Notice of Funding Opportunity for Positive Train Control Systems Grants Under the Consolidated Rail Infrastructure and Safety Improvements Program, 23328-23336 [2018-10652]
Download as PDF
<![CDATA[
daltland on DSKBBV9HB2PROD with NOTICES
23328
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
proposed project is approximately 2.9
miles. The purpose of the proposed
project is to improve mobility and safety
within the SH 205 corridor.
The actions by TxDOT and Federal
agencies and the laws under which such
actions were taken are described in the
documentation supporting the
Categorical Exclusion (CE)
Determination approved on April 24,
2018, and other documents in the
TxDOT project file. The CE
Determination and other documents are
available by contacting TxDOT at the
address provided above or the TxDOT
Dallas District Office at 4777 E.
Highway 80, Mesquite, TX 75150;
telephone: (214) 320–6244.
This notice applies to all TxDOT and
Federal agency decisions as of the
issuance date of this notice and all laws
under which such actions were taken,
including but not limited to:
1. General: National Environmental
Policy Act (NEPA) [42 U.S.C. 4321–
4351]; Federal-Aid Highway Act [23
U.S.C. 109].
2. Air: Clean Air Act, 42 U.S.C. 7401–
7671(q).
3. Land: Section 4(f) of the
Department of Transportation Act of
1966 [49 U.S.C. 303]; Landscaping and
Scenic Enhancement (Wildflowers), 23
U.S.C. 319.
4. Wildlife: Endangered Species Act
[16 U.S.C. 1531–1544 and Section
1536], Marine Mammal Protection Act
[16 U.S.C. 1361], Fish and Wildlife
Coordination Act [16 U.S.C. 661–
667(d)], Migratory Bird Treaty Act [16
U.S.C. 703–712].
5. Historic and Cultural Resources:
Section 106 of the National Historic
Preservation Act of 1966, as amended
[54 U.S.C. 300101 et seq.]; Archeological
Resources Protection Act of 1977 [16
U.S.C. 470(aa)–11]; Archeological and
Historic Preservation Act [54 U.S.C.
312501 et seq.]; Native American Grave
Protection and Repatriation Act
(NAGPRA) [25 U.S.C. 3001–3013].
6. Social and Economic: Civil Rights
Act of 1964 [42 U.S.C. 2000(d)–
2000(d)(1)]; American Indian Religious
Freedom Act [42 U.S.C. 1996]; Farmland
Protection Policy Act (FPPA) [7 U.S.C.
4201–4209].
7. Wetlands and Water Resources:
Clean Water Act, 33 U.S.C. 1251–1377
(Section 404, Section 401, Section 319);
Land and Water Conservation Fund
(LWCF), 16 U.S.C. 4601–4604; Safe
Drinking Water Act (SDWA), 42 U.S.C.
300(f)–300(j)(6); Rivers and Harbors Act
of 1899, 33 U.S.C. 401–406; Wild and
Scenic Rivers Act, 16 U.S.C. 1271–1287;
Emergency Wetlands Resources Act, 16
U.S.C. 3921, 3931; TEA–21 Wetlands
Mitigation, 23 U.S.C. 103(b)(6)(m),
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
133(b)(11); Flood Disaster Protection
Act, 42 U.S.C. 4001–4128.
8. Executive Orders: E.O. 11990
Protection of Wetlands; E.O. 11988
Floodplain Management; E.O. 12898,
Federal Actions to Address
Environmental Justice in Minority
Populations and Low Income
Populations; E.O. 11593 Protection and
Enhancement of Cultural Resources;
E.O. 13007 Indian Sacred Sites; E.O.
13287 Preserve America; E.O. 13175
Consultation and Coordination with
Indian Tribal Governments; E.O. 11514
Protection and Enhancement of
Environmental Quality; E.O. 13112
Invasive Species. (Catalog of Federal
Domestic Assistance Program Number
20.205, Highway Planning and
Construction.)
Authority: 23 U.S.C. 139(l)(1).
Issued on: May 3, 2018.
Michael T. Leary,
Director, Planning and Program Development,
Federal Highway Administration.
[FR Doc. 2018–09985 Filed 5–17–18; 8:45 am]
BILLING CODE 4910–22–P
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for
Positive Train Control Systems Grants
Under the Consolidated Rail
Infrastructure and Safety
Improvements Program
Federal Railroad
Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of Funding Opportunity
(NOFO or notice).
AGENCY:
This NOFO details the
application procedures and
requirements to obtain grant funding for
eligible positive train control (PTC)
system projects of the Consolidated Rail
Infrastructure and Safety Improvements
(CRISI) Program. The funding in this
NOFO is provided by the Consolidated
Appropriations Act, 2018, Division L,
Title I, Public Law 115–141 (2018
Appropriation). The opportunity
described in this notice is made
available under Catalog of Federal
Domestic Assistance (CFDA) number
20.325, ‘‘Consolidated Rail
Infrastructure and Safety
Improvements.’’
SUMMARY:
Applications under this
solicitation are due no later than 5:00
p.m. EDT, July 2, 2018. Applications for
funding or supplemental material in
support of such an application received
after 5:00 p.m. EDT on July 2, 2018 will
DATES:
PO 00000
Frm 00077
Fmt 4703
Sfmt 4703
not be considered for funding.
Incomplete applications will not be
considered for funding. See Section D of
this notice for additional information on
the application process.
