This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

4910-06-P 

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration 

Notice of Funding Opportunity for Consolidated Rail Infrastructure and Safety 

Improvements 

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

(DOT). 

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

SUMMARY: This notice details the application requirements and procedures to obtain grant 

funding for eligible projects under the Consolidated Rail Infrastructure and Safety Improvements 

(CRISI) Program, and related Trespass Prevention projects. The opportunities described in this 

notice are made available under Assistance Listings Number 20.325, “Consolidated Rail 

Infrastructure and Safety Improvements.”

DATES: Applications for funding under this solicitation are due no later than 5:00 p.m. ET, [INSERT 

DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Applications 

that are incomplete or received after 5:00 p.m. ET on [INSERT DATE 90 DAYS AFTER DATE OF 

PUBLICATION IN THE FEDERAL REGISTER] will 

not be considered for funding. See Section D of this notice for additional information on the 

application process. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

ADDRESSES: Applications must be submitted via www.Grants.gov. Only applicants who 

comply with all submission requirements described in this notice and submit applications 

through www.Grants.gov will be eligible for award. For any supporting application materials 

that an applicant is unable to submit via www.Grants.gov (such as oversized engineering 

drawings), an applicant may submit an original and two (2) copies to Mr. Douglas Gascon, 

Office of Policy and Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, 

Room W38-212, Washington, DC 20590. However, due to delays caused by enhanced screening 

of mail delivered via the U.S. Postal Service, applicants are advised to use other means of 

conveyance (such as courier service) to assure timely receipt of materials before the application 

deadline. 

FOR FURTHER INFORMATION CONTACT: For further project or program-related 

information in this notice, please contact Mr. Douglas Gascon, Office of Policy and Planning, 

Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W38-212, Washington, DC 

20590; email: douglas.gascon@dot.gov; phone: 202-493-0239. 

SUPPLEMENTARY INFORMATION: 

Notice to applicants: FRA recommends that applicants read this notice in its entirety prior to 

preparing application materials. Definitions of key terms used throughout the NOFO are 

provided in Section A(3) below. These key terms are capitalized throughout the NOFO. There 

are several administrative prerequisites and specific eligibility requirements described herein 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

with which applicants must comply. Additionally, applicants should note that the required 

Project Narrative component of the application package may not exceed 25 pages in length.

Table of Contents:

A. Program Description 

B. Federal Award Information

C. Eligibility Information

D. Application and Submission Information 

E. Application Review Information

F. Federal Award Administration Information

G. Federal Awarding Agency Contacts 

H. Other Information

A. Program Description

(A)Overview

Our nation’s rail network is a critical component of the U.S. transportation system and 

economy. Prior to the coronavirus disease 2019 (COVID-19) pandemic, rail carried over 32.5 

million passengers on Amtrak services and approximately 1.6 billion tons of freight valued at 

over $600 billion each year. The CRISI program will enhance rail safety, help to undo inequities 

caused by transportation and land use policies and create new opportunities for underserved 

communities, provide energy efficient transportation options to confront the effects of climate 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

change, invest in projects that spur economic growth, and ensure our would-class freight network 

can meet the mobility demands of a growing population.

 Congress authorized the CRISI grant program for the Secretary to invest in a wide range 

of projects within the United States to improve railroad safety, efficiency, and reliability; 

mitigate congestion at both intercity passenger and freight rail chokepoints; enhance multi-modal 

connections; and lead to new or substantially improved Intercity Passenger Rail Transportation 

corridors. Rail safety projects include, but are not limited to, grade crossing enhancements, rail 

line Relocations and Improvements, and deployment of railroad safety technology. Eligible 

activities also include regional rail and corridor Planning, environmental analyses, research, 

workforce development, and training. The purpose of this notice is to solicit applications for the 

competitive CRISI Program provided in Consolidated Appropriations Act, 2021, Div. L, Tit I, 

Public Law 116-260 (2021 Appropriation) and related funding provided in the Consolidated 

Appropriations Act, 2019, Div. G, Tit I, Public Law 116-6 (2019 Appropriation). 

 The CRISI Program is authorized under Section 11301 of the Fixing America’s Surface 

Transportation (FAST) Act, Public Law 114-94 (2015); 49 U.S.C. 22907. Grant funding to help 

implement FRA’s National Strategy to Prevent Trespassing for law enforcement agencies and for 

railroad trespass suicide prevention programs (Non-CRISI Funding), as provided in the 2021 

Appropriation and the 2019 Appropriation, is authorized pursuant to 49 U.S.C. 103(i) and 49 

U.S.C. 20151(b). Unless otherwise stated herein, to the extent practicable, applications for the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Non-CRISI Funding will be evaluated consistent with the selection criteria for a CRISI safety 

program under 49 U.S.C. 22907(c)(10). 

Consistent with Biden-Harris Administration priorities, the Department seeks

to fund projects that address climate change impacts and environmental justice. Projects should 

include components that reduce emissions, promote energy efficiency, increase resiliency, and 

recycle or redevelop existing infrastructure. This objective is consistent with Executive Order 

14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619). As part of the 

Department’s implementation of that Executive Order, the Department encourages the 

submission of applications that would direct resources and benefits towards low-income 

communities, disadvantaged communities, or communities underserved by affordable 

transportation. 

The Department also seeks to encourage racial equity by investing in projects that 

proactively address racial equity and barriers to opportunity. Projects should include 

components that improve or expand transportation options, and mitigate the safety risks and 

detrimental quality of life effects that rail lines can have on communities, particularly lowincome areas and communities of color. This objective supports the Department’s strategic goal 

related to infrastructure, with the potential for significantly enhancing environmental stewardship 

and community partnerships, and reflects Executive Order 13985, Advancing Racial Equity and 

Support for Underserved Communities Through the Federal Government (86 FR 7009). Section 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

E describes the climate change, environmental justice, and racial equity considerations that an 

applicant can undertake to address these criteria. 

 Consistent with the Rural Opportunities to Use Transportation for Economic Success 

(R.O.U.T.E.S.) initiative, the Department seeks rural projects that address deteriorating 

conditions and disproportionately high fatality rates on rural transportation infrastructure. Please 

visit https://www.transportation.gov/rural to learn more about DOT’s efforts to address 

disparities in rural infrastructure.

(B) Changes from FY 2020 CRISI NOFO 

 This notice updates the FY 2020 CRISI NOFO to reflect the Biden-Harris 

Administration’s priorities for creating good-paying jobs, improving safety, applying 

transformative technology, and explicitly addressing climate change and racial equity as 

discussed in Section E(1)(c). This NOFO also incorporates Non-CRISI Funding.

There are three legislative set-asides for the CRISI funding under this notice: 

1) Rural Set-Aside – for projects located in Rural Areas, 

2) Intercity Passenger Rail Set-Aside – for certain intercity passenger rail development 

projects, and 

3) Capital Improvements for Trespass Prevention Set-Aside- for trespass prevention capital 

projects.

Additionally, FRA is making Non-CRISI funding available funding for: 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

A) Railroad Trespassing Enforcement – for projects for law enforcement strategies for 

reducing trespassing, and 

B) Railroad Trespassing Suicide Prevention – for the implementation of railroad trespassing 

suicide prevention programs. 

Applicants should state in their applications whether their project falls within one or more of the 

above set-asides, each as further described in Section B.1. 

Definitions of Key Terms

Terms defined in this section are capitalized throughout this NOFO.

a. “Benefit-Cost Analysis” (or “Cost-Benefit Analysis”) is a systematic, data driven, and 

transparent analysis comparing monetized project benefits and costs, using a no-build 

baseline and properly discounted present values, including concise documentation of the 

assumptions and methodology used to produce the analysis; a description of the baseline, 

data sources used to project outcomes, and values of key input parameters; basis of modeling 

including spreadsheets, technical memos, etc.; and presentation of the calculations in 

sufficient detail and transparency to allow the analysis to be reproduced and for sensitivity of 

results evaluated by FRA. Please refer to the Benefit-Cost Analysis Guidance for 

Discretionary Grant Programs prior to preparing a BCA at 

https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysisguidance. In addition, please also refer to the BCA FAQs on FRA’s website for rail specific 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

examples of how to apply the BCA Guidance for Discretionary Grant Programs to CRISI 

applications. 

b. “Capital Project” means a project for acquiring, constructing, improving, or inspecting rail 

equipment, track and track structures, or a rail facility; expenses incidental to the acquisition 

or Construction including pre-construction activities (such as designing, engineering, 

location surveying, mapping, acquiring rights-of-way) and related relocation costs, 

environmental studies, and all work necessary for FRA to approve the project under the 

