December 14, 2021

RAIL

MOVING AMERICA FORWARD

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Presented by:

Bryan Rodda | Matthew Lorah | Judah Lynam | Laura Shick 

FY 2021 Federal-State Partnership for State of 

Good Repair Grant Program Webinar
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Presenters

Laura Shick 

Supervisory 

Environmental 

Protection Specialist, 

Environment and 

Project Engineering 

Division

Matthew Lorah 

Supervisory Grants 

Management Specialist, 

Grants and Program 

Management Division

Bryan Rodda

Lead Community 

Planner, Passenger 

Rail Policy and 

Oversight Division 

Judah Lynam

Transportation 

Analyst, Freight Rail 

Policy Division
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• Partnership Program Overview

• How to Apply

• Best Practices 

o Project Narrative

o Statement of Work

o Benefit-Cost Analysis

o Environmental Readiness

• Q & A 

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Agenda
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Federal-State

Partnership Program 

Overview
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• To fund Capital Projects across the United States to repair, replace, or rehabilitate Qualified 

Railroad Assets to reduce the state of good repair backlog and improve Intercity Passenger Rail 

performance

• Published in the Federal Register on December 7, 2021 (update published December 10)

• $198 million available

• Applications due by 5 pm ET on March 7, 2022

• Concurrent applications and resubmissions are allowed

• Indicate other program(s) where application has been submitted (e.g., CRISI, RAISE)

Program Purpose & Funding Overview

PURPOSE

NOTICE OF FUNDING OPPORTUNITY (NOFO)

CRISI: Consolidated Rail Infrastructure and Safety Improvements Grant Program

RAISE: Rebuilding American Infrastructure with Sustainability and Equity Grants
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• The Partnership Program NOFO published in the Federal Register on December 7, 2021, was 

inadvertently missing text and was incomplete. Please disregard this submission. 

• An updated and complete NOFO was published in the Federal Register on December 10 

• Federal Register Link: FY21 Notice of Funding Opportunity for the Federal-State Partnership for State 

of Good Repair Program

• Updated NOFO also published to FRA’s Discretionary Grants Webpage and Grants.gov

• Verify you have the correct document: 

• Section D in document should provide “Application and Submission Information”

• Redownload the document if you have the December 7, 2021, version

Updated NOFO Published on Dec. 10, 2021 

Updated NOFO
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• Allows pre-construction eligibility: 

• Projects for designing, engineering, location surveying, mapping, environmental studies, 

and acquiring rights-of-way of an eligible capital project are eligible for funding 

independently or in conjunction with construction

• Updates DOT objectives:

• Updates reflect the Biden-Harris Administration’s priorities, including creating good-paying 

jobs, improving safety, applying transformative technology, and addressing climate change 

and racial equity

• Uses FAST Act authority: 

• FY21 funds were appropriated and will be administered under the Fixing America’s 

Surface Transportation (FAST) Act (Pub. L. 114-94 (2015))

• Expanded funding and eligibilities provided in the recently enacted Bipartisan 

Infrastructure Law (Pub. L. 117-58 (2021)) will not apply to these funds

Program Purpose & Funding Overview

KEY CHANGES & NOTES FOR FY 2021 FUNDS
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• Primarily intended to replace, rehabilitate, or repair major infrastructure assets used in intercity 

passenger rail service 

• Primarily intended to improve intercity passenger rail performance

• A major capital project is a project with a proposed total project cost of $300 million or greater 

• Condition in which physical assets are performing at a level at least equal to their as-built or asmodified design specification 

• The life cycle cost of maintaining the assets is lower than the cost of replacing them

• Assets are sustained through regular maintenance and replacement programs 

• The main rail line between Boston, MA, and the District of Columbia and branch lines to Harrisburg, 

PA, Springfield, MA, and Spuyten Duyvil, NY

Key Program Definitions

CAPITAL PROJECT

STATE OF GOOD REPAIR

NORTHEAST CORRIDOR
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• States (incl. the District of Columbia)

• Groups of States

• Interstate Compacts

• Public Agencies or Publicly Chartered Authorities established by one or more States

