Document ID: FRA-2009-0031-0231
Agency: fra
Document Type: Notice
Title: Funding Opportunity: Federal-State Partnership for State of Good Repair Program
Posted Date: 2021-12-10T05:00Z

[Federal Register Volume 86, Number 235 (Friday, December 10, 2021)]
[Notices]
[Pages 70582-70595]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-26835]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Notice of Funding Opportunity for the Federal-State Partnership 
for State of Good Repair Program

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

[[Page 70583]]

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

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SUMMARY: This notice details the application requirements and 
procedures to obtain grant funding for eligible projects under the 
Federal-State Partnership for State of Good Repair Program (Partnership 
Program). This notice solicits applications for Partnership Program 
funds made available by the Consolidated Appropriations Act, 2021. The 
opportunity described in this notice is made available under Assistance 
Listings Number 20.326, ``Federal-State Partnership for State of Good 
Repair.''

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. ET, March 7, 2022. Late or incomplete applications 
will not be considered for funding. See Section D of this notice for 
additional information on the application process.

ADDRESSES: Applications must be submitted via www.Grants.gov. Only 
applicants who comply with all submission requirements described in 
this notice and submit applications through www.Grants.gov will be 
eligible for award. For any supporting application materials that an 
applicant is unable to submit via www.Grants.gov (such as oversized 
engineering drawings), an applicant may submit an original and two (2) 
copies to Mr. Bryan Rodda, Office of Policy and Planning, Federal 
Railroad Administration, 1200 New Jersey Avenue SE, Room W38-203, 
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 information related to 
this notice, please contact Mr. Bryan Rodda, Office of Policy and 
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, 
Room W38-203, Washington, DC 20590; email: [email protected]; phone: 
202-493-0443.

SUPPLEMENTARY INFORMATION: This notice wholly supersedes and cancels 
FRA's prior notice for this program, published in the Federal Register 
on December 7, 2021 (86 FR 69352), which was incomplete. Applicants 
should refer only to this notice for application requirements and 
procedures.
    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(2) below. These key terms are capitalized throughout the 
NOFO. There are several administrative 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

1. 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 Partnership Program provides a Federal 
funding opportunity to improve American passenger rail infrastructure 
to enhance rail safety, reduce the backlog of deferred maintenance for 
Amtrak or publicly owned or controlled railroad assets, create new 
opportunities for underserved communities, and invest in projects that 
support and spur economic growth.
    The purpose of the Partnership Program is to fund projects within 
the United States to repair, replace, or rehabilitate Qualified 
Railroad Assets to reduce the state of good repair backlog and improve 
Intercity Passenger Rail performance. Section E of this NOFO provides 
additional information on these program priorities.
    The Partnership Program is authorized in Sections 11103 and 11302 
of the Passenger Rail Reform and Investment Act of 2015 (Title XI of 
the Fixing America's Surface Transportation (FAST) Act, Pub. L. 114-94 
(2015)); codified at 49 U.S.C. 24911, and this NOFO is funded by the 
Consolidated Appropriations Act, 2021 (Pub. L. 116-260) (Appropriations 
Act).\1\ The opportunity described in this notice is made available 
under Assistance Listings Number 20.326, ``Federal-State Partnership 
for State of Good Repair.''
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    \1\ Funds made available under this NOFO are subject to 49 
U.S.C. 24911 as it existed on the day of the enactment of the 
Appropriations Act.
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    Consistent with Biden-Harris Administration priorities, the 
Department seeks to fund projects under the Partnership Program that 
address climate change impacts and environmental justice. Projects 
should include components that reduce emissions, promote energy 
efficiency, increase resilience, 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, overburdened 
communities, or communities underserved by affordable transportation.
    The Department also seeks to use the Partnership Program 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 further.
    The Partnership Program is intended to benefit both railroad assets 
in the Northeast Corridor (``NEC'') and public or Amtrak-owned or 
controlled infrastructure, equipment, and facilities located in other 
areas of the country. Applicants should note that the Partnership 
Program has distinct eligibility requirements based on project 
location. In addition to the generally applicable requirements, 
applicants proposing NEC Projects should specifically review the NEC-
specific requirements provided in Section C(3)(b), and the Qualified 
Railroad Asset information provided in Section D(2)(a)(vi) while 
applicants proposing Non-NEC Projects should review the Qualified 
Railroad Asset information provided in Section D(2)(a)(v).

[[Page 70584]]

2. Changes From FY 2020 Partnership Program NOFO

    This notice updates the FY 2020 Partnership Program 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)(ii).
    This notice expands the definition of Capital Project, making 
expenses incidental to the acquisition or construction (including 
designing, engineering, location surveying, mapping, environmental 
studies, and acquiring rights-of-way) of a Capital Project eligible for 
funding independently or in conjunction with proposed funding for 
construction or acquisition, as directed by the Appropriations Act.