National Environmental Policy Act; highway-rail grade crossing improvements; 

communication and signalization improvements; and rehabilitating, remanufacturing or 

overhauling rail rolling stock and rail facilities.1

c. “Construction” means the production of fixed works and structures or substantial alterations 

to such structures or land and associated costs. 

d. “Enforcement Activities” means investigating compliance with, and enforcing, rail trespassrelated laws. 

e. “Final Design (FD)” means design activities following Preliminary Engineering, and at a 

minimum, includes the preparation of final Construction plans, detailed specifications, and 

estimates sufficiently detailed to inform project stakeholders (designers, reviewers, 

1 For any project that includes purchasing Intercity Passenger Rail rolling stock, applicants are encouraged to use a 

standardized approach to the procurement of passenger rail equipment, such as the specifications developed by the 

Next Generation Corridor Equipment Pool Committee or a similar uniform process. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

contractors, suppliers, etc.) of the actions required to advance the project from design through 

completion of Construction. 

f. “Hot Spot” means a location along the railroad right-of-way where the risk of trespassing or 

collision as a result of trespassing is high. 

g. “Improvement” means repair or enhancement to existing rail infrastructure, or construction 

of new rail infrastructure, that results in efficiency of the rail system and the safety of those 

affected by the system.

h. “Intercity Rail Passenger Transportation” means rail passenger transportation, except 

commuter rail passenger transportation. See 49 U.S.C. 22901(3). In this notice, “Intercity 

Passenger Rail Service” and “Intercity Passenger Rail Transportation” are equivalent terms 

to “Intercity Rail Passenger Transportation.” 

i. “National Environmental Policy Act (NEPA)” is a Federal law that requires Federal agencies 

to analyze and document the environmental impacts of a proposed action in consultation with 

appropriate Federal, state, and local authorities, and with the public. NEPA classes of action 

include an Environmental Impact Statement (EIS), Environmental Analysis (EA) or 

Categorical Exclusion (CE). The NEPA class of action depends on the nature of the 

proposed action, its complexity, and the potential impacts. For purposes of this NOFO, 

NEPA also includes all related Federal laws and regulations including the Clean Air Act, 

Section 4(f) of the Department of Transportation Act, Section 7 of the Endangered Species 

Act, and Section 106 of the National Historic Preservation Act. Additional information 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

regarding FRA’s environmental processes and requirements are located at 

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

j. “Outreach Campaign” means any coordinated effort to reach a specific population, in the 

case of railroad trespassing suicide prevention programs, those who are experiencing or who 

may experience suicidal thoughts, with the goal of providing assistance. The assistance 

provided through the Outreach Campaign may take many forms, including but not limited to, 

advertising of services, identifying and approaching individuals in need, or other methods to 

recognize the signs of an individual in crisis to prevent suicide. 

k. “Planning” means activities that support the development of a state or regional rail plan or a 

corridor service development plan. Project-specific (e.g., rail station or port improvements) 

planning is not eligible. 

l. “Positive Train Control (PTC) system” is defined by 49 CFR 270.5 to mean a system 

designed to prevent train-to-train collisions, overspeed derailments, incursions into 

established work zone limits, and the movement of a train through a switch left in the wrong 

position, as described in 49 CFR part 236, subpart I. 

m. “Preliminary Engineering (PE)” means engineering design to: (1) define a project, including 

identification of all environmental impacts, design of all critical project elements at a level 

sufficient to assure reliable cost estimates and schedules, (2) complete project management 

and financial plans, and (3) identify procurement requirements and strategies. The PE 

development process starts with specific project design alternatives that allow for the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

assessment of a range of rail improvements, specific alignments, and project designs. PE 

generally occurs concurrently with NEPA and related analyses, and prior to FD and 

Construction. 

n. “Relocation” is defined to mean moving a rail line vertically or laterally to a new location. 

Vertical Relocation refers to raising above the current ground level or sinking below the 

current ground level of a rail line. Lateral Relocation refers to moving a rail line horizontally 

to a new location. 

o. “Rural Project” means a project in which all or the majority of the project (determined by the 

geographic location or locations where the majority of the project funds will be spent) is 

located in a Rural Area.

p. “Rural Area” is defined in 49 U.S.C. 22907(g)(2) to mean any area not in an urbanized area 

as defined by the Census Bureau. The Census Bureau defines Urbanized Area (UA) as an 

area with a population of 50,000 or more people.2

 Updated lists of UAs as defined by the 

Census Bureau are available on the Census Bureau website at 

http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/. 

B. Federal Award Information

1. Available Award Amount 

2 See 74 FR 53030, 53043 (August 24, 2011) available at 

https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

The total funding available for awards under this NOFO is $361,978,796. Should 

additional funds become available after the release of this NOFO, FRA may elect to award such 

additional funds to applications received under this NOFO.3

Further, certain funding amounts are set-aside for the following purposes under this NOFO: 

a. Rural Set-Aside - At least 25 percent of the CRISI funding, or $93,750,000 will 

be made available for Rural Projects as required by 49 U.S.C. 22907(g); 

b. Intercity Passenger Rail Set-Aside - Not less than $75 million of the CRISI 

funding will be made available for projects eligible under 

49 U.S.C. 22907(c)(2) that support the development of new intercity passenger 

rail service routes including alignments for existing routes; and

c. Capital Improvements for Trespass Prevention - Not less than $25 million of the 

CRISI funding will be made available for Capital Projects and engineering 

solutions targeting trespassing. 

d. Railroad Trespassing Enforcement Activities - $2,034,296 in Non-CRISI Funding 

will be made available for grants supporting Enforcement Activities at Hot Spots 

within their respective jurisdictions or at areas that demonstrate a rail trespassing 

3 Of the $375,000,000 in CRISI funding made available in the 2021 Appropriation, $11,512,500 will be separately 

made available for Special Transportation Circumstances and $3,750,000 will be set aside for award and program 

oversight.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

problem in their community on FRA-regulated track. This grant funding is 

limited to hourly wages for law enforcement officials. 

e. Railroad Trespassing Suicide Prevention - $207,000 in Non-CRISI Funding will 

be made available for grants to help implement FRA’s Trespasser Prevention 

Strategy through grants funding the implementation or expansion of targeted 

Outreach Campaigns to reduce the number of railroad-related suicides that 

involve railroad trespassing on FRA-regulated track.4

 

2. Award Size

 There are no predetermined minimum or maximum dollar thresholds for CRISI awards. 

For Non-CRISI funding, the maximum award for railroad trespass law enforcement grants will 

be capped at $120,000, and the maximum award for railroad trespass suicide prevention grants 

will be capped at $100,000. FRA anticipates making multiple awards with the available funding. 

FRA may not be able to award grants to all eligible applications even if they meet or exceed the 

stated evaluation criteria (see Section E, Application Review Information). Projects may require 

more funding than is available. FRA encourages applicants to propose projects or components 

of projects that have operational independence and that can be completed and implemented with 

4 FRA made Safety and Operations Account funding available in FY 2019 and FY 2020 under separate NOFOs for 

the Railroad Trespassing Enforcement Grant Program and the Railroad Trespassing Suicide Prevention Grant 

Program, as part of its National Trespass Prevention Strategy. FRA is combining Non-CRISI funds for those 

trespass prevention programs into the CRISI NOFO to leverage Federal funding to comprehensively address 

trespassing safety issues through awards for infrastructure investment combined with safety programs including

enforcement and outreach activities. If funding is not requested under B.1(d) or (e), FRA may award such funds for 

other eligible trespass prevention purposes.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

funding under this NOFO as a part of the total project cost together with other, non-Federal 

sources.

3. Award Type

FRA will make awards for projects selected under this notice through grant agreements 

and/or cooperative agreements. Grant agreements are used when FRA does not expect to have 

substantial Federal involvement in carrying out the funded activity. Cooperative agreements 

allow for substantial Federal involvement in carrying out the agreed upon investment, including 

technical assistance, review of interim work products, and increased program oversight. The 

funding provided under this NOFO will be made available to grantees on a reimbursable basis. 

Applicants must certify that their expenditures are allowable, allocable, reasonable, and 

necessary to the approved project before seeking reimbursement from FRA. Additionally, the 

grantee is expected to expend matching funds at the required percentage concurrent with Federal 

funds throughout the life of the project. See an example of standard terms and conditions for 

FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057. This template is subject to 

revision. 

4. Concurrent Applications

 DOT and FRA may be concurrently soliciting applications for transportation 

infrastructure projects for several financial assistance programs. Applicants may submit 

applications requesting funding for a particular project to one or more of these programs. In the 

application for funding under this NOFO, applicants must indicate the other programs and, if 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

applicable, the other CRISI or trespass prevention NOFOs to which they submitted or plan to 

submit an application for funding the entire project or certain project components, as well as 

highlight new or revised information in the application responsive to this NOFO that differs from 

the previously submitted application(s). 