• Political subdivisions of States

• Amtrak

• Any combination of the above

Selection preference for applications submitted by multiple eligible applicants 

Ineligible entities (e.g., private sector firms) may be included as a partner on an 

application submitted by one or more eligible applicants

Eligible Applicants

ELIGIBLE APPLICANTS
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• Identify a Lead Applicant

o Serves as point of contact for application

o Recipient of grant award if selected

• Identify all joint applicant(s)

o Include signed statement from an authorized representative that affirms the entity is 

partnering as an applicant (not just a letter of support) 

o If Amtrak and State(s): submit cooperative agreement signed by all parties

• Identify roles and responsibilities between applicants

o Joint applicant role at discretion of applicants: there are no specific requirements for how or 

to what extent a joint applicant participates in project

o Joint applicant roles may include: 

 Provide matching funds or in-kind contributions

 Be a sub-recipient of a grant award

 Implement or manage parts of project delivery

Submitting a Joint Application

JOINT APPLICATION PROCEDURES
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• Federal share of total costs shall not exceed 80 percent

• Cash and in-kind contributions are permitted, consistent with 2 CFR Part 200

• If Amtrak is an applicant, its ticket and other non-Federal 

revenues generated from its business operations may be used as matching funds

• Identify the source(s) of matching and other funds and clearly and distinctly reflect 

these funds in project budget

Selection Preferences for Matching Funds: 

50 percent or greater non-Federal match

Non-Federal Match Requirements

NON-FEDERAL MATCH
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• Capital Project

o May include preliminary engineering (PE), environmental review (NEPA*), final design (FD), and 

construction or acquisition

o Pre-construction costs are eligible independently or in conjunction with construction project 

(New allowance for FY21 projects)

• Meets the Qualified Railroad Asset definition (see following slides)

• Executes one or more of the following activities:

o Replaces existing assets in-kind, or with assets that increase capacity or provide a higher level of 

service

o Ensures that service can be maintained while existing assets are brought to a state of good repair

o Brings existing assets into a state of good repair

Eligible Projects

ELIGIBLE PROJECT CRITERIA

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*NEPA: National Environmental Policy Act
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Qualified railroad assets include infrastructure, equipment, or facility assets that 

are used in intercity passenger rail service and are: 

• Owned or controlled by an eligible applicant

• Included in appropriate planning documents and cost allocation policy 

arrangements

o Requirements for Northeast Corridor and non-Northeast Corridor projects are different

• Not in a state of good repair 

o As of the date of enactment of the Fixing America’s Surface Transportation (FAST) Act 

(December 2015)

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Qualified Railroad Asset Definition

QUALIFIED RAILROAD ASSET
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Eligibility 

Requirement How to Demonstrate Eligibility for a Non-NEC Project

Applicant

ownership or 

control 

• Own the assets improved by the project, 

OR

• Show control over the assets improved by the project (e.g., via agreement(s) with owner)

Contained in 

planning document 

• Show project is contained in relevant State Rail Plan(s)

If not in State Rail Plan, then either: 

• Show project is contained in an equivalent planning document, or

• Amend the State Rail Plan to include the project

Cost Allocation 

Policy

• Show the project is for routes subject to Sec. 209 of the Passenger Rail Investment 

and Improvement Act of 2008 (PRIIA)

OR

• Demonstrate the project is subject to a similar agreement

State of Good 

Repair

• Describe asset condition and performance as of passage of FAST Act (Dec. 2015)

• Indicate how assets do not meet SOGR definition 

Project Eligibility – Non-NEC Project
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Eligibility 

Requirement How to Demonstrate Eligibility for a NEC Project

Applicant ownership 

or control 

• Own the assets improved by the project

OR

• Show control over the assets improved by the project (e.g., via agreement(s) with owner)

Contained in 

planning document 

• Show project is contained in the NEC Commission 5-Year Capital Investment Plan (CIP)

If not in the CIP, then either: 

• Show project is contained in an equivalent planning document, or

• Update the CIP to include the project

Cost Allocation 

Policy

• Show the project is subject to the cost-allocation policy developed under Sec. 212 of 

PRIIA (i.e., the NEC Commuter and Intercity Rail Cost Allocation Policy)

State of Good Repair • Describe asset condition and performance as of passage of FAST Act (Dec. 2015)

• Indicate how assets do not meet SOGR definition 

Project Eligibility – NEC Project 
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• Technical Merit takes into account: Quality of statement of work and application materials; 

readiness and completion of prerequisites; applicant past performance, technical capacity, 

and financial contributions; private-sector participation; qualifications and experience of 

key personnel and organizations; and consistency with planning documents

• Project Benefits take into account: benefit-cost analysis; effects on system and service 

performance; effects on safety, competitiveness, reliability, trip time, and resilience; 

improved modal integration; and ability to meet current or anticipated demand

• Amtrak is not sole applicant

• Application jointly submitted by multiple eligible applicants 

• Applicant(s) propose a 50 percent or greater non-Federal match

Evaluation & Selection Criteria

EVALUATION CRITERIA

SELECTION PREFERENCES 
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Evaluation & Selection Criteria

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 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 or attracts new users to passenger rail, 

and ensures assets will be improved to a state of 

good repair.

