail 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 projects located on the 
Northeast Corridor (NEC) under the Federal-State Partnership for 
Intercity Passenger Rail Program (FSP Program) for Fiscal Year 2022 and 
2023. This notice solicits applications for FSP Program funds made 
available by the Consolidated Appropriations Act, 2022, and Division J 
of the Infrastructure Investment and Jobs Act (IIJA). The opportunity 
described in this notice is made available under Assistance Listings 
Number 20.326, ``Federal-State Partnership for Intercity Passenger 
Rail.''

DATES: Applications for funding under this solicitation are due no 
later than 5 p.m. ET, March 27, 2023. Applications that are incomplete 
or received after 5 p.m. ET, on March 27, 2023 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 Amtrak and Northeast Corridor 
Program Delivery, 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 the FRA NOFO Support program staff via [email protected]. If additional assistance is needed, you may 
contact Mr. Bryan Rodda, Office of Amtrak and Northeast Corridor 
Program Delivery, Federal Railroad Administration, 1200 New Jersey 
Avenue SE, Room W38-203, Washington, DC 20590; email: 
[email protected]; telephone: 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

    The IIJA provided distinct FSP program selection criteria for 
projects located on the Northeast Corridor (NEC) and for projects not 
located on the NEC. For projects located on the NEC, the law requires 
projects to be selected for FSP program funds consistent with the 
Northeast Corridor Project Inventory (NEC Project Inventory). FRA 
published the NEC Project Inventory on November 15, 2022; the NEC 
Project Inventory can be found at https://railroads.dot.gov/elibrary/nec-inventory. This Notice solicits applications for the Major Backlog, 
Capital Renewal, Improvement, and Stations projects and Planning 
Studies identified on the NEC Project Inventory; it describes available 
FSP Program funding, application submission requirements, and the 
selection and evaluation criteria (FSP-NEC NOFO). For projects located 
off the NEC, FRA has published a separate notice on December 7, 2022, 
and those projects are not eligible for funding under this 
announcement. Under this Notice, FRA will make selections consistent 
with the NEC Project Inventory and only projects on the NEC

[[Page 79422]]

Project Inventory for which an application is submitted under this NOFO 
will be considered for award.
    Our nation's rail network is a critical component of the U.S. 
transportation system and economy. The FSP Program provides a Federal 
funding opportunity to improve American intercity passenger rail 
infrastructure by funding projects that reduce the state of good repair 
backlog, improve performance, or expand or establish new intercity 
passenger rail service, including privately operated intercity 
passenger rail service if an eligible applicant is involved. Consistent 
with the NEC Project Inventory, FRA's first priority will be selecting 
Major Backlog projects and Planning Studies. FRA's second priority will 
be selecting other projects in or beginning the Final Design or 
Construction Lifecycle Stages within the Inventory Period.
    The FSP Program is authorized in sections 22106 and 22307 of the 
IIJA, codified at 49 U.S.C. 24911, and this NOFO is funded by IIJA 
supplemental appropriations as provided in Title VIII of Division J of 
IIJA (Supplemental Appropriations), and the Consolidated Appropriations 
Act, 2022 (Pub. L. 117-103) (Appropriations Act). The opportunity 
described in this notice is made available under Assistance Listings 
Number 20.326, ``Federal-State Partnership for Intercity Passenger 
Rail.''
    Discretionary grant awards, funded through the FSP-NEC NOFO, will 
support projects that improve safety, economic strength and global 
competitiveness, equity, climate and sustainability, and 
transformation, consistent with the U.S. Department of Transportation's 
(DOT) strategic goals.\1\ Section E of this NOFO, which outlines the 
grant selection criteria, describes the process for selecting projects 
that further these goals. Section F of this NOFO provides further 
details on the Administration and National Policy Requirements to meet 
these goals and describes progress and performance reporting 
requirements for selected projects.
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    \1\ DOT Strategic Plan FY 2022-2026 (March 2022) at https://www.transportation.gov/sites/dot.gov/files/2022-04/US_DOT_FY2022-26_Strategic_Plan.pdf.
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2. Definitions of Key Terms

    Terms defined in this section are capitalized throughout this 
notice. Some definitions have been updated from those published in the 
NEC Project Inventory.
    a. ``Capital Cost Estimate'' means an estimate of the cost to 
implement the Capital Project inclusive of Project Development through 
completion of Construction that accounts for risk to the cost elements 
and the schedule to complete the project.
    b. ``Capital Project'' means a project for acquiring, constructing, 
improving or inspecting rail equipment, track and track structures, or 
a rail facility, including expenses incidental to the acquisition or 
construction including pre-construction activities (such as designing, 
engineering, location surveying, mapping, acquiring rights-of-way) and 
related relocation costs, environmental studies and all work necessary 
for FRA to approve the project under the National Environmental Policy 
Act; highway-rail grade crossing improvements; communication and 
signalization improvements; and rehabilitating, remanufacturing or 
overhauling rail rolling stock and rail facilities.
    c. ``Commuter Rail Passenger Transportation'' means short-haul rail 
passenger transportation in metropolitan and suburban areas usually 
having reduced fare, multiple rides, and commuter tickets and morning 
and evening peak period operations, consistent with 49 U.S.C. 24102(3); 
the term does not include rapid transit operations in an urban area 
that are not connected to the general railroad system of 
transportation.
    d. ``Construction'' means the Lifecycle Stage of a Capital Project 
when physical production of fixed works and structures, or substantial 
alterations to such structures or land, or production of vehicles and 
equipment are accomplished and commissioned for operational use. 
Construction includes associated project administration, test of 
equipment as appropriate, systems integration testing, workforce 
training, system certification, procurement of insurance, pre-revenue 
service, start-up testing, and other related costs.
    e. ``Final Design (FD)'' means the Capital Project Lifecycle Stage 
when final design and engineering plans and specifications necessary 
for the Construction stage is completed, and at a minimum, includes (1) 
the preparation of final design plans consistent with the applicable 
environmental decision document, and detailed specifications, (2) the 
preparation of an updated Project Management Plan, (3) preparation of 
an updated project schedule, Capital Cost Estimate, and other necessary 
plans that may include a financial plan for Major Capital Projects, 
sufficiently detailed to inform decision makers of the actions required 
to advance the project through completion of Final Design and 
Construction. FD may include early construction or relocations and 
procure equipment and materials during the final design stage, when 
such work is permissible under applicable law, and may be combined with 
Construction with the use of alternative delivery methods.
    f. ``Improvement'' means repair or enhancement to existing rail 
infrastructure, equipment, or facility, or construction of new rail 
infrastructure, equipment or facilities, that results in efficiency of 
the rail system and the safety of those affected by the system.
    g. ``Inventory Period'' means the two-year period starting on the 
date the applicable Northeast Corridor Project Inventory was published.
    h. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except commuter rail passenger transportation. See 49 
U.S.C. 24911(a)(3). In this notice, ``Intercity Passenger Rail 
Service'' and ``Intercity Passenger Rail Transportation'' are 
equivalent terms to ``Intercity Rail Passenger Transportation.''
    i. ``Lifecycle Stage'' means each of the consecutive stages of a 
Capital Project as it is developed and implemented that include Systems 
Planning, Project Planning, Project Development, Final Design, 
Construction, and Operation. Each sequential stage involves specific 
activities. FRA evaluates project readiness for a Lifecycle Stage when 
considering a project for funding.
    j. ``Major Capital Project'' means a Capital Project with a Capital 
Cost Estimate of $500 million and with at least $100 million in federal 
assistance under the FSP Program.
    k. ``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://railroads.dot.gov/rail-network-development/environment/environment.

[[Page 79423]]

    l. ``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)(3).
    m. ``NEC Planning Documents'' means the Northeast Corridor 
Commission's CONNECT NEC 2035 and the FY 2023-2027 Northeast Corridor 
Capital Improvement Plan.
    n. ``Planning Studies'' are those projects which include only 
planning activities such as railroad transportation market forecasting, 
operations analysis, fleet planning, cost analysis, station and 
facility planning, environmental resource consideration, and other 
similar activities. Planning Studies are planning activities without 
association to construction of a specific Capital Project in their 
current form.
    o. ``Project Development'' means the Capital Project Lifecycle 
Stage during which (1) the environmental review process required under 
NEPA and other related environmental laws is completed, and the 
permitting processes is advanced as appropriate; (2) preliminary 
engineering and other preliminary design is completed to support the 
environmental review and preparation of estimates of risk, costs, 
benefits and impacts; (3) a Project Management Plan is prepared that, 
among other things, identifies procurement requirements and strategies; 
(4) preparation of the detailed project schedule and cost estimate; and 
(5) preparation of a financial plan for Major Projects and other 
necessary plans.
    p. ``Project Planning'' means the Capital Project Lifecycle Stage 
during which the Project Sponsor (1) identifies capital project 
concepts to address transportation needs and opportunities; (2) 
identifies and compares costs, benefits and impacts of project options; 
and (3) identifies the impacted environmental resources and engages 
with interested parties, agencies and infrastructure owners.
    q. ``Project Management Plan'' means a document, prepared in 
accordance with guidance, that describes how the Capital Project will 
be implemented, monitored, and controlled to help the applicant 
effectively, efficiently, and safely deliver the project on-time, 
within-budget, and at the highest appropriate quality.
    r. ``Preliminary Engineering (PE)'' means engineering design to 
define a Capital Project, including identification of all environmental 
impacts and design of all critical project elements at a level 
sufficient to assure reliable cost estimates and schedules. The PE 
development process starts with specific project design alternatives 
that allow for the assessment of a range of rail improvements, specific 
alignments, and project designs.
    s. ``Risk Assessment'' means the Major Capital Project cost and 
schedule risk assessment is an unbiased, risk-based, probabilistic 
analysis that verifies the accuracy and reasonableness of the current 
cost estimate and schedule and results in a probability range that 
represents the project's cost. It also documents how the estimate 
accounts for the range of potential costs associated with project 
uncertainties.
    t. ``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 up to 
$8,979,150,000 made available by Supplemental Appropriations and the 
Appropriations Act, as follows:
    a. Up to $8,928,000,000 in Supplemental Appropriations: IIJA 
provided $36,000,000,000 in Supplemental Appropriations for the FSP 
Program, with not more than $24,000,000,000 made available for projects 
for the NEC ($4,800,000,000 made available per year for fiscal years 
2022 through 2026). After the funding set aside for FRA award and 
project management oversight and the planning and development 
activities authorized at 49 U.S.C. 24911(k), up to $8,928,000,000 in 
funding made available for fiscal years 2022 and 2023 is available for 
FSP awards under this NOFO.
    b. Up to $51,150,000 in fiscal year 2022 annual appropriations: The 
Appropriations Act provided $100,000,000 for the FSP Program. 
Consistent with 49 U.S.C. 24911(d)(3), a minimum of 45 percent and a 
maximum of 55 percent of this amount is for projects for the NEC. After 
the funding set aside for FRA award and project management oversight 
and the planning and development activities authorized at 49 U.S.C. 
24911(k), at least $41,850,000 and up to $51,150,000 in fiscal year 
2022 annual funding is made available for FSP awards under this NOFO.
    Should additional funds become available after the release of this 
FSP-NEC 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 intends to make selections consistent with the NEC Project 
Inventory, subject to the application and evaluation process. FRA 
anticipates making multiple awards with the available funding. FRA may 
not be able to award grants to all eligible applications even if they 
meet or exceed the stated evaluation criteria (see Section E, 
Application Review Information). 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 for more information).

