[Federal Register Volume 88, Number 84 (Tuesday, May 2, 2023)]
[Notices]
[Pages 27560-27570]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-09240]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Funding Opportunity for Rail Research and Development 
Center of Excellence

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 funding to establish and maintain a Rail Research 
and Development Center of Excellence. This NOFO solicits applications 
for the Rail Research and Development Center of Excellence funds made 
available by the Consolidated Appropriations Act, 2022, and the 
Consolidated Appropriations Act, 2023. The opportunity described in 
this notice is made available under Assistance Listings Number 20.313 
Railroad Research and Development.

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. ET July 3, 2023. Applications that are incomplete 
or received after 5:00 p.m. ET on June 16, 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 [email protected].

FOR FURTHER INFORMATION CONTACT: For further information regarding 
project- or program-related information in this notice, please contact 
Tarek Omar, Office of Research, Development, and Technology, Federal 
Railroad Administration, 1200 New Jersey Avenue SE, Room W36-306, 
Washington, DC 20590; email: [email protected]; phone: 202-493-6189. 
Grant application submission and processing questions should be 
addressed to [email protected].

SUPPLEMENTARY INFORMATION: 
    Notice to applicants: FRA recommends that applicants read this 
notice in its entirety prior to preparing application materials. The 
definitions of key terms used throughout the NOFO are listed under the 
Program Description in section A(2). There are several administrative 
prerequisites and specific eligibility requirements described herein 
that applicants must comply with to submit an application. 
Additionally, applicants should note that the required Program 
Narrative component of the application package may not exceed 40 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

    On November 15, 2021, President Biden signed into law the 
Infrastructure Investment and Jobs Act, also known as the Bipartisan 
Infrastructure Law (BIL). Public Law 117-58. The BIL authorized the 
Secretary of Transportation to fund a rail research and development 
center of excellence (CoE) to advance research and development that 
improves the safety, efficiency, and reliability of passenger and 
freight rail transportation. 49 U.S.C. 20108. The Secretary is 
authorized to fund the cost of establishing and maintaining the CoE and 
related research activities. Only one CoE may be established, but that 
CoE may reside at one institution or be a consortium of member 
institutions.
    The CoE would provide funding to entities that meet the criteria in 
49 U.S.C. 20108(j)(2) for research activities that would include basic 
and applied research, evaluation, education, workforce development, and 
training efforts related to safety, project delivery, efficiency, 
reliability, resiliency, and sustainability of urban commuter, 
intercity high-speed and freight rail transportation, to include 
advances in rolling stock, advanced Positive Train Control, human 
factors, rail infrastructure, shared corridors, grade crossing safety, 
inspection technology, remote sensing, rail systems maintenance, 
network resiliency, operational reliability, energy efficiency, and 
other advanced technologies. 49 U.S.C. 20108(j)(4). The purpose of this 
notice is to solicit applications to establish and maintain a CoE for 
the purpose of pursuing such eligible rail research and development 
activities. In this NOFO, ``CoE Program'' refers to the

[[Page 27561]]

activities to maintain and establish the CoE, and ``Project'' refers to 
the research activities conducted by the CoE or its subrecipients.
    FRA is committed to advancing safe, efficient transportation, 
including through the research developed by the CoE Program.
    In addition, FRA seeks to fund projects under the CoE Program that 
reduce greenhouse gas emissions in the transportation sector, 
incorporate evidence-based climate resilience measures and features, 
reduce the lifecycle greenhouse gas emissions from the project 
materials, and avoid adverse environmental impacts to air or water 
quality, wetlands, and endangered species, and address the 
disproportionate negative environmental impacts of transportation on 
disadvantaged communities, consistent with Executive Order 14008, 
Tackling the Climate Crisis at Home and Abroad (86 FR 7619).
    FRA also seeks to award projects under the CoE Program will create 
proportional beneficial impacts to all populations in a project area, 
remove transportation related disparities to all populations in a 
project area, and increase equitable access to project benefits, 
consistent with Executive Order 13985, Advancing Racial Equity and 
Support for Underserved Communities Through the Federal Government (86 
FR 7009).
    Finally, FRA intends to use the projects resulting from the CoE 
Program 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, in project planning stages, 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). FRA also intends to use the CoE Program to 
support wealth creation, consistent with the Department's Equity Action 
Plan through the inclusion of local inclusive economic development and 
entrepreneurship such as the utilization of disadvantaged business 
enterprises, minority-owned businesses, women-owned businesses, or 8(a) 
firms.
    Section E of this NOFO, which outlines the grant selection 
criteria, describes the process for selecting a CoE. Section F(3) 
describes progress and performance reporting requirements for the 
selected CoE Program, and as applicable, Projects.