3. Definitions of Key Terms

    Terms defined in this section are capitalized throughout this 
notice.
    a. ``Benefit-Cost Analysis'' (or ``Cost-Benefit Analysis'') is a 
systematic, data-driven, and transparent analysis comparing monetized 
project benefits and costs, using a no-build baseline and properly 
discounted present values, including concise documentation of the 
assumptions and methodology used to produce the analysis, a description 
of the baseline, data sources used to project outcomes, 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 sensitivity 
of results evaluated by FRA. Please refer to the Benefit-Cost Analysis 
(BCA) 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 rail-specific examples of how to 
apply the BCA Guidance for Discretionary Grant Programs to Partnership 
Program applications.
    b. ``Capital Project'' means a project primarily intended to 
replace, rehabilitate, or repair major infrastructure assets utilized 
for providing Intercity Passenger Rail service, including tunnels, 
bridges, stations, and other assets, as determined by the Secretary of 
Transportation; a project primarily intended to improve Intercity 
Passenger Rail performance, including reduced trip times, increased 
train frequencies, and higher operating speeds, and other improvements, 
as determined by the Secretary; and a project for expenses incidental 
to the acquisition or construction (including designing, engineering, 
location surveying, mapping, environmental studies, and acquiring 
rights-of-way) of a project, consistent with 49 U.S.C. 24911(a)(2) and 
the Appropriations Act.
    c. ``Construction'' means the production of fixed works and 
structures or substantial alterations to such structures or land and 
associated costs.
    d. ``Commuter Rail Passenger Transportation'' means short-haul rail 
passenger transportation in metropolitan and suburban areas usually 
having reduced fare, multiple ride, and commuter tickets and morning 
and evening peak period operations, consistent with 49 U.S.C. 24102(3).
    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. ``Intercity Rail Passenger Transportation'' means rail passenger 
transportation, except Commuter Rail Passenger Transportation, 
consistent with 49 U.S.C. 24911(a)(3). In this notice, ``Intercity 
Passenger Rail'' is an equivalent term to ``Intercity Rail Passenger 
Transportation.''
    g. ``Major Capital Project'' means a Capital Project with an 
estimated total project cost of $300 million or more.
    h. ``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.
    i. ``NEC Project'' means a Capital Project where the Qualified 
Railroad Assets involved in the project are part of, or in primary use 
for, the Northeast Corridor (``NEC'').
    j. ``Non-NEC Project'' means a Capital Project where the Qualified 
Railroad Assets involved in the project are not part of, or are not in 
primary use for, the Northeast Corridor (``NEC'').
    k. ``Northeast Corridor'' (``NEC'') means the main rail line 
between Boston, Massachusetts, and the District of Columbia; the branch 
rail lines connecting to Harrisburg, Pennsylvania, Springfield, 
Massachusetts, and Spuyten Duyvil, New York; and facilities and 
services used to operate and maintain these lines, consistent with 49 
U.S.C. 24911(a)(4).
    l. ``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.
    m. A ``Qualified Railroad Asset,'' consistent with 49 U.S.C. 
24911(a)(5), means infrastructure, equipment, or a facility that:
    i. Is owned or controlled by an eligible applicant;
    ii. is contained in the planning document developed under 49 U.S.C. 
24904 and for which a cost-allocation policy has been developed under 
49 U.S.C. 24905(c), or is contained in an equivalent planning document 
and for which a similar cost-allocation policy has been developed; and
    iii. was not in a State of Good Repair on the date of enactment of 
the Passenger Rail Reform and Investment Act of 2015 (December 4, 
2015).
    See Section D(2)(a), Project Narrative, for further details about 
the Qualified Railroad Asset requirements and application submission 
instructions related to Qualified Railroad Assets.\2\
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    \2\ For any project that includes purchasing intercity passenger 
rail equipment, applicants are encouraged to use a standardized 
approach to the procurement, such as the specifications developed by 
the Next Generation Corridor Equipment Pool Committee or a similarly 
uniform process.
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    n. ``State of Good Repair'' means a condition in which physical 
assets, both

[[Page 70585]]

individually and as a system, are (A) performing at a level at least 
equal to that called for in their as-built or as-modified design 
specification during any period when the life cycle cost of maintaining 
the assets is lower than the cost of replacing them; and (B) sustained 
through regular maintenance and replacement programs, consistent with 
49 U.S.C. 24102(12).

B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is 
$198,000,000 made available by the Appropriations Act. Should 
additional Partnership Program funds become available after the release 
of this NOFO, FRA may elect to award such additional funds to 
applications received under this NOFO. Any selection and award under 
this NOFO is subject to the availability of appropriated funds.

2. Award Size

    There are no predetermined minimum or maximum dollar thresholds for 
awards. FRA anticipates making multiple awards with the available 
funding. Given the limited amount of funding currently available, 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 a project that has 
operational independence or a component of such project 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. (See 
Section C(3)(c) for more information.)
    Applicants proposing a Major Capital Project may identify and 
describe project phases or elements that could be candidates for 
subsequent Partnership Program funding, if such funding becomes 
available. Applications for a Major Capital Project that would seek 
future funds beyond funding made available in this notice should 
indicate anticipated annual Federal funding requests from this program 
for the expected duration of the project. FRA may issue Letters of 
Intent to Partnership Program grant recipients proposing Major Capital 
Projects under 49 U.S.C. 24911(g); such Letters of Intent would serve 
to announce FRA's intention to obligate an amount from future available 
budget authority toward a grant recipient's future project phases or 
elements. A Letter of Intent is not an obligation of the Federal 
government and is subject to the availability of appropriations for 
Partnership Program grants and subject to Federal laws in force or 
enacted after the date of the Letter of Intent.

4. 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 term 
``grant'' is used throughout this document and is intended to reference 
funding awarded through a grant agreement, as well as funding awarded 
through a cooperative agreement. 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.

5. 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 
program(s) 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 for all projects 
permitted under this notice:
    (1) A State (including the District of Columbia);
    (2) a group of States;
    (3) an Interstate Compact;
    (4) a public agency or publicly chartered authority established by 
one or more States; \3\
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    \3\ See Section D(2)(a)(iv) for supporting documentation 
required to demonstrate eligibility under this eligibility category.
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    (5) a political subdivision of a State;
    (6) Amtrak, acting on its own behalf or under a cooperative 
agreement with one or more states; or
    (7) any combination of the entities described in (1) through (6).
    Applications must identify a lead applicant. The lead applicant 
serves as the primary point of contact for the application, and if 
selected, as the grantee of the Partnership Program grant award. To 
submit a joint application, the lead applicant must identify the joint 
applicant(s) and include a signed statement from an authorized 
representative of each joint applicant entity that affirms the entity 
joins the application. See Section D(2) for further instructions about 
submitting a joint application.
    An application submitted by Amtrak and one or more States, whether 
eligible under (1), (2) or (6) above, must identify the lead applicant 
and include a signed cooperative agreement between Amtrak and the 
state(s) consistent with 49 U.S.C. 24911(a)(1)(F). Selection preference 
will be provided for joint applications, as further discussed in 
Section E(1)(c). Applications may reference entities that are not 
eligible applicants (e.g., private sector firms) in an application as a 
partner in project funding or implementation, but ineligible entities 
do not qualify as lead or joint applicants. FRA will provide selection 
preference only to joint applications submitted by multiple eligible 
applicants.

