FY20 STC NOFO_Final.pdf

4910-06-P

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Notice of Funding Opportunity for Special Transportation Circumstances Projects

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

(DOT)

ACTION: Notice of Funding Opportunity (NOFO or notice)

SUMMARY: This notice details the application requirements and procedures for the states of Alaska, South Dakota, and Wyoming to obtain Special Transportation

Circumstances (STC) directed grant funding for eligible rail Capital Projects. The funding has been made available for the program by the Consolidated Appropriations

Act, 2017, Public Law 115-31, Div. K, Tit. I; Consolidated Appropriations Act, 2018, Public Law 115-141 Div. L, Tit. I (2018 Appropriation); Consolidated Appropriations

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

Appropriations Act, 2020, Public Law Div. 116-94, Div. H, Tit. I (2020 Appropriation)

(together, the Appropriations Acts), and authorized in 49 U.S.C. 22907(l). The opportunities described in this notice are available under Catalog of Federal Domestic

Assistance (CFDA) number 20.325, “Consolidated Rail Infrastructure and Safety

Improvements.” Alaska, South Dakota, and Wyoming must each submit applications for projects meeting the requirements of this notice to receive directed funding. Should FRA identify additional available funding after the release of this NOFO, FRA may elect to award such additional funding to a project submitted for funding under this NOFO, as permitted by law.

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

ET, on July 7, 2020. Applications for funding, or supplemental material in support of applications, received after 5:00 p.m. ET on July 7, 2020 will not be considered for funding. Incomplete applications for funding 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.GrantSolutions.gov. Only applicants who comply with all submission requirements described in this notice and submit applications through www.GrantSolutions.gov will be eligible for award. For any supporting application materials that an applicant is unable to submit via www.GrantSolutions.gov (such as oversized engineering drawings), an applicant may submit an original and two (2) copies to Ms. Frances Bourne, Office of Policy and

Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W38-

207, 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 regarding this notice, please contact Ms. Frances Bourne, Office of Policy and Planning, Federal

Railroad Administration, 1200 New Jersey Avenue SE, Room W38-207, Washington, DC 20590; email: frances.bourne@dot.gov; phone: 202-493-6366.

SUPPLEMENTARY INFORMATION:

Notice to applicants: FRA recommends that applicants read this notice in its entirety prior to preparing application materials. The definitions of key terms used throughout the

NOFO are listed under the Program Description in Section A(2). These key terms are capitalized throughout the NOFO. There are several administrative and 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. Purpose

The purpose of this notice is to solicit applications from the states of Alaska, Wyoming, and South Dakota for grants to assist in funding rail Capital Projects. For

Alaska, funds are made available by the 2020 Appropriation, for South Dakota funds are made available by the 2019 and 2020 Appropriations, and for Wyoming funds are made available by the 2018, 2019, and 2020 Appropriations Acts as authorized in 49 U.S.C.

22907(l).

2. Key Terms

a. “Capital Project” means a project for: acquiring, constructing, improving, or inspecting rail equipment, track and track structures, or a rail facility; expenses incidental to the acquisition or construction including pre-construction activities (such as designing, engineering, location surveying, mapping, acquiring rights-of-way) and related relocation costs, environmental studies and all work necessary for FRA to approve the project under the National Environmental Policy Act (NEPA) and related environmental laws and regulations; highway-rail grade crossing improvements;

communication and signalization improvements; and rehabilitating, remanufacturing or overhauling rail rolling stock and facilities.1

b. “Intercity Rail Passenger Transportation” means rail passenger transportation, except commuter rail passenger transportation. See 49 U.S.C. 22901(3). In this notice, “Intercity Passenger Rail Service” and “Intercity Passenger Rail Transportation” are equivalent terms to “Intercity Rail Passenger Transportation.”

c. “Public Benefits” is defined in 49 U.S.C. 22701(2) to mean a benefit accrued to the public, including Amtrak, in the form of enhanced mobility of people or goods, environmental protection or enhancement, congestion mitigation, enhanced trade and economic development, improved air quality or land use, more efficient energy use, enhanced public safety or security, and reduction of public expenditures due to improved transportation efficiency or infrastructure preservation.

