September 21, 2021

RAIL

MOVING AMERICA FORWARD

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Presented by: 

Doug Gascon • Matt Lorah • Judah Lynam • Andréa Martin 

FY21 Consolidated Rail Infrastructure and Safety 

Improvements (CRISI) Grants NOFO Webinar
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Welcome:

FRA Deputy Administrator

Amit Bose
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FY21 CRISI Program Overview

NOFO Overview and How to Apply

Best Practices

• Project Narrative

• Statement of Work (SOW)

• Benefit-Cost Analysis (BCA)

• Environmental Readiness

Recap & Reminders

Q & A 

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2

4

5

3

Agenda
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FY21 CRISI

Program Overview
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FY21 CRISI – Program Overview 

Grant Purpose

• To fund projects that improve the safety, efficiency, and/or reliability of intercity passenger and freight rail systems

CRISI ‒ Recent & Upcoming Funding Opportunities

Year Available 

Funding (M) Status

FY18 (PTC) $250 Awards announced August and December 2018

FY18 $318 Awards announced June 2019

FY19 $244 Awards announced March 12, 2020

FY20 $311 Awards announced September 23, 2020

FY21 $362 Awards expected spring 2022

FY18 FY19 FY20 FY21

Authorization $230 $255 $330 $330

Appropriation $592.5 $255 $325 $375

Authorization & Appropriations (M)

Status of Funding Opportunities









NOFO: Notice of Funding Opportunity
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• A State or group of States 

• An Interstate Compact

• Public agencies or publicly chartered authorities 

• Local governments

• Amtrak or other intercity passenger rail carrier

• Class II or III railroads

• Any rail carrier or equipment manufacturer in partnership with at least one state entity, 

public agency, and/or local government

• The Transportation Research Board (TRB) together with any entity with which it contracts in 

the development of rail-related research, including cooperative research programs

• A university transportation center engaged in rail-related research

• A non-profit labor organization representing a class or craft of employees of rail carriers or 

rail carrier contractors

Eligible Applicants

FY21 CRISI – Program Overview 
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• Wide Range of Rail Capital Projects

• Congestion mitigation

• Ridership growth facilitation 

• Enhancements to multimodal connections

• Improvements to short-line or regional 

railroad infrastructure

• Railroad Safety Technology 

• Track, Station, and Equipment Improvements for 

Intercity Passenger Rail

• Grade Crossing Improvements

• Rail Line Relocation and Improvement 

• Regional and Corridor Service Planning and 

corresponding Environmental Analyses

Eligible Project Criteria

• Safety Programs and Institutes

• Research

• Workforce Development and Training

At least 25% of funds is reserved for 

rural projects

FY21 CRISI – Program Overview 
8

FY21 CRISI – New Set-Asides and Non-CRISI Funding

$2.3M

Non-CRISI funding to reduce trespassing

Other available funding for trespassing mitigation projects 

has been folded into the CRISI Grant Program under Track 4

Set-aside for capital and engineering solutions 

targeting trespassing

$25M

$ $75M

Set-aside for capital projects to support new intercity 

passenger rail service routes including alignments for 

existing routes

iv. Track 4—Research, Safety 

Programs and Institutes (Non-Railroad 

Infrastructure). Track 4 consists of 

projects not falling within Tracks 1-3, 

including workforce development 

activities, research, safety programs 

or institutes designed to improve rail 

safety that clearly demonstrate the 

expected positive impact on rail 

safety. Sufficient detail must be 

provided on what the project will 

accomplish, as well as the applicant's 

capability to achieve the proposed 

outcomes. Examples include 

initiatives for improving rail safety, 

training, payment of applicable law 

enforcement wages to undertake 

trespass Enforcement Activities, 

Outreach Campaigns for reducing 

suicides that involve railroad 

trespassing, and education.
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FY21 CRISI – Funding for Trespassing Projects

CRISI Set-Aside: 

$25M

• For capital projects and engineering solutions targeting trespassing

• Preference for projects located in counties with the most pedestrian 

casualties as identified in FRA’s National Strategy to Prevent 

Trespassing on Railroad Property

Railroad Trespassing 

Enforcement Grant Program: 

$2,034,296 

• For railroad trespassing enforcement activities at trespassing hot 

spots on FRA-regulated track

• Limited to hourly wages for law enforcement officials

• Maximum award is $120,000

Railroad Trespassing Suicide 

Prevention Grant Program: 

$207,000

• For the implementation or expansion of targeted outreach campaigns 

to reduce the number of railroad-related suicides that involve railroad 

trespassing on FRA-regulated track

• Maximum award is $100,000

For Non-CRISI funding: 

• Applicants must meet CRISI eligibility requirements

• Federal share of total project costs can be up to 100 percent 

• Submit under Track 4 

Non

-CRISI 

Funding

CRISI 

Funding
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Non-Federal Match Requirements

• Federal share of total costs shall not exceed 80 percent.