3. Award Type

a. Grants and Cooperative Agreements
    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 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

[[Page 79424]]

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.
b. Letters of Intent and Phased Funding Agreements
    FRA may issue Letters of Intent (LOI) or Phased Funding Agreements 
(PFA) to FSP applicants proposing Major Capital Projects. Applications 
for a Major Capital Project who are seeking an LOI or PFA must request 
an LOI or PFA in the Project Narrative and provide the additional 
information required in Section D.2.a.iii. FRA may independently 
determine that a project is appropriate for an LOI or PFA. FRA may also 
determine that a grant or cooperative agreement is the more appropriate 
funding vehicle for the project, or component of the project, even if a 
LOI or PFA is requested.
    An LOI, authorized at 49 U.S.C. 24911(g)(1), is a letter from FRA 
to a grantee announcing an intention to obligate an amount to the 
grantee's Major Capital Project from future budget authority. LOIs are 
contingent commitments and not binding obligations of the Federal 
government. FRA intends to use LOIs to demonstrate its intent to 
provide future Final Design and Construction Lifecycle Stage funding 
for Major Capital Projects assuming successful completion of Project 
Planning and Project Development Lifecycles for the project. FRA 
therefore anticipates issuing LOIs primarily to projects currently in, 
or beginning, the Project Development Lifecycle Stage. In issuing an 
LOI, FRA may outline conditions or define readiness thresholds that the 
grantee may use to inform future funding requests for FSP funds.
    A PFA, authorized at 49 U.S.C. 24911(g)(2), is an agreement 
associated with the obligation of an initial grant award under the 
Partnership Program. FRA may only enter into a PFA for highly rated 
Major Capital Projects. A PFA shall: (1) establish the terms of 
participation by the Federal Government in the project; (2) establish 
the maximum amount of Federal financial assistance for the project; (3) 
include the period of time for completing the project, even if such 
period extends beyond the period for which Federal financial assistance 
is authorized; and (4) make timely and efficient management of the 
project easier in accordance with Federal law.\2\ FRA anticipates 
limiting the use of PFAs to applications that include funding for the 
Construction Lifecycle Stage and are scheduled to enter the Final 
Design or Construction Lifecycle Stage within the Inventory Period. 
PFAs are contingent commitments and are not financial obligations of 
the Federal government. However, unlike LOIs, PFAs are agreements 
relating to the obligation of future funds in which FRA commits to 
provide funding as specified in the PFA, and subject to appropriation, 
for the duration of the project, as long as the grantee continues to 
meet the terms of the PFA. For a project with a PFA, FRA will provide 
grant funding in phases consistent with the terms of the PFA and within 
the established maximum amount of Federal financial assistance for the 
project.
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    \2\ Generally, prior to receiving a PFA, the project sponsor 
must complete the process for complying with the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and 
related environmental laws for the project.
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c. 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 capital 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 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\
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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, acting on its own behalf or under a cooperative 
agreement with one or more States;
    (7) a federally recognized Indian Tribe, or
    (8) any combination of the entities described in (1) through (7).
    The applicant is considered the project sponsor and will be the 
primary point of contact for the application, and if selected, the 
grantee of the FSP Program award.\4\ If a joint application is 
submitted under (8) above, one of the submitting applicants must be 
identified as the lead applicant to serve as the primary point of 
contact for the application, and if selected, as the grantee of the FSP 
Program award.
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    \4\ In this NOFO, the terms ``applicant'' and ``project 
sponsor'' are used interchangeably.
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    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). Applications may 
reference entities that are not eligible applicants (e.g., a private 
intercity passenger rail operator) in an application as a partner in 
project funding or implementation, but ineligible entities may not be 
the lead applicant nor, if selected, the grantee. If the applicant 
intends to partner with an ineligible entity, that intention should be 
made clear in the application and a letter of support from the 
ineligible entity outlining its roles and responsibilities for the 
project must be included in the application. Eligible applicants who 
partner with private operators of intercity passenger rail will be the 
primary point of contact and the primary recipient of the award and 
therefore will be responsible for administering and managing Federal 
funds and ultimately delivering the project. Eligible applicants must 
have necessary agreements to implement, manage, and oversee the project 
with all appropriate parties and submit these agreements as supporting 
documents with their application.

2. Cost Sharing or Matching

    FRA will evaluate the application based on the amount of Federal 
funds for the project requested in the application.\5\ The Federal 
share of total

[[Page 79425]]

costs for FSP projects funded under this notice shall not exceed 80 
percent. As stated in the NEC Project Inventory, FRA will generally 
fund Planning and Major Backlog projects applying under this notice up 
to 80 percent Federal share. FRA will generally fund Capital Renewal, 
Stations and Improvement projects applying under this notice between 50 
and 80 percent Federal share. FRA will favorably consider a higher 
Federal share, within this range, for: i) projects that primarily 
repair, replace, or rehabilitate railroad assets such as track, 
structures, electric traction and power systems, and communication and 
signal systems, to bring such assets into a state of good repair, and 
ii) intercity passenger rail projects or projects that improve rail 
service consistent with 49 U.S.C. 24911(c)(2) and provide a high 
proportion of intercity passenger rail benefit relative to overall 
project benefits. Additionally, in preparing the Capital Cost Estimate, 
applicants should, as appropriate, consult available FRA guidance, 
including FRA's cost estimate guidance documentation, ``Capital Cost 
Estimating: Guidance for Project Sponsors''.\6\
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    \5\ If an applicant's cost share agreement demonstrates the 
commitment of more non-Federal dollars than proposed in the 
application, the applicant should note the distinction and confirm 
that the difference was intentional.
    \6\ The ``Capital Cost Estimating: Guidance for Project 
Sponsors,'' is available at: https://www.fra.dot.gov/Page/P0926.
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    The non-Federal share may be comprised of public sector (e.g., 
State or local) or private sector funding. FRA will not consider any 
Federal financial assistance, or any non-Federal funds already expended 
(or otherwise encumbered) toward the matching requirement, unless 
compliant with 2 CFR part 200.\7\ If repaid from non-Federal sources, 
Federal credit assistance is considered non-Federal share. 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 part 200.306.
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    \7\ See Section D(2)(a)(iii) for supporting information required 
to demonstrate eligibility of Federal funds for use as match.
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    If Amtrak is an applicant, Amtrak may use its ticket and other non-
Federal revenues generated from its operations and other sources as 
well as funding provided by the Supplemental Appropriations under the 
heading ``Northeast Corridor Grants to the National Railroad Passenger 
Corporation'' 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(5)). Cost 
sharing or matching may be used only for authorized Federal award 
purposes.

3. Other

a. Project Eligibility
    Only projects on the NEC Project Inventory for which an application 
is submitted under this NOFO will be considered for award. The 
following capital projects, including acquisition of real property 
interests, are eligible:
    (1) A project to replace, rehabilitate, or repair infrastructure, 
equipment,\8\ or a facility used for providing intercity passenger rail 
service to bring such assets into a state of good repair.
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    \8\ The location of the equipment's primary use will determine 
whether it is a project located on the NEC.
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    (2) A project to improve intercity passenger rail service 
performance, including reduced trip times, increased train frequencies, 
higher operating speeds, improved reliability, expanded capacity, 
reduced congestion, electrification, and other improvements, as 
determined by the Secretary.
    (3) A project to expand or establish new intercity passenger rail 
service.
    (4) A group of related projects described in paragraphs (1) through 
(3).
    (5) The planning, environmental studies, and Final Design for a 
project or group of projects described in paragraphs (1) through (4).
    For projects that are on a shared corridor with Commuter Railroad 
Passenger Transportation or freight transportation, applicants must 
clearly demonstrate how the proposed project benefits Intercity 
Passenger Rail Transportation and that funding the proposed project 
would be a reasonable investment in Intercity Passenger Rail 
Transportation, independent and separate from consideration of the 
proposed project's benefits to other transportation purposes. A project 
that uses rolling stock or equipment originating from a ``country of 
concern'' or from a state-owned enterprise, as those terms are defined 
under Sec. 49 U.S.C. 20171, is ineligible.
    Capital Projects, as further defined in Section A(2), may include 
the acquisition of real property interests, Project Planning, Project 
Development, Final Design, and Construction. Pre-Construction 
activities are eligible for funding independently or in conjunction 
with proposed funding for construction.
b. Application Tracks
    Applicants are not limited in the number of applications for which 
they seek funding. FRA expects that applications identify only one of 
the following tracks for an eligible project: Track 1--Planning Studies 
and Project Planning; Track 2--Project Development; Track 3--Final 
Design (FD) and Construction.
    i. Track 1--Planning Studies and Project Planning:
    Planning Studies include planning activities (with no associated 
construction), and examples include: railroad transportation market 
forecasting, conceptual design activities (e.g., operations analysis, 
establishing the type and scope of capital improvements), fleet 
planning, cost analysis, station and facility planning, environmental 
resource consideration (e.g., development of a purpose and need 
statement, preliminary alternatives analysis, identification of 
environmental resources and analysis of potential environmental 
effects), and other similar activities. Project Planning includes 
planning specific to a Capital Project. Examples include the 
development of a purpose and need study for a proposed capital project; 
development of conceptual design concepts that establish the type and 
scope of identified capital improvements; an alternative analysis 
identifying the costs, benefits, service option, and methodology for 
eliminating preliminary project alternatives; an environmental analysis 
that addresses resources and potential environmental effects both to 
natural and the human environment.
    ii. Track 2--Project Development:
    Track 2 consists of projects for eligible Project Development 
activities. Project development includes design, environmental and 
other studies to ensure the project is ready for Final Design and 
Construction. Examples include: PE activities such as development of PE 
drawings and specifications (scale drawings at the 30 percent design 
level, including track geometry as appropriate), design criteria, 
schematics and/or track charts that support the development of PE; work 
that can be funded in conjunction with developing PE, such as 
operations