2. Definitions of Key Terms

    a. ``Consortium,'' for the purpose of this NOFO, means a meaningful 
arrangement with all members involved in planning and implementing the 
proposed activity or activities. A consortium is a long-term 
relationship between and among the members and will last for the full 
performance of the activity. In this NOFO, consortium refers to both 
the arrangement that may exist among members to establish the CoE or 
the arrangement between entities eligible to receive funding from the 
CoE.
    b. ``Institution of higher education'' (``IHE'') is an educational 
institution in any State that (1) admits as regular students only 
persons having a certificate of graduation from a school providing 
secondary education, or the recognized equivalent of such a 
certificate, or persons who meet the requirements of 20 U.S.C. 1091(d); 
(2) is legally authorized within such State to provide a program of 
education beyond secondary education; (3) provides an educational 
program for which the institution awards a bachelor's degree or 
provides not less than a 2-year program that is acceptable for full 
credit toward such a degree, or awards a degree that is acceptable for 
admission to a graduate or professional degree program, subject to 
review and approval by the Secretary of Education; (4) is a public or 
other nonprofit institution; and (5) is accredited by a nationally 
recognized accrediting agency or association, or if not so accredited, 
is an institution that has been granted pre-accreditation status by 
such an agency or association that has been recognized by the Secretary 
of Education for the granting of pre-accreditation status, and the 
Secretary of Education has determined that there is satisfactory 
assurance that the institution will meet the accreditation standards of 
such an agency or association within a reasonable time. ``Institution 
of higher education'' also includes (1) any school that provides not 
less than a 1-year program of training to prepare students for gainful 
employment in a recognized occupation and that meets the provision of 
paragraphs (1), (2), (4), and (5) of 20 U.S.C. 1001(a); and (2) a 
public or nonprofit private educational institution in any State that, 
in lieu of the requirement in subsection 20 U.S.C. 1001(a)(1), admits 
as regular students individuals who (1) are beyond the age of 
compulsory school attendance in the State in which the institution is 
located; or (2) who will be dually or concurrently enrolled in the 
institution and a secondary school.
    c. ``Minority-serving institution'' (MSI) means an IHE whose 
enrollment of a single minority or a combination of minorities exceeds 
50 percent of the total enrollment, as defined in section 365 of the 
Higher Education Act of 1965 (HEA) (20 U.S.C. 1067k). 20 U.S.C. 1067k 
defines the term ``minority'' to mean: ``American Indian, Alaskan 
Native, Black (not of Hispanic origin), Hispanic (including persons of 
Mexican, Puerto Rican, Cuban, and Central or South American origin), 
Pacific Islander or other ethnic group underrepresented in science and 
engineering.'' If the application includes any minority-serving 
institution(s) according to the definition in 20 U.S.C. 1067k, then for 
each such institution provide enrollment numbers, from the most recent 
semester/term where numbers are available, that show the institution 
meets the definition stated here.
    d. Hispanic-serving institution (HSI) means an IHE that is (1) an 
eligible institution under 20 U.S.C.1101(a)(2); and (2) has an 
enrollment of undergraduate full-time equivalent students that is at 
least 25 percent Hispanic students at the end of the award year 
immediately preceding the date of application.
    e. Historically Black colleges and universities (HBCU) are 
institutions established prior to 1964 whose principal mission was, and 
is, the education of Black Americans, and must (1) satisfy section 322 
of the HEA, as amended; (2) be legally authorized by the State in which 
it is located to be a junior or community college; or to provide an 
educational program for which it awards a bachelor's degree; and (3) be 
accredited or pre-accredited by a nationally recognized accrediting 
agency or association.
    f. ``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 the Environmental Impact Statement, 
Environmental Assessment, or Categorical Exclusion. The NEPA class of 
action depends on the nature of the proposed action, its complexity, 
and its potential impacts. For purposes of this NOFO, NEPA also 
includes all related Federal laws and regulations, including the Clean 
Air Act (42 U.S.C. 7401 et seq.), 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

[[Page 27562]]

environmental processes and requirements are located on the FRA 
website.
    g. ``Transformation'' means to design for the future, invest in 
purpose-driven research and innovation to meet the challenges of the 
present, and modernize a transportation system of the future that 
serves everyone today and in the decades to come.

B. Federal Award Information

1. Available Award Amount

    The total funding available for an award under this NOFO is $ 2.5 
million, annually, subject to the availability of funds. The combined 
funding amount available for fiscal years 2022 and 2023 under this NOFO 
is $5 million. Should additional CoE Program funds become available in 
fiscal year 2024 after the release of this NOFO, FRA may elect to award 
such additional funds to the CoE Program selected under this NOFO.

2. Award Size

    Each year, for a total of three years, FRA anticipates providing 
$2.5 million to the CoE, subject to the availability of appropriations. 
The total amount available for the first two years of funding under 
this award is $5 million--$2.5 million for fiscal year 2022 and $2.5 
million for fiscal year 2023. An additional $2.5 million will be made 
available in fiscal year 2024 subject to the availability of 
appropriations. The period of performance for the grant to establish 
and maintain the CoE will be 3 years, after which FRA will conduct a 
new competition, depending on funding availability. There are no 
predetermined maximum dollar thresholds for individual projects funded 
through the CoE. The CoE may fund multiple subawards with the available 
funding. (see section E, Application Review Information). The CoE 
Program and individual projects may require more funding than is 
available. FRA strongly encourages applicants to identify and include 
other State, local, public, or private funding or financing to support 
the CoE Program (and projects funded through the CoE, as applicable).

3. Award Type

    FRA will make awards for the CoE Program selected under this notice 
through a cooperative agreement. Cooperative agreements allow for 
substantial Federal involvement in carrying out the agreed-upon award, 
including technical assistance, review of interim work products, and 
increased program oversight. The term ``grant'' is used throughout this 
document and refers to funding awarded through a cooperative agreement. 
The funding provided under this NOFO will be made available to grantees 
on a reimbursable basis. Grantees must be able to certify that 
expenditures are allowable, allocable, reasonable, and necessary to the 
approved activity before seeking reimbursement from FRA. Additionally, 
the grantee is expected to expend matching funds at the required 
percentage, as described in section C.2 of this NOFO, concurrent with 
Federal funds throughout the life of the CoE Program. See an example of 
standard terms and conditions for FRA grant awards on the FRA website. 
This template is subject to revision.