2. Cost Sharing or Matching

    The Federal share of total costs for Partnership Program projects 
funded under this notice shall not exceed 80 percent. FRA will provide 
selection preference to applications where the proposed Federal share 
of total project

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costs is 50 percent or less. 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, in preparing estimates of total project costs, applicants 
may use 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 share may be comprised of public 
sector (e.g., State or local) or private sector funding. FRA will not 
consider any Federal financial assistance \4\ or any non-Federal funds 
already expended (or otherwise encumbered) toward the matching 
requirement, unless compliant with 2 CFR part 200. In-kind 
contributions, including the donation of services, materials, and 
equipment, may be credited as a project cost, in a uniform manner 
consistent with 2 CFR 200.306.
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    \4\ See Section D(2)(a)(iii) for supporting information required 
to demonstrate eligibility of Federal funds for use as match.
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    If Amtrak is an applicant, Amtrak may use its ticket and other non-
Federal revenues generated from its operations and other sources to 
satisfy the non-Federal share requirements. Applicants must identify 
the source(s) of their 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 pre-award costs 
consistent with 2 CFR 200.458, as applicable. See Section D(6). Cost 
sharing or matching may be used only for authorized Federal award 
purposes.

3. Other

a. Project Eligibility
    The following rail projects within the United States to replace or 
rehabilitate Qualified Railroad Assets and improve Intercity Passenger 
Rail performance are eligible for funding under 49 U.S.C. 24911, the 
Appropriations Act, and this NOFO:
    (1) Capital Projects to replace existing assets in-kind;
    (2) Capital Projects to replace existing assets with assets that 
increase capacity or provide a higher level of service;
    (3) Capital Projects to ensure that service can be maintained while 
existing assets are brought to a State of Good Repair; and
    (4) Capital Projects to bring existing assets into a State of Good 
Repair.
    Qualified Railroad Assets, as further defined in Section A(2), are 
owned or controlled by an eligible applicant and may include: 
Infrastructure, including track, ballast, switches and interlockings, 
bridges, communication and signal systems, power systems, highway-rail 
grade crossings, and other railroad infrastructure and support systems 
used in intercity passenger rail service; stations, including station 
buildings, support systems, signage, and track and platform areas; 
equipment, including passenger cars, locomotives, and maintenance-of-
way equipment; and facilities, including yards and terminal areas and 
maintenance shops. Capital Projects, as further defined in Section 
A(2), may include PE, NEPA, Final Design, Construction, or expenses 
incidental to the acquisition or Construction of a Capital Project. 
Corridor or project-specific planning studies are not eligible. Pre-
Construction activities are eligible for funding independently or in 
conjunction with proposed funding for construction.
    PE/NEPA examples include: Engineering drawings and specifications 
(scale drawings at the 30% 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. (See Section D(2)(a)(xii) for additional information.)
b. Additional Eligibility Requirements for NEC Projects
    This section provides additional eligibility requirements for NEC 
Projects. Applicants proposing Non-NEC Projects are not subject to the 
requirements in this section and do not need to respond to them in 
their application and may proceed to Section C(3)(c) below.
    In the Partnership Program, grant funds may not be provided to an 
eligible recipient for an eligible NEC Project unless Amtrak and the 
public authorities providing commuter rail passenger transportation at 
the eligible project location on the NEC are in compliance with 49 
U.S.C. 24905(c)(2). Applicants must demonstrate compliance with 49 
U.S.C. 24905(c)(2) by describing the status of compliance with such 
cost-allocation policy between Amtrak and the public authorities 
providing commuter rail passenger transportation at the eligible 
project location, which may include demonstrating that such authorities 
are excepted from allocating costs for the proposed NEC Project, such 
as for a project that solely benefits intercity passenger rail, 
consistent with 49 U.S.C. 24905(c)(1)(A)(ii). Such providers must 
maintain compliance with 49 U.S.C. 24905(c)(2) for the duration of the 
project.
c. Project Component
    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 and comply with all eligibility 
requirements described in Section C.
    In addition, the component(s) must enable independent analysis and 
decision making, as determined by FRA under NEPA (i.e., have 
independent utility, connect logical termini, and do not restrict the 
consideration of alternatives for other reasonably foreseeable rail 
projects).

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 
that will not count against the Project Narrative 25-page limit.

1. Address To Request Application Package

    Applicants must submit all application materials in their entirety 
through http://www.Grants.gov no later than 5:00 p.m. ET, on March 7, 
2022. Applicants are strongly encouraged to apply early to ensure that 
all materials are received before the application deadline. 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.

[[Page 70587]]

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: [email protected]; 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. Additionally, 
applicants selected to receive funding must satisfy the requirements in 
49 U.S.C. 22905 explained in part at https://www.fra.dot.gov/page/P0185 
and further in section F.2 of this notice.
    Required documents for an application package are outlined in the 
checklist below.
     Project Narrative (see D.2.a).
     Statement of Work (see D.2.b.i).
     Benefit-Cost Analysis (see D.2.b.ii).
     Environmental Compliance Documentation (see D.2.b.iii).
     SF424--Application for Federal Assistance.
     SF 424C--Budget Information for Construction, or, for an 
equipment procurement project or non-Construction project, SF 424A--
Budget Information for Non-Construction.
     SF 424D--Assurances for Construction, or, for an equipment 
procurement project or non-Construction project, SF 424B--Assurances 
for Non-Construction.
     FRA's Additional Assurances and Certifications.
     SF LLL--Disclosure of Lobbying Activities.
     Draft Agreement required under 49 U.S.C. 22905(c)(1), if 
applicable (see D.2.b.xi).
a. Project Narrative
    This section describes the minimum content required in the Project 
Narrative of grant applications. 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 Criteria.......  See D.2.a.iv
V. Non-NEC Project Eligibility Criteria..  See D.2.a.v
VI. NEC Project Eligibility Criteria.....  See D.2.a.vi
VII. Detailed Project Description........  See D.2.a.vii
VIII. Project Location...................  See D.2.a.viii
IX. Grade Crossing Information, if         See D.2.a.ix
 applicable.
X. Evaluation and Selection Criteria.....  See D.2.a.x
XI. Project Implementation and Management  See D.2.a.xi
XII. Environmental Readiness.............  See D.2.a.xii
 

