48798 Federal Register / Vol. 86, No. 166 / Tuesday, August 31, 2021 / Notices 

1These criteria may be found in Appendix A to 

Part 391—Medical Advisory Criteria, section H. 

Epilepsy: § 391.41(b)(8), paragraphs 3, 4, and 5, 

which is available on the internet at https://

www.gpo.gov/fdsys/pkg/CFR-2015-title49-vol5/pdf/ 

CFR-2015-title49-vol5-part391-appA.pdf. 

SUMMARY: FMCSA announces its 

decision to renew exemptions for 13 

individuals from the requirement in the 

Federal Motor Carrier Safety 

Regulations (FMCSRs) that interstate 

commercial motor vehicle (CMV) 

drivers have ‘‘no established medical 

history or clinical diagnosis of epilepsy 

or any other condition which is likely 

to cause loss of consciousness or any 

loss of ability to control a CMV.’’ The 

exemptions enable these individuals 

who have had one or more seizures and 

are taking anti-seizure medication to 

continue to operate CMVs in interstate 

commerce. 

DATES: The exemptions were applicable 

on July 12, 2021. The exemptions expire 

on July 12, 2023. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Christine A. Hydock, Chief, Medical 

Programs Division, (202) 366–4001, 

fmcsamedical@dot.gov, FMCSA, DOT, 

1200 New Jersey Avenue SE, Room 

W64–224, Washington, DC 20590–0001. 

Office hours are from 8:30 a.m. to 5 

p.m., ET, Monday through Friday, 

except Federal holidays. If you have 

questions regarding viewing or 

submitting material to the docket, 

contact Dockets Operations, (202) 366– 

9826. 

SUPPLEMENTARY INFORMATION: 

I. Public Participation 

A. Viewing Comments 

To view comments go to 

www.regulations.gov. Insert the docket 

number, FMCSA–2008–0355, FMCSA– 

2011–0089, FMCSA–2014–0381, 

FMCSA–2014–0382, FMCSA–2017– 

0253, FMCSA–2018–0057, FMCSA– 

2019–0028, or FMCSA–2019–0029 in 

the keyword box, and click ‘‘Search.’’ 

Next, sort the results by ‘‘Posted 

(Newer-Older),’’ choose the first notice 

listed, and click ‘‘Browse Comments.’’ If 

you do not have access to the internet, 

you may view the docket online by 

visiting Dockets Operations in Room 

W12–140 on the ground floor of the 

DOT West Building, 1200 New Jersey 

Avenue SE, Washington, DC 20590– 

0001, between 9 a.m. and 5 p.m., ET, 

Monday through Friday, except Federal 

holidays. To be sure someone is there to 

help you, please call (202) 366–9317 or 

(202) 366–9826 before visiting Dockets 

Operations. 

B. Privacy Act 

In accordance with 5 U.S.C. 553(c), 

DOT solicits comments from the public 

to better inform its regulatory process. 

DOT posts these comments, without 

edit, including any personal information 

the commenter provides, to 

www.regulations.gov, as described in 

the system of records notice (DOT/ALL– 

14 FDMS), which can be reviewed at 

www.transportation.gov/privacy. 

II. Background 

On July 15, 2021, FMCSA published 

a notice announcing its decision to 

renew exemptions for 13 individuals 

from the epilepsy and seizure disorders 

prohibition in 49 CFR 391.41(b)(8) to 

operate a CMV in interstate commerce 

and requested comments from the 

public (86 FR 37397). The public 

comment period ended on August 16, 

2021, and no comments were received. 

FMCSA has evaluated the eligibility 

of these applicants and determined that 

renewing these exemptions would 

achieve a level of safety equivalent to, 

or greater than, the level that would be 

achieved by complying with 

§ 391.41(b)(8). 

The physical qualification standard 

for drivers regarding epilepsy found in 

§ 391.41(b)(8) states that a person is 

physically qualified to drive a CMV if 

that person has no established medical 

history or clinical diagnosis of epilepsy 

or any other condition which is likely 

to cause the loss of consciousness or any 

loss of ability to control a CMV. 

In addition to the regulations, FMCSA 

has published advisory criteria 1 to 

assist medical examiners in determining 

whether drivers with certain medical 

conditions are qualified to operate a 

CMV in interstate commerce. 

