NOFO 693JJ320NF00005_08.25.2020.pdf

U.S. Department of Transportation Federal Highway Administration

Notice of Funding Opportunity Number 693JJ320NF00005

“Commuter Authority Rail Safety Improvement (CARSI) Grants”

Notice of Funding Opportunity Issue Date: August 25, 2020

Application Due Date: October 26, 2020

TABLE OF CONTENTS

Section Title Page

N/A SUMMARY INFORMATION 3

A PROGRAM DESCRIPTION 4

B FEDERAL AWARD INFORMATION 6

C ELIGIBILITY INFORMATION 7

D APPLICATION AND SUBMISSION INFORMATION 9

E APPLICATION REVIEW INFORMATION 24

F FEDERAL AWARD ADMINISTRATION INFORMATION 30

G FEDERAL AWARDING AGENCY CONTACTS 36

H OTHER INFORMATION 37

The U.S. Department of Transportation (DOT) is using www.grants.gov for issuance of this Notice of Funding Opportunity (NOFO) and for receipt of all applications. Applicants must register and use the system to submit applications electronically. Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor for any updates to this notice.

http://www.grants.gov/

SUMMARY INFORMATION

Funding Opportunity Summary:

$50,000,000 in Federal funding available to award Commuter Authority Rail Safety Improvement (CARSI) Grants to eligible entities.

Federal Agency Name: U.S. Department of Transportation (DOT) Federal Highway Administration (FHWA) 1200 New Jersey Avenue, SE Mail Drop: E62-204 Washington, DC 20590 Attn: Sarah.Tarpgaard@dot.gov

Funding Opportunity Title: Commuter Authority Rail Safety Improvement (CARSI) Grants

Announcement Type: This is the initial announcement of this funding opportunity. This is not a follow-on notice.

Funding Opportunity Number:

693JJ320NF00005

Type of Award: Multiple Grants

CFDA Number: 20.205 Highway Planning and Construction

Application Due Date: October 26, 2020 BY 11:59 PM EASTERN via Grants.gov

Questions: Sarah Tarpgaard, FHWA Agreement Officer FHWA Office of Acquisition and Grants Management Sarah.Tarpgaard@dot.gov

Estimated Announcement of Selected Awardees:

December 2020

Funding Opportunity Informational Webinar – September 10, 2020 @ 2 pm Eastern

The FHWA will host an Informational Webinar regarding this funding opportunity, to help potential applicants understand the opportunity requirements and answer applicant questions. Participation in this session is not mandatory in order to submit an application under this solicitation. However, we encourage potential applicants to take advantage of this opportunity to gather information regarding this funding opportunity.

Date: September 10, 2020 from 2:00 – 3:30 pm Eastern

Register: To participate in the webinar, you must register in advance by sending an email to Sarah.Tarpgaard@DOT.gov, to provide your name, title, organization name, and email. Please register by September 9, 2020. FHWA will provide the webinar link to registered participants by email prior to the webinar.

mailto:Sarah.Tarpgaard@dot.gov mailto:Sarah.Tarpgaard@dot.gov mailto:Sarah.Tarpgaard@DOT.gov

SECTION A – PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this grant program is to improve safety at public railway-highway crossings. The program provides one-time funding to eligible entities for the construction of projects for the elimination of hazards at railway-highway crossings.

2. LEGISLATIVE AUTHORITY

The Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2020 (Public Law 116-94) (Appropriations Act), appropriated $50 million to DOT to award competitive grants for activities described in Section 130(a) of Title 23, United States Code (U.S.C.) railway-highway crossings, which states:

130(a) Subject to section 120 and subsection (b) of this section, the entire cost of construction of projects for the elimination of hazards of railway-highway crossings, including the separation or protection of grades at crossings, the reconstruction of existing railroad grade crossing structures, the relocation of highways to eliminate grade crossings, and projects at grade crossings to eliminate hazards posed by blocked grade crossings due to idling trains, may be paid from sums apportioned in accordance with section 104 of this title. In any case when the elimination of the hazards of a railway-highway crossing can be effected by the relocation of a portion of a railway at a cost estimated by the Secretary to be less than the cost of such elimination by one of the methods mentioned in the first sentence of this section, then the entire cost of such relocation project, subject to section 120 and subsection (b) of this section, may be paid from sums apportioned in accordance with section 104 of this title.