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 promotes:
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• Pre-award costs incurred prior to selection, without an FRA NEPA determination, or without prior 

FRA written approval are unallowable

• FRA is prohibited under 49 U.S.C. 24405(f) from providing Partnership Program grants for 

Commuter Rail Passenger Transportation

o FRA’s primary intent is reasonable investments in Intercity Passenger Rail transportation

o Such projects may be located on shared corridors where Commuter Rail Passenger 

Transportation and/or freight rail also benefit

o FRA has provided grants to commuter or local transit agencies when those agencies have 

demonstrated their projects have reasonable intercity passenger rail benefits and meet the 

Qualified Railroad Asset requirements 

• For NEC Projects, be compliant with the NEC Cost Allocation Policy (49 U.S.C. 24905(c)(2)) and 

maintain compliance throughout the project duration 

Other Requirements & Restrictions

OTHER RESTRICTIONS / REQUIREMENTS
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NOFO Overview

& How to Apply
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What is a 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 

KEY PARTS OF A NOFO
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What information is in a NOFO?

• Program Summary

• Key Dates

• Addresses

• FRA Contact Information

KEY PARTS OF A NOFO

• Table of Contents

o Program Description

o Federal Award Information

o Eligibility Information

o Application and Submission Information

o Application Review Information

o Federal Award Administration 

Information

o Federal Awarding Agency Contacts
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Where do I start?

Check the FRA Competitive Discretionary Grant Programs webpage

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

Click the 

link to 

access the 

NOFO
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Where is the FY21 Partnership Program NOFO? 
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Search Grants tab 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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How do I apply?

• Obtain a Dun and Bradstreet number (DUNS)

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

oNOTE: SAM registration can take up to 2 weeks (longer if you do not have an 

Employer Identification Number)

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

create a username and password

• Submit an application addressing all requirements outlined in the NOFO 

KEY STEPS
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What do I include in my application?

• Project Narrative

• Statement of Work

• Environmental Compliance (NEPA) Documentation

o Note: May include a draft document that requires development, review, and approval by FRA or an 

existing completed NEPA document approved by FRA or another Federal agency that covers the proposed 

project scope 

• Benefit-Cost Analysis

• Draft Use/Ownership Agreement (if applicable) 

o Note: FRA requires 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 

REQUIRED DOCUMENTS
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What forms are required?

• SF424 (Application for Federal Assistance)

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

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

Construction

• FRA’s Additional Assurances and Certifications (FRA F 30)

• FRA’s Applicant Financial Capability Questionnaire (FRA F 251)

• SF LLL: Disclosure of Lobbying Activities (only required if reportable Lobbying 

activities exist)

REQUIRED FORMS
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Where do I find additional information and help?

Find Additional Information about the grant opportunity in Grants.gov at the 

bottom of the Synopsis page: 
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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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FRA’s Competitive Grants Application Process webpage

Grant Application 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 several focus areas where 

applications that are not selected often 

demonstrate deficiencies: o Project Narrative o Statement of Work o Benefit-Cost Analysis o Environmental Readiness

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

Project Narrative Outline

Best Practices – Project Narrative

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
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Best Practices – Project Narrative

 Indicate if an application for the 

project has been submitted 

previously to another Federal 

grant program – include the 

program and year

Project Narrative Outline

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
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Best Practices – Project Narrative

Project Narrative Outline

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

 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
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Best Practices – Project Narrative

 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

Project Narrative Outline

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
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Best Practices – Project Narrative

 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

Project Narrative Outline

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
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Best Practices – Project Narrative

 Identify cities, counties, and 

states where project is located

 Include a map of the project

 Identify railroad mileposts

 For grade crossing projects, 

include the U.S. DOT National 

Highway-Rail Crossing Inventory 

number

Project Narrative Outline

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
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Best Practices – Project Narrative

 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

Project Narrative Outline

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
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Best Practices – Project Narrative

 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

Project Narrative Outline

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
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Best Practices – Project Narrative

 For FD/Construction Grant 

Application:

• If NEPA is complete: Provide copy 

of NEPA document or link.