[[Page 79426]]

modeling, surveying, project work/management plans, preliminary cost 
estimates, and preliminary project schedules; and activities required 
to complete review under NEPA and associated laws, to advance 
permitting processes as appropriate, and to inform economic benefits 
assessments. Project Development activities funded under this NOFO 
should result in capital projects that are sufficiently developed to 
support FD or Construction activities, including with respect to 
equipment.
    iii. Track 3--FD, FD/Construction, or Construction:
    Track 3 consists of projects for eligible FD and/or Construction, 
and project implementation and deployment activities, including with 
respect to equipment. Applicants must complete all necessary Project 
Planning and Project Development requirements for FD/Construction 
projects. FD funded under this track must resolve remaining 
uncertainties or risks associated with the design and scope of the 
Capital Project; address procurement processes; and update and refine 
the schedule, cost estimate, and plans for financing the project to 
reflect accurately the expected year-of expenditure costs and cash flow 
projections. Prior to obligation, applicants selected for funding for 
FD/Construction or Construction only must demonstrate the following to 
FRA's satisfaction: (A) PE is completed for the proposed project, 
resulting in project designs that are reasonably expected to conform to 
all regulatory, safety, security, and other design requirements, 
including those under the Americans with Disabilities Act (ADA); (B) 
NEPA is completed for the proposed project; (C) the applicant has 
entered into the appropriate agreements with key project partners, 
including infrastructure-owning entities; and (D) a Project Management 
Plan is complete and up-to-date for managing the implementation of the 
proposed project, including the management and mitigation of project 
risks.

D. Application and Submission Information

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

1. Address To Request Application Package

    Applicants may access application materials at https://www.Grants.gov and must submit all application materials in their 
entirety through https://www.Grants.gov no later than 5 p.m. ET, on 
March 27, 2023. Applicants must complete an Authorized Organization 
Representative (AOR) profile on www.Grants.gov and create a username 
and password. Additional information about the registration process is 
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
    Applicants are strongly encouraged to apply early to ensure that 
all materials are received before the application deadline. FRA 
reserves the right to modify this deadline. General information for 
submitting applications through Grants.gov can be found at: https://railroads.dot.gov/grant-administration/applying-grants/competitive-grants-application-process.
    FRA is committed to ensuring that information is available in 
appropriate alternative formats to meet the requirements of persons who 
have a disability. If you require an alternative version of files 
provided, please contact Laura Mahoney, Office of the Chief Financial 
Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Washington, DC 20590; email: [email protected]; telephone: 202-578-
9337.
    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.
    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: https://www.grants.gov/web/grants/applicants/apply-for-grants.html.

2. Content and Form of Application Submission

    FRA strongly advises applicants to read this section carefully. 
Applicants must submit all required information and components of the 
application package to be considered for funding. Applications that are 
not submitted on time or do not contain all required documentation will 
not be considered for funding. To support the application, applicants 
may provide other relevant and available optional supporting 
documentation that may have been developed by the applicant, especially 
such documentation that demonstrates completion of appropriate 
Lifecycle Stage(s) of a Capital Project. Additionally, applicants 
selected to receive funding must satisfy the requirements in 49 U.S.C. 
229003 and 22905, including FRA's Buy America requirement and 
conditions explained in part at https://www.fra.dot.gov/page/P0185 and 
further in section F.2 of this notice.
    All forms needed for the electronic application process are at 
www.Grants.gov. Applicants must submit the following with their 
application packages. The required attachments and Grants.Gov generated 
forms are outlined in the checklists below. Applications that do not 
complete and submit each of the required documents below will be 
considered incomplete and will not be reviewed.

Required Attachments

1. Project Narrative (see D.2.a)
2. Grant Template Attachments 2-5 (see D.2.b.i)
3. Funding Commitment Supporting Documentation (see D.2.a.iii)
4. Financial Plan or Funding Plan (see D.2.a.x.B.3)
5. Draft Agreement required under 49 U.S.C. 22905(c)(1), if applicable 
(see D.2.b.ii)

Grants.Gov Generated Forms Required (MUST BE SIGNED)

A. SF424--Application for Federal Assistance
B. SF 424A--Budget Information for Non-Construction (for an equipment 
procurement project or non-Construction project) OR SF 424C--Budget 
Information for Construction
C. FRA's F 251--Applicant Financial Capability Questionnaire
D. FRA's F 30--Certifications Regarding Debarment, Suspension and Other 
Responsibility Matters, Drug-Free Workplace Requirements and Lobbying
E. SF LLL--If reportable lobbying activities exist, Certification 
Regarding Debarment, Suspension and Other Responsibility Matters, Drug 
Free Workplace Requirements and Disclosure of Lobbying Activities
F. SF 424B--Assurances for Non-Construction (for an equipment 
procurement project or non-

[[Page 79427]]

Construction project) OR SF 424D--Assurances for Construction
a. Project Narrative
    This section describes the minimum content required in the Project 
Narrative. The Project Narrative must follow the basic outline below to 
address the program requirements and assist evaluators in locating 
relevant information.

i. Cover Page.............................  See D.2.a.i.
ii. Project Summary.......................  See D.2.a.ii.
iii. Project Funding......................  See D.2.a.iii.
iv. Applicant Eligibility 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. Grade Crossing Information, if        See D.2.a.viii.
 applicable.
ix. Statutory Criteria....................  See D.2.a.ix.
x. Evaluation and Selection Criteria......  See D.2.a.x.
 

    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 page, table of contents, and 
supporting documentation). FRA will not review or consider any pages 
within the 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 relevant portion of the supporting 
document with the page numbers of the cited information in the Project 
Narrative. The Project Narrative must adhere to the following outline.
    i. Cover Page: Include a cover page that lists the following 
elements in either a table or formatted list:

------------------------------------------------------------------------
                  Project Name
------------------------------------------------------------------------
Lead Applicant Name/Project Sponsor.
Amount of Federal Funding Requested in this
 Application.
Proposed Non-Federal Match.
Total Project Cost/Total Project Cost For         $_/$_
 Lifecycle Stage beginning by 2024.
LOI/PFA Requested?..............................  Yes/No.
If PFA Funding Requested, Provide Amount of:
    --Request under this NOFO for initial         Initial Obligation:
     obligation.
    --Request under this NOFO for scheduled       Total Future
     obligations under a PFA (This equals the      Obligations:
     remaining amount of the Total Project
     Cost.).
The above amounts combined should equal the
 Total Project Cost.
If LOI Requested, Provide Amount of:
    --Request under this NOFO for obligation and  Obligation Amount:
    --Requested amount under LOI which may be     LOI Amount:
     applied for under future NOFOs (This may or
     may not equal the remaining amount of the
     Total Project Cost.).
Was a Federal Grant Application Previously        Yes/No.
 Submitted for this Project?.
If Yes, State the Name of the Federal Grant       Federal Grant Program:
 Program and Title of the Project in the
 Previous Application.
Current Project Lifecycle Stage.
Project Lifecycle Stage(s) to be Funded in this
 Application.
Intercity Passenger Rail Service(s) Benefiting
 from the Project.
For shared benefit projects, identify the
 Commuter Rail Passenger Transportation
 service(s) benefiting from the project.
Infrastructure Owner(s) of Project Assets.
City(-ies), State(s) Where the Project is
 Located.
Congressional District(s) Where the Project is
 Located.
------------------------------------------------------------------------

    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:
    a. Indicate in table format the amount of Federal funding requested 
under this NOFO, the proposed non-Federal match, and total project cost 
based on the Capital Cost Estimate. Applications for a Major Capital 
Project seeking funding for Construction, must include the remaining 
budget needed to complete the Construction Lifecycle Stage, whether or 
not the applicant is seeking a PFA. Applications for a Major Capital 
Project seeking funding for Project Development must distinguish the 
amount requested under this NOFO and the amount for the LOI to be 
requested under future NOFOs. The Capital Cost Estimate must be based 
on the best available information as indicated in cited references that 
include engineering studies, economic feasibility studies, 
environmental analyses, and information on the expected use of 
equipment or facilities.
    Identify the source(s) of matching and other funds, and clearly and 
distinctly reflect these funds as part of the total project cost in the 
application budget. Include funding commitment letters outlining 
funding agreements, as attachments or in an appendix. Funding 
commitments must be signed by an authorized representative of the 
entity providing a non-Federal match. If Federal funding is proposed as 
match, demonstrate the applicant's determination of eligibility for 
such use, and the legal basis for that determination. Also, note if the 
requested Federal funding under this NOFO or other programs must be 
obligated or spent by a certain date due to dependencies or 
relationships with other Federal or non-Federal funding sources, 
related projects, law, or other factors. If applicable, provide the 
type and estimated value of any proposed in-kind contributions, as well 
as substantiate how the contributions meet the requirements in 2 CFR 
200.306.
    Finally, specify whether Federal funding for the project has 
previously been sought, and identify the Federal program and fiscal 
year of the funding request(s), as well as highlight new or revised 
information in the FSP application that differs from the application(s) 
to other financial assistance programs. FRA may not award more funding 
for a project than is requested in an application.
    b. Example Project Funding Tables:
    The following tables provide examples of how applicants may provide 
project funding information. All applicants should provide the 
information requested in Table 1 and Table 2. Only applicants with 
Major Capital Projects are required to provide the information 
requested in all three

[[Page 79428]]

tables. Applicants may provide additional rows and columns, or 
additional project funding tables, as appropriate, to provide the 
requested project funding information.