Per the Appropriations Act, which requires that the funds be administered as if they are apportioned under Chapter 1 of Title 23, and 23 U.S.C. 130(f)(3), the Federal share shall be not more than 90 percent.

3. GOALS

Specific program goals include:

(1) Improve safety at railway-highway crossings through the elimination of hazards at public railway-highway crossings;

(2) Reduce fatalities, serious injuries, and crashes at public railway-highway crossings;

(3) Reduce the number of existing public at-grade crossings by closure or grade separation; and

(4) Reduce delays or improve system performance by eliminating hazards posed by blocked grade crossings due to idling trains.

4. ELIGIBLE PROJECTS

The funds must support the construction of projects for the elimination of hazards at railway-highway crossings. See Section C, Eligibility for details.

5. PROJECT DESCRIPTION

The Recipient shall perform the project in accordance with the Recipient’s approved Project Narrative, which will be incorporated into the award as an attachment.

6. MILESTONES/DELIVERABLES

Recipients will be required to meet the following milestones/deliverables:

Grant Milestones/Deliverables Approximate

Due Date Section 508 Compliant?

Kick-off Meeting – conduct a kick-off meeting with FHWA at a mutually-agreed-upon location. Kick-off Meeting may be virtual or in-person based on mutual agreement of the parties, and is estimated not to exceed 2 hours.

Within 3 weeks after the effective date of award.

No

Quarterly Progress Reports – document activities performed, anticipated activities, and any changes to schedule or anticipated issues. See Quarterly Progress Report clause for required content.

Within 30 days of the end of each quarter.

Annual Budget Review and Program Plan – provide a detailed schedule of activities, estimate of specific performance objectives, include forecasted expenditures, and schedule of milestones for the upcoming year. See Annual Review and Program Plan clause for required content.

60 days prior to the anniversary date of this agreement.

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING AND NUMBER OF AWARDS

This notice announces the availability of up to $50,000,000 in Federal funding for eligible projects, available to eligible entities.

The Government’s obligation under the planned grants is contingent upon the availability of funding from which payment for grant purposes can be made. No legal liability on the part of the Government for any payment may arise until funds are made available for the award and until the awardee receives notice of such availability, to be confirmed in writing by the Agreement Officer (AO) or authorized FHWA personnel.

The funds provided for this program shall remain available until expended.

The Government anticipates making multiple grant awards under this NOFO, subject to the availability of funds. The Government reserves the right to make one or none if determined to be in the best interest of the Government based on applications received.

Selection of an application to receive grant funding is not a commitment of any future funding.

2. TYPE OF AWARD

The planned award type is a cost-reimbursable grant agreement by direct award to the applicant, or through an allocation to the relevant State department of transportation (State DOT). Upon completion of a project, funds that are not expended are to be recovered and returned to FHWA.

3. PERIOD OF PERFORMANCE

The grant period of performance will vary by award and must be proposed by the applicant. Estimated duration of grant awards is 1 to 4 years.

4. DEGREE OF FEDERAL INVOLVEMENT

The FHWA will monitor performance and conduct financial oversight.

SECTION C – ELIGIBILITY INFORMATION

To be selected for a grant award, an applicant must be an Eligible Applicant and the projects must be Eligible Projects.

1. ELIGIBLE APPLICANTS

This competition is open to all eligible applicants. Applicants MUST meet the following eligibility criteria to be considered for award. Applicants who do not meet the eligibility criteria should not respond to this NOFO.

An applicant must be a “commuter authority” as defined in 49 U.S.C. 24102, which is a State, local, or regional entity established to provide, or make a contract for, commuter rail passenger transportation. An eligible commuter authority must have experienced at least one accident investigated by the National Transportation Safety Board (NTSB) between January 1, 2008, and December 31, 2018, and for which the NTSB issued an accident report.

The applicant must be either: (1) a commuter authority that meets the eligibility requirements listed above; OR (2) a public or non-profit entity partnering with an eligible commuter authority.