III. Discussion of Comments 

FMCSA received no comments in this 

preceding. 

IV. Conclusion 

Based on its evaluation of the 13 

renewal exemption applications, 

FMCSA announces its decision to 

exempt the following drivers from the 

epilepsy and seizure disorders 

prohibition in § 391.41(b)(8). 

As of July 12, 2021, and in accordance 

with 49 U.S.C. 31136(e) and 31315(b), 

the following 13 individuals have 

satisfied the renewal conditions for 

obtaining an exemption from the 

epilepsy and seizure disorders 

prohibition in the FMCSRs for interstate 

CMV drivers (86 FR 37397): 

Prince Austin, Jr. (OH) 

Darcy Baker (OH) 

Gary Bartels (SD) 

Frank Cekovic (PA) 

Monte DeRocini (PA) 

Teddy Dixon (GA) 

Jaime Dougherty (MN) 

Martin Ford (WI) 

David Johnston (HI) 

Brent Mapes (IL) 

Enrico Mucci (PA) 

Charles Skelton (AL) 

Kevin Wiggins (KY) 

The drivers were included in docket 

number FMCSA–2008–0355, 

FMCSA–2011–0089, FMCSA–2014– 

0381, FMCSA–2014–0382, FMCSA– 

2017–0253, FMCSA–2018–0057, 

FMCSA–2019–0028, or FMCSA–2019– 

0029. Their exemptions were applicable 

as of July 12, 2021 and will expire on 

July 12, 2023. 

In accordance with 49 U.S.C. 

31315(b), each exemption will be valid 

for 2 years from the effective date unless 

revoked earlier by FMCSA. The 

exemption will be revoked if the 

following occurs: (1) The person fails to 

comply with the terms and conditions 

of the exemption; (2) the exemption has 

resulted in a lower level of safety than 

was maintained prior to being granted; 

or (3) continuation of the exemption 

would not be consistent with the goals 

and objectives of 49 U.S.C. 31136(e) and 

31315(b). 

Larry W. Minor, 

Associate Administrator for Policy. 

[FR Doc. 2021–18780 Filed 8–30–21; 8:45 am] 

BILLING CODE 4910–EX–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, November 29, 2021. 

Applications that are incomplete or 

received after 5:00 p.m. ET on 

November 29, 2021 will not be 

considered for funding. See Section D of 


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this notice for additional information on 

the application process. 

ADDRESSES: Applications must be 

submitted via www.Grants.gov. Only 

applicants who comply with all 

submission requirements described in 

this notice and submit applications 

through www.Grants.gov will be eligible 

for award. For any supporting 

application materials that an applicant 

is unable to submit via www.Grants.gov 

(such as oversized engineering 

drawings), an applicant may submit an 

original and two (2) copies to Mr. 

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 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 change, 

invest in projects that spur economic 

growth, and ensure our world-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 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 low-income 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 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 SetAside—for certain intercity passenger 

rail development projects, and 


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1For 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. 

(3) Capital Improvements for Trespass 

Prevention Set-Aside—for trespass 

prevention capital projects. 

Additionally, FRA is making NonCRISI funding available funding for: 

(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 setasides, 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 ‘‘CostBenefit 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-costanalysis-guidance. In addition, please 

also refer to the BCA FAQs on FRA’s 

website for rail specific 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 trespass-related 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, 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 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 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 


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

available at https://www2.census.gov/geo/pdfs/ 

reference/fedreg/fedregv76n164.pdf. 

3Of 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. 

4FRA 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. 

5 Interstate Compacts are ineligible for Non-CRISI 

funding. 

6See Section D(2)(a)(iv) for supporting 

documentation required to demonstrate eligibility 

under this eligibility category. 

7See Section D(2)(a)(iv) for supporting 

documentation required to demonstrate eligibility 

under this eligibility category. 

8See Section D(2)(a)(iv) for supporting 

information required to demonstrate eligibility 

under this eligibility category. 

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 

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 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 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 

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; 

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


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9See Section D(2)(a)(iii) for supporting 

information required to demonstrate eligibility of 

Federal funds for use as match. 

10Pursuant 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). 

11Only costs for FD and Construction project 

stages and forward are eligible within this project 

eligibility category. 

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 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 assistance 9 nor any nonFederal 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. 

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 preaward 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 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 

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 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 


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12Enforcement 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. 