C. Eligibility Information

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

requirements, project eligibility, and project component operational independence. Applications 

that do not meet the requirements in this section will be ineligible for funding. Instructions for 

submitting eligibility information to FRA are detailed in 

Section D of this NOFO.

1. Eligible Applicants

The following entities are eligible applicants under this notice: 

a. A State;

b. A group of States; 

c. An Interstate Compact;5

d. A public agency or publicly chartered authority established by one or more States;6

e. A political subdivision of a State;

5 Interstate Compacts are ineligible for Non-CRISI funding. 6 See Section D(2)(a)(iv) for supporting documentation required to demonstrate eligibility under this eligibility 

category.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

f. Amtrak or another rail carrier that provides Intercity Rail Passenger Transportation (as 

defined in 49 U.S.C. 24102);

g. A Class II railroad or Class III railroad (as those terms are defined in 49 U.S.C. 20102) or a 

holding company of a Class II or III railroad;7

h. Any rail carrier or rail equipment manufacturer in partnership with at least one of the entities 

described in paragraph (a) through (e);8

i. The Transportation Research Board together with any entity with which it contracts in the 

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

j. A University transportation center engaged in rail-related research; or

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

rail carrier contractors.

Applications must identify an eligible applicant as the lead applicant. The lead applicant 

serves as the primary point of contact for the application, and if selected, as the grantee. Eligible 

applicants may reference entities that are not eligible applicants in an application as a project 

partner.

2. Cost Sharing or Matching 

The Federal share of total costs for CRISI projects funded under this notice will not 

exceed 80 percent, though FRA will provide selection preference to applications where the 

7 See Section D(2)(a)(iv) for supporting documentation required to demonstrate eligibility under this eligibility 

category.

8 See Section D(2)(a)(iv) for supporting information required to demonstrate eligibility under this eligibility 

category.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

proposed Federal share of total project costs is 50 percent or less. For Non-CRISI funding, the 

Federal share of total project costs can be up to 100 percent. The estimated total cost of a project 

must be based on the best available information, including engineering studies, studies of 

economic feasibility, environmental analyses, and information on the expected use of equipment 

and/or facilities. Additionally, and to the extent practicable, in preparing estimates of total 

project costs, applicants may refer to FRA’s cost estimate guidance documentation, “Capital 

Cost Estimating: Guidance for Project Sponsors,” which is available at: 

https://www.fra.dot.gov/Page/P0926. 

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

composed of public sector (e.g., state or local) and/or private sector funding. FRA will not 

consider any Federal financial assistance9 nor any non-Federal funds already expended (or 

otherwise encumbered) toward the matching requirement, unless compliant with 2 CFR Part 200. 

In-kind contributions, including the donation of services, materials, and equipment, may be 

credited as a project cost, in a uniform manner consistent with 2 CFR 200.306. 

Amtrak or another rail carrier may use ticket and other non-Federal revenues generated 

from its operations and other sources as matching funds. 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. 

9 See Section D(2)(a)(iii) for supporting information required to demonstrate eligibility of Federal funds for use as 

match.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Before applying, applicants should carefully review the principles for cost sharing or 

matching in 2 CFR 200.306. See Section D(2)(a)(iii) for required application information on 

non-Federal match and Section E for further discussion of FRA’s consideration of matching 

funds in the review and selection process. FRA will approve pre-award costs consistent with 2 

CFR 200.458, as applicable. See Section D(6). 

Cost sharing or matching may be used only for authorized Federal award purposes. 

3. Other 

a. Project Eligibility

The following rail projects within the United States that improve the safety, efficiency, 

and/or reliability of passenger and/or freight rail transportation systems are eligible for funding 

under 49 U.S.C. 22907 and this NOFO.

i. Deployment of railroad safety technology, including positive train control and rail 

integrity inspection systems.10 PTC examples include: back office systems; 

wayside, communications and onboard hardware equipment; software; equipment 

installation; spectrum; any component, testing and training for the implementation 

of PTC systems; and interoperability. Maintenance and operating expenses 

incurred after a PTC system is placed in revenue service are ineligible. Railroad 

safety technology and rail integrity inspection system examples include broken 

10 Pursuant to the 2021 Appropriation, 49 U.S.C. 22905(f) shall not apply to projects for the implementation of 

positive train control systems, otherwise eligible under 49 U.S.C. 22907(c)(1). “Maintenance and operations costs 

incurred after a PTC system is placed in revenue service are not eligible for CRISI funding. . . .” 166 Cong. Rec. 

H8820 (2020) (explanatory statement accompanying the 2021 Appropriation).
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

rail detection and warning systems; track intrusion systems; and hot box detectors, 

wheel impact load detectors, and other safety improvements.11

ii. A capital project as defined in 49 U.S.C. 22901(2) relating to Intercity Passenger 

Rail Service, except that such projects are not required to be in a State rail plan 

under the CRISI Program. Examples include acquisition, improvement, or 

rehabilitation of railroad equipment (locomotives and rolling stock); railroad 

infrastructure (grade crossings, catenary, and signals); and rail facilities (yards, 

passenger stations, or maintenance and repair shops). 

iii. A Capital Project necessary to address congestion challenges affecting rail 

service. Examples include projects addressing congestion that increase rail 

capacity; add or upgrade the condition, clearances, and capacity of rail mainlines; 

enhance capacity and service with less conflict between freight and Intercity 

Passenger Rail; reduce delays and risks associated with highway-rail grade 

crossings; and provide more effective rail equipment. 

iv. A Capital Project necessary to reduce congestion and facilitate ridership growth in 

Intercity Passenger Rail Transportation along heavily traveled rail corridors. 

Examples include projects addressing congestion that improve stations; increase 

rail capacity; reduce conflict between freight and Intercity Passenger Rail; reduce 

11 Only costs for FD and Construction project stages and forward are eligible within this project eligibility category.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

delays and risks associated with highway-rail grade crossings; and provide more 

effective rail equipment. 

v. A highway-rail grade crossing improvement project, including installation, repair, 

or improvement of grade separations, railroad crossing signals, gates, and related 

technologies; highway traffic signalization; highway lighting and crossing 

approach signage; roadway improvements such as medians or other barriers; 

railroad crossing panels and surfaces; and safety engineering improvements to 

reduce risk in quiet zones or potential quiet zones. 

vi. A rail line Relocation and Improvement project. Examples include projects that: 

improve the route or structure of a rail line by replacing degraded track; 

enhance/relocate railroad switching operations; add or lengthen passing tracks to 

increase capacity; improve interlockings; and relocate rail lines to alleviate 

congestion, and eliminate frequent rail service interruptions. 

vii. A Capital Project to improve short-line or regional railroad infrastructure. 

Examples include projects for normalized capital replacement, increasing 

capacity, as well as replacing aging locomotive fleets with newer, more energy 

efficient technologies that produce less harmful emissions. 

viii. The preparation of regional rail and corridor service development plans and 

corresponding environmental analyses. (See the examples under Track 1 and 2 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

below in Subsections C(3)(b)(i)-(ii) as they apply to regional and corridor rail 

Planning). 

ix. A project necessary to enhance multimodal connections or facilitate service 

integration between rail service and other modes, including between Intercity Rail 

Passenger Transportation and intercity bus service or commercial air service. 

Examples include intermodal transportation facilities projects that encourage joint 

scheduling, ticketing, and/or baggage handling; freight rail intermodal 

connections; and rail projects improving access to ports. 

x. The development and implementation of a safety program or institute designed to 

improve rail safety. Examples include employee training; payment of applicable 

law enforcement wages to undertake trespass Enforcement Activities;12 Outreach 

Campaigns for reducing suicides that involve railroad trespassing;13 and public 

safety outreach and education. 

12 Enforcement Activities may include investigating incidents or reports of trespassing, as well as providing 

warnings and citations to the trespassers for violating rail-related trespass laws. The hourly rate for law enforcement 

officers performing Enforcement Activities should be limited to the officer's regular and overtime wage rate (e.g., 

1.5 times the base rate). Administrative costs are capped at 1% of the award. Projects must be completed within the 

twelve-month period of performance under the grant.