d. “Railroad Route Miles” mean miles of railroad operated. A mile of single track is counted the same as a mile of double track. Sidings, turnouts, yard switching mileage, 1 For any project that includes purchasing intercity passenger rail equipment, applicants are encouraged to use a standardized approach to the procurement of passenger rail equipment, such as the specifications developed by the Next Generation Corridor Equipment Pool Committee or a similarly uniform process.

and mileage not operated are excluded. Year-to-year changes in miles operated are due to both changes in track mileage and changes in the number of railroads with rights for the same track.

e. “Rural Area” is defined in 49 U.S.C. 22907(g)(2) to mean any area not in an urbanized area, as defined by the Census Bureau. The Census Bureau defines Urbanized Area as an area with a population of 50,000 or more people.2 Updated lists of UAs as defined by the Census Bureau are available on the Census Bureau website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/.

3. Overview

The STC authorization directs the Secretary of Transportation to allocate to certain states an appropriate portion of the amounts available to programs in Chapter 229 of Title 49 of the United States Code (Chapter 229) for grants. See 49 U.S.C. 22907(l).

The Appropriations Acts provided funding under the Consolidated Rail Infrastructure and

Safety Improvements (CRISI) program and Restoration and Enhancement (R&E) Grants program in Chapter 229. As such, this notice is for the appropriate portion (as is further discussed below) of the amounts made available for those two grant programs. Separate notices of funding opportunities for competitive grants solicit applications for the non-

STC CRISI and R&E funds made available by the Appropriations Acts.

STC funding is available to provide grants to either: (1) States in which there is no Intercity Passenger Rail service, for the purpose of funding freight rail Capital Projects on a state rail plan developed under Chapter 227 of Title 49 of the United States Code

(Chapter 227) that provide Public Benefits; or (2) States in which the rail transportation

2 See 74 FR 53030, 53043 (August 24, 2011) available at https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.

system is not physically connected to rail systems in the continental United States or may not otherwise qualify for a grant under 49 U.S.C. 22907 due to the unique characteristics of the geography of that state or other relevant considerations,3 for the purpose of funding freight or passenger rail Capital Projects. There are currently four states that either do not have Intercity Passenger Rail service or are not physically connected to rail systems in the U.S. – Alaska, Hawaii, South Dakota, and Wyoming. However, as explained below, only three of these states (Alaska, South Dakota, and Wyoming) are allocated funds under 49 U.S.C. 22907(l).

The amount of STC directed funding for the states is established by the definition of “appropriate portion” in 49 U.S.C. 22907(l)(2). That section defines appropriate portion to mean a share, for each state, not less than the share of the total Railroad Route

Miles in the state out of the total Railroad Route Miles in the U.S., excluding from all totals the route miles exclusively used for tourist, scenic, and excursion railroad operations.

The calculations for each state’s available funding amounts follow. In the U.S., there are 138,477 Railroad Route Miles.4 Alaska has 521 Railroad Route Miles or 0.38 percent of the nation’s total, South Dakota has 1,851 Railroad Route Miles or 1.34 percent of the nation’s total, Wyoming has 1,868 Railroad Route Miles or 1.35 percent of the nation’s total, and Hawaii has 0 Railroad Route Miles or 0 percent of the nation’s total. As a result, a total of 3.07 percent or $39,067,193 of the combined amount of

3 FRA has determined that there are no states that would “not otherwise qualify for a grant under this section due to the unique characteristics of the geography of that State or other relevant considerations.”

49 U.S.C. 22907(l)(1)(B).

4 BTS report: https://www.bts.gov/content/miles-freight-railroad-operated-class-railroad, or Railroad Route Miles Within the United States - AAR Railroad Facts 2016 Edition, page 48.

$1,272,547,000 in grant funds available in the Appropriations Acts5 were available as directed grant funding for eligible rail Capital Projects.

2017 Appropriation funds have been awarded for projects in Alaska ($277,400), Wyoming ($985,500) and South Dakota ($978,200). 2018 Appropriation funds have been awarded to Alaska ($2,327,679) and South Dakota ($8,208,130). 2019 Appropriation funds have been awarded to Alaska ($988,000) and South Dakota ($2,193,826).