NOTE: Applicants are encouraged to partner with their State DOT to the extent possible. As appropriate, awards may be made to State DOTs as pass-through entities for administration of the funds. Per 2 CFR 200.74, a pass-through entity is a non- Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program.

NOTE: If eligible commuter authority applicants operate on a rail corridor owned by an entity other than the commuter authority, a letter from the rail owners is required supporting the proposed project. See Section D, below.

2. COST SHARING OR MATCHING

Cost sharing or matching is required. The Federal share shall not exceed 90 percent of the total project cost. Therefore, this NOFO requires a minimum non-Federal cost share of 10 percent of the project cost. Cost sharing or matching means the portion of project costs not paid by Federal funds. For a more complete definition, please see 2 CFR 200.306 on Cost Sharing or matching. Other Federal funds cannot be considered as part of the matching funds, unless otherwise allowed by statute.

Note: If applicable, any program income generated under the project must be handled in accordance with SECTION F.

3. ELIGIBLE PROJECTS

Eligible projects under this grant program are limited to the following:

• the separation or protection of grades at crossings;

• the reconstruction of existing railroad grade crossing structures;

• the relocation of highways to eliminate grade crossings; or

• projects at grade crossings to eliminate hazards posed by blocked grade crossings due to idling trains.

NOTE: The proposed location of the project is not required to be the location of the accident previously investigated by the NTSB. The proposed location of the project is up to the discretion of the applicant.

SECTION D – APPLICATION AND SUBMISSION INFORMATION

1. APPLICATION SUBMITTAL

Applicants must submit their applications via www.Grants.gov under the NOFO number cited herein. Applications must be submitted through the Grants.gov workspace.

The Applicant must complete and submit all forms included in the application package for this notice as contained at www.Grants.gov.

NOTE: Applicants must have a registered Grants.gov account to use the system.

Obtaining an account can involve multiple steps and numerous days. Please see the Grants.gov website for detailed instructions, training videos, an online user guide, and a help desk.

2. CONTENT AND FORMAT OF APPLICATION SUBMISSION

Format:

• Application must be prepared on 8½ x 11-inch pages. Pages that exceed this size, such as foldout size or legal size, are not allowable.

• Narrative text must be printed using a font size no less than 12-point font.

• Tables are permitted. Text in tables may be smaller than 12-point font but must be legible.

• Page margins must be a minimum of 1 inch top, bottom and each side.

• Page numbers may be located within the 1 inch margins.

• A Header or Footer identifying the Applicant/Team and the Volume or Part, may be located within the 1 inch margins.

• PAGE LIMITS: Application volumes shall adhere to the page count limitations listed below. In the event an application volume exceeds the page limitation the Government will evaluate only the pages identified within the page limitation.

The page count limitations include all narrative, figures, tables, appendices, and all other ancillary materials with the exception of the following.

• EXCEPTIONS ON PAGE LIMITS: The following items do NOT count against the page limitations.

a. Document covers;

b. Cover letters/cover pages;

c. Title pages;

d. Divider pages;

e. Tables of contents;

f. Lists of acronyms;

g. Letters of support or intent to participate from proposed subcontractors, consultants, partners, and proposed new hires;

and

h. Resumes. (Note: Resumes are not required, but if submitted are limited to two-pages each.)

http://www/ http://www/

Content of Application Submission:

The application must include the following two Volumes:

1. Volume 1 – Project Application

a. Cover Page

b. Project Narrative (30-page limit on Project Narrative section)

c. Project Readiness (no page limit)

d. Letters of Support (no page limit)

e. Benefit-Cost Analysis (no page limit)

2. Volume 2 – Budget Application - no page limit

a. Application Forms

b. Cost Breakdown

c. Other Business Information

Volume 1 – Project Application – include the following:

a. Cover Page. The Cover Page should include the project name, project location, whether the project is located in a rural area, name of eligible entity applying to receive Federal funding, total project cost (from all sources), amount Federal funding requested, and amount of non-Federal share proposed.