Court costs and equipment are not eligible. Only new scope (e.g., hourly wages incurred during the project 

performance period for a grant awarded under this NOFO) is eligible for funding under this NOFO. 13 The implementation or expansion of an Outreach Campaign for reducing suicides that involve railroad trespassing 

may involve training staff to identify individuals at risk and intervene, raising awareness of services via signage or 

public awareness campaigns, or implementing other strategies. Projects must be specifically tailored to directly 

reduce railroad suicide incidents. While an Outreach Campaign may have applicability outside of the rail domain, 

projects must be intended to directly reduce railroad suicide incidents. At least 1 mile of FRA-regulated railroad 

track must be within the boundaries of the planned outreach activities.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

xi. Any research that the Secretary considers necessary to advance any particular 

aspect of rail related capital, operations, or safety improvements. 

xii. Workforce development and training activities, coordinated to the extent 

practicable with the existing local training programs supported by the Department 

of Transportation, the Department of Labor, and the Department of Education.

Applicants that intend to charge indirect costs through the use of a negotiated indirect cost 

rate must have a current, signed, Federally-approved indirect cost rate agreement. Applicants 

that do not have a current Federally-approved indirect cost rate may elect to charge a de minimis 

rate of 10 percent of modified total direct costs. This includes state and local governments that 

have never negotiated an indirect cost rate with the federal government and receive less than $35 

million in direct federal funding per year. Organizations that wish to negotiate an indirect cost 

rate should contact FRA’s Office of the Chief Financial Officer at FRA.CFO@dot.gov. Subrecipients may charge indirect costs using their federally-approved indirect cost rate, a negotiated 

indirect cost rate between the pass-through entity and the sub-recipient, or a de minimis rate of 

10 percent. 

As a condition to making a grant with CRISI Funding 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. 

b. Project Tracks for Eligible Projects 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 Applicants are not limited in the number of projects for which they seek funding. FRA 

will not limit eligible projects from consideration for funding for planning, environmental, 

engineering, design, and construction elements of the same project in the same application. 

Applicants are allowed to include multiple phases of a project in the same application. However, 

depending on the project, applications for multiple phases of project development may not 

contain sufficient detail with regards to scope, schedule, or budget for all phases of the 

application to compete well in the application review process.14 

 An applicant must identify one or more of the following four tracks for an eligible 

project: Track 1 – Planning; Track 2 – PE/NEPA; Track 3 – FD/Construction; or Track 4 – 

Research, Safety Programs and Institutes. 

i. Track 1 - Planning 

Track 1 consists of eligible rail Planning projects. Examples include the technical 

analyses and associated environmental analyses that support the development of 

state rail plans, regional rail plans, and corridor service development plans, 

including: identification of alternatives, rail network Planning, market analysis, 

travel demand forecasting, revenue forecasting, railroad system design, railroad 

operations analysis and simulation, equipment fleet Planning, station and access 

14 The scope, schedule, and budget necessary to implement a project, as well as the definition of the project’s 

potential benefits, are typically informed by the work conducted in prior phases of project development (e.g., the 

specific elements of an FD/Construction project and their cost estimates are developed and refined through PE). 

The evaluation criteria for the CRISI program (see Section E of this NOFO) considers the level of detail contained 

in the applicant’s proposed scope of work and readiness for the project to be implemented. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

analysis, conceptual engineering and capital programming, operating and 

maintenance cost forecasting, capital replacement and renewal analysis, and 

economic analysis. Project-specific (e.g., rail station or port improvements) 

planning is not an eligible Track 1 project. 

ii. Track 2 - PE/NEPA 

Track 2 consists of eligible PE/NEPA projects. PE examples include: PE 

drawings and specifications (scale drawings at the 30 percent design level, 

including track geometry as appropriate); design criteria, schematics and/or track 

charts that support the development of PE; and work that can be funded in 

conjunction with developing PE, such as operations modeling, surveying, project 

work/management plans, preliminary cost estimates, and preliminary project 

schedules. PE/NEPA projects funded under this NOFO must be sufficiently 

developed to support FD or Construction activities.

iii. Track 3 - FD/Construction

Track 3 consists of eligible projects for FD, Construction, and project 

implementation and deployment activities. Applicants must complete all 

necessary Planning, PE and NEPA requirements for FD/Construction projects. 

FD funded under this track must resolve remaining uncertainties or risks 

associated with changes to design scope; address procurement processes; and 

update and refine plans for financing the project or program to reflect accurately 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

the expected year-of-expenditure costs and cash flow projections. Applicants 

selected for funding for FD/Construction must demonstrate the following to 

FRA’s satisfaction: 

(A)PE is completed for the proposed project, resulting in project designs that 

are reasonably expected to conform to all regulatory, safety, security, and 

other design requirements, including those under the Americans with 

Disabilities Act (ADA);

(B) NEPA is completed for the proposed project; 

(C) Signed agreements with key project partners, including infrastructureowning entities; and 

(D)A project management plan is in-place for managing the implementation 

of the proposed project, including the management and mitigation of 

project risks. 

FD examples include drawings at the 100 percent Design Level, interim design 

drawings that support development (e.g., drawings at the 60 percent Design 

Level), project work/project management plan, cost estimates, project schedules, 

and right-of-way acquisition and relocation plans. Construction examples include 

additions, improvements, replacements, renovations and/or repairs to track, 

bridge, station, rail yard, signal, and communication system infrastructure, or 

other railroad safety technology. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

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. 

c. Project Component Operational Independence 

 If an applicant requests funding for a project that is a component or set of components of 

a larger project, the project component(s) must be attainable with the award amount, together 

with other funds as necessary, obtain operational independence, and must comply with all 

eligibility requirements described in Section C. 

 In addition, the component(s) must be capable of being independently analyzed, as 

determined by FRA, under NEPA (i.e., have independent utility, connect logical termini, if 

applicable, and not restrict the consideration of alternatives for other reasonably foreseeable rail 

projects). 

d. Rural Project 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 FRA will consider a project to be in a Rural Area if all or the majority of the project 

(determined by geographic location(s) where the majority of the project funds will be spent) is 

located in a Rural Area. However, in the event FRA elects to fund a component of the project, 

then FRA will reexamine whether the project is in a Rural Area. 

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 additional relevant supporting 

documentation, such as planning, engineering and design documentation, and letters of support 

from partnering organizations, all of which will not count against the Project Narrative 25-page 

limit. 

1. Address to Request Application Package 

Applicants may access the application through www.grants.gov. Applicants must submit 

all application materials in their entirety through www.Grants.gov no later than 5:00 p.m. ET, on 

[INSERT DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL 

REGISTER]. FRA reserves the right to modify this deadline. General information for 

submitting applications through Grants.gov can be found at: 

https://www.fra.dot.gov/Page/P0270. FRA is committed to ensuring that information is available 

in appropriate alternative formats to meet the requirements of persons who have a disability. If 

you require an alternative version of files provided, please contact Lou Lorello, Office of the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Chief Financial Officer, Federal Railroad Administration, 1200 New Jersey Avenue, SE, Room 

W36-111, Washington, DC 20590; email: lou.lorello@dot.gov; phone: 202-493-8026.

2. Content and Form of Application Submission 

 FRA strongly advises applicants to read this section carefully. Applicants must submit 

all required information and components of the application package to be considered for funding. 

 Required documents for an application package are outlined in the checklist below. 

i. Project Narrative (see D.2.a)

ii. Statement of Work (see D.2.b.i) 

iii. Benefit-Cost Analysis (see D.2. b.ii) 

iv. SF424 – Application for Federal Assistance 

v. Either: SF 424A – Budget Information for Non-Construction projects (required 

for Tracks 1, 2 and 4) or SF 424C – Budget Information for Construction 

(required for any application that includes Track 3) 

vi. Either: SF 424B – Assurances for Non-Construction projects (required for Tracks 

1, 2 and 4) or SF 424D – Assurances for Construction (required for any 

application that includes Track 3) 

vii. FRA’s Additional Assurances and Certifications 

viii. SF LLL – Disclosure of Lobbying Activities

a. Project Narrative
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 This section describes the minimum content required in the Project Narrative of the grant 

application. The Project Narrative must follow the basic outline below to address the program 

requirements and assist evaluators in locating relevant information. 

I. Cover Page See D.2.a.i

II. Project Summary See D.2.a.ii 

III. Project Funding See D.2.a.iii

IV. Applicant Eligibility See D.2.a.iv

V. Project Eligibility See D.2.a.v 

VI. Detailed Project Description See D.2.a.vi

VII. Project Location See D.2.a.vii

VIII. Evaluation and Selection Criteria See D.2.a.viii

IX. Project Implementation and Management See D.2.a.ix

X. Planning Readiness See D.2.a.x

XI. Environmental Readiness See D.2.a.xi

 The above content must be provided in a narrative statement submitted by the applicant. 