    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 relevant portion of the supporting document with the page 
numbers of the cited information in the Project Narrative. The Project 
Narrative must adhere to the following outline.
    i. Cover Page: Include a cover page that lists the following 
elements in either a table or formatted list:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Project Title                                ...........................
Lead Applicant Name                          ...........................
Joint Applicant(s) Name(s), if any           ...........................
Amount of Federal Funding Requested Under    ...........................
 this NOFO
Proposed Non-Federal Match                   ...........................
Total Project Cost                           ...........................
Was a Federal Grant Application Previously   Yes/No
 Submitted for this Project?.
If Yes, State the Name of the Federal Grant  Federal Grant Program:
 Program and Title of the Project in the
 Previous Application.
City(-ies), State(s) Where the Project is    ...........................
 Located
Congressional District(s) Where the Project  ...........................
 is Located
------------------------------------------------------------------------

    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, and total 
project cost. Identify the source(s) of matching and other funds, and 
clearly and distinctly reflect these funds as part of the total project 
cost in the application budget. Include funding commitment letters 
outlining funding agreements, as attachments or in an appendix. If 
Federal funding is proposed as match, demonstrate the applicant's 
determination of eligibility for such use, and the legal basis for that 
determination. Also, note if the requested Federal funding under this 
NOFO or other programs must be obligated or spent by a certain date due 
to dependencies or relationships with other Federal or non-Federal 
funding sources, related projects, law, or other factors. If 
applicable, provide the type and estimated value of any proposed in-
kind contributions, as well as substantiate how the contributions meet 
the requirements in 2 CFR 200.306. For a Major Capital Project that 
would seek future funds beyond funding made available in this notice, 
provide the anticipated annual Federal funding requests from this grant 
program, anticipated future non-Federal match, and total project cost 
for the entire expected duration of the project. Finally, specify 
whether Federal funding for the project has previously been sought, and 
identify the Federal program and fiscal year of the funding request(s), 
as well as highlight new or revised information in the Partnership 
Program application that differs from the application(s) to other 
financial assistance programs.
    Example Project Funding Table:

----------------------------------------------------------------------------------------------------------------
                                          Task name/project                                Percentage of total
               Task No.                       component                   Cost                     cost
----------------------------------------------------------------------------------------------------------------
1
2
----------------------------------------------------------------------------------------------------------------

[[Page 70588]]

 
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 Criteria: Explain how the lead applicant 
and joint applicant(s) meet 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. To submit a 
joint application, the lead applicant must identify the joint 
applicant(s) and include a signed statement from an authorized 
representative of each joint applicant entity that affirms the entity 
joins the application.
    For joint applications involving Amtrak and one or more States, 
Amtrak and the State(s) must provide a cooperative agreement for the 
project signed by authorized representatives of Amtrak and each State. 
Joint applications are expected to include a description of the roles 
and responsibilities of each applicant, including budget and 
subrecipient information showing how the applicants will share project 
costs.
    v. Non-NEC Project Eligibility Criteria: This section provides 
project eligibility requirements for Non-NEC Projects. Applicants 
proposing NEC Projects may skip this section and proceed to section 
D(2)(a)(vi). For Non-NEC Projects, demonstrate that the proposed 
project is a Capital Project that meets the project eligibility 
criteria in Section C(3) of this notice. Further, demonstrate that the 
infrastructure, equipment and/or facilities involved in the proposed 
project are Qualified Railroad Assets under 49 U.S.C. 24911(a)(5), as 
follows:
    (A) To demonstrate ownership or control by an eligible applicant 
under 49 U.S.C. 24911(a)(5)(A), show either:
    (1) The lead or joint applicant owns or will, at project 
completion, have ownership of the infrastructure, equipment, or 
facility improved by the project; or
    (2) The lead or joint applicant controls or will, at project 
completion, have control over the infrastructure, equipment, or 
facility improved by the project including by agreement with the 
infrastructure, equipment, or facility owner(s). Applicants should 
describe such agreement(s) in sufficient detail in their application 
for FRA to understand the extent of the control, including the lead or 
joint applicant's management and decision-making authority regarding 
the infrastructure, equipment, or facility improved by the project, and 
the remaining or anticipated duration of the agreement(s). Agreements 
involving railroad rights-of-way should also demonstrate the lead or 
joint applicant has train dispatching and maintenance-of-way 
responsibilities for the right-of-way.
    (B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B), 
show that the infrastructure, equipment, or facilities involved in the 
proposed project are contained in a planning document equivalent to the 
planning document developed under 49 U.S.C. 24904 and for which a 
similar cost-allocation policy to the cost-allocation policy developed 
under 49 U.S.C. 24905(c) has been developed.
    Non-NEC Projects may satisfy the equivalent planning document 
requirement described above by demonstrating the project is contained 
in the planning document(s) prepared under 49 U.S.C. Chapter 227, 
``State Rail Plans,'' for the State(s) where the infrastructure, 
equipment and facilities are located or in primary use. Applicants with 
projects contained in a State Rail Plan should indicate the location 
(e.g., table or page number) where the project is discussed in the 
document. If a project is not contained in the State Rail Plan, 
applicants may demonstrate the infrastructure, equipment and facilities 
involved in the proposed project are contained in an alternate 
equivalent planning document or amend the relevant State Rail Plan(s) 
to contain the project. Amending a State Rail Plan requires a letter to 
FRA from an authorized representative of the relevant State rail 
transportation authority adding the proposed project to the plan and 
stating that the letter serves as an addendum to the current plan. Such 
a letter should include the project name, a brief description of the 
project, and estimated project cost and Federal and non-Federal share 
by funding source. FRA encourages State rail transportation authorities 
to make any such addendum letters publicly available with their State 
Rail Plans. FRA recommends such letters be submitted as part of an 
applicant's Partnership Program application via Grants.gov. Whether 
submitted as part of a Partnership Program application package or 
separately to FRA, FRA must receive the letter by the application due 
date of this notice.
    Non-NEC Projects must satisfy the similar cost-allocation policy 
requirement either by demonstrating the infrastructure, equipment or 
facilities involved in the proposed project are for routes subject to 
the cost-sharing methodology adopted under Section 209 of the Passenger 
Rail Investment and Improvement Act of 2008 (PRIIA), Public Law 110-
432, Oct. 16, 2008; or by demonstrating the infrastructure, equipment 
or facilities involved in the proposed project are subject to a similar 
cost-sharing or cost-allocation policy.
    (C) To demonstrate the state of good repair requirement under 49 
U.S.C. 24911(a)(5)(B):
    (1) Describe the condition and performance of the infrastructure, 
equipment, or facility as of the time of enactment of the Passenger 
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
    (2) indicate how the infrastructure, equipment, or facility's 
condition or performance falls short of the definition of ``State of 
Good Repair'' in Section A(2); and
    (3) indicate, if known, when the infrastructure, equipment, or 
facility last received comprehensive repair, replacement, or 
rehabilitation work similar to the applicant's proposed scope of work.
    vi. NEC Project Eligibility Criteria: This section provides project 
eligibility requirements for NEC Projects. (Applicants proposing Non-
NEC Projects may skip this section and proceed to Section 
D(2)(a)(vii).) For NEC Projects, demonstrate that the proposed project 
is a Capital Project that meets the project eligibility criteria in 
Section C(3) of this notice including the requirements in 49 U.S.C. 
24911(e). Further, demonstrate that the