Note: See https://www.transportation.gov/rural for information on the Department’s R.O.U.T.E.S. Initiative.

b. Project Narrative (30-page limit). The Project Narrative section should include the information necessary for FHWA to determine that the project satisfies the eligibility criteria described in Section C above and to assess how the application addresses the selection criteria specified in Section E. The Project Narrative must provide the following information at a minimum:

i. Statement of applicant eligibility. Provide documentation demonstrating the applicant complies with NOFO Section C.1, Eligible Applicants, which states an Applicant must be a commuter authority, or a public or non-profit entity partnering with an eligible commuter authority, that has experienced at least one accident investigated by the NTSB between January 1, 2008, and December 31, 2018, and for which the NTSB issued an accident report.

ii. Statement of project eligibility. Provide documentation demonstrating the project complies with NOFO Section C.3, Eligible Projects.

iii. Project description. Provide a concise description of the proposed project, the safety problem(s) it is expected to address, and how it https://www.transportation.gov/rural will address the identified safety problem(s). Describe the project location and the entities involved in implementation of the project including their respective roles in supporting the project.

NOTE: The proposed location of the project is not required to be the location of the accident previously investigated by the NTSB. The proposed location of the project is up to the discretion of the applicant.

iv. Safety impacts. Provide a description of the safety impacts that will result from the project. Describe how the project will deliver the following safety impacts, as applicable to the project:

1. Improve safety at railway-highway crossings through the elimination of hazards at public railway-highway crossings;

2. Reduce fatalities, serious injuries, and crashes at public railway-highway crossings;

3. Reduce the number of existing public at-grade crossings by closure or grade separation; and

4. Reduce delays or improve system performance by eliminating hazards posed by blocked grade crossings due to idling trains.

v. Safety impact and performance metrics. Provide proposed quantifiable projections, measures and metrics for the project, such as:

• Provide proposed quantifiable system performance improvement projections, such as reducing traffic-related crashes, congestion, and costs; optimizing system efficiency;

and improving access to transportation services.

• Provide proposed quantifiable safety, mobility, and environmental benefit projections such as data-driven estimates of how the project will improve the commuter rail authority's system efficiency or reduce delay, fatalities, serious injuries or crashes, or idling.

vi. Innovation. Describe how the project will use innovative approaches to improve safety and expedite project delivery, including: (1) innovative technologies, (2) innovative project delivery, or (3) innovative financing.

vii. Summary of benefit-cost analysis. Summarize the conclusions of the project’s benefit-cost analysis including estimates of the project’s benefit-cost ratio and net benefits. Describe other data-supported benefits that are not included in the benefit-cost analysis.

NOTE: The benefit-cost analysis itself should be provided separately in Volume 1, Section e.

c. Project Readiness. The Project Readiness section should include information that, when considered with the project budget information presented elsewhere in the application, is sufficient for the Department to evaluate whether the project is reasonably expected to begin construction in a timely manner. To assist the Department’s project readiness assessment, the applicant should provide the information requested on technical feasibility, project schedule, project approvals, and project risks, each of which is described in greater detail in the following sections.

Applicants are not required to follow the specific format described here, but this organization, which addresses each relevant aspect of project readiness, promotes a clear discussion that assists project evaluators. To minimize redundant information in the application, the Department encourages applicants to cross-reference from this section of their application to relevant substantive information in other sections of the application.

The guidance here is about what information applicants should provide and how the applicant should organize their application. Guidance describing how the Department will evaluate a project’s readiness is described in section E.1 of this notice. Applicants also should review that section before considering how to organize their application.

i. Technical Feasibility. The applicant should demonstrate the technical feasibility of the project with engineering and design studies and activities; the development of design criteria and/or a basis of design; the basis for the cost estimate presented in the CARSI application, including the identification of contingency levels appropriate to its level of design; and any scope, schedule, and budget risk-mitigation measures. Applicants should include a detailed statement of work that focuses on the technical and engineering aspects of the project and describes in detail the project to be constructed.

ii. Project Schedule. The applicant should include a detailed project schedule that identifies all major project milestones. Examples of such milestones include State and local planning approvals (programming on the Statewide Transportation Improvement Program), start and completion of NEPA and other Federal environmental reviews and approvals including permitting; design completion; right of way acquisition; approval of plans, specifications and estimates (PS&E); procurement; State and local approvals; project partnership and implementation agreements including agreements with railroads; and construction. The project schedule should be sufficiently detailed to demonstrate that:

(1) All necessary activities will be complete to allow CARSI funds to be obligated in a timely manner;