The Project Narrative may not exceed 25 pages in length (excluding cover pages, table of 

contents, and supporting documentation). FRA will not review or consider Project Narratives 

beyond the 25-page limitation. If possible, applicants should submit supporting documents via 

website links rather than hard copies. If supporting documents are submitted, applicants must 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

clearly identify the page number(s) of the relevant portion in the Project Narrative supporting 

documentation. The Project Narrative must adhere to the following outline. 

i. Cover Page: Include a cover page that lists the following elements in a table:

Project Title

Applicant 

Project Track 1,2,3, and/or 4

Was a Federal grant application previously 

submitted for this project?

Yes/No

If yes, state the name of the Federal grant 

program and title of the project in the previous 

application. 

Federal Grant 

Program:

Project Title:

Is this a Rural Project? What percentage of 

the project cost is based in a Rural Area? 

Yes/No

Percentage of total 

project cost:

Is this a project eligible under 49 U.S.C. 

22907(c)(2) that supports the development of 

new intercity passenger rail service routes 

including alignments for existing routes?

Yes/No

Is this for a Capital Project or engineering 

solution targeting trespassing?

Yes/No

Is this for a safety program to reduce 

trespassing through targeted law Enforcement 

Activities? 

Yes/No 

Is this for a safety program to implement or 

expand an Outreach Campaign for reducing 

railroad trespassing suicide?

Yes/No

City(ies), State(s) where the project is located

Urbanized Area where the project is located

Population of Urbanized Area

Is the project currently programmed in the: 

State rail plan, State Freight Plan, TIP, STIP, 

MPO Long Range Transportation Plan, State 

Long Range Transportation Plan?

Yes/No

(If yes, please 

specify in which 

plans the project is 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

currently 

programmed)

 

ii. Project Summary: Provide a brief 4–6 sentence summary of the proposed project 

and what the project will entail. Include challenges the proposed project aims to 

address, and summarize the intended outcomes and anticipated benefits that will 

result from the proposed project. 

iii. Project Funding: 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 project cost. Describe the 

non-Federal funding arrangement, including multiple sources of 

non-Federal funding if applicable. Include funding commitment letters outlining 

funding agreements, as attachments or in an appendix. If Federal funding is 

proposed as match, provide the applicant’s determination of eligibility for such 

use and the legal basis for that determination. Identify any specific project 

components that the applicant proposes for partial project funding. If all or a 

majority of a project is located in a Rural Area, identify the Rural Area(s) and 

estimated percentage of project costs that will be spent in the Rural Area. Identify 

any previously incurred costs, as well as other sources of Federal funds 

committed to the project and any pending Federal requests. Also, note if the 

requested Federal funding under this NOFO or other programs must be obligated 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

or spent by a certain date due to dependencies or relationships with other Federal 

or non-Federal funding sources, related projects, law, or other factors. If 

applicable, provide the description and estimated value of any proposed in-kind 

contributions, and demonstrate how the in-kind contributions meet the 

requirements in 2 CFR 200.306. 

Example Project Funding Table: 

Task # Task 

Name/Project 

Component

Cost Percentage of 

Total Cost 

1

2

Total Project Cost

Federal Funds Received from 

Previous Grant

Federal Funding Under this NOFO 

Request

Non-Federal Funding/Match Cash:

In-Kind: 

Portion of Non-Federal Funding 

from the Private Sector

Portion of Total Project Costs 

Spent in a Rural Area 

Pending Federal Funding Requests 

 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

iv. Applicant Eligibility: Explain how the applicant meets the applicant eligibility 

criteria outlined in Section C of this notice. For public agencies and publicly 

chartered authorities established by one or more states, the explanation must 

include citations to the applicable enabling legislation. 

If the applicant is eligible under 49 U.S.C. 22907(b)(8) as a rail carrier or rail 

equipment manufacturer in partnership with at least one of the other eligible 

entities, the applicant should explain the partnership and each entity’s 

contribution to the partnership. For a holding company of a class II or Class III 

railroad, the applicant must demonstrate its status as a holding company and 

percentage of ownership of an operating Class II or III railroad with supporting 

documentation. 

v. Project Eligibility: Identify which project eligibility category the project is 

eligible under in Section C (3) of this notice, and explain how the project meets 

the project eligibility criteria. 

vi. Detailed Project Description: Include a detailed project description that expands 

upon the brief project summary. This detailed description should provide, at a 

minimum, background on the challenges the project aims to address; the expected 

users and beneficiaries of the project, including all railroad operators; the specific 

components and elements of the project; and any other information the applicant 

deems necessary to justify the proposed project. If applicable, explain how the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

project will benefit communities in Rural Areas. An applicant should specify 

whether it is seeking funding for a project that has already received Federal 

financial assistance, and if applicable, explain how the new scope proposed to be 

funded under this NOFO relates to the previous scope. 

For all projects, applicants must provide information about proposed performance 

measures, as discussed in Section F(3)(c) and required in 2 CFR 200.301 and 49 

U.S.C. 22907(f).

(A) Grade crossing information, if applicable: For any project that includes 

grade crossing components, cite specific DOT National Grade Crossing 

Inventory information, including the railroad that owns the infrastructure (or 

the crossing owner, if different from the railroad), the primary railroad 

operator, the DOT crossing inventory number, and the roadway at the 

crossing. Applicants can search for data to meet this requirement at the 

following link: http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx. In 

addition, if applicable, applicants must cite the page number in the grade 

crossing action plan where the grade crossing is referenced. 

(B) Heavily traveled rail corridor information, if applicable: For any project 

eligible under the eligibility category in Subsection C(3)(a)(iv), that reduces

congestion and facilitates ridership growth in Intercity Passenger Rail 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Transportation, describe how the project is located on a heavily traveled rail 

corridor. 

(C) PTC information, if applicable: For any project that includes deploying PTC 

systems, applicants must: 

1. Document submission of a Positive Train Control Implementation Plan 

(PTCIP) to FRA pursuant to either 

49 U.S.C. 20157(a) or 49 CFR part 236, subpart I (FRA’s PTC 

regulations); 

2. Document that it is a tenant on one or more host railroads that 

submitted a PTCIP to FRA; or 

3. Document how the proposed project will assist in the deployment (i.e., 

installation and/or full implementation) of a PTC system.

(D)Workforce development and training information, if applicable: For any 

project that includes workforce development, applicants must document to the 

extent practicable similar existing local training programs supported by the 

Department of Transportation, the Department of Labor, and/or the 

Department of Education.

(E) Pedestrian trespasser casualty information, if applicable: Provide 

documentation indicating whether the projects are located in counties with the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

most pedestrian trespasser casualties as identified in FRA’s National Strategy 

to Prevent Trespassing on Railroad Property. 

(F) Railroad trespassing law enforcement strategies, if applicable: For law 

enforcement agencies seeking funding to pay law enforcement wages to 

undertake trespass Enforcement Activities, applicants must provide a detailed 

description of the proposed Enforcement Activities, including (but not limited 

to) data on trespass incidents and casualties, strategies to target Hot Spots 

identified by geospatial data, and expected reductions in trespass incidents 

stemming from the Enforcement Activities.

(G)Railroad trespassing suicide prevention outreach campaign, if applicable: For 

any project seeking to implement an Outreach Campaign to reduce suicide by 

railroad, applicants must provide a detailed description of the proposed 

outreach campaign, including (but not limited to) relevant data on rail-related 

suicides in the project location, the manner and extent to which trespass 

suicide is expected to be reduced, and examples of prior efforts to address railrelated suicide.

vii. Project Location: Include geospatial data for the project, as well as a map of the 

project’s location. On the map, include the Congressional districts and Rural 

Area boundaries, if applicable, in which the project will take place. For projects 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

(other than those projects for the implementation of positive train control systems 

otherwise eligible under 49 U.S.C. 22907(c)(1)) that are on a shared corridor. 

viii. Evaluation and Selection Criteria: Include a thorough discussion of how the 

proposed project meets all the evaluation criteria and selection criteria, as outlined 

in Section E of this notice. If an application does not sufficiently address the 

evaluation and selection criteria, it is unlikely to be a competitive application. For 

projects (other than those projects for the implementation of positive train control 

systems otherwise eligible under 49 U.S.C. 22907(c)(1)) that are on a shared 

corridor with commuter railroad passenger transportation, demonstrate how 

funding the proposed project would be a reasonable investment in Intercity 

Passenger Rail Transportation and/or freight rail transportation. 

ix. Project Implementation and Management: Describe proposed project 

implementation and project management arrangements. Include descriptions of 

the expected arrangements for project contracting, contract oversight and control, 

change-order management, risk management, and conformance to Federal 

requirements for project progress reporting (see 

https://www.fra.dot.gov/Page/P0274). Describe past experience in managing and 

overseeing similar projects. 

x. Planning Readiness for Tracks 2 and 3 (PE/NEPA and FD/Construction Projects:

Provide information about the planning process that analyzed the investment 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

needs and service objectives of the project. If applicable, cite sources of this 

information from a service development plan, State or regional rail plan, or 

similar planning document where the project has been identified for solving a 

specific existing transportation problem, and makes the case for investing in the 

proposed solution. 

xi. Environmental Readiness for Track 3 FD/Construction Projects: If the NEPA 

process is complete, an applicant should indicate the date of completion, and 

provide a website link or other reference to the documents demonstrating 

compliance with NEPA, which might include a final CE, Finding of No 

Significant Impact, or Record of Decision. If the NEPA process is not yet 

underway, the application should state this. If the process is underway, but is not 

complete, the application should detail the type of NEPA review underway, where 

the project is in the process, and indicate the anticipated date of completion of all 

NEPA and related milestones. 