C. Eligibility Information

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

1. Eligible Applicants

    Eligible applicants are those with strong past performance related 
to rail research, education, and workforce development activities; 
whose proposal would involve public and private sector passenger and 
freight railroad operators in establishing and maintaining the CoE; and 
would have regional and national impacts that align with DOT Strategic 
Goals.
    Applications must identify an eligible applicant as the lead 
applicant. An application may identify entities that are not eligible 
applicants as project partners to the extent of such entities' proposed 
participation. If an application proposes multiple institutions to form 
the CoE together, the application must still identify a lead applicant. 
The lead applicant will serve as the primary point of contact for the 
application, and as the grantee of the CoE Program grant award; 
responsibilities for administering the CoE should be described in the 
CoE Description and Statement of Work in section D.

2. Cost Sharing or Matching

    The Federal share of total costs of establishing and maintaining 
the CoE and any related research activities funded under this notice 
will not exceed 50 percent. The estimated total cost to an applicant 
must be based on the best available information.
    The minimum 50 percent non-Federal share may be comprised of public 
sector (e.g., State or local) or private sector funding. FRA will not 
consider any Federal financial assistance, nor any non-Federal funds 
already expended (or otherwise encumbered) toward the matching 
requirement unless compliant with 2 CFR 200, including 2 CFR 200.458. 
In-kind contributions, including the donation of services, materials, 
and equipment, may be credited as a project cost, in a uniform manner 
consistent with 2 CFR 200.306. Applicants must identify the source(s) 
of their matching and other leveraged funds, and must clearly and 
distinctly reflect these funds as part of the total Program cost in the 
application budget.
    Funding under this NOFO may not be used for costs that are included 
in, or used to meet cost sharing or matching requirements of, any other 
federally financed award or program. If the applicant is seeking 
additional funding for a project that has already received Federal 
financial assistance, costs associated with the scope of work for the 
existing Federal award are not eligible for funding under this NOFO. 
Only new projects selected under this award are eligible for funding 
under this NOFO.
    Before applying, applicants should carefully review the principles 
for cost sharing or matching in 2 CFR 200.306. See section D 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 only approve pre-award costs 
consistent with 2 CFR 200.458, as applicable. See section D(6).

3. Other

a. Program Eligibility
    The CoE Program must establish and maintain a center to advance 
research and development that improves the safety, efficiency, and 
reliability of passenger and freight rail transportation. The 
overarching goal of the Program and all projects receiving funding 
through the CoE should be transformation, which is one of the DOT 
Strategic Goals. The components of the CoE Program eligible for funding 
under this NOFO are establishing the CoE, maintaining the CoE, and 
providing funding for Projects consistent with the requirements in 49 
U.S.C. 20108(j). To fund such Projects, the CoE will evaluate Project 
applications and provide funding to entities that meet the eligibility 
criteria in 49 U.S.C. 20108(j)(2) for Projects consistent with goals 
described in 49 U.S.C. 20108(j)(4).
    Projects eligible for funding through the CoE and consistent with 
this NOFO

[[Page 27563]]

must be for basic and applied research, evaluation, education, 
workforce development, and training efforts related to safety, project 
delivery, efficiency, reliability, resiliency, and sustainability of 
urban commuter, intercity high-speed, and freight rail transportation--
to include advances in rolling stock, advanced Positive Train Control, 
human factors, rail infrastructure, shared corridors, grade crossing 
safety, inspection technology, remote sensing, rail systems 
maintenance, network resiliency, operational reliability, energy 
efficiency, and other advanced technologies. The following entities are 
eligible applicants to receive a grant from the CoE, established 
pursuant to section A.1: An IHE (as defined in section 101 of HEA [20 
U.S.C. 1001]) or a consortium of nonprofit IHEs. Members of the CoE may 
carry out certain Projects eligible under the Program.
    A portion of the funds will be directed to activities consistent 
with 49 U.S.C. 20108(j)(1), and a portion of the funds will be directed 
to subrecipients for Projects consistent with section 20108(j)(4). 
Agreements with subrecipients must comply with the requirements in 2 
CFR 200, including but not limited to 200.331, 200.332, and 200.333. 
FRA will review the recipient's process for selecting subrecipients or 
contractors to ensure compliance with Federal requirements.

D. Application and Submission Information

    Required documents for the application are outlined in the 
following paragraphs. Applicants must complete and submit all 
components of the application. See section D(2) for the application 
checklist. FRA welcomes the submission of other relevant supporting 
documentation that the applicant would like to submit.

1. Address To Request Application Package

    Application materials may be accessed at http://www.Grants.gov. 
Applicants must submit all application materials in their entirety 
through http://www.Grants.gov no later than 5:00 p.m. ET on July 3, 
2023. Applicants are strongly encouraged to apply early to ensure all 
materials are received before the application deadline, as it may take 
a number of weeks to establish a Grants.gov account. FRA reserves the 
right to modify this deadline. General information for submitting 
applications through Grants.gov can be found at the FRA website. FRA is 
committed to ensuring that information is available in appropriate 
alternative formats to meet the requirements of persons with 
disabilities. 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]; phone: 202-578-9337.

2. Content and Form of Application Submission

    FRA urges applicants to read this section carefully. Applicants 
must submit all required information and components of the application 
package to be considered for funding. Late applications or those 
missing required documentation will not be considered. Applicants may 
provide additional documents to support an application.
    All application materials must be written in Times New Roman font, 
12-point, with 8.5 x 11'' with 1'' margins; tables and figures may 
deviate from this standard. Do not rely on hyperlinks to external 
websites that provide supplemental content to the information contained 
in the proposal, as reviewers will be instructed not to view them.
    Required documents for an application package are outlined in the 
checklist below.
a. Program Narrative
(1) Program Narrative Elements
    This section describes the minimum content required in the Program 
Narrative component of the application. The Program Narrative must 
follow the basic outline below to address the Program requirements and 
assist evaluators in locating relevant information.