(2) The project can begin construction quickly upon obligation of

CARSI funds, and that the grant funds will be spent expeditiously once construction starts; and

(3) All real property and right-of-way acquisition will be completed in a timely manner in accordance with 49 CFR part 24, 23 CFR part 710, and other applicable legal requirements or a statement that no acquisition is necessary.

iii. Required Approvals, Environmental Permits and Reviews. The application should demonstrate receipt (or reasonably anticipated receipt) of all environmental approvals and permits necessary for the project to proceed to construction on the timeline specified in the project schedule, including satisfaction of all Federal, State, and local requirements and completion of the NEPA process.

Specifically, the application should include:

(1) Information about the NEPA status of the project. An applicant should indicate the date of completion of the NEPA process, and provide a website link or other reference to the final Categorical Exclusion, Finding of No Significant Impact, Record of Decision, and any other NEPA documents prepared. 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 milestones and of the final NEPA determination. If the last agency action with respect to NEPA documents occurred more than three years before the application date, the applicant should describe why the project has been delayed and include a proposed approach for verifying and, if necessary, updating this material in accordance with applicable NEPA requirements.

(2) Information on reviews, approvals, and permits by other agencies. An application should indicate whether the proposed project requires reviews or approval actions by other agencies, indicate the status of such actions, and provide detailed information about the status of those reviews or approvals and should demonstrate compliance with any other applicable Federal, State, or local requirements, and when such approvals are expected.

Applicants should provide a website link or other reference to copies of any reviews, approvals, and permits prepared.

NOTE: Projects that may impact protected resources such as wetlands, species habitat, cultural or historic resources require review and approval by Federal and State agencies with jurisdiction over those resources.

(3) Environmental studies or other documents—preferably through a website link—that describe in detail known project impacts, and possible mitigation for those impacts.

(4) A description of discussions with the appropriate FHWA field or headquarters office regarding the project’s compliance with NEPA and other applicable Federal environmental reviews and approvals.

(5) A description of public engagement about the project that has occurred, including details on the degree to which public comments and commitments have been integrated into project development and design.

(6) State and Local Approvals. The applicant should demonstrate receipt of State and local approvals on which the project depends, such as State and local environmental and planning approvals and STIP or TIP funding. Additional support from relevant State and local officials is not required;

however, an applicant should demonstrate that the project has broad public support.

iv. Assessment of Project Risks and Mitigation Strategies. Project risks, such as procurement delays, environmental uncertainties, increases in real estate acquisition costs, uncommitted local match, or lack of legislative approval, affect the likelihood of successful project start and completion. The applicant should identify all material risks to the project and the strategies that the lead applicant and any project partners have undertaken or will undertake to mitigate those risks. The applicant should assess the greatest risks to the project and identify how the project parties will mitigate those risks.

v. Consistent with the Department's R.O.U.T.E.S. Initiative

(https://www.transportation.gov/rural), the Department encourages applicants to describe how activities proposed in their application would address the unique challenges facing rural transportation networks, as a strong transportation network is critical to the functioning and growth of the American economy. The nation’s industry depends on the transportation network to move the goods that it produces, and facilitate the movements of the workers who are responsible for that production. When the nation’s highways, railways, and ports function well, that infrastructure connects people to jobs, http://www.transportation.gov/rural), increases the efficiency of delivering goods and thereby cuts the costs of doing business, reduces the burden of commuting, and improves overall well-being.

vi. Please identify whether the project is located (entirely or partially) in an Opportunity Zone (please reference https://www.cdfifund.gov/Pages/OpportunityZones.aspx) Please identify the specific 2011-2015 Low-Income Community Census Tract(s) (by number) that are Opportunity Zones.

d. Letters of Support. Include letters of support for all identified partners, if applicable, and one of the following situations exists:

• If eligible commuter authority applicants operate on a rail corridor owned by an entity other than the commuter authority, a letter from the rail owners is required supporting the proposed project.

• As applicable, a letter from agencies that will partner on the proposed project by contributing funding or other resources, including the match requirement, or as applicable, serving as the State DOT pass through entity for the proposed project.