If the last agency action with respect to NEPA documents occurred more than 

three years before the application date, the applicant should describe why the 

project has been delayed and include a proposed approach for verifying, and if 

necessary, updating this information in accordance with applicable NEPA 

requirements. 

b. Additional Application Elements
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Applicants must submit: 

i. A Statement of Work (SOW) addressing the scope, schedule, and budget for the 

proposed project if it 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 and monitor progress toward completing project 

tasks and deliverables during a prospective grant’s period of performance. 

Applicants must use FRA’s standard SOW, schedule, and budget templates to be 

considered for award. The templates are located at 

https://www.fra.dot.gov/Page/P0325. When preparing the budget, the total cost of 

a project must be based on the best available information as indicated in cited 

references that include engineering studies, studies of economic feasibility, 

environmental analyses, and information on the expected use of equipment or 

facilities.

ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project Narrative for each 

project submitted by an applicant. The BCA must demonstrate in economic terms 

the merits of investing in the proposed project. The BCA for Track 2 – PE/NEPA 

projects should be for the underlying project, not the PE/NEPA work itself. The 

project narrative should summarize the project’s benefits. 

 Benefits may apply to existing and new rail users, as well as users of other 

modes of transportation. In some cases, benefits may be applied to populations in 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

the general vicinity of the project area. Improvements to multimodal connections 

and shared-use rail corridors may benefit all users involved. Benefits may be 

quantified for savings in safety costs, reduced costs from disruption of service, 

maintenance costs, reduced travel time, emissions reductions, and increases in 

capacity or ability to offer new types of freight or passenger services. Applicants 

may also describe other categories of benefits that are difficult to quantify such as 

noise reduction, environmental impact mitigation, improved quality of life, or 

reliability of travel times. All benefits claimed for the project must be clearly tied 

to the expected outcomes of the project. Please refer to the Benefit-Cost Analysis 

Guidance for Discretionary Grant Programs prior to preparing a BCA at 

https://www.transportation.gov/office-policy/transportation-policy/benefit-costanalysis-guidance. In addition, please also refer to the BCA FAQs on FRA’s 

website for some rail specific examples of how to apply the BCA Guidance for 

Discretionary Grant Programs to CRISI funding.

For Tracks 1 and 4 – Applicants are required to 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. Estimates of benefits should be presented in monetary terms 

whenever possible; if a monetary estimate is not possible, then a quantitative 

estimate (in physical, non-monetary terms, such as crash or employee casualty 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

rates, ridership estimates, emissions levels, energy efficiency improvements, etc.) 

should be provided. At a minimum, qualitatively describe the project benefits. 

iii. Environmental compliance documentation, as applicable, if a website link is not 

cited in the Project Narrative.

iv. SF 424 – Application for Federal Assistance; 

v. SF 424A – Budget Information for Non-Construction or SF 424C – Budget 

Information for Construction; 

vi. SF 424B – Assurances for Non-Construction or SF 424D – Assurances for 

Construction; 

vii. FRA’s Additional Assurances and Certifications; and 

viii. SF LLL – Disclosure of Lobbying Activities. 

ix. A statement that the lead applicant has a system for procuring property and 

services under a Federal award under this NOFO that supports the provisions in 2 

CFR 200 Subpart D-Procurement Standards at 2 CFR 200.317-326 and 2 CFR 

1201.317. 

x. A statement indicating whether the applicant or any of its principals: 

a. is presently suspended, debarred, voluntarily excluded, or disqualified; 

b. has been convicted within the preceding three years of any of the 

offenses listed in 2 CFR 180.800(a); or had a civil judgment 

rendered against the organization or the individual for one of 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

those offenses within that time period; 

c. is presently indicted for, or otherwise criminally or civilly 

charged by a governmental entity (Federal, state or local) with, 

commission of any of the offenses listed in 2 CFR 180.800(a); 

or,

d. has had one or more public transactions (Federal, state, or 

local) terminated within the preceding three years for cause or 

default (including material failure to comply). 

xi. FRA F 251, Applicant Financial Capability Questionnaire 

Forms needed for the electronic application process are at www.Grants.gov. 

c. Post-Selection Requirements

See subsection F(2) of this notice for post-selection requirements.

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

 To apply for funding through Grants.gov, applicants must be properly registered in SAM 

before submitting an application, provide a valid unique entity identifier, and continue to 

maintain an active SAM registration all as described in detail below. Complete instructions on 

how to register and submit an application can be found at www.Grants.gov. Registering with 

Grants.gov is a one-time process; however, it can take up to several weeks for first-time 

registrants to receive confirmation and a user password. FRA recommends that applicants start 

the registration process as early as possible to prevent delays that may preclude submitting an 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

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 Data Universal Numbering System (DUNS) and SAM requirements, and if an 

applicant has not fully complied with the requirements by the time the FRA is ready to make a 

Federal award, FRA may determine that the applicant is not qualified to receive a Federal award 

and use that determination as a basis for making a Federal award to another applicant. (Please 

note that if a Dun & Bradstreet DUNS number must be obtained or renewed, this may take a 

significant amount of time to complete). Late applications that are the result of a failure to 

register or comply with Grants.gov applicant requirements in a timely manner will not be 

considered. If an applicant has not fully complied with the requirements by the submission 

deadline, the application will not be considered. To submit an application through Grants.gov, 

applicants must:

a. Obtain a DUNS number. 

A DUNS number is required for Grants.gov registration. The Office of Management and 

Budget requires that all businesses and nonprofit applicants for Federal funds include a DUNS 

number in their applications for a new award or renewal of an existing award. A DUNS number 

is a unique nine-digit sequence recognized as the universal standard for the government in 

identifying and keeping track of entities receiving Federal funds. The identifier is used for 

tracking purposes and to validate address and point of contact information for Federal assistance 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

applicants, recipients, and subrecipients. The DUNS number will be used throughout the grant 

life cycle. Obtaining a DUNS number is a free, one-time activity. Applicants may obtain a 

DUNS number by calling 1-866-705-5711 or by applying online at http://www.dnb.com/us. 

b. Register with the SAM at www.SAM.gov. 

All applicants for Federal financial assistance must maintain current registrations in the 

SAM database. An applicant must be registered in SAM to successfully register in Grants.gov. 

The SAM database is the repository for standard information about Federal financial assistance 

applicants, 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, including information on a recipient’s immediate and highest 

level owner and subsidiaries, as well as on all predecessors that have been awarded a Federal 

contract or grant within the last three years, if applicable. Information about SAM registration 

procedures is available at www.sam.gov. 

c. Create a Grants.gov username and password. 

Applicants must complete an Authorized Organization Representative (AOR) profile on 

www.Grants.gov and create a username and password. Applicants must use the organization’s 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

DUNS number to complete this step. Additional information about the registration process is 

available at: https://www.grants.gov/web/grants/applicants/organization-registration.html. 

d. Acquire Authorization for your AOR from the E-Business Point of Contact (E-Biz POC). 

The E-Biz POC at the applicant’s organization must respond to the registration email 

from Grants.gov and login at www.Grants.gov to authorize the applicant as the AOR. Please note 

there can be more than one AOR for an organization. 

e. Submit an Application Addressing All Requirements Outlined in this NOFO. 

If an applicant experiences 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, [INSERT DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL 

REGISTER]. FRA reviews www.Grants.gov information on the dates and times of applications 

submitted to determine timeliness of submissions. Late applications will be neither reviewed nor 

considered. Delayed registration is not an acceptable reason for late submission. In order 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.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 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 instructions in this NOFO; and (4) 

technical issues experienced with the applicant’s computer or information technology 

environment. 

5. Intergovernmental Review

Intergovernmental Review is required for this program. Applicants must contact their 

State Single Point of Contact to comply with their State’s process under Executive Order 12372. 

The names and addresses of the Single State Points of Contact are listed in the Office of 

Management and Budget's website. 