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I. Cover Page.......................  See D.2.a.(1)(a).
II. Program Summary.................  See D.2.a.(1)(b).
III. Program Funding Summary........  See D.2.a.(1)(c).
IV. Applicant Eligibility...........  See D.2.a.(1)(d).
V. Program Eligibility..............  See D.2.a.(1)(e).
VI. Location........................  See D.2.a.(1)(f).
VII. Detailed CoE Description and     See D.2.a.(1)(g).
 Research Plan.
VIII. Meeting the Evaluation and      See D.2.a.(1)(h).
 Selection Criteria.
IX. Program Implementation and        See D.2.a.(1)(i).
 Management.
X. DOT Strategic Goals..............  See D.2.a.(1)(j).
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    The above content must be provided in a narrative statement 
submitted by the applicant. The Program Narrative may not exceed 40 
pages in length (excluding cover page, table of contents, and 
supporting documentation). If supporting documents are submitted, 
applicants must clearly identify the page number(s) in the Program 
Narrative that the documentation supports. The Program Narrative must 
adhere to the following outline:
    (a) Cover Page: Include a cover page that lists the following 
elements in either a table or formatted list: title; location (i.e., 
city, State, congressional district); applicant organization name; name 
of any other institutions the applicant proposed to be members of the 
CoE; any participating MSIs and/or HBCUs; Federal funding requested 
under this NOFO; and proposed non-Federal match; other sources of 
Federal funding, if applicable; and total CoE Program cost.
    (b) Program Summary: Provide a brief, 4-6-sentence summary of the 
proposed CoE Program and what the CoE Program will entail, including 
the types of Projects the applicant intends to conduct or cause to be 
conducted. Include challenges the proposed CoE Program aims to address, 
and summarize the intended outcomes and anticipated benefits that will 
result.
    (c) Program Funding Summary: Indicate, in table format, the amount 
of Federal funding requested, the proposed non-Federal match, 
identifying contributions from the private sector if applicable, and 
total CoE Program cost. Identify the source(s) of matching and other 
funds, and clearly and distinctly reflect these funds as part of the 
total CoE Program cost in the application budget. 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.
    Additionally, describe the proposed approach to allocating funds 
for establishing the COE, maintaining the

[[Page 27564]]

CoE and for conducting research Projects, including how funds will be 
allocated for research conducted by other eligible entities. Include, 
as attachments or in an appendix, funding commitment letters outlining 
funding agreements. If Federal funding is proposed as a 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. Finally, specify whether Federal funding for the CoE Program 
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 this CoE Program application that differs from the 
application(s) to other financial assistance programs.
    Example Program Funding Table:

----------------------------------------------------------------------------------------------------------------
                                            Task name/project                                      Percentage of
                Task #                          component                       Cost                total cost
----------------------------------------------------------------------------------------------------------------
1.....................................  .........................  .............................  ..............
2.....................................  .........................  .............................  ..............
------------------------------------------------------------------
Total Program Cost...............................................  .............................  ..............
Federal Funds Received from Previous Grant (if any)..............  .............................  ..............
Federal Funding Request..........................................  .............................  ..............
Non-Federal Funding/Match........................................  Cash:
                                                                   In-Kind:
Portion of Non-Federal Funding from Private Sector...............  .............................  ..............
Pending Federal Funding Requests.................................  .............................  ..............
----------------------------------------------------------------------------------------------------------------

    (d) Applicant Eligibility: Explain how the applicant meets the 
applicant eligibility criteria outlined in section C of this notice. If 
the application is proposing a CoE with multiple members (i.e., a 
consortium), the application must be signed by an authorized 
representative of each member and must include a description of the 
roles and responsibilities of each member, including budget and 
subrecipient information showing how the members will share CoE Program 
costs and how research activities will be conducted.
    (e) Program Eligibility: Identify how the program that the 
applicant intends to pursue meets the criteria identified in section 
C(3) of this notice. Include challenges the proposed program aims to 
address, and summarize the intended outcomes and anticipated benefits 
that will result.
    (f) Location: Include the address of the lead applicant and all 
other members in the consortium, if applicable, as well as the location 
of potential research activities, if known.
    (g) Detailed CoE Description and Research Plan: Include a detailed 
CoE Program description that expands upon the brief program summary. 
This detailed description should provide, at a minimum, background on 
the challenges the CoE Program aims to address; the expected users and 
beneficiaries of the CoE Program, including all railroad operators, if 
applicable; the specific components and elements of the CoE Program; 
the suggested basic and applied research and its potential impacts; how 
the applicant would conduct any research in-house as well as in 
collaboration with consortium members (if applicable); how the 
applicant would announce, evaluate for selection, and fund research 
projects conforming to the research areas identified in section C(3) 
and any other information the applicant deems necessary to justify the 
proposed CoE Program. The applicant must delineate and describe the 
cost to establish the CoE, maintain the CoE, and costs to be used for 
research projects. The applicant must also include how it plans to 
administer CoE research funds through subawards, including a plan for 
providing the following information to FRA: identifying the 
subrecipient (particularly if the applicant has information on specific 
potential subrecipients); the role of the subrecipient; and how the 
applicant plans to monitor the subrecipient. Include a description of 
how the applicant intends to ensure Projects funded through the CoE 
meet the eligibility criteria in section C(3). The applicant should 
address how the proposed CoE Program will meet the Transformation goal 
to design for the future and invest in purpose-driven research and 
innovation to meet the challenges of the present and modernize a 
transportation system of the future that serves everyone today and in 
the decades to come.\1\ The applicant should identify how the proposed 
Program will match research and policy to advance breakthroughs; foster 
experimentation to identify new ideas; involve collaboration to 
accelerate the adoption of innovations and technologies; and provide 
flexibility and adaptability for transportation system investments to 
accommodate and respond to changing needs and capabilities to provide 
long-term benefits. To that end, the Program description should address 
how it will evaluate and select projects for subawards pursuant to 49 
U.S.C. 20108(j)(4). Applicants must provide information about proposed 
performance measures, as described in section F(3) and required in 2 
CFR 200.301. Further, applicants must provide plans for taking 
affirmative steps to employ small businesses, consistent with 2 CFR 
200.321.
---------------------------------------------------------------------------