• A letter of support from the authority responsible for operation and maintenance, if other than the eligible commuter authority, is required.

e. Benefit-Cost Analysis. This Benefit-Cost Analysis section should include the recommended approach for the completion and submission of a benefit-cost analysis (BCA) as an appendix to the Project Narrative. The results of the analysis should be summarized in the Project Narrative directly.

Applicants should delineate each of their project’s expected outcomes in the form of a complete BCA to enable FHWA to consider cost-effectiveness (small projects), determine whether the project will be cost effective (large projects), estimate a benefit-cost ratio and calculate the magnitude of net benefits and costs for the project. In support of each project for which an applicant seeks funding, the applicant should submit a BCA that quantifies the expected benefits and costs of the project against a no-build baseline. Applicants should use a real discount rate (i.e., the discount rate net of the inflation rate) of 7 percent per year to discount streams of benefits and costs to their present value in their BCA.

The primary economic benefits from projects eligible for CARSI grants are likely to include savings in travel time costs, vehicle operating costs, and safety costs for both existing users of the improved facility and new users who may be attracted to it as a result of the project.

Reduced damages from vehicle emissions and savings in maintenance https://www.cdfifund.gov/Pages/OpportunityZones.aspx costs to public agencies may also be quantified. Applicants may describe other categories of benefits in the BCA that are more difficult to quantify and value in economic terms, such as improving the reliability of travel times or improvements to the existing human and natural environments (such as increased connectivity, improved public health, storm water runoff mitigation, and noise reduction), while also providing numerical estimates of the magnitude and timing of each of these additional impacts wherever possible. Any benefits claimed for the project, both quantified and unquantified, should be clearly tied to the expected outcomes of the project.

The BCA should include the full costs of developing, constructing, operating, and maintaining the proposed project (including both previously incurred and future costs), as well as the expected timing or schedule for costs in each of these categories. The BCA may also consider the present discounted value of any remaining service life of the asset at the end of the analysis period (net of future maintenance and rehabilitation costs) as a deduction from the estimated costs. The costs and benefits that are compared in the BCA should also cover the same project scope.

The BCA should carefully document the assumptions and methodology used to produce the analysis, including a description of the baseline, the sources of data used to project the outcomes of the project, and the values of key input parameters. Applicants should provide all relevant files used for their BCA, including any spreadsheet files and technical memos describing the analysis (whether created in- house or by a contractor).

The spreadsheets and technical memos should present the calculations in sufficient detail and transparency to allow the analysis to be reproduced by FHWA evaluators. Detailed guidance for estimating some types of quantitative benefits and costs, together with recommended economic values for converting them to dollar terms and discounting to their present values, are available in USDOT’s guidance for conducting BCAs for projects seeking funding under the Department’s discretionary grant programs (see https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance).

http://www.transportation.gov/office-policy/transportation-

Volume 2 – Budget Application – include the following:

a. Application Forms. Including:

i. SF 424 Application for Federal Assistance

ii. SF 424C Budget Information for Construction Programs

iii. SF 424D Assurances for Construction Programs

iv. SFLLL (Note: The form must be completed and submitted even if no lobbying to report. If no lobbying to report, insert none or n/a in the relevant blocks.)

NOTE: On the SF 424, the information in block 8a (Applicant’s “Legal Name”) must be the same as entered for registration in www.SAM.gov and for the Applicant’s Data Universal Numbering System (DUNS) number.

b. Cost Breakdown. Provide an estimate of the project costs including:

i. Funding. Document all funds to be used for eligible construction costs and the source and amount of those funds, including past or pending Federal funding requests for this project. Include the size, nature, and source of the required match for those funds, if applicable.

ii. Budget Detail.

• Federal Share. Provide a detailed project budget showing how the

Federal funds will be spent over the proposed period of performance. The budget should estimate – by dollar amount and percentage of cost – the cost of construction work for each project component.

• Cost Share. Describe proposed non-Federal share and demonstrate how the minimum non-Federal cost share of 10 percent can be achieved. Describe how your organization will obtain the necessary resources to fund and fulfill the proposed cost share, as applicable. For non-Federal funds to be used for eligible project costs, documentation of the funding commitments should be referenced and included with the application.