13The 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. 

14The 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. 

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. 

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 Federallyapproved 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. Sub-recipients may 

charge indirect costs using their 

federally-approved indirect cost rate, a 

negotiated indirect cost rate between the 

pass-through entity and the subrecipient, 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 

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 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 the expected year-ofexpenditure 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 

infrastructure-owning entities; and 

(D) A project management plan is inplace 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 rightVerDate Sep<11>2014 20:08 Aug 30, 2021 Jkt 253001 PO 00000 Frm 00145 Fmt 4703 Sfmt 4703 E:\FR\FM\31AUN1.SGM 31AUN1

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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. 

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 

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 November 

29, 2021. 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 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 NonConstruction 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 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 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: 


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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 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 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 

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 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). 


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(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 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 

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 rail-related 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 (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, changeorder 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 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 

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. 


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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 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-cost-analysis-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 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 NonConstruction 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 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 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 

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 


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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 

DUNS number to complete this step. 

Additional information about the 

registration process is available at: 

https://www.grants.gov/web/grants/ 

applicants/organizationregistration.html. 

d. Acquire Authorization for Your AOR 

From the E-Business Point of Contact (EBiz 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, November 29, 2021. 

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. 

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 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 preaward 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. 

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. 

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: 


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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 

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: 

(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-and-incident-reporting/ 

casualty-reporting/casualties-and-otherincidents), which 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 transportationrelated 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. 

(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 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; 


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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 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. 

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 

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. 

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 


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and the grantee to assess progress in 

achieving strategic goals and objectives. 

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 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 

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 

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 


khammond on DSKJM1Z7X2PROD with NOTICES
48812 Federal Register / Vol. 86, No. 166 / Tuesday, August 31, 2021 / Notices 

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, DC. 

Amitabha Bose, 

Deputy Administrator. 

[FR Doc. 2021–18737 Filed 8–30–21; 8:45 am] 

BILLING CODE 4910–06–P 

DEPARTMENT OF TRANSPORTATION 

National Highway Traffic Safety 

Administration 

[Docket No. NHTSA–2016–0117; Notice 2] 

General Motors, LLC, Denial of Petition 

for Decision of Inconsequential 

Noncompliance 

AGENCY: National Highway Traffic 

Safety Administration (NHTSA), 

Department of Transportation (DOT). 

ACTION: Denial of petition. 

SUMMARY: General Motors, LLC (GM) has 

determined that certain model year 

(MY) 2016–2017 Cadillac CT6 motor 

vehicles do not fully comply with 

Federal Motor Vehicle Safety Standard 

(FMVSS) No. 108, Lamps, Reflective 

Devices, and Associated Equipment. GM 

filed a noncompliance report dated 

October 26, 2016. GM also petitioned 

NHTSA on November 18, 2016, for a 

decision that the subject noncompliance 

is inconsequential as it relates to motor 

vehicle safety. 

FOR FURTHER INFORMATION CONTACT: 

Leroy Angeles, Office of Vehicle Safety 

Compliance, NHTSA, telephone (202) 

366–5304, facsimile (202) 366–5930. 

SUPPLEMENTARY INFORMATION: 

I. Overview: GM has determined that 

certain MY 2016–2017 Cadillac CT6 

motor vehicles do not fully comply with 

paragraph S7.8.13 of FMVSS No. 108, 

Lamps, Reflective Devices, and 

Associated Equipment (49 CFR 

571.108). GM filed a noncompliance 

report dated October 26, 2016, pursuant 

to 49 CFR part 573, Defect and 

Noncompliance Responsibility and 

Reports. GM subsequently petitioned 

NHTSA on November 18, 2016, 

pursuant to 49 U.S.C. 30118(d) and 

30120(h) and 49 CFR part 556, for an 

exemption from the notification and 

remedy requirements of 49 U.S.C. 

Chapter 301 on the basis that this 

noncompliance is inconsequential as it 

relates to motor vehicle safety. 

Notice of receipt of the petition was 

published on April 11, 2017, in the 

Federal Register (82 FR 17518), with a 

30-day public comment period. One 

comment was received. To view the 

petition, all supporting documents, and 

any comments, log onto the Federal 

Docket Management System (FDMS) 

website at: https://www.regulations.gov/. 