    \1\ U.S. Department of Transportation, Strategic Plan FY 2022-
2026.
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    (h) Meeting the Evaluation and Selection Criteria: Include a 
thorough discussion of how the proposed Program meets all the 
evaluation criteria and selection criteria, as outlined in section E of 
this notice. If an application does not sufficiently address how the 
proposal meets the evaluation and selection criteria, it is unlikely to 
be a competitive application.
    (i) Program Implementation and Management: Describe proposed 
Program implementation and project management arrangements. Include 
descriptions of the expected arrangements for project contracting, 
contract oversight, change-order management, risk management, and 
conformance to Federal requirements for project progress reporting. 
Describe past experience in managing and overseeing similar projects. 
Additionally, CoE grantees must conduct technology transfer to make 
research results available to potential users in a form that can be 
implemented, utilized, commercialized, or otherwise applied. Describe 
the technology transfer activities that the applicant will undertake to 
ensure the successful transfer of information and technology to those 
who can use it, especially current transportation

[[Page 27565]]

practitioners. Provide examples of prior experience in outreach, 
dissemination, and technology transfer activities related to 
transportation research and education.
    (j) DOT Strategic Goals: Applicants are encouraged to describe 
efforts to consider safety, climate change and sustainability impacts, 
efforts to improve equity and reduce barriers to opportunity in project 
planning, as well as 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. In addition, applicants should describe how planning activities 
and Program delivery actions advance good-paying, quality jobs and 
workforce programs and hiring policies that promote workforce 
inclusion. Additional information about strong labor standards that 
grant award recipients will be expected to meet are described below in 
Administrative and National Policy Requirements (section F(2)).
(2) Additional Application Elements
    Applicants must submit the following documents and forms. Note, the 
Standard OMB Forms needed for the electronic application process are at 
www.Grants.gov.
    (a) A Statement of Work (SOW) addressing the objective, scope, 
schedule, budget, and performance measures for the proposed Program if 
the applicant were selected for award. The SOW must contain sufficient 
detail so FRA, and the applicant, can understand the expected outcomes 
of the proposed work to be performed as well as the eligibility of the 
work under this NOFO, and can monitor progress toward completing tasks 
and deliverables during a prospective grant's period of performance. 
The SOW should also describe how funds will be budgeted across 
consortium members (if applicable). Applicants may use FRA's standard 
SOW, schedule, budget, and performance measures templates to guide 
their submissions. The four templates are labeled Example General 
Grants--Attachments 2-5 and are located on the FRA website. When 
preparing the budget, the total cost of a project must be based on the 
best available information as indicated in cited references.
    (b) Curriculum vitae for key personnel, limited to two pages per 
individual.
    (c) Environmental compliance. After selection, FRA will work with 
the grantee(s) to ensure compliance with NEPA, section 106 of the 
National Historic Preservation Act of 1966, as amended, and other 
applicable environmental laws.
    (d) SF 424--Application for Federal Assistance.
    (e) SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction.
    (f) SF 424B--Assurances for Non-Construction or SF 424D--Assurances 
for Construction.
    (g) FRA F 30--Certifications Regarding Debarment, Suspension and 
Other Responsibility Matters, Drug-Free Workplace Requirements, and 
Lobbying, located at: https://railroads.dot.gov/elibrary/fra-f-30-certifications-regarding-debarment-suspension-and-other-responsibility-matters.
    (h) FRA F 251--Applicant Financial Capability Questionnaire.
    (i) SF LLL--Disclosure of Lobbying Activities.

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

    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 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 UEI and SAM requirements. (Note that 
if a UEI number must be obtained or renewed, this may take a 
significant amount of time to complete.) If an applicant has not fully 
complied with these requirements by the time the Federal awarding 
agency is ready to make an award, the 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 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, recipients, and subrecipients. 
Organizations that have previously submitted applications via 
Grants.gov are already registered with SAM, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their SAM registration at least once per year to 
maintain an active status. Therefore, it is critical to check 
registration status well in advance of the application deadline. If an 
applicant is selected for an award, the applicant must maintain an 
active SAM registration with current information throughout the period 
of the award. Information about SAM registration procedures is 
available at www.sam.gov.
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 UEI, or the Entity ID. To 
find or request a Unique Entity Identifier, please visit www.sam.gov.
c. Create a Grants.gov Username and Password
    Applicants must complete an Authorized Organization Representative 
(AOR) profile on www.Grants.gov and create a username and password. 
Applicants must use the organization's UEI number to complete this 
step. Additional information about the registration process is 
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
d. Acquire Authorization for Your AOR From the E-Business Point of 
Contact (E-Biz POC)
    The applicant organization's E-Biz POC must respond to the 
registration email from Grants.gov and log in at www.Grants.gov to 
authorize the applicant as the AOR. Please note there

[[Page 27566]]

can be more than one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This 
NOFO
    If an applicant experiences difficulties at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html

4. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no 
later than 5:00 p.m. ET, July 3, 2023. Applicants will receive a 
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov 
information on dates/times of applications submitted to determine the 
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, the following conditions 
are not valid reasons to permit late submissions: (1) failure to 
complete the Grants.gov registration process before the deadline; (2) 
failure to follow Grants.gov instructions on how to register and apply 
as posted on its website; (3) failure to follow all the instructions in 
this NOFO; and (4) technical issues experienced with the applicant's 
computer or information technology environment.