[[Page 70589]]

infrastructure, equipment, and/or facilities involved in the project 
are Qualified Railroad Assets under 49 U.S.C. 24911(a)(5), as follows:
    (A) To demonstrate ownership or control by an eligible applicant 
under 49 U.S.C. 24911(a)(5)(A), show either:
    (1) The lead or joint applicant owns or will, at project 
completion, have ownership of the infrastructure, equipment, or 
facility improved by the project; or
    (2) The lead or joint applicant controls or will, at project 
completion, have control over the infrastructure, equipment, or 
facility improved by the project including by agreement with the 
infrastructure, equipment, or facility owner(s). Applicants should 
describe such agreement(s) in sufficient detail in their application 
for FRA to understand the extent of the control, including the lead or 
joint applicant's management and decision-making authority regarding 
the infrastructure, equipment, or facility improved by the project, and 
the remaining or anticipated duration of the agreement(s). Agreements 
involving railroad rights-of-way should also demonstrate the lead or 
joint applicant has train dispatching and maintenance-of-way 
responsibilities for the right-of-way.
    (B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B), 
show that the infrastructure, equipment, or facilities involved in the 
proposed project are contained in the planning document developed under 
49 U.S.C. 24904 and for which a cost-allocation policy has been 
developed under 49 U.S.C. 24905(c), or are contained in an equivalent 
planning document and for which a similar cost-allocation policy has 
been developed.
    NEC Projects must satisfy the planning document requirement by 
demonstrating the project is contained in the current approved planning 
document developed under 49 U.S.C. 24904 (i.e., the NEC Commission 
Five-Year Capital Investment Plan). Applicants with projects contained 
this plan should indicate the location (e.g., table or page number) 
where the project in discussed in the document. If an NEC Project is 
not contained in the 49 U.S.C. 24904 planning document at the time of 
this notice, applicants may demonstrate that the infrastructure, 
equipment and facilities involved in the proposed project are contained 
in an equivalent planning document or update the 49 U.S.C. 24904 
planning document to contain the project by the due date for 
applications under this notice. An equivalent planning document may 
include a planning document developed under 49 U.S.C. 24320(c).
    NEC Projects must satisfy the cost-allocation policy requirement by 
demonstrating the infrastructure, equipment, or facilities are subject 
to the cost-allocation policy developed under 49 U.S.C. 24905(c) (i.e., 
Northeast Corridor Commuter and Intercity Rail Cost Allocation Policy), 
or a similar cost-allocation policy.
    (C) To demonstrate the state of good repair requirement under 49 
U.S.C. 24911(a)(5)(C), the NEC applicant must:
    (1) Describe the condition and performance of the infrastructure, 
equipment, or facility as of the time of enactment of the Passenger 
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
    (2) indicate how the infrastructure, equipment, or facility's 
condition or performance falls short of the definition of ``State of 
Good Repair'' in Section A(2); and
    (3) indicate, if known, when the infrastructure, equipment, or 
facility last received comprehensive repair, replacement, or 
rehabilitation work similar to the applicant's proposed scope of work.
    vii. Detailed Project Description: Include a detailed project 
description that expands upon the brief project summary. This detailed 
description should provide, at a minimum: Additional background on the 
transportation challenges the project aims to address; a summary of 
current and proposed railroad operations in the project area, to 
include identification of all railroad owners and operators, typical 
daily, weekly, or annual train counts by operator, and ridership data 
for passenger operations \5\; the primary expected project outcomes 
such as increased ridership, reduced delays, improved rail network 
asset condition and performance, or similar outcomes and benefits; the 
expected users and beneficiaries of the project, including all railroad 
operators and types of passenger or freight rail service operating or 
proposed to operate in the project area; the specific components and 
elements of the project; and any other information the applicant deems 
necessary to justify the proposed project. Applicants with Major 
Capital Projects are encouraged to identify and describe project phases 
or elements that would be candidates for subsequent Partnership Program 
funding if such funding becomes available. Include information to 
demonstrate the project is reasonably expected to begin construction in 
a timely manner. For all projects, applicants must provide information 
about proposed performance measures, as described in Section F(3)(c) 
and required in 2 CFR 200.301.
---------------------------------------------------------------------------