                                                              Table 1--Project Cost by Task
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Non-federal funding             FSP funding request            Other federal funding
  Task     Task name/project  component  ------------------------------------------------------------------------------------------------    Total ($)
  No.                                       Amount ($)      Percent (%)     Amount ($)      Percent (%)     Amount ($)      Percent (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
2        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
3        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                            Table 2--Source of Funds
----------------------------------------------------------------------------------------------------------------
                                                                                              Percent of project
                  Type                                Source                  Amount ($)           cost (%)
----------------------------------------------------------------------------------------------------------------
Federal................................  FSP Funds Request..............  ..................  ..................
                                         FSP PFA or LOI Request.........  ..................  ..................
                                         Other Federal Funds............  ..................  ..................
Non-Federal............................  Non-Federal Matching Funds.....  ..................  ..................
----------------------------------------------------------------------------------------------------------------


                            Table 3--Project Costs by Anticipated Year of Expenditure
----------------------------------------------------------------------------------------------------------------
                                        FY 2023             FY 2024             FY 2025             FY 2026
----------------------------------------------------------------------------------------------------------------
FSP Funding                       ..................  ..................  ..................  ..................
Other Federal                     ..................  ..................  ..................  ..................
Non-Federal                       ..................  ..................  ..................  ..................
    Total                         ..................  ..................  ..................  ..................
----------------------------------------------------------------------------------------------------------------

    c. Applications for a Major Capital Project seeking funding for FD/
Construction or Construction Stage activities that are scheduled to 
enter the Final Design or Construction Stages within the Inventory 
Period, must provide an annualized budget in year of expenditure 
dollars, the anticipated annual Federal funding requests from this 
grant program, anticipated future non-Federal match, and total project 
cost through completion of the Construction Stage, so that FRA can 
properly evaluate the project for a PFA. PFA applicants must include 
proposed milestones by which FRA can measure progress.
    iv. 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 
relevant legislative language and citations to the applicable enabling 
legislation. Include 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. Discussion of applicant 
qualifications should include experience in managing similar projects 
and specifically address the considerations in 2 CFR 200.206(b).
    For applications involving Amtrak and one or more States, Amtrak 
and the State(s) must provide a cooperative agreement for the project 
signed by authorized representatives of Amtrak and each State. Such 
cooperative agreements must include a description of the roles and 
responsibilities of each party, including budget and subrecipient 
information showing how the parties will share project costs. A cost 
share agreement signed by Amtrak and one or more States would address 
this requirement if it addressed the requirements above.
    v. Project Eligibility Criteria: Demonstrate that the proposed 
project meets the project eligibility criteria in Section C(3)(a) of 
this notice.
    vi. Detailed Project Description: Include a detailed project 
description that expands upon the project summary. The detailed 
description should provide, at a minimum: a statement of the intercity 
passenger rail benefit of the project and the proportion of intercity 
passenger rail benefit relative to overall project benefits; a 
statement of the purpose or purposes for undertaking the project 
consistent with 49 U.S.C. 24911(c)(1-5), including identifying the 
primary purpose of the project or the relative importance of such 
purposes; a thorough description of the scope of the project 
identifying the specific components and elements of the project and 
associating those components and elements to the purposes provided 
above; additional background on the transportation challenges the 
project aims to address; a summary of current and proposed railroad 
operations in the project area, to include identification of all 
railroad owners and operators, typical daily, weekly, or annual train 
counts by operator, and ridership data for passenger operations; a 
statement of the primary expected project outcomes such as increased 
ridership, reduced delays, improved rail network asset condition and 
performance, or similar outcomes and benefits; identification of the 
expected users and beneficiaries of the project, including all railroad 
operators and types of passenger or freight rail service operating or 
proposed to operate in the project area; a statement demonstrating how 
the proposed project is consistent with the NEC Planning Documents \9\ 
and

[[Page 79429]]

associated state or regional long-range planning documents and local 
government priorities; and any other information the applicant deems 
necessary to justify the proposed project.
---------------------------------------------------------------------------

    \9\ Applicants may submit copies of the relevant pages of such 
plans as supporting documents in their application or provide a 
citation of the relevant document name(s) and page number(s).
---------------------------------------------------------------------------

    vii. Project Location: Include geospatial data for the project, as 
well as a map of the project's location. Geospatial data can be 
expressed in terms of decimal degrees for latitude and longitude of at 
least five decimal places of precision or start and end mileposts with 
the railroad code of the owning railroad and subdivision name. On the 
map, include the Congressional districts in which the project will take 
place.
    viii. Grade Crossing Information, if applicable: For a project that 
includes grade crossing components, cite specific DOT National Grade 
Crossing Inventory information, including the railroad that owns the 
infrastructure (or the crossing owner, if different from the railroad), 
the primary railroad operator, the DOT crossing inventory number, and 
the roadway at the crossing. Applicants can search for data to meet 
this requirement at the following link: https://railroads.dot.gov/safety-data/fra-safety-data-reporting/crossing-inventory-data-search.
    ix. Statutory Criteria: Include a statement that the proposed 
project is consistent with the most recently published NEC Project 
Inventory, or in the alternative include a statement that there have 
not been any material changes to infrastructure, service conditions or 
project sponsor capabilities or commitments or other significant 
changes that may affect the scope, schedule or budget of the project, 
or in the alternative a statement explaining such material changes and 
how they will affect the scope, schedule or budget of the project.
    For projects that benefit intercity and commuter rail services, a 
statement that Amtrak and the public authorities providing commuter 
rail passenger transportation at the eligible project location are in 
compliance with section 24905(c)(2); and identification of the funding 
for the intercity passenger rail share, the commuter rail share and the 
local share of the project before commencement of the project. 
Applicants must identify these shares for the Lifecycle Stage(s) for 
which they are seeking funding (for example, an application seeking 
funding only for Project Development must identify funding shares only 
for the Project Development Lifecycle Stage and not for the FD and 
Construction stages of the same project.)
    x. Evaluation and Selection Criteria: Include a thorough discussion 
of how the proposed project meets 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.
    A. Project Implementation:
    Describe proposed project implementation and project management 
arrangements. Applicants must address whether railroad workforce needs 
have been evaluated as well as whether all required resources have been 
identified. Include descriptions of the arrangements for handling work 
force constraints and outages, project contracting including use of 
small businesses consistent with 2 CFR 200.321, contract oversight and 
control, change-order management, and conformance to Federal 
requirements for project progress reporting (see https://www.fra.dot.gov/Page/P0274). Further, applicants must provide their 
plan for taking affirmative steps to employ small businesses consistent 
with 2 CFR 200.321.
    Assessment of Project Risks and Mitigation Strategies. Project 
risks, such as procurement delays, environmental uncertainties, 
increases in real estate acquisition costs, uncommitted local match, 
concerns expressed by stakeholders or impacted communities or residents 
or businesses who would be relocated for the project, or lack of 
legislative approval, affect the likelihood of successful project start 
and completion. Applicant must identify all material risks to the 
project and the strategies that the lead applicant and any project 
partners have undertaken or will undertake to mitigate those risks. The 
applicant will assess the greatest risks to the project and identify 
how the project parties will mitigate those risks. The applicant must 
include its risk monitoring, management and mitigation strategy and 
explain management staffing plans and procedures. Risks and mitigation 
strategies should be summarized in the project narrative and additional 
detailed information should be provided with the application as 
supporting documentation.
    Provide a Project Management Plan including management controls, 
relations management, project planning and concept design, description 
and approach to managing risk, environment, design management, project 
delivery, construction management, construction close out, start up and 
revenue operation, real estate acquisition and management, and rolling 
stock acquisition and management (see https://railroads.dot.gov/training-guidance/resources/project-development).
    B. Project Readiness:
    1. Lifecycle Stage
    Applicants should demonstrate completion of the Project Lifecycle 
prerequisites consistent with the definitions of Lifecycle Stages and 
consistent with the available guidance at the time of application.\10\
---------------------------------------------------------------------------

    \10\ FRA published the proposed Guidance on Development and 
Implementation of Railroad Capital Projects in the Federal Register 
on June 28, 2022. 87 FR 38451; FRA Docket No. FRA-2022-0035. FRA 
anticipates that the final Guidance will be published in the Federal 
Register soon. The final Guidance will also be made available on 
FRA's website and in FRA Docket No. FRA-2022-0035.
---------------------------------------------------------------------------

    For Planning Studies projects (to be submitted under Track 1), 
applicants must state why the planning study is being undertaken (e.g., 
to advance a Departmental strategic goal, to advance the NEC toward 
achieving a state of good repair, or to study how trip times on the NEC 
can be improved), and the primary activities to be undertaken in the 
planning study (e.g., feasibility study, a market analysis, a 
preliminary alternatives analysis, stakeholder coordination effort). 
Applicants should demonstrate the extent of support from local, 
regional, State or other partners to advance the study.
    For Planning Projects (to be submitted under Track 1), applicants 
should demonstrate whether there is support from local, regional, State 
or other partners to advance the study. For projects currently in a 
planning stage, applicants should indicate whether preliminary 
alternatives have been developed, evaluated and submitted for public 
review and comment, as well as the timeline for procurement of 
preliminary engineering services.
    For Project Development projects (to be submitted under Track 2), 
applicants must indicate whether or the extent to which the following 
has been completed or provide the timeline for completion: development 
of a purpose and need statement; development of preliminary 
alternatives; public, tribal and agency outreach regarding the project; 
and development of conceptual design.
    For Final Design projects, Final Design and Construction projects, 
or Construction projects (to be submitted under Track 3), applicants 
must indicate whether Project Development activities, including 
issuance of a NEPA decision by a USDOT agency, acceptance of 
preliminary engineering by FRA, and preparation of a project management 
plan have been completed, or provide