5. Intergovernmental Review

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

6. Funding Restrictions

    Consistent with 2 CFR 200.458, FRA, as applicable, 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 the efficient and timely performance of the 
scope of work. Under 2 CFR 200.458, grantees must seek written approval 
from the administering agency for pre-award activities to be eligible 
for reimbursement under the grant. Activities initiated prior to the 
execution of a grant or without written approval may not be eligible 
for reimbursement or included as a grantee's matching contribution.

7. Other Submission Requirements

    If an applicant experiences difficulties at any point during this 
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). 
For information and instructions on each of these processes, please see 
instructions at: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.
    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 Tarek Omar, 
Federal Railroad Administration, Room W38-306 1200 New Jersey Avenue 
SE, Washington, DC 20590, or a copy via email: [email protected]. 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

a. Eligibility and Completeness Review
    FRA will first screen each application for applicant and Program 
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 50 
percent minimum match in determining whether the application is 
eligible. Any application FRA finds ineligible during this screen will 
not be advanced to evaluation.
b. Evaluation Criteria
    FRA will evaluate all eligible and complete applications using the 
evaluation criteria outlined in this section to determine program 
benefits and technical merit.
(1) Program Benefits
    FRA will evaluate the anticipated benefits of the proposed Program 
detailed in the Program Narrative, budget and CoE description. 
Considerations include:
    (a) The applicant's demonstrated leadership capacity to address 
rail transportation problems and advance rail transportation expertise 
and technology. This should include:
    (i) Examples of applicant's high standing within the national arena 
of rail transportation research as evidenced by activities such as 
publications, committee work, participation in professional 
transportation organizations and conferences (e.g., presentations, 
steering committees, session chairs, etc.), awards, and other 
indicators of leadership excellence.
    (ii) The extent to which the CoE Program will have regional and 
national impacts and examples of the applicant's experience in 
contributing to the solution of local, regional, and/or national rail 
transportation problems.
    (iii) Demonstrated leadership in the development and delivery of 
programs. This includes innovative rail transportation education, 
workforce development, technology transfer, and research activities.
    (b) The extent to which the applicant will involve public and 
private sector passenger and freight railroad operators and the 
composition of any existing or planned stakeholder engagement and/or 
other entity, expected to provide technical input as research is being 
conducted.
    (c) The degree to which the applicant's proposed activities are 
multimodal and multidisciplinary in scope, and how such an emphasis 
improves or expands the quality of the research.
    (d) The extent of the applicant's background in education and 
workforce development efforts. How the applicant's management of the 
CoE and proposed projects will result in the development of a 
transportation workforce that is prepared to design, deploy, operate, 
and maintain the complex transportation systems of the future. How the 
applicant's engagement

[[Page 27567]]