    \5\ Given the on-going impact of the COVID-19 pandemic, 
applicants may provide pre-pandemic ridership data (i.e., fiscal or 
calendar year 2019 data), as well as more recent ridership data.
---------------------------------------------------------------------------

    viii. 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 in which the project will take place.
    ix. 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.
    x. Evaluation and Selection Criteria: Include a thorough discussion 
of how the proposed project meets all of the evaluation and selection 
criteria, as outlined in Section E of this notice. If an application 
does not sufficiently address the evaluation criteria and the selection 
criteria, it is unlikely to be a competitive application. To support a 
finding of eligibility, for projects that are on a shared corridor with 
Commuter Railroad Passenger Transportation, clearly demonstrate how the 
proposed project directly benefits Intercity Passenger Rail 
Transportation and that funding the proposed project would be a 
reasonable investment in Intercity Passenger Rail Transportation, 
independent and separate from consideration of the proposed project's 
benefits to Commuter Railroad Passenger Transportation.
    xi. Project Implementation and Management: Describe proposed 
project implementation and project management arrangements, including 
between the lead and joint applicants, if any. Include descriptions of 
the expected arrangements for project contracting, contract oversight 
and control, change-order management, risk management, and conformance 
to Federal requirements for project progress reporting (see https://www.fra.dot.gov/Page/P0274). Describe past experience in managing and 
overseeing similar projects. For Major Capital Projects, explain plans 
for a rigorous project management and oversight approach.
    xii. Environmental Readiness: If the NEPA process is complete, an 
applicant should indicate the date of completion, and provide a website 
link or other

[[Page 70590]]

reference to the documents demonstrating compliance with NEPA, which 
might include a final Categorical Exclusion, Finding of No Significant 
Impact, or Record of Decision. If the NEPA process is not yet underway, 
the application should state this. If the NEPA process is underway, but 
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-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 why NEPA documents have not been 
updated and include a proposed approach for verifying and, if 
necessary, updating this material in accordance with applicable NEPA 
requirements. Additional information regarding FRA's environmental 
processes and requirements are located at https://www.fra.dot.gov/environment.
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 can 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, economic feasibility 
studies, environmental analyses, and information on the expected use of 
equipment or facilities. For Major Capital Projects, the SOW must 
include annual budget estimates and anticipated Federal funding for the 
expected duration of the project.
    ii. A Benefit-Cost Analysis consistent with 49 U.S.C. 
24911(d)(2)(A), as an appendix to the Project Narrative for each 
project submitted by an applicant. The BCA should demonstrate in 
economic terms the merit of investing in the proposed project. The BCA 
should include anticipated private and public benefits relative to the 
costs of the proposed project, including the project's anticipated:
    i. Effects on system and service performance;
    ii. effects on safety, competitiveness, reliability, trip or 
transit time, and resilience;
    iii. efficiencies from improved integration with other modes; and
    iv. ability to meet existing or anticipated demand.
    The BCA should be systematic, data driven, and examine the trade-
offs between reasonably expected project costs and benefits. Applicants 
are encouraged to include quantifiable railroad data related to the 
Qualified Railroad Assets involved in the project, such as information 
on delay, failure or safety incidents, passengers carried (e.g., 
ridership), daily train movements, or similar metrics. To the extent 
feasible, such railroad metrics should be provided discretely for 
Intercity Passenger Rail and, if applicable, Commuter Rail Passenger 
Transportation and freight rail transportation services involved in the 
proposed project. 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. BCAs for proposed projects that include benefits to 
another transportation mode or service in addition to Intercity 
Passenger Rail Transportation (e.g., Commuter Rail Passenger 
Transportation, freight rail, or local public transportation), should 
provide discrete data and analysis identifying the Intercity Passenger 
Rail Transportation portion of project benefits. The complexity and 
level of detail in the Benefit-Cost Analysis prepared for the 
Partnership Program should reflect the scope and scale of the proposed 
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 (https://railroads.dot.gov/elibrary/consolidated-rail-infrastructure-and-safety-improvements-crisi-and-federal-state) for 
some rail-specific examples of how to apply the Benefit-Cost Analysis 
Guidance for Discretionary Grant Programs to Partnership applications.
    iii. Environmental compliance documentation, as applicable, if a 
website link is not cited in the Project Narrative.
    iv. SF 424--Application for Federal Assistance.
    v. SF 424A--Budget Information for Non-Construction or SF 424C--
Budget Information for Construction.
    vi. SF 424B--Assurances for Non-Construction or SF 424D--Assurances 
for Construction.
    vii. FRA's Additional Assurances and Certifications.
    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 3 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 3 years for cause or default 
(including material failure to comply).
    xi. Draft Agreement required under 49 U.S.C. 22905(c)(1), if 
applicable. As a condition of receiving a grant under this program for 
a project that uses rights-of-way owned by a railroad, the grant 
recipient shall have in place a written agreement between the grant 
recipient and the railroad regarding such use and ownership, including 
any compensation for such use; assurances regarding the adequacy of 
infrastructure capacity to accommodate both existing and future freight 
and passenger operations; an assurance by the railroad that collective 
bargaining agreements with the railroad's employees including terms 
regulating the contracting of work) will remain in full force and 
effect according to their terms for work performed by the railroad on 
the railroad transportation corridor; and an assurance that the grant 
recipient complies with liability requirements consistent with 49 
U.S.C. 28103.