Under this NOFO, STC grant funds are available from 2018 for Wyoming, from

2019 for South Dakota and Wyoming, and from 2020 for each of South Dakota, Wyoming, and Alaska. Applicants are encouraged to read the remainder of this NOFO carefully for: funding parameters; applicant, project, and project-cost eligibility requirements; application development and submission policies; details regarding FRA’s application evaluation and selection criteria; and post-award grant administration responsibilities.

B. Federal Award Information

1. Available Award Amount

This NOFO makes available $23,108,458 in directed funding for eligible rail

Capital Projects, as follows: $1,242,600 for Alaska, $5,671,974 for South Dakota, and

$16,193,884 for Wyoming.

2. Award Size

FRA encourages applicants to propose projects or components of projects that can be completed and implemented with the level of funding available. Projects may require

5 The $1,272,547,000 is comprised of the $1,250,547,000 appropriated in the 2017, 2018, 2019, and 2020 Appropriations for the CRISI Grant program together with the $32 million appropriated in the 2017, 2018, 2019, and 2020 Appropriations for the R&E Grant program.

more funding than is available. In these cases, applicants must identify and apply for specific project components that have operational independence and can be completed with the available funding. (See Section C(3)(b) for more information.) The expected period of performance for the projects is within five years from the award date.

3. Award Type

FRA may 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 under 2 CFR 200.24. 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://railroads.dot.gov/elibrary/notice-grant-award-example. This template is subject to revision.

4. Concurrent Applications

DOT and FRA may be concurrently soliciting applications for transportation infrastructure projects for several financial assistance programs, applicants may submit applications requesting funding for a particular project to one or more of these programs.

In the application for STC funding under this NOFO, applicants must indicate the other programs to which they submitted or plan to submit an application for funding an 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 application(s) submitted for other Federal financial assistance programs.

C. Eligibility Information

This section of the notice explains the requirements for submitting an eligible grant application. 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 states of Alaska, South Dakota, and Wyoming are the only applicants allocated portions of the available funding for the directed grants under 49 U.S.C.

22907(l)(1) and (2). See Section C(3)(a) for project eligibility. The State Department of

Transportation in these states must submit applications on behalf of their states.

2. Cost Sharing or Matching

The Federal share of total costs for an STC project(s) must not exceed 80 percent of the total cost of a project. The estimated total project costs 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 should refer to FRA’s cost estimate guidance, “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 eligible public sector (e.g. state or local) or private sector funding. FRA will not consider any Federal financial assistance or any non-Federal funds already expended (or otherwise encumbered) toward the matching requirement, unless compliant with 2 CFR Part 200.

FRA is limiting the first 20 percent of the non-Federal match to cash contributions only.

Eligible in-kind contributions may be accepted for any non-Federal matching beyond the first 20 percent. 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.

Before applying, applicants should carefully review the principles for cost sharing or matching in 2 CFR 200.306. 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

Projects eligible for funding improve the safety, efficiency, and/or reliability of rail transportation systems. For South Dakota and Wyoming, the projects eligible for the directed funding under this NOFO must be freight rail Capital Projects in those states that are on a state rail plan developed under Chapter 227 that provide Public Benefits.

For Alaska, a project eligible for directed funding under this NOFO must be a freight or passenger rail-related Capital Project in that state.

b. Project Component Operational Independence

If an applicant requests funding for a project that is a component or set of components of a larger project, the project component(s) must be attainable with the award amount together with other funds as necessary, obtain operational independence, and must comply with all eligibility requirements described in Section C.

In addition, the component(s) must be capable of independent analysis and decision making, as determined by FRA, under NEPA (i.e., have independent utility, connect logical termini, if applicable, and not restrict the consideration of alternatives for other reasonably foreseeable rail projects.).

c. Rural Project

FRA will consider a project to be in a Rural Area if all or the majority of the project (determined by geographic location(s) where the majority of the project funds will be spent) is located in a Rural Area. However, in the event FRA elects to fund a component of the project, then FRA will reexamine whether the project is in a Rural

Area.

D. Application and Submission Information

Required documents for the application are outlined in the following paragraphs.

Applicants must complete and submit all components of the application. See Section

D(2) for the application checklist.

FRA welcomes the submission of additional relevant supporting documentation, such as planning, engineering and design documentation, and letters of support from partnering organizations that will not count against the Project Narrative 25-page limit.