in this Program will be leveraged to support education and workforce 
development activities.
    (e) Evidence of a commitment to working with underrepresented/
underserved communities. This commitment can be demonstrated if the 
applicant is an MSI or HBCU; if applicant is partnering with an MSI or 
HBCU; and/or if the applicant has a demonstrated association with other 
stakeholder group or groups representing or serving underrepresented/
underserved communities. Each applicant that is not a MSI or a HBCU is 
encouraged to partner with an MSI or HBCU, or other organization 
representing underserved/underrepresented communities and submit a 
joint application. This is in keeping with several Executive Orders. 
Executive Order 13985 (January 20, 2021) states in section 6 that ``The 
Federal Government should, consistent with applicable law, allocate 
resources to address the historic failure to invest sufficiently, 
justly, and equally in underserved communities, as well as individuals 
from those communities.'' Executive Order 14041 (September 3, 2021), in 
section 2(b)(D), promotes ``strengthening the capacity of HBCUs to 
participate in Federal programs, access Federal resources, including 
grants and procurement opportunities, and partner with Federal 
agencies.'' And Executive Order 14045 (September 13, 2021) established 
a Presidential Advisory Commission to investigate and suggest to the 
President ``ways to strengthen the capacity of institutions, such as 
[Hispanic-serving institutions] (HSIs), to equitably serve Hispanic and 
Latino students and increase the participation of Hispanic and Latino 
students, Hispanic-serving school districts, and the Hispanic community 
in the programs of the Department [of Education] and other agencies.''
    (f) The extent to which a proposal incorporates Executive Order 
14008 (January 27, 2021) in its research plans. Executive Order on 
Tackling the Climate Crisis at Home and Abroad demands a government-
wide approach to the crisis, ``to build a modern and sustainable 
infrastructure, deliver an equitable, clean energy future, and put the 
United States on a path to achieve net-zero emissions, economy-wide, by 
no later than 2050.''
    (g) The extent to which the application demonstrates the 
applicant's ability and preparation to support meaningful research soon 
after the grant is awarded.
(2) Technical Merit
    The evaluation of Technical Merit will include an assessment of:
    (a) The applicant's existing expertise and ability to evaluate, 
support, and, as applicable, conduct any proposed research activities, 
including:
    (i) Examples of significant impacts of related past rail research, 
including a description of products or patents, or a change in 
practice, or instances of informing policy decisions.
    (ii) Examples of research included in peer-reviewed journals, 
publications, and conferences that exemplifies an applicant's 
experience in the topical subject matter and/or with the research 
methods, data sources, stakeholders, etc., relevant to the chosen 
topic.
    (iii) Qualifications of faculty and staff expected to be involved 
in the applicant's proposed activities.
    (b) The research resources and existing programs already available 
to evaluate, conduct, and oversee any proposed research activities, 
including those at consortium universities including, if relevant to 
the transportation research:
    (i) Dedicated laboratory space
    (ii) Specialized computer or other technical equipment
    (iii) IHE support personnel with particular knowledge of 
transportation research needs
    (c) Demonstrated experience and approach to successfully selecting, 
managing and overseeing subawards and contracts consistent with 2 CFR 
part 200, and plans for evaluating Project proposals for subawards 
including whether such plans include assessment for technical merit, 
alignment with research objectives and the DOT Strategic Goal of 
Transformation. This will include an assessment of the applicant's 
experience and proposed approach to informing FRA about its work 
including subreipient identity, applicant's role, and magnitude of 
funds transferred.
    (d) The performance metrics (at least two) that the applicant 
proposes to assess its performance and subrecipient performance in 
meeting research project and CoE goals; and how the applicant will 
obtain and maintain the information included in those metrics.
    (e) Applicant's management approach and procedures, and how it will 
implement planning activities and produce results in an effective, 
timely, and cost-efficient manner, including:
    (i) Plans for overall management and oversight of fiscal and 
technical activities, including methods for budgeting funds across all 
consortium members, ensuring cost efficiency, and a demonstration of 
the ability to implement the grant in a cost-efficient and timely 
manner.
    (ii) The extent to which the applicant has demonstrated commitment 
to, and implementation of, peer review and other research best 
practices in the selection and management of projects that meet the 
eligibility criteria described in 49 U.S.C. 20108(j)(4) and section 
C(3).
    (iii) If submitting a joint application, details on how tasks and 
oversight responsibilities will be distributed.
c. Selection Criteria
    (1) Selection Preference: In addition to the eligibility and 
completeness review and the evaluation criteria outlined in this 
subsection, FRA will apply selection preferences for:
    (a) The extent to which an applicant demonstrates strong past 
performance in rail research, education, and workforce development. 
This includes such examples as developing transformative research, 
incorporating climate and clean energy priorities in research, a 
demonstrated ability to achieve workforce development goals, MSI/HBCU 
participation, a commitment to underrepresented/underserved communities 
and economic equity, and the involvement of public and private sector 
passenger and freight railroads.
    (b) The extent to which an application proposes a non-Federal share 
of total project costs greater than 50 percent.
    (2) Strategic Goals: FRA will also consider the extent to which the 
Program addresses the following additional DOT Strategic Goals:
    (a) Safety. FRA will assess the Program'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 Program will improve safety at highway-rail grade crossings, 
reduce rail-related trespassing, upgrade infrastructure to achieve a 
higher level of safety.
    (b) Economic Strength and Global Competitiveness. Infrastructure 
Investment and Job Creation. In support of 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), FRA will assess the Program's ability to contribute to 
economic progress stemming from infrastructure investment and 
associated job creation in the industry. Such considerations

[[Page 27568]]

will include, but are not limited to, the extent to which the CoE will 
support the development of a transportation workforce that is prepared 
to plan, design, deploy, operate, and maintain the complex 
transportation systems of the future. As part of these efforts, 
applications must demonstrate a Center's commitment to broadening 
participation and attracting new entrants to the transportation field 
in order to enhance diversity and inclusion. Diversity is considered to 
be the inclusion of the many communities, identitiesm races, 
ethnicities, backgrounds, abilities, cultures, and beliefs of the 
American people, including underserved communities, and any other 
attributes identified as needing to be addressed.
    (c) Equity. 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, Tackling the Climate 
Crisis at Home and Abroad (86 FR 7619), FRA will assess the Program'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 projects, the extent to 
which the program 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 that might have been historically disconnected due to 
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 considered in decision-
making.
    (d) Climate and Sustainability. In support of Executive Order 
14008, Tackling the Climate Crisis at Home and Abroad, FRA will assess 
the Program'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 Program supports reductions in emissions, promotes 
energy efficiency, increases resiliency, and recycles or redevelops 
existing infrastructure.
    (e) Transformation. FRA will assess the Program's ability to design 
for the future and invest in purpose-driven research and innovation to 
meet the challenges of the present and modernize a transportation 
system of the future that serves everyone today and in the decades to 
come. FRA will also assess the extent to which a proposal could be 
defined as ``transformative,'' in a DOT context. Examples of the DOT 
Transformation strategies from the FY 2022-26 DOT Strategic Plan 
include:
    (i) University partnerships that bring new science into practice.
    (ii) Exploratory research and experimentation, translating 
developments from other fields into transportation.
    (iii) Bringing new voices into the research conversation.
    (iv) Conducting research to understand the needs and implications 
of emerging transportation technologies such as automation and unmanned 
aerial systems, transportation system use and operations, and 
infrastructure design.

2. Review and Selection Process

    FRA will conduct a four-part application review process:
    a. Screen applications for completeness, eligibility, and the 
minimum match.
    b. Apply evaluation criteria to remaining applications (completed 
by a technical evaluation panel).
    c. Apply selection criteria and recommend the selected applicant 
for the FRA Administrator's review, which includes senior leadership 
from the Office of the Secretary and FRA; and
    d. Select recommended award 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 the designated integrity and performance system, 
in making a judgment about the applicant's integrity, business ethics, 
and record of performance under Federal awards when completing the 
review of risk posed by applicants as described in 2 CFR 200.205.