[[Page 79430]]

the timeline for completion. In addition, applicants must describe the 
status of coordination among FRA and the operating railroads in the 
study area in relation to track configuration. If coordination is 
complete, provide documentation of operator and FRA's concurrence with 
the new track configuration. For Construction projects, the applicant 
must demonstrate completion of final design documentation that is 
consistent with the NEPA decision, and the engineering configuration 
accepted during Project Development.
    2. Status of Environmental Review.
    Applicants should explain what Federal (and, if appropriate, State 
and local) environmental compliance and permitting requirements have 
been completed. Such requirements include NEPA and other Federal, local 
and State permitting requirements, if applicable. If the NEPA process 
is complete, an applicant should indicate the date of completion, and 
provide a website link or other reference to the NEPA decision 
document, which might include a final Categorical Exclusion, Finding of 
No Significant Impact, or Record of Decision. If the NEPA process is 
not yet underway, the application should state this. If the NEPA 
process is underway, but not complete, the application should detail 
the type of NEPA review underway, where the project is in the process, 
and indicate the anticipated date of completion of all NEPA-related 
milestones. If the last agency NEPA document was dated more than three 
years before the application date, the applicant should explain whether 
the NEPA document needs to be updated and include a proposed approach, 
if appropriate, for such an update in accordance with applicable NEPA 
and FRA requirements as well as indicate what, if any, coordination on 
the update has been conducted with FRA. Information regarding FRA's 
environmental processes and requirements are located at https://www.fra.dot.gov/environment. For all other Federal, state and local 
permitting requirements, the applicant should describe which permits 
apply, the status of those reviews, and the expected timeline for 
completion.
    3. Financial Readiness.
    Applicants must provide a funding plan consistent with the project 
budget identifying anticipated sources of project funding, describing 
the applicant's assessment of financial risk to the project and 
mitigation strategies, providing a methodology for handling cost 
overruns, and determining and analyzing appropriate contingency. The 
funding plan must also describe the applicant's plan for financing 
operation and maintenance of the project. If selected, a financial plan 
for Major Capital Projects must be prepared consistent with the 
requirements of the Final Railroad Capital Project Development and 
Implementation Guidance by time of obligation.
    For anticipated Federal funding other than through the FSP Program, 
describe when the funding is expected to be secured and indicate what 
federal grant programs are anticipated, as well as the percentage of 
the total project cost expected be funded by the other federal funds.
    For anticipated non-Federal funding, applicants must provide the 
total percentage of non-Federal funding and identify the sources of the 
non-Federal share. Applicants should demonstrate the availability of 
non-Federal funds for project match, for example, by including an 
approved budget document showing the match commitment, a funding 
commitment letter signed by an authorized official of the entity 
committing funds, or similar materials.
    Applicants should provide executed cost sharing agreements if 
applicable, or, if incomplete, describe whether they have been started 
and the expected timeline for finalizing those agreements.
    For Major Capital Projects, the Capital Cost Estimate should 
incorporate a narrative and Risk Assessment consistent with the 
available guidance at the time of application and that describes and 
explains the logic, methods, assumptions, and calculations used in the 
estimate, and should account for varying risks related to materials, 
labor, and project activities necessary for an independently conducted 
risk review.
    4. Legal, financial and technical capacity of the applicant.
    i. Legal capacity of applicant.
    To address legal capacity, an applicant should indicate whether it 
owns now or will own the project property and provide a description of 
agreements necessary to enable the project construction, necessary 
continuing access and ability to ensure operation and maintenance.
    ii. Financial capacity of applicant.
    To explain financial capacity, applicants should complete FRA Form 
251. Describe past experience in managing and overseeing similar 
projects.
    iii. Technical capacity of applicant.
    To explain technical capacity applicants should demonstrate 
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 time frame and budget. Discussion of applicant 
qualifications should include experience in managing similar projects 
and specifically address the considerations in 2 CFR 200.206(b) 
including the applicant's financial stability, management systems and 
standards, history of performance, audit reports and findings, and 
ability to effectively implement grant requirements. Include 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. DOT Strategic Goals: In addressing the selection criteria 
applicants must address the following:
    a. Safety: The applicant must, if applicable, include information 
on, and to the extent possible, quantify, how the project will target 
known documented safety problems within the project area or wider rail 
network and demonstrate how the project will address safety risks. A 
project addressing grade crossings should include specific DOT National 
Grade Crossing Inventory information, including the railroad that owns 
the infrastructure (or the crossing owner, if different from the 
railroad), the primary railroad operator, the DOT crossing inventory 
number, and the roadway at the crossing. Applicants can search for data 
to meet this requirement at the following link: https://safetydata.fra.dot.gov/OfficeofSafety/default.aspx. In addition, if 
applicable, applicants should provide the page number in the State 
Highway-Rail Grade Crossing Action Plan where the grade crossing is 
referenced. Applicants should specify whether the project will result 
in the elimination of one or more grade crossings through grade 
separation or otherwise. the number of crossings addressed and focus on 
what the project intervention will do to mitigate existing quantifiable 
safety problems. The application should provide evidence to support the 
claimed level of effectiveness of the project in protecting motorized 
and non-motorized travelers from health and safety risks, such as the 
number or rate of crashes, serious injuries, and/or fatalities. In 
cases which the project seeks to upgrade infrastructure, the applicant 
is encouraged to describe the infrastructure being upgraded and 
specifically how the upgrades enhance safety with documentation 
provided.

[[Page 79431]]

    b. Economic Strength and Global Competitiveness: The applicant 
must, if applicable, include information on, and to the extent 
possible, quantify, how the project will target known documented issues 
or improve conditions for laborers and/or local residents in regard to 
equitable economic strength and core assets within the project area or 
wider rail network. Quantifiable elements corresponding to this DOT 
objective may include specific commitment regarding targeted hiring or 
utilization of underrepresented workers written into the process or 
labor agreement(s) of the project, the creation of long-term employment 
opportunities with estimated quantity range expressed as a number or 
demonstrate how the project will contribute to economic progress 
stemming from infrastructure investment. To the extent that applicants 
have not sufficiently considered job quality and labor rights in their 
planning, as determined by the Department of Labor, the applicants will 
be required to do so before receiving funds for construction, 
consistent with Executive Order 14025, Worker Organizing and 
Empowerment (86 FR 22829), and Executive Order 14052, Implementation of 
the Infrastructure Investment and Jobs Act (86 FR 64335). Specifically, 
the project planning activities and project delivery actions must 
support: (a) strong labor standards and the free and fair choice to 
join a union, including project labor agreements, local hire 
agreements, distribution of workplace rights notices, and use of an 
appropriately trained workforce; (b) high-quality workforce development 
programs, including registered apprenticeship, labor-management 
training programs, and supportive services to help train, place, and 
retain people in good-paying jobs and apprenticeships; and (c) 
comprehensive planning and policies to promote hiring and inclusion for 
all groups of workers, including through the use of local and economic 
hiring preferences, linkage agreements with workforce programs that 
serve these underrepresented groups, and proactive plans to prevent 
harassment. Consistent with E.O. 11246, Equal Employment Opportunity 
(30 FR 12319, and as amended), all federally assisted contractors are 
required to make good faith efforts to meet the goals of 6.9 percent of 
construction project hours being performed by women, in addition to 
goals that vary based on geography for construction work hours and for 
work being performed by people of color.
    c. Equity: The applicant must, if applicable, include information 
on, and to the extent possible, quantify, how the project will target 
known documented inequality and barriers to opportunity within the 
project area or wider rail network. Quantifiable elements corresponding 
to this DOT objective may include specific ways the project supports 
investments increasing accessibility to rail infrastructure and 
expanding travel options for underserved populations by providing data 
on the size of the targeted underserved population, demographic 
descriptors of the population, and distance from project area to key 
locations. If applicable, the applicant should describe how the project 
will meet ADA requirements and be accessible to people with 
disabilities, including individuals who use wheelchairs, and how the 
project will connect underserved communities to essential services such 
as hospitals, grocery stores, or affordable housing. If applicable, 
applicants should include their plan for taking affirmative steps to 
employ small business consistent with 2 CFR 200.321, workforce 
development and training information, if applicable: For any project 
that includes workforce development, applicants must document, to the 
extent practicable, similar existing local training programs supported 
by the DOT, the Department of Labor, and/or the Department of 
Education. The applicant must also (a) describe whether the workforce 
development project incorporates union representation, and (b) describe 
any involvement or partnership with existing in-house skills training 
programs, unions and worker organizations, community colleges and 
public school districts, community-based organizations, supportive 
services providers, pre-apprenticeships tied to Registered 
Apprenticeships, Registered Apprenticeship programs and other labor-
management training programs, or other quality workforce training 
providers. FRA strongly encourages applicants to outline their plan to 
recruit, train, and retain a locally hired, diverse workforce. In 
support of Executive Order 13985, Advancing Racial Equity and Support 
for Underserved Communities Through the Federal Government (86 FR 7009) 
and Executive Order 14008, FRA will assess the project's ability to 
address equity and barriers to opportunity, to the extent possible 
within the program and consistent with law. Such considerations will 
include, but are not limited to, the applicant's plan for using small 
businesses to complete its project, the extent to which the project 
improves or expands transportation options for underserved communities, 
mitigates the safety risks and detrimental quality of life effects that 
rail lines can have on communities especially those communities that 
might have been historically disconnected due to the railroad 
infrastructure, and expands workforce development and career pathway 
opportunities to foster a more diverse rail industry. This will also 
include community engagement efforts already taken or planned, the 
extent to which engagement efforts are designed to reach impacted 
communities, whether engagement is accessible for persons with 
disabilities or limited English proficient persons within the impacted 
communities, and how community feedback is taken into account in 
decision-making.\11\
---------------------------------------------------------------------------