• 20 percent minimum non-Federal match for CRISI-funded projects may 

consist of public sector (e.g., state or local) and/or private sector 

funding. FRA will not consider any Federal financial assistance nor any 

non-Federal funds already expended (or otherwise encumbered) toward 

the matching requirement, unless compliant with 2 CFR part 200.

• Applicants must identify the source(s) of its matching and other funds, 

and must clearly and distinctly reflect these funds as part of the total 

project cost.

• 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. 

Average matching 

percent of selected 

projects for FY20: 49%

Average matching 

percent over lifetime of 

program (FY17-20): 49%

FY21 CRISI – Program Overview 
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Evaluation Criteria

• Technical Merit: SOW aligns with expected outcomes, project readiness, technical qualifications and 

capacity of applicant to carry out proposed project, innovative overall approach, private sector 

participation, consistency with planning documents

• Project Benefits: Effects on system performance, safety, integration with other modes, ability to 

meet demand

• Preference:

• Federal share of total project costs is 50 percent or less

• Maximized net benefits

• Pre-construction elements (preliminary engineering [PE], final design [FD]) that support 

development of new intercity passenger rail routes 

• Projects targeting trespassing in areas with documented casualties

Selection Criteria

FY21 CRISI – Program Overview 
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Key Departmental Objectives

Safety

Improves safety at highway-rail grade crossings, reduces 

incidences of rail-related trespassing, and upgrades 

infrastructure to achieve a higher level of safety.

Equitable economic strength, improving core assets

Invests in vital infrastructure assets, addresses capital 

needs to connect farms, factories, and shippers to the rail 

network, and provides opportunities for families to achieve 

economic security through rail industry employment.

Resilience, addressing climate change

Reduces emissions, promotes energy efficiency, increases 

resiliency, and recycles or redevelops existing infrastructure.

Racial equity, economic inclusion

Improves or expands transportation options, 

mitigates the safety risks and detrimental quality of 

life effects that rail lines can have on communities, 

and expands workforce development and training 

opportunities to foster a more diverse rail industry.

Transformation of our nation’s transportation 

infrastructure

Adds capacity to congested corridors, builds new 

connections, and ensures assets will be improved to 

a state of good repair.

FY21 CRISI – Program Overview 

DOT will assess the project’s ability to meet one or more of these objectives. Such considerations can include, but 

are not limited to, the extent to which an application:
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NOFO Overview &

How to Apply
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Notice of Funding Opportunity (NOFO)

A Notice of Funding Opportunity (NOFO): 

• Announces the grant opportunity

• Contains details about the application requirements and procedures to request 

Federal funding for eligible projects 

What is a NOFO?
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Key Parts of a NOFO

• Program summary

• Key Dates

• Addresses

• FRA Contact Information

• Table of Contents

• Program Description

• Federal Award Information

• Eligibility Information

• Application and Submission Information

• Application Review Information

• Federal Award Administration Information

• Federal Awarding Agency Contacts

What information is in a NOFO?
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Where do I start?

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Check the FRA Discretionary Competitive Grant Program webpage

• https://railroads.dot.gov/grants-loans/competitive-discretionary-grantprograms/competitive-discretionary-grant-programs

Click the 

link to 

access 

the NOFO
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Where is the FY21 CRISI Program NOFO? 

NOTE: Application

deadline is 

5 pm, ET, Monday, 

November 29, 2021
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Search grants on Grants.gov: 

Click the Opportunity Number 

to see the Synopsis

Where do I find “How to Apply” information?
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Summary information about the grant opportunity in Grants.gov: 

What is the Synopsis?
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Key Steps

• Obtain a Dun and Bradstreet number (DUNS)

• Register early in the Federal government's System for Award Management (SAM) 

• NOTE: SAM registration can take up to 2 weeks

• For Grants.gov, complete an Authorized Organization Representative (AOR) profile and 

create a username and password

• Submit an application addressing all requirements outlined in the NOFO 

How do I Apply?
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How do I Apply?

https://railroads.dot.gov/grant-administration/applyinggrants/competitive-grants-application-process
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Required Documents

• Project Narrative

• Statement of Work

• Environmental Compliance Documentation

• Benefit-Cost Analysis

What do I include in my application?