• If subcontractors/subrecipients (lower tiered organizations and individual consultants) will be used in carrying out this project, the following minimum information concerning such, must be furnished:

1. Name and address of the organization or consultant.

2. Description of the portion of work to be conducted by the organization or consultant.

3. Cost details for that portion of work.

http://www.sam.gov/ http://www.sam.gov/

4. Applicant’s cost/price analysis of each subrecipient/contractor(s) showing how their price is fair and reasonable.

c. Other Business Information. Provide responses to the following items:

i. Provide a list of past projects managed and completed by the Applicant.

The past projects should be of similar size and scope to the project being proposed, and have occurred within the past 10 years. Describe the project, cost, dates, and duration. This information will be used to assess past performance capabilities in the risk assessment.

ii. A statement to indicate whether your organization has previously completed an A-133 Single Audit and, if so, the date that the last A-133 Single Audit was completed.

iii. A statement regarding Conflicts of Interest. The Applicant must disclose in writing any actual or potential personal or organizational conflict of interest in its application that describes in a concise manner all past, present or planned organizational, contractual or other interest(s), which may affect the Applicant’s ability to perform the proposed agreement in an impartial and objective manner. Actual or potential conflicts of interest may include but are not limited to any past, present or planned contractual, financial, or other relationships, obligations, commitments or responsibilities, which may bias the Applicant or affect the Applicant’s ability to perform the agreement in an impartial and objective manner. The Agreement Officer (AO) will review the statement(s) and may require additional relevant information from the Applicant. All such information, and any other relevant information known to FHWA, will be used to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the United States to contract with the Applicant and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

iv. A statement to indicate whether a Federal or State organization has audited or reviewed the Applicant’s accounting system, purchasing system, and/or property control system. If such systems have been reviewed, provide summary information of the audit/review results to include (as applicable) summary letter or agreement, date of audit/review, Federal or State point of contact for such review.

v. Terminated Contracts. List any contract/agreement awarded to the applicant and subsequently terminated for convenience of the Government within the past 3 years, and any contract/agreement that was terminated for default within the past 5 years. Briefly explain the circumstances in each instance.

vi. The Applicant is directed to review Title 2 CFR 170

(https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl) dated September 14, 2010, and Appendix A thereto, and acknowledge in its application that it understands the requirement, has the necessary processes and systems in place, and is prepared to fully comply with the reporting described in the term if it receives funding resulting from this notice. The text of Appendix A will be incorporated in the award document as a General Term and Condition as referenced under this notice’s Section F, Federal Award Administration Information.

vii. Disclose any violations of Federal criminal law involving fraud, bribery, or gratuity violations. Failure to make required disclosures can result in any of the remedies described in 2 CFR 200.338 entitled Remedies for Noncompliance, including suspension or debarment. (See also 2 CFR Part 180 and 31 U.S.C. 3321).

viii. If a nonprofit or not-for-profit status, please provide evidence of this status preferably from the Internal Revenue Service.

ix. Acknowledgement of acceptance of the NOFO terms and acknowledgement and acceptance of any Amendments issued to this NOFO. List Amendment numbers and issue dates, if any.

3. HOW TO REGISTER TO APPLY THROUGH GRANTS.GOV

a. Instructions: Read the instructions below about registering to apply for FHWA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to 4 weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to: https://www.grants.gov/web/grants/applicants/individual-registration.html.

Organization applicants can find complete instructions here:

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

http://www.ecfr.gov/cgi-bin/text-http://www.ecfr.gov/cgi-bin/text-https://www.grants.gov/web/grants/applicants/individual-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html

1. Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a DUNS number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1- obtain-duns-number.html.

2. Register with the System for Award Management (SAM): In addition to having a DUNS number, organizations applying online through Grants.gov must register with SAM. All organizations must register with SAM in order to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2- register-with-sam.html.

3. Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's DUNS number to complete this process. Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM.

To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to: https://www.grants.gov/web/grants/applicants/organization-registration/step-3- username-password.html.

4. Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to: https://www.grants.gov/web/grants/applicants/organization-registration/step-4- aor-authorization.html.

5. Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/organization-https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html registration/step-5- track-aor-status.html.

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

HOW TO SUBMIT AN APPLICATION TO FHWA VIA GRANTS.GOV

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different Webforms within an application. For each funding opportunity announcement, you can create individual instances of a Workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/apply-for-grants.html.