    \11\ For more information and best practices on meaningful 
public involvement applicants are encouraged to review the DOT's 
Promising Practices for Meaningful Public Involvement in 
Transportation Decision-Making at https://www.transportation.gov/priorities/equity/promising-practices-meaningful-public-involvement-transportation-decision-making).
---------------------------------------------------------------------------

    d. Climate and Sustainability: The applicant must, if applicable, 
include information on, and to the extent possible, quantify, how the 
project will target climate change and sustainability within the 
project area or wider rail network. Quantifiable elements corresponding 
to this DOT objective may include specific data showing expected shift 
to different transportation modes, reduction in fossil fuel usage or 
greenhouse gas (GHG) emissions from project implementation, and 
programmatic infrastructure review showing existing infrastructure or 
evacuation vulnerabilities to climate change events. Projects that have 
not sufficiently considered climate change and sustainability in their 
planning, as determined by FRA, will be required to do so before 
receiving funds for construction, consistent with Executive Order 14008 
In the grant agreement, recipients will be expected to describe 
activities they have taken or will take prior to obligation of 
construction funds that addresses climate change and environmental 
justice (EJ). Activities that address climate change include, but are 
not limited to, demonstrating: the project will result in significant 
GHG emissions reductions; and the project supports emissions reductions 
goals in a Local/Regional/State plan. Activities that address EJ 
include but are not limited to: basing project design on the results of 
a proven EJ screening tool (developed by another Federal agency such as 
the EPA, a state agency, etc.);

[[Page 79432]]

conducting enhanced, targeted outreach to EJ communities; considering 
EJ in alternatives analysis and final project design; and supporting a 
modal shift in freight or passenger movement to reduce emissions or 
reduce induced travel demand.
    e. Transformation. The applicant must, if applicable, provide 
information on and, to the extent possible, quantify, how the project 
will transform the nation's transportation infrastructure within the 
project area or wider rail network to improve operations, increase 
capacity, and maintain existing assets. Quantifiable elements 
corresponding to this DOT objective may include data showing additional 
capacity of the rail system in terms of passengers served, programmatic 
review of existing assets showing vulnerability due to age or lack of 
maintenance, and change of maintenance requirements (i.e., hours spent 
with a train or rail line taken out of operation to make maintenance 
repairs before and after the project).
b. Additional Application Elements
    Applicants must submit:
    i. Grant Template Attachments 2-5: A Statement of work (SOW) 
addressing the scope, a schedule, a budget, and performance measures 
for the proposed project if it were selected for award as described in 
Section F(3)(c) and required in 2 CFR 200.301. The four required 
templates are labeled ``Example General Grants--Attachments 2-5'' and 
are located at https://www.fra.dot.gov/Page/P0325. Applications that do 
not complete and submit all four of the grant package templates will be 
considered incomplete and will not be reviewed. 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.
    ii. Draft Agreement required under 49 U.S.C. 22905(c)(1), if 
applicable. As a condition of receiving a grant under this program for 
a project that uses rights-of-way owned by a railroad, the grantee 
shall have in place a written agreement between the grant recipient and 
the railroad regarding such use and ownership, including any 
compensation for such use; assurances regarding the adequacy of 
infrastructure capacity to accommodate both existing and future freight 
and passenger operations; an assurance by the railroad that collective 
bargaining agreements with the railroad's employees including terms 
regulating the contracting of work will remain in full force and effect 
according to their terms for work performed by the railroad on the 
railroad transportation corridor; and an assurance that the grant 
recipient complies with liability requirements consistent with 49 
U.S.C. 28103. For additional information please see FRA's Answers to 
Frequently Asked Questions about Rail Improvement Grant Conditions 
under 49 U.S.C. 22905(c)(1).\12\
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    \12\ https://railroads.dot.gov/sites/fra.dot.gov/files/2022-05/Rail-Improvement-Grant-Conds%20-Sec22905-FAQs_042922.pdf.
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3. Unique Entity Identifier and System for Award Management (SAM)

    To apply for funding through Grants.gov, applicants must be 
properly registered in SAM before submitting an application, provide a 
valid unique entity identifier in its application, and continue to 
maintain an active SAM registration all as described in detail below. 
Complete instructions on how to register and submit an application can 
be found at www.Grants.gov. Registering with Grants.gov is a one-time 
process; however, it can take up to several weeks for first-time 
registrants to receive confirmation and a user password. FRA recommends 
that applicants start the registration process as early as possible to 
prevent delays that may preclude submitting an application package by 
the application deadline. Applications will not be accepted after the 
due date. Delayed registration is not an acceptable justification for 
an application extension.
    FRA may not make a grant award to an applicant until the applicant 
has complied with all applicable SAM requirements and if an applicant 
has not fully complied with the requirements by the time the Federal 
awarding agency is ready to make a Federal award, the Federal awarding 
agency may determine that the applicant is not qualified to receive a 
Federal award and use that determination as a basis for making a 
Federal award to another applicant. Late applications, including those 
that are the result of a failure to register or comply with Grants.gov 
applicant requirements in a timely manner, will not be considered. If 
an applicant has not fully complied with the requirements by the 
submission deadline, the application will not be considered. To submit 
an application through Grants.gov, applicants must:
a. Register with the SAM at www.SAM.gov
    All applicants for Federal financial assistance must maintain 
current registrations in the SAM database. An applicant must be 
registered in SAM to successfully register in Grants.gov. The SAM 
database is the repository for standard information about Federal 
financial assistance applicants, grantees, and subrecipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award, including information on a grantee's immediate and 
highest level owner and subsidiaries, as well as on all predecessors 
that have been awarded a Federal contract or grant within the last 
three years, if applicable. Information about SAM registration 
procedures is available at www.sam.gov.
b. Obtain a Unique Entity Identifier
    On April 4, 2022, the Federal government discontinued using DUNS 
Numbers. The DUNS Number was replaced by a new, non-proprietary 
identifier that is provided by the System for Award Management 
(SAM.gov). This new identifier is called the Unique Entity Identifier 
(UEI), or the Entity ID. To find or request a Unique Entity Identifier, 
please visit www.sam.gov.

4. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no 
later than 5:00 p.m. ET, March 27, 2023. 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

[[Page 79433]]

its website; (3) failure to follow all the instructions in this NOFO; 
and (4) technical issues experienced with the applicant's computer or 
information technology environment.

5. Intergovernmental Review

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

6. Funding Restrictions

    Consistent with 2 CFR 200.458, as applicable, FRA will only approve 
pre-award costs if such costs are incurred pursuant to the negotiation 
and in anticipation of the grant agreement and if such costs are 
necessary for efficient and timely performance of the scope of work. 
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) \13\ from providing FSP 
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 eligible capital projects in 49 U.S.C. 24911(c). FRA's 
primary intent in funding FSP 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.
---------------------------------------------------------------------------

    \13\ Under 49 U.S.C. 24911(i), FSP grants are subject to the 
conditions in 49 U.S.C. 22905.
---------------------------------------------------------------------------

7. 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, 
Amtrak and Northeast Corridor Program Delivery, 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.

E. Application Review Information

1. Criteria: Eligibility, Completeness and Application 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), and the 20 
percent minimum non-Federal match.
    FRA will determine whether the proposed project is consistent with 
the most recently published NEC Project Inventory, and if not whether 
materially changed infrastructure or service conditions, changes in 
project sponsor capabilities or commitments, or other significant 
changes since the completion of the most recently published NEC Project 
Inventory have occurred. For projects that benefit intercity and 
commuter rail services, FRA will determine whether Amtrak and the 
public authorities providing commuter rail passenger transportation at 
the eligible project location: are in compliance with section 
24905(c)(2); and have identified funding for the intercity passenger 
rail share, the commuter rail share, and the local share of the 
eligible project before the commencement of the project. Applicants 
must identify these shares for the Lifecycle Stage(s) for which they 
are seeking funding (for example, an application seeking funding only 
for Project Development must identify funding shares only for the 
Project Development Lifecycle Stage and not for the FD and Construction 
stages of the same project.)
a. Evaluation Criteria
    Consistent with the NEC Project Inventory, FRA's first priority 
will be selecting Major Backlog projects and Planning Studies. FRA's 
second priority will be selecting other projects in or beginning the 
Final Design or Construction Lifecycle Stages within the Inventory 
Period. FRA will evaluate all eligible and complete applications using 
the following evaluation criteria.
    i. Technical Merit: FRA will take into account--
    A. The degree to which the application, statement of work, schedule 
and budget are reasonable and appropriate to achieve the expected 
outcomes of the proposed project on time and on budget;
    B. The extent to which the proposed implementation approach 
demonstrates an efficient project delivery approach, demonstrates the 
commitment of necessary resources and workforce to deliver the project 
in accordance with the proposed schedule and budget, and includes 
methods for handling track outages to reduce service impacts and 
maximize productivity during such outages (e.g., construction is 
coordinated with other geographically proximate projects);
    C. Project Readiness: FRA will evaluate the extent to which the 
project demonstrates strong project readiness by:
    i. Lifecycle Stage. Completion of all prerequisites necessary to 
reach the scheduled Lifecycle Stage(s) proposed for funding in the 
application and consistent with the Lifecycle Stage(s) anticipated to 
start during the Inventory Period;
    ii. Status of Environmental Review. Status of environmental and 
permitting approval(s) and likelihood of any outstanding approval(s) 
affecting project obligation or completion;
    iii. Technical Capacity. Demonstration of capacity to successfully 
deliver the project in compliance with applicable Federal requirements 
including whether the applicant has, or will have
    (a) the legal, financial and technical capacity to carry out the 
project,
    (b) satisfactory continuing access to the equipment or facilities, 
and
    (c) the capability and willingness to maintain the equipment or 
facilities; and
    iv. Financial Readiness. Demonstration of financial resources 
necessary to complete the project. For a Project where an applicant is 
requesting funding for the Final Design and/or Construction Lifecycle 
Stages of projects, FRA will assess demonstration of commitment of the 
financial resources to bring the project to completion.
    ii. Funding Considerations:
    In determining FSP Program funding allocations, FRA will generally 
fund Capital Renewal, Stations and Improvement projects applying under 
this notice between 50 and 80 percent Federal share. FRA will favorably