• If NEPA is not started: Provide 

detailed project description and 

description of setting/land use, 

with visuals.

• If NEPA is underway: Provide 

current status, expected 

completion date, and type of 

document.

Project Narrative Outline

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

*For more information on the NEPA process, access FRA’s recent webinar, Introduction 

to NEPA and FRA’s Categorical Exclusions Webinar, on FRA’s Webinars webpage.
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Best Practices –

Statement of Work
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 See FRA’s Statements of Work webpage:

https://railroads.dot.gov/grants-loans/

grant-administration/statements-work

 Use templates for the 

o SOW (Attachment 2)

o Schedule (Attachment 3) 

o Budget (Attachment 4)

Best Practices – Statement of Work
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 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
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• Capital Cost Estimating Guidance: 

https://railroads.dot.gov/rail-network-development/trainingguidance/capital-cost-estimating-guidance

• Utilize FRA’s Standard Cost Categories as a way to organize 

the scope of work and budget

o https://railroads.dot.gov/elibrary/mp-33-scc-worksheets

• Ensure consistency among the project narrative, statement of 

work, benefit-cost analysis, and other application materials

Best Practices – Statement of Work
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Best Practices –

Benefit-Cost Analysis
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Why Do Benefit-Cost Analyses?

• BCAs encourage applicants to focus and refine project scopes and outcomes

• BCAs are a method to enable comparison across diverse project types and 

magnitudes

• Part of Fed-State Partnership selection criteria: 

o Secretary shall “take into account the cost-benefit analysis of the proposed 

project”

o Other FRA programs (CRISI) and Departmental programs 

(RAISE and FASTLANE/INFRA) have similar provisions

BCA – Purpose

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BCA – Overview of Steps

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

• SHOW how your alternate case will result in specific effects 

(i.e., project benefits)

• Break down benefits and costs into the smallest sub-elements possible

• Assign monetary values to sub-elements using USDOT’s BCA Guidance

• Calculate results and discount to base year

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• 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 

o An analysis for construction should present a single project 

o One application can contain multiple projects

o Multiple projects need multiple analyses

o Avoided costs of alternatives not taken are NOT benefits 

• The timeline must be appropriate for the proposed project

o Match the useful life of the project, but not more than 30 years of operation

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

particular)  Use GAAP straight line depreciation

BCA – Scope of Analysis

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

(i.e., the marginal effects)

• Planned future projects are irrelevant

• 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 and weight 

restrictions before shutting down completely

• Growth rates will not suddenly double unless a 

fundamental change occurs

BCA – Scope of Analysis

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BCA – Benefits & Costs

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

o Marginal effects are sometimes undesirable, shown as negative dollar 

amounts

• The total costs of the project are all costs associated with implementing the 

project

• Total NET operations & maintenance costs should be included as benefits:

o Net O&M for new infrastructure and equipment will be a negative 

dollar amount

o Changes in net O&M costs for existing infrastructure can be positive or 

negative, but are always included in the numerator

o Residual value for remaining useful life is a benefit, NOT subtracted from costs

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BCA – Development

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• Removal of slow orders, improving through 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 O&M costs

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

• This is where 90% of your “thought work” occurs

• Provide documentation for inputs and growth rates

Example: Replacing a bridge might result in... 
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• Modal diversion is a marginal choice; ONLY count marginal effects

• New users value the project less than existing users

(Follow the 50% rule in USDOT’S BCA Guidance) 

• Lost revenue from passengers changing to other modes is a transfer, 

NOT a benefit (Follow USDOT’S BCA Guidance) 

Example: Avoided rail-to-truck diversion could result in...

• Increased pavement damage

• Increased harmful emissions

• Increased congestion on highways

• Decreased safety

BCA – Modal Diversion

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 Document your assumptions in as much 

detail as possible.

 If your application contains multiple 

projects, analyze benefits and costs of each 

project separately.

 If your BCA includes modal diversion, include 

YOUR freight and/or passenger traffic counts. 

 Include the specific AADT for each grade 

crossing project. State DOTs often fail to 

send updates. 