Note: Under this NOFO, FRA requires that a written 

agreement exist between the applicant and the railroad 

regarding use and ownership consistent with 49 U.S.C. 

22905(c)(1) for projects using rights-of-way owned by a 

railroad that is not the applicant.
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Required Forms

• SF424 (Application for Federal Assistance)

• Either: SF 424A or 424C – Budget info for Non-Construction OR Construction

• Either: SF 424B or 424D – Assurances for Non-Construction OR for Construction

• FRA’s Additional Assurances and Certifications

• SF LLL: Disclosure of Lobbying Activities, if applicable

• FRA’s Assurances and Certifications covers entities that do not perform lobbying activities

What forms are required?
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Find Additional Information about the grant opportunity in Grants.gov at the 

bottom of the Synopsis page: 

Where do I find additional information and help?
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Each application is reviewed for 

completeness and eligibility to 

determine which applications move to 

the evaluation stage

Each complete and eligible application 

is evaluated by a panel of DOT subject 

matter experts using criteria outlined 

in the NOFO 

Final funding decisions are made by 

taking into account the evaluation 

and selection criteria outlined in the 

NOFO 

1. Intake and Eligibility

2. Evaluation

3. Selection

4. Announcement

FRA press release announces selections 

approximately 4 to 5 months following 

application due date

Application Review and Selection Process
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Best Practices
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• Read the Notice of Funding Opportunity 

(NOFO) completely and carefully to 

understand the criteria for eligibility and 

selection, and what information each 

application must include 

• FRA has identified three primary areas where applications not selected for 

funding typically demonstrate 

deficiencies: • Project Narrative • Statement of Work (SOW) • Benefit-Cost Analysis (BCA)

Best Practices – Helpful Hints
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Best Practices –

Project Narrative
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 Structure your project narrative 

in accordance with the outline 

specified in the NOFO

 Include all elements identified in 

the outline

 Follow the instructions for each 

element

 Adhere to 25-page limit

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Indicate Project Track

 Indicate if an application for 

the project has been 

submitted previously to 

another Federal grant 

program – include the 

program and year

 Rural or non-Rural

 Indicate any specific set-aside 

for which your project is 

applying, if applicable

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative

Include the table as outlined in 

the NOFO: 
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 Briefly describe the project in 4 to 

6 sentences, its anticipated 

benefits, and the transportation 

challenges the project will address

 Think of this section of the 

application as your elevator pitch 

for the project to the DOT 

Secretary and FRA Administrator

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Only include eligible costs

 Specify each source of non-Federal 

match

 Provide details about in-kind match

 Indicate public- vs. private-sector match 

 Describe the non-Federal funding 

arrangements

 Attach funding commitment letters

 Identify if the proposed match will not 

be available until a certain date or if 

funds must be spent by a deadline

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Thoroughly discuss the 

transportation challenges and 

benefits

 Include data to support project 

benefits

 Describe how project components 

are related and will be sequenced

 Include photographs or diagrams

 Identify all host railroads, 

operators, and beneficiaries

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Identify cities, counties, and states 

where project is located

 Include a map of the project, as 

well as geospatial data

 Identify railroad mileposts

 For grade crossing projects, 

include the U.S. DOT National 

Highway-Rail Crossing Inventory 

number

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Include a separate section in the 

project narrative focused on how 

the project meets each of the 

evaluation and selection criteria

 DO NOT rely solely on the 

contents of the “detailed project 

description” section to satisfy this 

requirement — it is OK to repeat 

key points in this section

 Quantify benefits whenever 

possible

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
36

 Highlight applicant’s past 

experiences managing and 

overseeing similar projects, 

including FRA- or DOT-funded 

projects

 Describe expected arrangements 

for project contracting, contract 

oversight, change-order 

management, risk management, 

and conformance with Federal 

requirements for progress 

reporting

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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 Document environmental work, either 

initiated or completed

 Planning Readiness for Tracks 2 and 3 

(PE/NEPA and FD/Construction Projects: 

Provide information about the planning 

process that analyzed the investment needs 

and service objectives of the project

 Environmental Readiness for Track 3 

FD/Construction Projects: If the NEPA process 

is complete, an applicant should indicate the 

date of completion and supporting 

documentation. If the NEPA process is not yet 

underway, or underway and not yet complete, 

indicate where project is in the process and 

the anticipated date of completion of all NEPA 

and related milestones.