[[Page 79434]]

consider a higher Federal share, within this range, to the extent such 
projects:
    (A) Replace, rehabilitate, or repair infrastructure, equipment, or 
a facility used for providing intercity passenger rail service to bring 
such assets into a state of good repair;
    (B) Improve intercity passenger rail service performance consistent 
with 49 U.S.C. 24911(c)(2), and provide a high proportion of intercity 
passenger rail benefit relative to overall project benefits.
b. Selection Criteria
    In addition, FRA will:
    1. Consider the following:
    i. The geographic diversity of the projects receiving funding, and
    ii. The award of other competitive Federal funds for the project.
    2. Consider the extent to which the project adequately address the 
following DOT Strategic Goals:
    i. Safety. FRA 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.
    ii. Economic Strength and Global Competitiveness. FRA will assess 
the project's ability to contribute to economic progress stemming from 
infrastructure investment and associated job creation in the industry. 
Such considerations will include, but are not limited to, the extent to 
which the project results in high-quality job creation by supporting 
good-paying jobs with a free and fair choice to join a union, and in 
on-going operations and maintenance, and incorporates strong labor 
standards, such as through the use of project labor agreements or union 
neutrality agreements; includes comprehensive planning and policies to 
promote hiring of underrepresented populations including local and 
economic hiring preferences and investments in high-quality workforce 
development programs with supportive services, including labor-
management programs, to help train, place, and retain people in good-
paying jobs or registered apprenticeship, and invests in vital 
infrastructure assets;
    iii. Equity. FRA will assess the project's ability to address 
equity and barriers to opportunity, to the extent possible within the 
program and consistent with law. Such considerations will include, but 
are not limited to, the applicant's plan for using small businesses to 
complete its project, the extent to which the project improves or 
expands transportation options and mitigates the safety risks and 
detrimental quality of life effects that rail lines can have on 
communities. This will also include community engagement efforts 
already taken or planned, the extent to which engagement efforts are 
designed to reach impacted communities, whether engagement is 
accessible for persons with disabilities or limited English proficient 
persons within the impacted communities, and how community feedback is 
taken into account in decision-making.
    iv. Climate and Sustainability. In support of Executive Order 
14008, Tackling the Climate Crisis at Home and Abroad, FRA will assess 
the project's ability to reduce the harmful effects of climate change 
and anticipate necessary improvements to prepare for extreme weather 
events. Such considerations will include, but are not limited to, the 
extent to which the project reduces overall lifecycle emissions, 
promotes energy efficiency, incorporates lower-carbon construction 
materials, increases resiliency, and recycles or redevelops existing 
infrastructure.
    v. Transformation. FRA 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.

2. Review and Selection Process

    Consistent with the NEC Project Inventory, FRA will conduct an 
application review process, as follows. FRA will evaluate applications 
for Major Backlog projects first, followed by evaluations for the 
remaining project types.
    a. Screen applications for applicant and project eligibility, 
completeness, the minimum match;
    b. Evaluate remaining applications (completed by technical panels 
applying the evaluation criteria) to:
    (1) Prioritize projects based on technical merit (including 
readiness) consistent with the NEC Project Inventory (e.g., Capital 
Renewal, Stations and Improvement projects starting Construction within 
the Inventory period will be prioritized with other Capital Renewal, 
Stations and Improvement projects starting Construction in the 
Inventory period.)
    (2) Review for funding allocation considerations; and
    (3) Assign a rating of ``Not Recommended'', ``Acceptable,'' 
``Recommended,'' or ``Highly Recommended'';
    c. Review highly rated Major Capital Projects for LOI and PFAs, as 
applicable, to determine whether either is appropriate for the project 
based on project specific characteristics, funding availability, and 
statutory and policy criteria stated in this NOFO, as well as review 
funding allocation considerations provided by the technical panels 
(completed by a panel of senior FRA officials.)
    d. Apply selection criteria and recommend initial selection of 
projects consistent with the prioritization and funding allocations 
described in the NEC Project Inventory (including recommendations for 
potential PFA/LOIs and options for reduced awards) for the FRA 
Administrator's review (completed by a Senior Review Team, which 
includes senior leadership from the Office of the Secretary and FRA); 
and
    e. Select projects for grant award and associated PFAs or LOIs for 
the Secretary's or his designee'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

[[Page 79435]]

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 FRA's website after the application review period. This 
announcement is FRA's notification to successful and unsuccessful 
applicants alike. Project Sponsors of rail projects who are ineligible 
to receive Partnership Program funding, who are not selected for 
Partnership Program funds, or who receive less than the requested 
Partnership Program funding amount, are encouraged to consider other 
FRA and Departmental grant programs.
    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 (OMB). 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 200; procurement standards at 2 CFR 200 (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; 
ADA; safety requirements; NEPA; EJ 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 200 and 2 CFR 1201.
    Assistance under this NOFO is subject to the grant conditions in 49 
U.S.C. 22905, including protective arrangements that are equivalent to 
the protective arrangements established under section 504 of the 
Railroad Revitalization and Regulatory Reform Act of 1976 (45 U.S.C. 
836) with respect to employees affected by actions taken in connection 
with the project to be financed in whole or in part by grants subject 
to 49 U.S.C. 22905, the provision deeming operators 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.ii).\14\
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    \14\ FRA has posted final guidance to grantees on implementing 
protective arrangements at to assist grantees implementing the 
protective arrangements; and answers to frequently asked questions 
intended to assist grantees subject to the requirements of 49 U.S.C. 
22905(c)(1) at https://railroads.dot.gov/elibrary/frequently-asked-questions-about-rail-improvement-grant-conditions-under-49-usc-ss-22905c1.
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    Grantees must comply with applicable appropriations act 
requirements and all relevant requirements of 2 CFR 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.
    The FSP-NEC NOFO will be implemented, as appropriate and consistent 
with law, in alignment with the priorities in Executive Order 14052, 
Implementation of the Infrastructure Investment and Jobs Act (86 FR 
64355), which are to invest efficiently and equitably, promote the 
competitiveness of the U.S. economy, improve job opportunities by 
focusing on high labor standards, strengthen infrastructure resilience 
to all hazards including climate change, and to effectively coordinate 
with State, local, Tribal, and territorial government partners.
    a. Climate Change, Sustainability, and Environmental Justice. 
Projects that have not sufficiently considered climate change and 
sustainability in their planning, as determined by FRA, will be 
required to do so before receiving funds for construction, consistent 
with Executive Order 14008, Tackling the Climate Crisis at Home and 
Abroad (86 FR 7619). In the grant agreement, recipients will be 
expected to describe activities they have taken, or will take, prior to 
obligation of construction funds that addresses climate change and EJ. 
Activities that address climate change include, but are not limited to, 
demonstrating: the project will result in significant greenhouse gas 
emissions reductions; the project supports emissions reductions goals 
in a Local/Regional/State plan; and the project primarily focuses on 
funding for state of good repair and clean transportation options, 
including public transportation, walking, biking, and micro-mobility. 
Activities that address EJ include, but are not limited to: basing 
project design on the results of a proven EJ screening tool (developed 
by another Federal agency such as the EPA, a State agency, etc.); 
conducting enhanced, targeted outreach to EJ communities; considering 
EJ in alternatives analysis and final project design; and supporting a 
modal shift in freight or passenger movement to reduce emissions or 
reduce induced travel demand.
    b. Racial Equity and Barriers to Opportunity. Projects must 
consider and address equity and barriers to opportunity in their 
planning, as determined by FRA, and as a condition of receiving 
construction funds, consistent with Executive Order 13985, Advancing 
Racial Equity and Support for Underserved Communities Through the 
Federal Government (86 FR 7009). The grant agreement should include the 
grantee's description of activities they have taken, or will take, 
prior to obligation of construction funds that addresses equity and 
barriers to opportunity. These activities may include, but are not 
limited to: completing an equity impact analysis for the project; 
adopting an equity and inclusion program/plan; conducting meaningful 
public engagement to ensure underserved communities are provided

[[Page 79436]]