6. Funding Restrictions

 FRA is prohibited under 49 U.S.C. 22905(f) from providing CRISI grants for commuter 

rail passenger transportation (as defined in 49 U.S.C. 24102(3)). FRA’s interpretation of this 

restriction is informed by the language in 49 U.S.C. 22907. FRA’s primary intent in funding 

passenger rail projects is to make reasonable investments in Intercity Passenger Rail 

Transportation. Such projects may be located on shared corridors where commuter rail 

passenger transportation and/or freight rail also benefit from the project. The 2021 

Appropriation makes an exception to this funding restriction for commuter rail passenger 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

transportation projects for the implementation of positive train control systems that are otherwise 

eligible under 49 U.S.C. 22907(c)(1). 

Consistent with 2 CFR 200.458, as applicable, FRA will only approve pre-award costs if 

such costs are incurred pursuant to the negotiation and in anticipation of the grant agreement and 

if such costs are necessary for efficient and timely performance of the scope of work. Under 2 

CFR 200.458, 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 be ineligible for reimbursement or 

matching contribution. Cost sharing or matching may be used only for authorized Federal award 

purposes. 

7. Other Submission Requirements

 For any supporting application materials that an applicant cannot submit via 

Grants.gov, such as oversized engineering drawings, an applicant may submit an original and 

two (2) copies to Mr. Douglas Gascon, Office of Policy and Planning, Federal Railroad 

Administration, 1200 New Jersey Avenue, SE, Room W38-212, Washington, DC 20590. 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, 

providing instructions to FRA on how to access files on a referenced website may also be 

sufficient.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

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. 

 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. 

E. Application Review Information 

1. Criteria

a. Eligibility, Completeness and Applicant Risk Review 

FRA will first screen each application for applicant and project eligibility (eligibility 

requirements are outlined in Section C of this notice), completeness (application documentation 

and submission requirements are outlined in Section D of this notice), applicant risk and the 

minimum match. 

 FRA will then consider applicant risk, including the applicant’s past performance in 

developing and delivering similar projects and previous financial contributions, and if applicable, 

previous competitive grant technical evaluation ratings that the proposed project received under 

previous competitive grant programs administered by DOT.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

b. Evaluation Criteria

FRA will evaluate all eligible and complete applications using the evaluation criteria 

outlined in this section to determine project benefits and technical merit. 

i. Project Benefits: 

FRA will evaluate the Benefit-Cost Analysis and project benefits of the proposed project 

for the anticipated private and public benefits relative to the costs of the proposed project 

and the summary of benefits provided in response to subsection D(2)(b)(ii) including— 

(A) Effects on system and service performance;

(B) Effects on safety, competitiveness, reliability, trip or transit time, and 

resilience;

(C) Efficiencies from improved integration with other modes; and 

(D) Ability to meet existing or anticipated demand. 

ii. Technical Merit: 

 FRA will evaluate application information for the degree to which— 

(A) The tasks and subtasks outlined in the SOW are appropriate to achieve the 

expected outcomes of the proposed project. 

(B) Applications indicate strong project readiness and meet requirements under 

the project track(s) designated by the applicant. 

(C) The technical qualifications and experience of key personnel proposed to 

lead and perform the technical efforts, and the qualifications of the primary 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

and supporting organizations to fully and successfully execute the proposed 

project within the proposed timeframe and budget are demonstrated. 

(D) The proposed project’s business plan considers potential private sector 

participation in the financing, construction, or operation of the proposed 

project.

(E) The applicant has, or will have the legal, financial, and technical capacity to 

carry out the proposed project; satisfactory continuing control over the use 

of the equipment or facilities; and the capability and willingness to maintain 

the equipment or facilities. 

(F) The degree to which the applicant and project deploy innovative technology, 

encourage innovative approaches to project delivery, and incentivize the use 

of innovative financing. 

(G) The proposed project is consistent with planning guidance and documents 

set forth by DOT, including those required by law or State rail plans 

developed under Title 49, United State Code, Chapter 227. 

c. Selection Criteria

In addition to the eligibility and completeness review and the evaluation criteria outlined 

in this subsection, the FRA will apply the following selection criteria: 

i. The FRA will give preference to the following: 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

(A) Projects for which the proposed Federal share of total project costs is 50 

percent or less; 

(B) Projects for which the net benefits of the grant funds will be maximized 

considering the Benefit-Cost Analysis, including anticipated private and 

public benefits relative to the costs of the proposed project, and factoring in 

the other considerations in 

49 U.S.C. 22907 (e);

(C) Projects for pre-construction elements including preliminary engineering 

and final design of projects eligible under 49 U.S.C. 22907(c)(2) that 

support the development of new intercity passenger rail service routes 

including alignments for existing routes; 

(D) Projects for capital and engineering solutions targeting trespassing that are 

located in counties with the most pedestrian casualties as identified in 

FRA’s National Strategy to Prevent Trespassing on Railroad Property as 

may be updated or amended from time to time; and 

(E) Projects for trespass Enforcement Activities in one of the 10 states with the 

highest incidence of rail trespass related casualties (as reported in the Rail 

Incident Accident Reporting System at https://railroads.dot.gov/accident-andincident-reporting/casualty-reporting/casualties-and-other-incidents), which 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

are California, Texas, Illinois, Florida, New York, Pennsylvania, Ohio, 

Indiana, North Carolina, and Georgia. 

ii. After applying the above preferences, the FRA will take into account the 

following key DOT objectives: 

(A)Safety

DOT will assess the project’s ability to foster a safe transportation system for 

the movement of goods and people, consistent with the Department’s strategic 

goal to reduce transportation-related fatalities and serious injuries across the 

transportation system. Such considerations will include, but are not limited to, 

the extent to which the project improves safety at highway-rail grade crossings, 

reduces incidences of rail-related trespassing, and upgrades infrastructure to 

achieve a higher level of safety. 

(B) Equitable economic strength and improving core assets 

DOT will assess the project’s ability to contribute to economic progress 

stemming from infrastructure investment and associated creation of good jobs 

with fair wages, labor protections, and the opportunity to join a union. Such 

considerations will include, but are not limited to, the extent to which the 

project invests in vital infrastructure assets, 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. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

(C) Ensuring investments meet racial equity and economic inclusion goals 

DOT will assess the project’s ability to encourage racial equity by investing in 

projects that proactively address racial equity and barriers to opportunities. 

Such considerations will include, but are not limited to, the extent to which 

the project improves or expands transportation options, mitigates the safety 

risks and detrimental quality of life effects that rail lines can have on 

communities, and expands workforce development and training opportunities 

to foster a more diverse rail industry.

(D)Resilience and addressing climate change

DOT will assess the project’s ability to reduce the harmful effects of climate 

change and anticipate necessary improvements for preparedness. Such 

considerations will include, but are not limited to, the extent to which the 

project reduces emissions, promotes energy efficiency, increases resiliency, 

and recycles or redevelops existing infrastructure.

(E) Transformation of our nation’s transportation infrastructure 

DOT will assess the project’s ability to expand and improve the nation’s rail 

network, which needs to balance new infrastructure for increased capacity 

with proper maintenance of aging assets. Such considerations will include, 

but are not limited to, the extent to which the project adds capacity to 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

congested corridors, builds new connections, and ensures assets will be 

improved to a state of good repair.

iii. In determining the allocation of program funds, FRA may also consider 

geographic diversity, diversity in the size of the systems receiving funding, and 

the applicant’s receipt of other competitive awards.

2. Review and Selection Process

 FRA will conduct a four-part application review process, as follows: 

a. Screen applications for completeness, applicant risk and eligibility and consider applicable 

past performance and previous financial contributions and technical evaluation ratings; 

b. Evaluate eligible applications (completed by technical panels applying the evaluation 

criteria); 

c. Review, apply selection criteria and recommend initial selection of projects for the FRA 

Administrator’s review (completed by a non-career Senior Review Team, which includes 

senior leadership from the Office of the Secretary and FRA); and, 

d. Selection of awards for the Secretary’s review and approval (completed by the FRA 

Administrator).

3. Reporting Matters Related to Integrity and Performance

Before making a Federal award with a total amount of Federal share greater than the 

simplified acquisition threshold of $250,000 (see 2 CFR 200.88 Simplified Acquisition 

Threshold), FRA will review and consider any information about the applicant that is in the 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

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 announcement with information and instructions about the award process. 

This notification is not an authorization to begin proposed project activities. FRA requires 

satisfaction of applicable requirements by the applicant and a formal agreement signed by both 

the grantee and the FRA, including an approved scope, schedule, and budget, before obligating 

the grant. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 For Track 2 PE/NEPA projects, these requirements may include transportation planning. 