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press 
release and on the FRA website after the application review period. 
This announcement is FRA's notification to successful and unsuccessful 
applicants alike. FRA will contact applicants with successful 
applications after the 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 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.dot.gov/elibrary/notice-grant-award-example . 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 must comply 
with all applicable requirements of Federal law, including, without 
limitation: the Constitution of the United States; the relevant 
authorization and appropriations; the conditions of performance, 
nondiscrimination requirements and other assurances made applicable to 
the award of funds; 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 FRA determines a 
grantee has failed to comply with applicable Federal

[[Page 27569]]

requirements, FRA may terminate the award of funds and disallow 
previously incurred costs, requiring the grantee to reimburse any 
expended award funds. See an example of standard terms and conditions 
for FRA grant awards at https://railroads.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to 
revision.
    Examples of administrative and national policy requirements 
include: 2 CFR 200; procurement standards at 2 CFR 200 subpart D--
Procurement Standards; 2 CFR 200.317 and 2 CFR 200.401; compliance with 
Federal civil rights laws and regulations; disadvantaged business 
enterprises requirements; debarment and suspension requirements; drug-
free workplace requirements; FRA's and OMB's Assurances and 
Certifications; Americans with Disabilities Act; safety requirements; 
NEPA; environmental justice requirements; and 2 CFR 200.315, governing 
rights to intangible property. 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.
Domestic Preference Requirements
    As expressed in Executive Order 14005, Ensuring the Future Is Made 
in All of America by All of America's Workers (86 FR 7475), the 
executive branch should maximize, consistent with law, the use of 
goods, products, and materials produced in, and services offered in, 
the United States. Assistance under this NOFO is subject to the 
requirements in the Buy American Act (41 U.S.C. 8301-8305) and Build 
America, Buy America Act, Public Law 117-58, sections 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.
Civil Rights and Title VI
    As a condition of a grant award, grantees 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 Americans with 
Disabilities Act of 1990 (ADA), and section 504 of the Rehabilitation 
Act, all other civil rights requirements, and accompanying regulations. 
This should include a current Title VI plan, completed Community 
Participation Plan, and a plan to address any legacy infrastructure or 
facilities that are not compliant with ADA standards. DOT's and the 
applicable Operating Administrations' Office of Civil Rights may work 
with awarded grantees to ensure full compliance with Federal civil 
rights requirements.
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 the signing of the grant agreement, 
effort 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 Department 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 Improving Cybersecurity for Critical 
Infrastructure Control Systems

3. Reporting and Evaluation

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.
    The applicant must comply with all relevant requirements of 2 CFR 
200. 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. See an example 
of standard terms and conditions for FRA grant awards at the FRA 
website.
    As a condition of grant award, grantees 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 grantees, an impact and/or outcomes 
analysis of all or selected sites within or across grantees, or a 
benefit/cost analysis or assessment of return on investment. DOT may 
require applicants to collect data elements to aid the evaluation and/
or use information available through other reporting. As a part of the 
evaluation, as a condition of award, grantees must agree to: (1) make 
records available to the evaluation contractor or DOT staff; (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.
c. Performance and Program Evaluation
    As a condition of grant award grantees 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 grantees, an impact and/or outcomes 
analysis of all or selected sites within or across grantees, 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, 
grantees 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 sub-recipients 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 the effectiveness of their projects and 
strategies. Title I of the Foundations for Evidence-Based Policymaking 
Act of 2018 (Evidence Act), Public Law 115-435 (2019) urges Federal 
awarding agencies and Federal

[[Page 27570]]

assistance recipients and sub-recipients 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'' (codified at 5 U.S.C. 311). For 
grantees, evaluation expenses are allowable costs (either as direct or 
indirect), unless prohibited by statute or regulation, and such 
expenses may include the personnel and equipment needed for data 
infrastructure and expertise in data analysis, performance, and 
evaluation (2 CFR 200).
    For grantees receiving an award, evaluation costs are allowable 
costs (either as direct or indirect), unless prohibited by statute or 
regulation, and such costs may include 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 Program's and each subaward's performance using measures 
mutually agreed-upon by FRA and the grantee to assess progress in 
achieving strategic goals and objectives. The applicable measure(s) 
will depend upon the type of Project(s) funded through the CoE.

G. Federal Awarding Agency Contacts

    For further information regarding this notice, please contact the 
FRA NOFO Support program staff via email at [email protected]. 
If additional assistance is needed, contact Tarek Omar, Office of 
Research, Development, and Technology, Federal Railroad Administration, 
1200 New Jersey Avenue SE, Room W36-306, Washington, DC 20590; email: 
[email protected]; phone: 202-493-6189.

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 personal identifiable 
information (PII) or 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 PII or Confidential 
Business Information (CBI)''; (2) mark each affected page PII and/or 
``CBI''; and (3) highlight or otherwise denote the PII or CBI portions.
    The DOT regulations implementing the Freedom of Information Act 
(FOIA) are found at 49 CFR 7 Subpart C--Availability of Reasonably 
Described Records under the Freedom of Information Act and 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.
    The Department may share application information within the 
Department or with other Federal agencies if the Department determines 
that sharing is relevant to the respective program's objectives.

    Issued in Washington, DC.
Amitabha Bose,
Administrator.
[FR Doc. 2023-09240 Filed 5-1-23; 8:45 am]
BILLING CODE 4910-06-P