an opportunity to be involved in the planning process; including 
investments that either redress past barriers to opportunity or that 
proactively create new connections and opportunities for underserved 
communities; hiring from local communities; improving access to or 
providing economic growth opportunities for underserved, overburdened, 
or rural communities; or addressing historic or current inequitable air 
pollution or other environmental burdens and impacts.
    c. Employment Opportunities. In addition to prioritizing projects 
that address climate change, proactively address racial equity, and 
reduce barriers to opportunity, FRA intends to use the FSP-NEC NOFO to 
support the creation of good-paying jobs with the free and fair choice 
to join a union and the incorporation of strong labor standards and 
training and placement programs, especially registered apprenticeships 
and local hire agreements, in project planning and development. To the 
extent that applicants have not sufficiently considered job quality and 
labor rights in their planning, as determined by the Department of 
Labor, the applicants will be required to do so before receiving funds 
for construction, consistent with Executive Order 14025, Worker 
Organizing and Empowerment (86 FR 22829), and Executive Order 14052, 
Implementation of the Infrastructure Investment and Jobs Act (86 FR 
64335). Specifically, the project planning activities and project 
delivery actions must support: (a) strong labor standards and the free 
and fair choice to join a union,\15\ including project labor 
agreements, local hire agreements,\16\ distribution of workplace rights 
notices, and use of an appropriately trained workforce; (b) support of 
high-quality workforce development programs, including registered 
apprenticeship, labor-management training programs, and supportive 
services to help train, place, and retain people in good-paying jobs 
and apprenticeships; and (c) comprehensive planning and policies to 
promote hiring and inclusion for all groups of workers, including 
through the use of local and economic hiring preferences, linkage 
agreements with workforce programs that serve these underrepresented 
groups, and proactive plans to prevent harassment.
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    \15\ Federal funds may not be used to support or oppose union 
organizing, whether directly or as an offset for other funds.
    \16\ IIJA div. B section 25019 provides authority to use 
geographical and economic hiring preferences, including local hire, 
for construction jobs, subject to any applicable State and local 
laws, policies, and procedures.
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    The Office of Federal Contract Compliance Programs (OFCCP) is 
charged with protecting America's workers by enforcing equal employment 
opportunity and affirmative action obligations of employers that do 
business with the federal government. OFCCP enforces Executive Order 
11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam 
Era Veterans' Readjustment Assistance Act of 1974. Together these legal 
authorities make it unlawful for federal contractors and subcontractors 
to discriminate in employment because of race, color, religion, sex, 
sexual orientation, gender identity, national origin, disability, or 
status as a protected veteran. Consistent with E.O. 11246, Equal 
Employment Opportunity (30 FR 12319, and as amended), all Federally 
assisted contractors are required to make good faith efforts to meet 
the goals of 6.9 percent of construction project hours being performed 
by women, in addition to goals that vary based on geography for 
construction work hours and for work being performed by people of 
color. Recipients of Federal transportation funding will be required to 
comply fully with Title VI of the Civil Rights Act of 1964 and 
implementing regulations (49 CFR 21), the ADA, Section 504 of the 
Rehabilitation Act of 1973, and all other civil rights requirements. 
The Department's and FRA's Office of Civil Rights may provide resources 
and technical assistance to recipients to ensure full and sustainable 
compliance with Federal civil rights requirements. The OFCCP has a Mega 
Construction Project Program through which it engages with project 
sponsors as early as the design phase to help promote compliance with 
non-discrimination and affirmative action obligations. Through the 
program, OFCCP offers contractors and subcontractors extensive 
compliance assistance, conducts compliance evaluations, and helps to 
build partnerships between the project sponsor, prime contractor, 
subcontractors, and relevant stakeholders. OFCCP will identify projects 
that receive an award under this notice and are required to participate 
in OFCCP's Mega Construction Project Program from a wide range of 
federally assisted projects over which OFCCP has jurisdiction and that 
have a project cost above $35 million. DOT will require project 
sponsors with costs above $35 million that receive awards under this 
funding opportunity to partner with OFCCP, if selected by OFCCP, as a 
condition of their DOT award. Under that partnership, OFCCP will ask 
these project sponsors to make clear to prime contractors in the pre-
bid phase that project sponsor's award terms will require their 
participation in the Mega Construction Project Program. Additional 
information on how OFCCP makes their selections for participation in 
the Mega Construction Project Program is outlined under ``Scheduling'' 
on the Department of Labor website: https://www.dol.gov/agencies/ofccp/
faqs/construction-compliance.''
    d. Critical Infrastructure Security and Resilience. It is the 
policy of the United States to strengthen the security and resilience 
of its critical infrastructure against both physical and cyber threats. 
Each applicant selected for Federal funding under this Notice must 
demonstrate, prior to signing of the grant agreement, efforts to 
consider and address physical and cyber security risks relevant to the 
transportation mode and type and scale of the project. Projects that 
have not appropriately considered and addressed physical and cyber 
security and resilience in their planning, design, and project 
oversight, as determined by the DOT and the Department of Homeland 
Security, will be required to do so before receiving funds for 
construction, consistent with Presidential Policy Directive 21--
Critical Infrastructure Security and Resilience and the National 
Security Presidential Memorandum on Improving Cybersecurity for 
Critical Infrastructure Control Systems. Information on cybersecurity 
performance goals can be found at https://www.cisa.gov/cpg. '
    e. Domestic Preference Requirements. Assistance under this NOFO is 
subject to the Buy America requirements in 49 U.S.C. 22905(a) and the 
Build America, Buy America Act, Public Law 117-58, 70901-52. In 
addition, as expressed in Executive Order 14005, Ensuring the Future Is 
Made in All of America by All of America's Workers (86 FR 7475), it is 
the policy of the executive branch to maximize, consistent with law, 
the use of goods, products, and materials produced in, and services 
offered in, the United States. FRA expects all applicants to comply 
with that requirement without needing a waiver. However, to obtain a 
waiver, a recipient must be prepared to demonstrate how they will 
maximize the use of domestic goods, products, and materials in 
constructing their project. If an applicant anticipates it may need a 
waiver, the applicant should indicate the need in its application and 
submit

[[Page 79437]]

materials necessary for such requests together with its application.
    f. Civil Rights and Title VI. Applications should demonstrate that 
the recipient has a plan for compliance with civil rights obligations 
and nondiscrimination laws, including Title VI of the Civil Rights Act 
of 1964 and implementing regulations (49 CFR 21), the ADA, and section 
504 of the Rehabilitation Act, and accompanying regulations. This may 
include, as applicable, providing a Title VI plan, community 
participation plan, and other information about the communities that 
will be benefited and impacted by the project. The DOT's and FRA's 
Office of Civil Rights may provide resources and technical assistance 
to recipients to ensure full and sustainable compliance with Federal 
civil rights requirements.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with 
all standard FRA reporting requirements, including quarterly progress 
reports, quarterly Federal financial reports, and interim and final 
performance reports, as well as all applicable auditing, monitoring and 
close out requirements. Reports may be submitted electronically. 
Pursuant to 2 CFR 170.210, non-Federal entities applying under this 
NOFO must have the necessary processes and systems in place to comply 
with the reporting requirements should they receive Federal funding.
b. Additional Reporting
    Applicants selected for funding are required to comply with all 
reporting requirements in the standard terms and conditions for FRA 
grant awards including 2 CFR 180.335 and 2 CFR 180.350.
    If the 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 200, Appendix XII--Award Term and Condition for Recipient Integrity 
and Performance Matters.
c. Performance and Program Evaluation
    As a condition of grant award, grant recipients may be required to 
participate in an evaluation undertaken by DOT, or another agency or 
partner. The evaluation may take different forms such as an 
implementation assessment across grant recipients, an impact and/or 
outcomes analysis of all or selected sites within or across grant 
recipients, or a benefit/cost analysis or assessment of return on 
investment. The Department may require applicants to collect data 
elements to aid the evaluation. As a part of the evaluation, as a 
condition of award, grant recipients must agree to: (1) make records 
available to the evaluation contractor; (2) provide access to program 
records, and any other relevant documents to calculate costs and 
benefits; (3) in the case of an impact analysis, facilitate the access 
to relevant information as requested; and (4) follow evaluation 
procedures as specified by the evaluation contractor or DOT staff.
    Recipients and subrecipients are also encouraged to incorporate 
program evaluation, including associated data collection activities 
from the outset of their program design and implementation, to 
meaningfully document and measure their progress towards meeting an 
agency priority goal(s). Title I of the Foundations for Evidence-Based 
Policymaking Act of 2018, Public Law 115-435 (2019) urges Federal 
awarding agencies and Federal assistance recipients and subrecipients 
to use program evaluation as a critical tool to learn, to improve 
equitable delivery, and to elevate program service and delivery across 
the program lifecycle. Evaluation means ``an assessment using 
systematic data collection and analysis of one or more programs, 
policies, and organizations intended to assess their effectiveness and 
efficiency.'' (5 U.S.C. 311). Credible program evaluation activities 
are implemented with relevance and utility, rigor, independence and 
objectivity, transparency, and ethics (OMB Circular A-11, Part 6, 
Section 290).
    For grant recipients receiving an award, evaluation costs are 
allowable costs (either as direct or indirect), unless prohibited by 
statute or regulation, and such costs may include the personnel and 
equipment needed for data infrastructure and expertise in data 
analysis, performance, and evaluation. (2 CFR 200).
d. Performance Reporting
    Each applicant selected for funding must collect information and 
report on the project's performance using measures mutually agreed upon 
by FRA and the grantee to assess progress in achieving strategic goals 
and objectives. Examples of some rail performance measures 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.

----------------------------------------------------------------------------------------------------------------
                                                                       Primary strategic
         Rail measures             Unit  measured        Temporal             goal              Description
----------------------------------------------------------------------------------------------------------------
Slow Order Miles Reduced.......  Miles............  Annual...........  Economic Strength  The number of miles
                                                                        and Global         per year within the
                                                                        Competitiveness.   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.
Number of Passenger Trains.....  Count............  Annual...........  Economic Strength  The number of daily
                                                                        and Global         passenger trains
                                                                        Competitiveness.   between city pairs.
Passenger Counts...............  Count............  Annual...........  Economic Strength  Count of the annual
                                                                        and Global         passenger boardings
                                                                        Competitiveness.   and alightings at
                                                                                           stations within the
                                                                                           project area.
Delay Minutes..................  Time/Trip........  Annual...........  Economic Strength  Point-to-point delay
                                                                        and Global         minutes reduced
                                                                        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.

[[Page 79438]]

 
Track Miles....................  Miles............  One Time.........  Economic Strength  The number of track
                                                                        and Global         miles replaced and/or
                                                                        Competitiveness.   rehabilitated that
                                                                                           exist within the
                                                                                           project area. This
                                                                                           measure can be
                                                                                           beneficial for
                                                                                           projects building
                                                                                           sidings or sections
                                                                                           of additional main
                                                                                           line track on a
                                                                                           railroad.
----------------------------------------------------------------------------------------------------------------

G. Federal Awarding Agency Contacts

    For further information concerning this Notice, please contact the 
FRA NOFO Support program staff via email at [email protected]. 
If additional assistance is needed, you may 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]; telephone: 202-493-0443.

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.
    The DOT regulations implementing the Freedom of Information Act 
(FOIA) are found at 49 CFR 7 (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.
Jennifer Mitchell,
Deputy Administrator.
[FR Doc. 2022-28034 Filed 12-23-22; 8:45 am]
BILLING CODE 4910-06-P