 You must include an unlocked Excel 

spreadsheet that clearly shows your 

calculations and discounting.

BCA – Final Advice

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• 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
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Best Practices –

Environmental Readiness
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• The National Environmental Policy Act (NEPA) is an 

“umbrella law” that brings together numerous 

laws, regulations, executive orders, and 

requirements regarding the quality of the human 

and natural environment (40 CFR 1500-1508).

• Federal agencies, including FRA, use the NEPA 

review process to help identify and evaluate 

project alternatives and to help identify and 

address project impacts on environmental 

resources.

NEPA review must be conducted for all FRA 

grant-funded rail projects.

What is NEPA, and why is it required?
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Environmental Readiness – NEPA

NEPA Class of Action & Environmental Decision Document

• Categorical Exclusion (CE)

• Environmental Assessment (EA)/ Finding of No Significant Impact (FONSI)

• Environmental Impact Statement (EIS) / Record of Decision (ROD)

• Beginning the NEPA process early is critical! Especially if there are statutory timeframes associated with 

your project or an applicable environmental review requirement (e.g., consultation under Section 106 of 

the NHPA), or substantive environmental impacts from your project that need to be mitigated.

NEPA has to be completed and approved before FRA can obligate grant.
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FD/Construction Grant:

• If an approved NEPA document exists, submit it with your application, and indicate the lead Federal 

agency, type of document (CE, EA, or EIS) and date of approval.

• If a completed NEPA document for your project does not exist, you – if selected for a Partnership grant 

award – will be responsible for the costs of preparing it and any associated desktop and/or field 

analyses in accordance with FRA/USDOT environmental review procedures (23 CFR Parts 771 & 774)

• A detailed Project Description that describes the environmental setting/land use is important to 

assist FRA in determining the NEPA Class of Action. Aerial images are helpful!

• You should plan to hire a qualified environmental consultant for complex or controversial 

projects and/or projects affecting environmentally sensitive resources, such as:

• Wetlands and water bodies

• Protected species and habitat

• Parks and recreational areas

• Sensitive receptors (noise)

• Historic properties

• Environmental Justice populations

Environmental Readiness – NEPA
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PE/NEPA Grant: 

• If selected for a Partnership award, you will use grant money to prepare, with oversight from and 

in coordination with FRA, the appropriate level of NEPA documentation (CE, EA, EIS) 

• In your grant application, provide information to the best of your knowledge regarding the 

environmental setting/land use and the known or suspected presence of community and 

natural resources and historic properties

• You should plan to hire a qualified environmental consultant for complex or controversial 

projects and/or projects affecting environmentally sensitive resources.

Other readiness considerations: Permits (e.g., USACE CWA Section 404, USCG Bridge Permit), 

coordination/consultation under NEPA “umbrella” laws (e.g., SHPO, USFWS, NMFS), agreements 

re: property acquisitions, easements, or access

Environmental Readiness – NEPA

USACE: U.S. Army Corps of Engineers

USCG: U.S. Coast Guard

SHPO: State Historic Preservation Officer

USFWS: U.S. Forest and Wildlife Service

NMFS: National Marine Fisheries Service
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• Rely on FRA’s experience and expertise to determine the level/type of NEPA 

documentation and consultation necessary 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
64

Recap &

Reminders
65

Recap & Reminders

• Always read the NOFO carefully 

• Determine what a successful project 

looks like

• Ensure you submit all needed documents

• Address all of the evaluation and selection 

criteria on which you will be rated

o Be clear and direct in responding 

to criteria 

o Make your application easy to read

and evaluate

o Don’t bury key points!
66

Recap & Reminders

• Verify funding and budget amounts for consistency! 

o Ensure amounts match in different parts of your application package 

(e.g., cover sheet, SOW, Project Narrative, SF-424)

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

o 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
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Pre-Obligation Post-Obligation

Pre-Obligation Post Obligation Closeout

Project Selected 

for Award Obligated Period of Performance Ends Closed

Pre-Obligation Post-Obligation

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

Partnership Program: Bryan Rodda

Bryan.Rodda@dot.gov

Application Process: Matthew Lorah

Matthew.Lorah@dot.gov

Benefit-Cost Analysis: Judah Lynam

Judah.Lynam@dot.gov

Environmental Readiness: Laura Shick

Laura.Shick@dot.gov

FRA Competitive Discretionary Grant Programs

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