Consistent with the R.O.U.T.E.S. Initiative, the DOT encourages applicants to consider how the project will address the challenges faced by rural areas, generally.

1. Address to Request Application Package

Applicants must submit all application materials, in their entirety, through www.GrantSolutions.gov no later than 5:00 p.m. ET, on July 7, 2020. 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 Ms. Frances Bourne, Office of Policy and Planning, Federal

Railroad Administration, 1200 New Jersey Avenue SE, Room W38-207, Washington, DC 20590; email: frances.bourne@dot.gov; phone: 202-493-6366.

For any supporting application materials that an applicant cannot submit via

GrantSolutions.gov, such as oversized engineering drawings, an applicant may submit an original and two (2) copies to Ms. Frances Bourne, Office of Policy and Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W38-207, Washington, DC 20590. Due to delays caused by enhanced screening of mail delivered via the U.S. Postal Service, FRA advises applicants to use other means of conveyance

(such as courier service) to assure timely receipt of materials before the application deadline. Additionally, if documents can be obtained online, providing instructions to

FRA on how to access files on a referenced website may also be sufficient.

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 must comply with the requirements in

49 U.S.C. 22905 explained in part at https://www.fra.dot.gov/page/P0185.

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

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

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

SF424 – Application for Federal Assistance.

Either: SF 424A – Budget Information for Non-Construction or SF 424C –

Budget Information for Construction.

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

Construction.

FRA’s Additional Assurances and Certifications.

SF LLL – Disclosure of Lobbying Activities.

Additional details about the application content requirements are described in the following sections.

a. Project Narrative

This section describes the minimum content required in the Project Narrative of the grant application. The Project Narrative must follow the basic outline below to address the program requirements and assist evaluators in locating relevant information.

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

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

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

IV. Project Description See D.2.a.iv

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

VI. Evaluation and Selection Criteria See D.2.a.vi

VII. Project Implementation and Management See D.2.a.vii

VIII. Environmental Readiness See D.2.a.viii

The Project Narrative may not exceed 25 pages in length (excluding cover pages, table of contents, and supporting documentation). 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 Applicant name

Total project cost Amount of Federal funding requested under this

NOFO

Proposed non-Federal match City(ies), State(s) where the project is located Congressional district(s) where the project is located

ii. Project Funding: Indicate in table format the amount of Federal funding, the proposed non-Federal match, identifying contributions from the private sector if applicable, and total project cost. Describe the non-

Federal funding arrangement, including multiple sources of non-Federal funding if applicable. Include funding commitment letters outlining funding agreements, as attachments or in an appendix. If all or a majority of a project is located in a Rural Area, identify the Rural Area(s) and estimated percentage of project costs that will be spent in the Rural Area.

Identify any previously incurred costs, as well as other sources of Federal funds committed to the project and any pending Federal requests. 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 STC 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 contributions, and substantiate how the contributions meet the requirements in 2 CFR 200.306.

Example Project Funding Table:

Task # Task Name/Project Component

Cost Percentage of Total Cost

Total Project Cost

Federal Funds Received from Previous Grant

STC Federal Funding Request

Non-Federal Funding/Match Cash:

In-Kind:

Portion of Total Project Costs Spent in a Rural Area

Pending Federal Funding Requests

iii. Project Eligibility: Identify which project eligibility category the project is eligible under in Section C(3) of this notice, and explain how the project meets the project eligibility criteria.

iv. Project Description: Include a detailed project description. This detailed description should provide, at a minimum, background on the challenges the project aims to address; the expected users and beneficiaries of the project, including all railroad operators; the specific components and elements of the project; and any other information the applicant deems necessary to justify the proposed project.

If applicable, explain how the project will benefit communities in

Rural Areas. An applicant should specify whether it is seeking funding for a project that has already received Federal financial assistance, and if applicable, explain how the new scope proposed to be funded under this

NOFO relates to the previous scope. For all projects, applicants must provide information about proposed performance measures, as discussed in Section F(3)(c) and required in 2 CFR 200.301 and 49 U.S.C. 22907(f).

For any project that includes grade crossing components, cite specific 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.