For Track 3 FD/Construction projects, these requirements may include transportation planning, 

PE and environmental reviews. 

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 conditions of 

performance, nondiscrimination requirements, and other assurances made applicable to the 

award of funds in accordance with regulations of the Department of Transportation; and 

applicable Federal financial assistance and contracting principles promulgated by the Office of 

Management and Budget. In complying with these requirements, grantees, in particular, must 

ensure that no concession agreements are denied, or other contracting decisions made on the 

basis of speech or other activities protected by the First Amendment. If the Department 

determines that a grantee has failed to comply with applicable Federal requirements, the 

Department may terminate the award of funds and disallow previously incurred costs, requiring 

the grantee to reimburse any expended award funds. 

 Examples of administrative and national policy requirements include: 2 CFR Part 200; 

procurement standards at 2 CFR Part 200 Subpart D – Procurement Standards, 2 CFR 1207.317 

and 2 CFR 200.401; compliance with Federal civil rights laws and regulations; requirements for 

disadvantaged business enterprises, debarment and suspension requirements, and drug-free 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

workplace requirements; FRA’s and OMB’s Assurances and Certifications; Americans with 

Disabilities Act; safety requirements; NEPA; environmental justice requirements; performance 

measures under 49 U.S.C. 22907(f); for CRISI Funding, grant conditions under 49 U.S.C. 22905

including the Buy America requirements, applicable labor requirements, the provision deeming 

operators rail carriers for certain purposes and grantee agreements with railroad right-of-way 

owners for projects using railroad right-of way. Unless otherwise stated in statutory or 

legislative authority, or appropriations language, all financial assistance awards follow the 

Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal 

Awards at 2 CFR Part 200 and 2 CFR Part 1201. 

 Grantees must comply with applicable appropriations act requirements and all relevant 

requirements of 2 CFR part 200. Rights to intangible property under grants awarded under this 

NOFO are governed in accordance with 2 CFR 200.315. See an example of standard terms and 

conditions for FRA grant awards at https://www.fra.dot.gov/eLib/Details/L19057 and clauses 

specific to CRISI funding at https://www.fra.dot.gov/eLib/Details/L20078. These templates are 

subject to revision. 

Projects selected under this NOFO for commuter rail passenger transportation for 

positive train control projects may be transferred to the Federal Transit Administration for grant 

administration at the Secretary’s discretion. If such a project is transferred to the Federal Transit 

Administration, applicants will be required to comply with chapter 53 of Title 49 of the United 

States Code.
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

3. Reporting 

a. Progress Reporting on Grant Activity 

 Each applicant selected for a grant will be required to comply with all standard FRA 

reporting requirements, including quarterly progress reports, quarterly Federal financial reports, 

and interim and final performance reports, as well as all applicable auditing, monitoring and 

close out requirements. Reports may be submitted electronically. Pursuant to 2 CFR 170.210, 

non-Federal entities applying under this NOFO must have the necessary processes and systems 

in place to comply with the reporting requirements should they receive Federal funding. 

b. Additional Reporting 

 Applicants selected for funding are required to comply with all reporting requirements in 

the standard terms and conditions for FRA grant awards including 2 CFR 180.335 and 2 CFR 

180.350. 

If the Federal share of any Federal award under this NOFO may include more than 

$500,000 over the period of performance, applicants are informed of the post award reporting 

requirements reflected in 2 CFR Part 200, Appendix XII—Award Term and Condition for 

Recipient Integrity and Performance Matters.

c. Performance Reporting 

 Each applicant selected for funding must collect information and report on the project’s 

performance using measures mutually agreed upon by FRA and the grantee to assess progress in 

achieving strategic goals and objectives. 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

 Applicants requesting Non-CRISI funding for trespass Enforcement Activities 

must include the following information: date, time, number of officers, location and description 

of Enforcement Activity; Justification or reason for selected Enforcement Activity; Number of 

contacts (encounters with trespassers); Number of warnings and/or citations issued; and the 

deterrence effect of such activities and method for measuring such deterrence (including 

explanation of how they determine deterrence effect). 

 Applicants requesting Non-CRISI funding for an Outreach Campaign must include 

indicators of success (e.g. anticipated reach of messaging efforts or contacts made by personnel 

with individuals at risk or reduced suicide incidents). FRA maintains the right to re-publish and 

use information under this grant for the advancement of safety. 

 Examples of some rail performance measures for CRISI Funding are listed in the table below. 

The applicable measure(s) will depend upon the type of project. Applicants requesting funding 

for the acquisition of rolling stock must integrate at least one equipment/rolling stock 

performance measure, consistent with the application materials and program goals. 

Rail 

Measures

Unit 

Measured

Temporal Primary 

Strategic Goal

Secondary 

Strategic Goal

Description

Slow 

Order 

Miles

Miles Annual State of Good 

Repair

Safety The number of miles 

per year within the 

project area that have 

temporary speed 

restrictions (“slow 

orders”) imposed due 

to track condition. This 

is an indicator of the 

overall condition of 

track. This measure 

can be used for projects 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Rail 

Measures

Unit 

Measured

Temporal Primary 

Strategic Goal

Secondary 

Strategic Goal

Description

to rehabilitate sections 

of a rail line since the 

rehabilitation should 

eliminate, or at least 

reduce the slow orders 

upon project 

completion.

Gross Ton Gross 

Tons 

Annual Economic 

Competitiveness

State of Good 

Repair

The annual gross 

tonnage of freight 

shipped in the project 

area. Gross tons 

include freight cargo 

minus tare weight of 

the rail cars. This 

measures the volume of 

freight a railroad ships 

in a year. This measure 

can be useful for 

projects that are 

anticipated to increase 

freight shipments.

Rail Track 

Grade 

Separation 

Count Annual Economic 

Competitiveness

Safety The number of annual 

automobile crossings 

that are eliminated at 

an at-grade crossing as 

a result of a new grade 

separation.

Passenger 

Counts

Count Annual Economic 

Competitiveness

State of Good 

Repair

Count of the annual 

passenger boardings 

and alightings at 

stations within the 

project area.

Travel 

Time

Time/Trip Annual Economic 

Competitiveness

Quality of Life Point-to-point travel 

times between predetermined station 

stops within the project 

area. This measure 

demonstrates how track 

improvements and 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

Rail 

Measures

Unit 

Measured

Temporal Primary 

Strategic Goal

Secondary 

Strategic Goal

Description

other upgrades improve 

operations on a rail 

line. It also helps make 

sure the railroad is 

maintaining the line 

after project 

completion.

Track 

weight 

capacity 

Yes/No One Time State of Good 

Repair

Economic 

Competitiveness

If a project is 

upgrading a line to 

accommodate heavier 

rail cars (typically an 

increase from 263,000 

lb. rail cars to 286,000 

lb. rail cars.)

Track 

Miles

Miles One Time State of Good 

Repair

Economic 

Competitiveness

The number of track 

miles that exist within 

the project area. This 

measure can be 

beneficial for projects 

building sidings or 

sections of additional 

main line track on a 

railroad.

H. Federal Awarding Agency Contacts 

 For further information regarding this notice and the grants program, please 

contact Mr. Douglas Gascon, Office of Policy and Planning, Federal Railroad Administration, 

1200 New Jersey Avenue, SE, Room W38-212, Washington, DC 20590; email: 

douglas.gascon@dot.gov; phone: 202-493-0239. 

I. 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 
This unpublished version of the Notice of Funding Opportunity (NOFO) posted to FRA’s website is not 

intended to constitute the official published notice. This version was submitted to the Federal Register

on August 26, 2021 and the official notice will be published in the Federal Register in the near future and 

may appear slightly different than this website posting due to Federal Register formatting requirements. 

Any effective dates or other dates in this NOFO will be based on the date the official version is published 

in the Federal Register. 

that are accepted by industry practice and standards, to the extent possible. 

If the application includes information the applicant considers to be a trade secret 

or confidential commercial or financial information, the applicant should do the 

following: (1) Note on the front cover that the submission ‘‘Contains 

Confidential Business Information (CBI)’’; (2) mark each affected page 

‘‘CBI’’; and (3) highlight or otherwise denote the CBI portions. 

The DOT regulations implementing the Freedom of Information Act (FOIA) are found at 49 

CFR Part 7 Subpart C – Availability of Reasonably Described Records under the Freedom of 

Information Act which sets forth rules for FRA to make requested materials, information and, 

records publicly available under FOIA. Unless prohibited by law and to the extent permitted 

under the FOIA, contents of application and proposals submitted by successful applicants may be 

released in response to FOIA requests.

Issued in Washington, D.C. 

Amitabha Bose, 

Deputy Administrator.