I. Cover Page

II. Project Summary

III. Project Funding

IV. Applicant Eligibility

V. Project Eligibility

VI. Detailed Project Description

VII. Project Location

VIII. Evaluation & Selection Criteria

IX. Project Implementation & 

Management

X. Environmental Readiness

Project Narrative Outline

Best Practices – Project Narrative
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Best Practices –

Statement of Work
39

 Utilize FRA’s Standard Cost Categories as a way 

to organize the scope of work and budget

• https://railroads.dot.gov/rail-networkdevelopment/training-guidance/capital-costestimating-guidance

 Ensure consistency among the project 

narrative, statement of work, benefit-cost 

analysis, and other application materials

Best Practices – Statement of Work (SOW)
40

 Organize the scope of work into discrete and 

logically sequenced tasks

 Provide appropriate timing for tasks

 Identify the deliverables required to 

communicate progress and completion of 

tasks to FRA

 Check the budget to ensure numbers are 

consistent with cost information submitted in 

forms and other areas of the application

Best Practices – Statement of Work (SOW)
41

Best Practices – Statement of Work (SOW)

 Templates available on FRA’s website:

https://railroads.dot.gov/grantsloans/grant-administration/statementswork
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Best Practices –

Benefit-Cost Analysis
43

Tracks 2 & 3

• Specify your project’s base case, alternate case, and timeline

• Show how your project’s alternate case will result in specific effects 

(i.e., project benefits)

• Break down those effects into the smallest sub-elements possible

• Assign values to the effects using USDOT’s BCA Guidance

• Calculate results and Discount to Base Year

NOTE: Tracks 1 & 4 (regional planning, research, safety programs, non-CRISI trespassing projects) must document project 

benefits. Any subjective estimates of benefits and costs should be quantified whenever possible, and applicants should 

provide appropriate evidence to support their subjective estimates. At a minimum, qualitatively describe the project 

benefits. (See Section D of NOFO.)

BCA – Overview of Steps
44

• The base case reflects the status quo — i.e., the world as it exists today 

• The alternate case (i.e., “build scenario”) is the proposed project 

• An application for final design or construction should present a single project 

• Multiple projects need multiple analyses 

• Avoided costs of alternatives not taken are NOT benefits 

• The timeline must be appropriate for the proposed project

• Match the useful life of the project, but not longer than 30 years

• Projects with useful life beyond 30 years will have residual value (stations in 

particular)  Calculate with straight line depreciation

BCA – Scope of Analysis
45

• Examine ONLY the differences between the base case and alternate case

• These differences should reflect realistic projections

Examples:

• Intercity passengers will likely change 

modes if their station is unavailable, 

while commuters are more likely to 

divert to another nearby station

• Host railroads will impose 

speed/weight restrictions before 

shutting down completely

• Rolling stock will have residual value 

at the end of its useful life

BCA – Scope of Analysis
46

• The marginal effects of the alternate case are the project benefits

• Marginal effects are sometimes undesirable consequences, which 

should be shown as negative dollar amounts

• The total cost of constructing the project as well as operating and 

maintaining (O&M) it for the full timeline are the project costs

• O&M costs on new equipment and infrastructure are costs

• Reductions to existing O&M costs are regarded as project benefits

• Residual value for remaining useful life is a benefit, NOT subtracted 

from costs

BCA – Benefits & Costs
47

Example: Replacing a bridge might result in...

• Removal of slow orders, improving travel 

speed (travel time savings)

• Reduced wait time at the approaches

(travel time savings and emissions)

• Decreased delays at nearby sidings along the 

corridor (travel time savings and emissions)

• Reduced operations and maintenance costs

• Break down effects into the smallest possible sub-elements

• Provide documentation for inputs and growth rates

BCA – Development
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• Modal diversion is a marginal choice; ONLY count marginal benefits

• New/induced users value the service less than existing users 

(follow USDOT’S BCA Guidance) 

• Avoided rail-to-highway diversion benefits could involve:

• Increased pavement and bridge damage

• Increased harmful emissions

• Increased congestion on highways

• Decreased safety

• Avoiding passenger revenue losses 

are transfers, NOT benefits

BCA – Modal Diversion
49

 Document your assumptions in as much detail as possible  If the project has separable elements, report benefits and costs 

of each sub-project separately

 If your BCA includes modal diversion, include YOUR 

passenger counts and Annual 

Average Daily Traffic (AADT)