For South Dakota and Wyoming, include a description of the

Public Benefits that will result from the proposed project, and a website link to the state rail plan that includes the page number where the project is discussed in the document. If a project is not contained in the state rail plan, applicants may 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 identify the project name, brief description, 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 application. Whether submitted as part of application package or separately to FRA, FRA must receive the letter by the application due date of this notice.

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, regardless of the geographic location of those activities.

v. Project Location: Include geospatial data for the project, as well as a map of the project’s location. On the map, include the Congressional districts and Rural Area boundaries, if applicable, in which the project will take place.

vi. 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.

vii. Project Implementation and Management: Describe proposed project implementation and project management arrangements. Include descriptions of the expected arrangements for project contracting, contract oversight, 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.

viii. Environmental Readiness: If the NEPA process is complete, indicate the date of completion, 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 has not begun or is underway, but is not complete, the applications should detail the type of NEPA review contemplated, 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. 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. 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.

ii. Environmental compliance documentation, as applicable, if a website link is not cited in the Project Narrative.

iii. SF 424 – Application for Federal Assistance.

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

Information for Construction.

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

Construction.

vi. FRA’s Additional Assurances and Certifications.

vii. An SF LLL – Disclosure of Lobbying Activities.

viii. 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.

ix. 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).

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

c. Post-Selection Requirements

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

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

Submission Instructions

To apply for funding through GrantSolutions.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. If you are a first-time user of GrantSolutions, a user account will be created and emailed to you at the time of the posting of your announcement. You will be able to log in using this account and submit your completed application.

If you are an existing grantee, please log in to GrantSolutions using your existing user account. If you do not remember your account information or have not been assigned a grantee account, please contact the GrantSolutions Help Desk at 1-800-618-

0223 or by email at help@grantsolutions.gov to obtain your username and password.

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.

(Please note that if a Dun & Bradstreet DUNS number must be obtained or renewed, this may take a significant amount of time to complete.) To submit applications through

GrantSolutions.gov, applicants must:

a. Obtain a DUNS number.

A DUNS number is required for GrantSolutions.gov registration. The Office of

Management and Budget requires that all businesses and nonprofit applicants for Federal funds include a DUNS number in their applications for a new award or renewal of an existing award. A DUNS number is a unique nine-digit sequence recognized as the universal standard for the government in identifying and keeping track of entities receiving Federal funds. The identifier is used for tracking purposes and to validate address and point of contact information for Federal assistance applicants, recipients, and sub-recipients. 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

GrantSolutions.gov. The SAM database is the repository for standard information about

Federal financial assistance applicants, recipients, and sub-recipients. Organizations that have previously submitted applications via GrantSolutions.gov are already registered with SAM, as it is a requirement for GrantSolutions.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. Information about SAM registration procedures is available at www.sam.gov.

c. Search for the Funding Opportunities on www.GrantSolutions.gov.

The CFDA number for this opportunity is 20.325, “Consolidated Rail

Infrastructure and Safety Improvements.” Applicants must submit their application package under this funding opportunity announcement.

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

After submitting an application through GrantSolutions, a confirmation screen will appear on the applicant’s computer screen. This screen will confirm that the applicant has submitted an application and provide an application number.

If an applicant experiences difficulties at any point during this process, please call the

GrantSolutions Help Desk at 1.866.577.0771 or 202.401.5282, Monday-Friday from 9:00 a.m. to 6:00 p.m., EST.

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.

4. Submission Dates and Times

Applicants must submit complete applications to www.GrantSolutions.gov no later than 5:00 p.m. ET, on July 7, 2020. FRA reviews www.GrantSolutions.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. Applicants are strongly encouraged to apply early to ensure all materials are received before this deadline.

The following conditions are not valid reasons to permit late submissions: (1) failure to complete the GrantSolutions.gov registration process before the deadline; (2) failure to follow GrantSolutions.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

Executive Order 12372 requires applicants from state and local units of government or other organizations providing services within a state to submit a copy of the application to the State Single Point of Contact (SPOC), if one exists, and if this program has been selected for review by the state. Applicants must contact their SPOC to determine if the program has been selected for state review.