[[Page 70591]]

    xii. FRA F 251, Applicant Financial Capability Questionnaire.
    Forms needed for the electronic application process are at 
www.Grants.gov.
c. Post-Selection Requirements
    See Section 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 in its application, 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 a 
late application.
    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 Federal awarding agency is ready to 
make a Federal award, the Federal awarding agency may determine that 
the applicant is not qualified to receive a Federal award and use that 
determination as a basis for making a Federal award to another 
applicant. (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, including those 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, grantees, 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, grantees, 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 grantee'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/organization-registration.html.
d. Acquire Authorization for Your AOR From the E-Business Point of 
Contact (E-Biz POC)
    The E-Biz POC at the applicant's organization must respond to the 
registration email from Grants.gov and login at www.Grants.gov to 
authorize the applicant as the AOR. Please note there can be more than 
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This 
NOFO
    If an applicant experiences difficulty 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, March 7, 2022. Applicants will receive a 
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov 
information on dates/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. 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, no 
late submissions will be reviewed for any reason, including: (1) 
Failure to complete the Grants.gov registration process before the 
deadline; (2) failure to follow Grants.gov instructions on how to 
register and apply as posted on its website; (3) failure to follow all 
the instructions in this NOFO; and (4) technical issues experienced 
with the applicant's computer or information technology environment.

5. Intergovernmental Review

    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.

6. Funding Restrictions

    Consistent with 2 CFR 200.458, as applicable, FRA will only approve 
pre-

[[Page 70592]]

award costs if such costs are incurred pursuant to the negotiation and 
in anticipation of the grant agreement and if such costs are necessary 
for efficient and timely performance of the scope of work. Under 2 CFR 
200.458, grant recipients must seek written approval from FRA for pre-
award activities to be eligible for reimbursement under the grant. 
Activities initiated prior to the execution of a grant or without FRA's 
written approval may be ineligible for reimbursement or matching 
contribution. Cost sharing or matching may be used only for authorized 
Federal award purposes.
    FRA is prohibited under 49 U.S.C. 22905(f) \6\ from providing 
Partnership Program grants for Commuter Rail Passenger Transportation. 
FRA's interpretation of this provision is informed by the language in 
49 U.S.C. 24911, and specifically the definitions of capital project in 
49 U.S.C. 24911(a)(2)(A) and (B). FRA's primary intent in funding 
Partnership Program projects is to make reasonable investments in 
Capital Projects for Intercity Rail Passenger Transportation. Such 
projects may be located on shared corridors where Commuter Rail 
Passenger Transportation and/or freight rail also benefit from the 
project.
---------------------------------------------------------------------------

    \6\ Under 49 U.S.C. 24911(i), Partnership grants are subject to 
the conditions in 49 U.S.C. 22905.
---------------------------------------------------------------------------

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. Bryan Rodda, 
Office of Policy and Planning, Federal Railroad Administration, 1200 
New Jersey Avenue SE, Room W38-203, Washington, DC 20590. However, due 
to delays caused by enhanced screening of mail delivered via the U.S. 
Postal Service, FRA advises applicants to use other means of conveyance 
(such as courier service) to assure timely receipt of materials before 
the application deadline. Additionally, if documents can be obtained 
online, explaining to FRA how to access files on a referenced website 
may also be sufficient.
    Note: Please use generally accepted formats such as .pdf, .doc, 
.docx, .xls, .xlsx and .ppt, when uploading attachments. While 
applicants may embed picture files, such as .jpg, .gif, and .bmp in 
document files, applicants should not submit attachments in these 
formats. Additionally, the following formats will not be accepted: 
.com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, 
.sys, and .zip.

E. Application Review Information

1. Criteria

a. Eligibility, 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 20 percent minimum non-Federal match in determining whether the 
application is eligible.
    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 technical 
merit and project benefits.
    i. Technical Merit: FRA will take into account--
    (A) The degree to which the tasks and subtasks outlined in the SOW 
are appropriate to achieve the expected outcomes of the proposed 
project;
    (B) The technical qualifications and demonstrated 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;
    (C) The degree to which the proposed project's business plan 
considers potential private sector participation in the financing, 
construction, or operation of the proposed project;
    (D) Whether the applicant has, or will have, the legal, financial, 
and technical capacity to carry out the project; satisfactory 
continuing control over the use of the equipment or facilities; and the 
capability and willingness to maintain the equipment or facilities;
    (E) The applicant's past performance in developing and delivering 
similar projects, and previous financial contributions;
    (F) Whether the project has completed necessary prerequisites and 
demonstrates strong project readiness; and
    (G) Whether the project is consistent with planning guidance and 
documents set forth by the Secretary of Transportation or required by 
law.
    ii. Project Benefits: FRA will take into account the benefit-cost 
analysis of the proposed project, including anticipated private and 
public benefits relative to the costs of the proposed project 
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.
c. Selection Criteria
    In addition to the eligibility and completeness review and the 
evaluation criteria outlined in this section, FRA will apply the 
following selection criteria:
    i. FRA will give preference to applications where:
    (A) Amtrak is not the sole applicant;
    (B) Applications were submitted jointly by multiple eligible 
applicants; and
    (C) The proposed Federal share of total project costs is 50 percent 
or less.
    ii. After applying the above preferences, FRA will take in account 
the following key DOT objectives:
    (A) Safety. DOT will assess the project's ability to foster a safe 
transportation system for the movement of goods and people, consistent 
with the Department's strategic goal to reduce transportation-related 
fatalities and serious injuries across the transportation system. Such 
considerations will include, but are not limited to, the extent to 
which the project improves safety at highway-rail grade crossings, 
reduces incidences of rail-related trespassing, and upgrades 
infrastructure to achieve a higher level of safety.
    (B) Equitable economic strength and improving core assets. DOT will 
assess the project's ability to contribute to economic progress 
stemming from infrastructure investment and associated creation of good 
jobs with fair wages, labor protections, and the opportunity to join a 
union. Such considerations will include, but are not limited to, the 
extent to which the project invests in vital infrastructure assets 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.