Then follow the online search 

instructions to locate docket number 

‘‘NHTSA–2016–0117.’’ 

II. Vehicles Involved: Approximately 

12,475 MY 2016–2017 Cadillac CT6 

motor vehicles manufactured between 

September 4, 2015 and October 18, 2016 

(the subject vehicles) are potentially 

involved. 

III. Noncompliance: GM explains that 

the noncompliance is that the software 

in the subject vehicles’ parking lamp’s 

electronic control unit (ECU) was 

programmed incorrectly, causing the 

ECU to misinterpret the signals from the 

vehicle’s body control module (BCM). 

This results in a higher than expected 

light output that may exceed the 

maximum values permitted in 

paragraph S7.8.13 of FMVSS No. 108. 

Specifically, the nine failed test points 

exceeded the maximum allowed value 

by 2.3% to 74.8%. Eight of the nine 

failed test points exceeded the 

maximum allowed value by 25% or 

more. 

IV. Rule Requirements: Paragraph 

S7.8.13 of FMVSS No. 108, titled 

‘‘Photometry’’ includes the 

requirements relevant to this petition: 

Each parking lamp must be designed to 

conform to the photometry requirements 

of Table XIV of paragraph S7.8.13, when 

tested according to the procedure of 

paragraph S14.2.1. Table XIV specifies 

various minimum and maximum 

photometric intensity requirements for 

parking lamps at specified test points. 

V. Summary of GM’s Petition: 

GM describes the subject 

noncompliance and contends that the 

noncompliance is inconsequential as it 

relates to motor vehicle safety. 

In support of its petition, GM offers 

the following reasoning: 

(a) The subject vehicles’ parking 

lamp-headlamp combination does not 

exceed the maximum permitted glare 

values for headlamps specified in 

FMVSS No. 108: 

GM states that NHTSA’s August 2014 

denial of Mercedes-Benz USA’s petition 

for parking lamps that exceeded 

maximum photometric values, focused 

on a concern that the parking lamps 

could cause glare to oncoming drivers 

(79 FR 50733). 

The subject vehicles will expose 

oncoming drivers to the combined 

photometric output of the parking lamps 

and headlamps. GM claims that, when 

considering glare in real-world 

application, the critical issue is not the 

photometric output value of the parking 

lamp alone, but the performance of the 

parking lamp in conjunction with the 

headlamps. GM asserts that most 

appropriate way to assess this combined 

effect is to measure the parking lampheadlamp combination at the traditional 

headlamp glare points (points above the 

horizon in the photometric beam pattern 

that limit light output in the path of 

oncoming drivers). 

GM states that when two samples of 

the subject vehicles’ parking lampheadlamp combinations were evaluated 

in the laboratory against recognized 

glare points, the output fell below, or 

within, the acceptable value of 

headlamp glare points specified in 

FMVSS No. 108. 

According to GM, it is possible for a 

vehicle to incorporate parking lamps 

and headlamps whose outputs are near, 

or at the maximum allowed values 

while remaining compliant. For 

headlamps, that output would be at or 

near the maximum specified 

photometric values, and for parking 

lamps that output would be at or near 

125 candela (cd) at all test points above 

the horizon. According to GM, a parking 

lamp with this output value in close 

proximity to the headlamp at or near 

maximum output could create 

combined output with a glare value 

exceeding the maximum allowable 

headlamp photometric glare values by 

125 cd. GM asserts that the combination 

would still be compliant, because the 

headlamp’s glare measurement falls 

within the permitted values for the 

headlamp alone, and the parking lamp 

values correspond to the permitted 

values for parking lamps. 

However, GM states that the parking 

lamp-headlamp combination in the 

subject vehicles are below the 

prescribed glare values for a compliant 

headlamp and well below the value of 

the theoretical combined parking lampheadlamp output. 

GM argues that the photometric 

output of the subject vehicles’ parking 

lamps will not cause a glare that 

presents an unreasonable risk to the 

safety of oncoming drivers. 

(b) GM’s claim that the 

noncompliance has no impact on turn 

signal performance: GM recognizes 

previous statements by NHTSA that a 

parking lamp that exceeds the 

maximum permitted photometric values 

could mask the turn signal and thereby 

impair the turn signal performance (See 

79 FR 50733). GM argues that because 

the parking lamps in the subject 

vehicles are optically combined with 


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