6. Funding Restrictions

FRA is prohibited in 49 U.S.C. 22905(f) from providing STC grants for

Commuter Rail Passenger Transportation (as defined in 49 U.S.C. 24102(3)).6 FRA’s interpretation of this restriction is informed by the language in 49 U.S.C. 22907. FRA’s primary intent in funding passenger rail projects will be to make reasonable investments in intercity passenger rail transportation. Such projects may be located on shared corridors where Commuter Rail Passenger Transportation also benefits from the project.

Consistent with 2 CFR 200.458 as applicable, FRA will only approve pre-award costs if such costs are incurred pursuant to the negotiation and in anticipation of the grant agreement and if such costs are necessary for efficient and timely performance of the scope of work. Under 2 CFR 200.458, grantees must seek written approval from FRA for

6 Under 49 U.S.C. 22907(i) and (k), STC grants are subject to certain of the requirements in Chapter 229 including 49 U.S.C. 22905.

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 not be eligible for reimbursement or included as a grantee’s matching contribution. Cost sharing or matching may be used only for authorized Federal award purposes.

6. Other Submission Requirements

If an applicant experiences difficulties at any point during this process, please call the GrantSolutions Help Desk at 1.866.577.0771 or 202.401.5282, Monday-Friday from

9:00 a.m. to 6:00 p.m., EST. For information and instructions on each of these processes, FRA will email GrantSolutions Funding Opportunity Instructions to each applicant when the notice is announced. See section D.1 for where supporting application materials must be submitted if sent by postal mail, electronic means or hand delivery.

E. Application Review Information

1. Criteria

a. Eligibility, Completeness and Applicant Risk Review

FRA will first screen applications for 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 matching requirement for a 20 percent minimum match.

b. Evaluation Criteria

FRA subject-matter experts will evaluate all eligible and complete applications using the evaluation criteria outlined in this section to determine technical merit and project benefits.

i. The application is thorough and responsive to all requirements outlined in this notice.

ii. The proposed schedule and tasks are appropriate to achieve the expected outcomes and anticipated benefits of the proposed project.

iii. The proposed costs, budget, and level of effort are realistic and sufficient to accomplish the tasks documented in the SOW.

c. Selection Criteria

In addition to the eligibility and completeness review and the evaluation criteria outlined in this subsection, the FRA will apply the following key departmental objectives.

i. Supporting economic vitality at the national and regional level;

ii. Leveraging Federal funding to attract other, non-Federal sources of infrastructure investment, as well as accounting for the life-cycle costs of the project;

iii. Preparing for future operations and maintenance costs associated with the project’s life-cycle, as demonstrated by a credible plan to maintain assets without having to rely on future Federal funding;

iv. Using innovative approaches to improve safety and expedite project delivery; and

v. Holding grantees accountable for their performance and achieving specific, measurable outcomes identified by grant applicants.

In determining the allocation of program funds, FRA may also consider geographic diversity, diversity in the size of the systems receiving funding, the applicant’s receipt of competitive awards, projects located in or that support transportation service in a qualified opportunity zone designated pursuant to 26 U.S.C.

1400Z-1, and the percentage of non-Federal share provided and whether such non-

Federal share is provided by multiple sources.

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

(https://www.transportation.gov/rural), the Department recognizes that rural transportation networks face unique challenges. To the extent that those challenges are reflected in the merit criteria listed in this section, the Department will consider how the activities proposed in the application will address those challenges, regardless of the geographic location of those activities.

2. Review and Selection Process

FRA will conduct a three-part application review process, as follows:

a. Screen applications for completeness, eligibility, and applicant risk;

b. Evaluate eligible applications (completed by subject matter experts applying the evaluation criteria); and

c. Select projects for funding (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 (see 2 CFR 200.88 Simplified Acquisition

Threshold), FRA will review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently the

Federal Awardee Performance and Integrity Information System (FAPIIS)). See 41

U.S.C. 2313.

An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.

FRA will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 2 CFR

200.205.

F. Federal Award Administration Information

1. Federal Award Notice

Applications selected for funding will be announced after the application review period. 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 grant agreement signed by both the grantee and the FRA, including an approved scope, schedule, and budget, before obligating the grant.