[[Page 70593]]

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 resilience, 
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 or attracts new users to passenger rail, and ensures assets 
will be improved to a state of good repair.
    iii. For NEC Projects, FRA will consider the appropriate sequence 
and phasing of projects as contained in the Northeast Corridor capital 
investment plan developed pursuant to 49 U.S.C. 24904(a).
    iv. 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, eligibility, and applicant 
risk and consider applicable past performance and previous financial 
contributions and technical evaluation ratings;
    b. Evaluate eligible applications (completed by technical panels 
applying the evaluation criteria);
    c. Review, apply selection criteria and recommend initial selection 
of projects for the FRA Administrator's review (completed by a non-
career Senior Review Team, which includes senior leadership from the 
Office of the Secretary and FRA); and
    d. Select recommended 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 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 FRA's 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. See an example of standard terms and 
conditions for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is 
subject to revision.

2. Administrative and National Policy Requirements

    In connection with any program or activity conducted with or 
benefiting from funds awarded under this notice, grantees of funds 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 DOT; 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 DOT determines that a grantee has 
failed to comply with applicable Federal requirements, DOT 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; 
disadvantaged business enterprises requirements; debarment and 
suspension requirements; drug-free workplace requirements; FRA's and 
OMB's Assurances and Certifications; Americans with Disabilities Act; 
safety requirements; NEPA; environmental justice requirements; and 
compliance with 49 U.S.C. 24905(c)(2) for the duration of NEC Projects. 
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.
    Assistance under this NOFO is subject to the grant conditions in 49 
U.S.C. 22905 including the Buy America requirements, protective 
arrangements that are equivalent to the protective arrangements 
established under section 504 of the Railroad Revitalization and 
Regulatory Reform Act of 1976 (45 U.S.C. 836) with respect to employees 
affected by actions taken in connection with the project to be financed 
in whole or in part by grants under this chapter, the provision deeming 
operators rail carriers and employers for certain purposes, and grantee 
agreements with railroad right-of-way owners for projects using 
railroad rights-of-way (see D.2.b.xi). More information about FRA's Buy 
America requirements is available at: https://railroads.dot.gov/legislation-regulations/buy-america/buy-america.
    Grantees must comply with applicable appropriations act 
requirements and all relevant

[[Page 70594]]

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://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to revision.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with 
all standard FRA reporting requirements, including quarterly progress 
reports, quarterly Federal financial reports, and interim and final 
performance reports, as well as all applicable auditing, monitoring and 
close out requirements. Reports may be submitted electronically. 
Pursuant to 2 CFR 170.210, non-Federal entities applying under this 
NOFO must have the necessary processes and systems in place to comply 
with the reporting requirements should they receive Federal funding.
b. Additional Reporting
    Applicants selected for funding are required to comply with all 
reporting requirements in the standard terms and conditions for FRA 
grant awards including 2 CFR 180.335 and 2 CFR 180.350.
    If the Federal share of any Federal award under this NOFO may 
include more than $500,000 over the period of performance, applicants 
are informed of the post award reporting requirements reflected in 2 
CFR part 200, Appendix XII--Award Term and Condition for Recipient 
Integrity and Performance Matters.
c. Performance Reporting
    Each applicant selected for funding must collect information and 
report on the project's performance using measures mutually agreed upon 
by FRA and the grantee to assess progress in achieving strategic goals 
and objectives. Examples of some rail performance measures are listed 
in the table below. The applicable measure(s) will depend upon the type 
of project. Applicants requesting funding for rolling stock must 
integrate at least one equipment/rolling stock performance measure, 
consistent with the grantee's application materials and program goals.

                                                                   Performance Measure
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Primary strategic    Secondary strategic
           Rail measures                Unit  measured             Temporal                goal                  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.
Rail Track Grade Separation.......  Count.................  Annual...............  Economic              Safety..............  The number of annual
                                                                                    Competitiveness.                            automobile crossings
                                                                                                                                that are eliminated at
                                                                                                                                an at-grade crossing as
                                                                                                                                a result of a new grade
                                                                                                                                separation.
Passenger Counts..................  Count.................  Annual...............  Economic              State of Good Repair  Count of the annual
                                                                                    Competitiveness.                            passenger boardings and
                                                                                                                                alightings at stations
                                                                                                                                within the project area.
Travel Time.......................  Time/Trip.............  Annual...............  Economic              Quality of Life.....  Point-to-point travel
                                                                                    Competitiveness.                            times between pre-
                                                                                                                                determined 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 Miles.......................  Miles.................  One Time.............  State of Good Repair  Economic              The number of track miles
                                                                                                          Competitiveness.      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.
--------------------------------------------------------------------------------------------------------------------------------------------------------

d. Federal Awarding Agency Contacts
    For further information related to this notice, please contact Mr. 
Bryan Rodda, Office of Policy and Planning, Federal Railroad 
Administration, 1200 New Jersey Avenue SE, Room W38-203, Washington, DC 
20590; email: [email protected]; phone: 202-493-0443.
e. 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 for FRA to make requested materials,

[[Page 70595]]

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. In addition, following the 
completion of the selection process and announcement of awards, FRA may 
publish a list of all applications received along with the names of the 
applicant organizations and funding amounts requested. Except for 
information withheld under the previous paragraph, FRA may also make 
application narratives publicly available or share application 
information within DOT or with other Federal agencies if FRA determines 
that sharing is relevant to the respective program's objectives.

    Issued in Washington, DC.
Allison Ishihara Fultz,
Chief Counsel.
[FR Doc. 2021-26835 Filed 12-9-21; 8:45 am]
BILLING CODE 4910-06-P