1. Create a Workspace: Creating a Workspace allows you to complete it online and route it through your organization for review before submitting.

2. Complete a Workspace: Add participants to the Workspace, complete all the required forms, and check for errors before submission.

a. Adobe Reader: If you decide not to apply by filling out Webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or FHWA forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

b. NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

c. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

d. Complete SF-424 Fields First: The forms are designed to fill in https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html https://www.grants.gov/web/grants/applicants/apply-for-grants.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

3. Submit a Workspace: An application may be submitted through Workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4. Track a Workspace: After successfully submitting a Workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html.

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for. If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FHWA with tracking your issue and understanding background information on the issue.

https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov

4. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT

(SAM)

The Applicant is required to: (i) be registered in SAM before submitting its application;

(ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding Agency.

The Federal awarding Agency may not make a Federal award to an Applicant until the Applicant has complied with all applicable unique entity identifier and SAM requirements. 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.

5. SUBMISSION DATES AND TIMES

The application must be received electronically through www.grants.gov by the application due date/time listed in this NOFO, pages 1-2.

The deadline stated is the date and time by which the applicant must submit the full and completed application to www.grants.gov, including all required sections.

A late application will not be reviewed or considered unless the AO determines that doing so is in FHWA’s best interest.

In the event of system problems or technical difficulties with the application submittal, Applicants should contact the FHWA point of contact designated in the NOFO. If Applicants are unable to use the system due to technical difficulties, Applicants must e-mail applications to the FHWA point of contact no later than the application deadline cited above.

6. INTERGOVERNMENTAL REVIEW

An application under this NOFO is not subject to the State review under Executive Order 12372.

7. FUNDING RESTRICTIONS

The FHWA will not reimburse any pre-award costs or application preparation costs.

8. USE OF INFORMATION FOR OTHER DEPARTMENTAL PURPOSES

Information collected from all applicant submissions may be used for Government purposes. In addition, information gathered through this notice may be used to conduct outreach and engagement related future similar opportunities.

SECTION E – APPLICATION REVIEW INFORMATION

1. CRITERIA FOR SELECTION OF AWARDEES

The FHWA will award the CARSI Program funds based on the selection criteria and policy considerations outlined below.

Note: These criteria are distinct from eligibility criteria (see Section C) that are addressed before an application is accepted for review.

A. SAFETY IMPACTS

The FHWA will assess the safety impacts that will result from the project. Specifically, FHWA will assess the degree to which the project will:

1. Improve safety at railway-highway crossings through the elimination of hazards at public railway-highway crossings;

2. Reduce fatalities, serious injuries, and crashes at public railway-highway crossings;

3. Reduce the number of existing public at-grade crossings by closure or grade separation; and

4. Reduce delays or improve system performance by eliminating hazards posed by blocked grade crossings due to idling trains.

NOTE: Priority will be given to applications that bundle safety improvements to eliminate hazards at more than one public railway-highway crossing.

NOTE: Priority will be given to applications that bundle grade separation project(s) with closing more than one existing public at-grade railway-highway crossing.

B. PROJECT READINESS

During application evaluation, FHWA will consider project readiness to assess the likelihood of a successful project. In that analysis, FHWA will consider three evaluation ratings: Environmental Risk, Technical Capacity, and Financial Capacity.

Environmental Risk assessment analyzes the project’s environmental approvals and likelihood of the necessary approval affecting project obligation. The Technical Capacity assessment analyzes the applicant’s capacity to successfully deliver the project in compliance with applicable Federal requirements based on factors including the recipient’s experience working with Federal agencies, previous experience with DOT discretionary grant awards, and the technical experience and resources dedicated to the project. The Financial Capacity assessment reviews the availability of matching funds and whether the applicant presented a complete funding package. Risks do not disqualify projects from award, but competitive applications clearly and directly describe achievable risk mitigation strategies. A project with mitigated risks or with a risk mitigation plan is more competitive than a comparable project with unaddressed risks

NOTE: Priority will be given to applications that propose projects for construction as opposed to engineering and design.

C. ECONOMIC VITALITY

FHWA will consider the extent to…