2. Administrative and National Policy Requirements

As expressed in Executive Orders 13788 of April 18, 2017 and 13858 of January

31, 2019, it is the policy of the executive branch to maximize, consistent with law, the use of goods, products, and materials produced in the United States in the terms and conditions of Federal financial assistance awards. If selected for an award, grantees must comply with FRA’s Buy America requirements under 49 U.S.C. 22905(a). Grant recipients will be required to obtain approval from FRA before applying for any Buy

America waiver. To obtain that approval, grantees must be prepared to demonstrate how they will maximize the use of domestic goods, products, and materials in their projects.

In connection with any program or activity conducted with or benefiting from funds awarded under this notice, grantees must comply with all applicable requirements of Federal law, including, without limitation, the Constitution of the United States; the conditions of performance, nondiscrimination requirements, and other assurances made applicable to the award of funds in accordance with regulations of the Department of

Transportation; and applicable Federal financial assistance and contracting principles promulgated by the Office of Management and Budget. In complying with these requirements, grantees, in particular, must ensure that no concession agreements are denied or other contracting decisions made on the basis of speech or other activities protected by the First Amendment. If the Department determines that a grantee has failed to comply with applicable Federal requirements, the Department may terminate the award of funds and disallow previously incurred costs, requiring the grantee to reimburse any expended award funds.

Examples of administrative and national policy requirements include: 2 CFR Part

200; procurement standards at 2 CFR Part 200 Subpart D – Procurement Standards, 2

CFR 1207.317 and 2 CFR 200.401; compliance with Federal civil rights laws and regulations; requirements for disadvantaged business enterprises, debarment and suspension requirements, and drug-free workplace requirements; FRA’s and OMB’s

Assurances and Certifications; Americans with Disabilities Act; safety requirements;

NEPA; environmental justice requirements; performance measures under 49 U.S.C.

22907(f); grant conditions under 49 U.S.C. 22905, and the provision deeming operators rail carriers for certain purposes and grantee agreements with railroad right-of-way owners for projects using railroad right-of way. Unless otherwise stated in statutory or legislative authority, or appropriations language, all financial assistance awards follow the Uniform Administrative Requirements, Cost Principles and Audit Requirements for

Federal Awards at 2 CFR Part 200 and 2 CFR Part 1201.

Grantees must comply with applicable appropriations act requirements and all relevant requirements of 2 CFR Part 200. Rights to intangible property under grants awarded under this NOFO are governed in accordance with 2 CFR 200.315. For research awards, unless otherwise stated in the Federal award, FRA will not consider non-federal entities as that term is used in 2 CFR Part 200 to include for-profit entities.

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.

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.

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 below table. The applicable measure(s) will depend upon the type of project. Applicants requesting funding for the acquisition of rolling stock must integrate at least one equipment/rolling stock performance measure, consistent with the grantee’s application materials and program goals.

Rail Measures

Unit Measured

Temporal Primary Strategic Goal

Secondary Strategic Goal

Description

Slow Order Miles

Miles Annual State of Good Repair

Safety The number of miles per year within the project area that have temporary speed restrictions (“slow orders”) imposed due to track condition.

This is an indicator of the overall condition of track. This measure can be used for projects

Rail Measures

Unit Measured

Temporal Primary Strategic Goal

Secondary Strategic Goal

Description to rehabilitate sections of a rail line since the rehabilitation should eliminate, or at least reduce the slow orders upon project completion.

Gross Ton Gross Tons

Annual Economic Competitiveness

State of Good Repair

The annual gross tonnage of freight shipped in the project area. Gross tons include freight cargo minus tare weight of the rail cars. This measure the volume of freight a railroad ships in a year.

This measure can be useful for projects that are anticipated to increase freight shipments.

Rail Track Grade

Separation

Count Annual Economic Competitiveness

Safety The number of annual automobile crossings that are eliminated at an at-grade crossing as a

Unit Measured

Temporal Primary Strategic Goal

Secondary Strategic Goal

Description result of a new grade separation.

Passenger Counts

Count Annual Economic Competitiveness

State of Good Repair

Count of the annual passenger boardings and alightings at stations within the project area.

Travel Time

Time/Trip Annual Economic Competitiveness

Quality of Life Point-to-point travel times between pre-determined station stops within the project area.

This measure demonstrates how track improvements and other upgrades improve operations on a rail line.