 Must include an unlocked Excel spreadsheet that clearly shows your 

calculations and discounting

For FY21 CRISI grant applications: 

BCA – Guidelines Recap
50

• Follow USDOT’s BCA Guidance, 

available at:

https://www.transportation.gov/office

-policy/transportation-policy/benefitcost-analysis-guidance

• For rail-specific examples on how 

to apply the BCA Guidance, refer 

to FRA’s BCA FAQ available at:

https://railroads.dot.gov/elibrary/cons

olidated-rail-infrastructure-and-safetyimprovements-crisi-and-federal-state

BCA – Guidance/Online Resources
51

Best Practices –

Environmental Readiness
52

The environmental process, most commonly referred to as NEPA,* is required of all 

FRA-grant funded projects to document and substantiate our agency’s decision to 

implement the project

• Submit with your CRISI grant application an approved NEPA document, if available 

and applicable from FRA, FTA, or FHWA

• If there is no previous NEPA documentation associated with the project, you are 

encouraged to consider the following in the grant application to the best of your 

knowledge: 

• Known project location and/or possible impacts to the human (e.g., historic, protected 

populations, noise and vibration) or natural (e.g., wetlands, air, species/habitat, 

floodplains) environment

• Anticipated permitting needs (e.g., construction, Clean Water Act Section 404) or 

coordination/consultation (e.g., State Historic Preservation Officer)

* The National Environmental Policy Act

Environmental Readiness – NEPA
53

• Rely on FRA’s experience and expertise to determine the type of NEPA and level of 

documentation and coordination appropriate for your project — contact our experts! 

Email: FRAenvironment@dot.gov

Helpful Information Available on FRA’s Website

• FRA & NEPA Documentation: https://railroads.dot.gov/rail-networkdevelopment/environment/fra-nepa-documentation

• FRA Recommended Trainings & Environmental Resources: 

https://railroads.dot.gov/rail-network-development/environment/frarecommended-trainings-environmental-resources

This web page provides links to recorded webinars, trainings, and other resources 

that will be of assistance in preparing NEPA documents for rail projects

Environmental Readiness – NEPA
54

Recap &

Reminders
55

• Always read the NOFO carefully • Determine what a "successful" project will 

look like

• Use the checklist with the application requirements in the NOFO as you complete 

your application

• Address all of the evaluation and selection 

criteria on which you will be rated • By clearly and directly responding to the criteria, your application will be easier to 

read and evaluate

• Don’t bury key points!

Recap & Reminders
56

• Verify that all budget figures match corresponding figures cited in different parts of 

your application package – such as the cover sheet, SOW, Project Narrative, and 

various forms

• Numbers in columns and rows should add up properly in budget tables

• Only include project costs that are expected to be incurred after grant selection 

• Name key partners, indicate in-place agreements, and include letters of support

• Have an objective “cold reader” — i.e., an individual unfamiliar with the grant 

application — review your final document before submission

Recap & Reminders
57

Pre-Obligation Post-Obligation

Pre-Obligation Post Obligation Closeout

Project Selected 

for Award Obligated

Period of 

Performance Ends Closed

Grant Agreement 

(NGA): 

• Scope, schedule, 

and budget

• Performance 

measures

Terms and 

Conditions

NEPA 

Requirements 

Grant Administration 

• Meetings with FRA

• Quarterly Progress and Financial Reports

• Invoicing schedule of eligible expenses per NGA

• Invoice and Deliverable Reviews 

Monitoring

• Routine monitoring

• Annual monitoring reviews/site visits

Final Invoice 

• Financial 

reconciliation

Final Performance 

Report

• Documentation 

of results, 

outcomes, and 

public benefits

6 to 15 months 2 to 5 years 1 to 3 months

Grant Lifecycle and Approximate Time Frames
Contact Us

Federal Railroad Administration

1200 New Jersey Avenue, SE

Washington, DC 20590

Connect with us USDOTFRA

Points of Contact:

CRISI Program: Doug Gascon

• Douglas.Gascon@dot.gov 

Application Process: Matt Lorah

• Matthew.Lorah@dot.gov 

BCA: Judah Lynam

• Judah.Lynam@dot.gov

Environmental Readiness: Andréa Martin

• Andrea.Martin@dot.gov

To learn more about FRA Competitive Discretionary 

Grant Programs, visit: 

https://www.fra.dot.gov/grants