Applications must be
submitted via www.Grants.gov. Only
applicants who comply with all
submission requirements described in
this notice and submit applications
through www.Grants.gov will be eligible
for award. For any supporting
application materials that an applicant
is unable to submit via www.Grants.gov
(such as oversized engineering
drawings), an applicant may submit an
original and two (2) copies to Ms. Amy
Houser, Office of Program Delivery,
Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W36–412,
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.
ADDRESSES:
For
further information in this notice, please
contact Ms. Amy Houser, Office of
Program Delivery, Federal Railroad
Administration, 1200 New Jersey
Avenue SE, Room W36–412,
Washington, DC 20590; email:
amy.houser@dot.gov; phone: 202–493–
0303.
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA
recommends that applicants read this
notice in its entirety prior to preparing
application materials. A list providing
the definitions of key terms used
throughout the NOFO is in Section A(2)
below. These key terms are capitalized
throughout the NOFO. There are several
administrative prerequisites and
specific eligibility requirements
described herein that applicants must
comply with to submit an application.
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
E:\FR\FM\18MYN1.SGM
18MYN1
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
A. Program Description
daltland on DSKBBV9HB2PROD with NOTICES
1. Overview
The purpose of this notice is to solicit
applications for competitive PTC system
project funding authorized under
Section 11301 of the Fixing America’s
Surface Transportation (FAST) Act,
Public Law 114–94 (2015); 49 U.S.C.
24407 and funded in the 2018
Appropriation. Together with the FAST
Act, the 2018 Appropriation provides
funding made available under this
NOFO to fund the deployment of PTC
system technology for Intercity
Passenger Rail Transportation, freight
rail transportation and/or Commuter
Rail Passenger Transportation. Projects
selected under this NOFO for Commuter
Rail Passenger Transportation may be
transferred to the Federal Transit
Administration for grant administration.
Projects selected for Intercity Passenger
Rail Transportation and freight rail
transportation will be administered by
the FRA.
A railroad must fully implement a
PTC system on all required route miles
by December 31, 2018, unless a railroad
qualifies for and obtains FRA approval
of an alternative schedule (i.e., a
deadline no later than December 31,
2020) under the Positive Train Control
Enforcement and Implementation Act of
2015 (PTCEI Act). The PTCEI Act
authorizes, and requires, FRA to
approve a railroad’s alternative schedule
only if the railroad demonstrates in a
written notification that it has met all
statutory criteria for an alternative
schedule, including that it has: (1)
Installed, by December 31, 2018, all PTC
system hardware consistent with the
governing PTC Implementation Plan
(PTCIP); (2) acquired, by December 31,
2018, all spectrum necessary to
implement its PTC system consistent
with the governing PTCIP, and (3) made
sufficient progress on employee
training, revenue service demonstration,
and other criteria as specified under 49
U.S.C. 20157(a)(3)(B)(i)–(vii).
2. Definitions of Key Terms
a. ‘‘Benefit-Cost Analysis’’ (‘‘BCA’’ or
‘‘Cost-Benefit Analysis’’) is a systematic,
data driven, and transparent analysis
comparing monetized project benefits
and costs, using a no-build baseline and
properly discounted present values,
including concise documentation of the
assumptions and methodology used to
produce the analysis; a description of
the baseline, data sources used to
project outcomes, and values of key
input parameters; basis of modeling
including spreadsheets, technical
memos, etc.; and presentation of the
calculations in sufficient detail and
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
transparency to allow the analysis to be
reproduced and sensitivity of results
evaluated by FRA. Please refer to the
Benefit-Cost Analysis Guidance for
Discretionary Grant Programs prior to
preparing a BCA at https://
www.transportation.gov/office-policy/
transportation-policy/benefit-costanalysis-guidance. In addition, please
also refer to the BCA FAQs on FRA’s
website for some rail specific examples
of how to apply the BCA Guidance for
Discretionary Grant Programs to CRISI
applications.
b. ‘‘Commuter Rail Passenger
Transportation’’ means short-haul rail
passenger transportation in
metropolitan and suburban areas
usually having reduced fare, multiple
ride, and commuter tickets and morning
and evening peak period operations. See
49 U.S.C. 24102(3).
c. ‘‘Construction’’ means the
production of fixed works and
structures or substantial alterations to
such structures or land and associated
costs.
d. ‘‘Final Design’’ (‘‘FD’’) means
design activities following Preliminary
Engineering, and at a minimum,
includes the preparation of final
Construction plans, detailed
specifications, and estimates sufficiently
detailed to inform project stakeholders
(designers, reviewers, contractors,
suppliers, etc.) of the actions required to
advance the project from design through
completion of Construction.
e. ‘‘Intercity Rail Passenger
Transportation’’ means rail passenger
transportation, except Commuter Rail
Passenger Transportation. See 49 U.S.C.
24401(3). In this notice, ‘‘Intercity
Passenger Rail Service’’ and ‘‘Intercity
Passenger Rail Transportation’’ are
equivalent terms to ‘‘Intercity Rail
Passenger Transportation.’’
f. ‘‘National Environmental Policy
Act’’ (‘‘NEPA’’) is a Federal law that
requires Federal agencies to assess the
environmental impacts of a proposed
action in consultation with appropriate
federal, state, and local authorities, and
with the public. The NEPA class of
action depends on the nature of the
proposed action, its complexity, and the
potential impacts. For purposes of this
NOFO, NEPA also includes all related
Federal laws and regulations including
Section 4(f) of the Department of
Transportation Act, Section 7 of the
Endangered Species Act, and Section
106 of the National Historic
Preservation Act. (See FRA’s
Environmental Procedures at: https://
www.fra.dot.gov/eLib/details/L02561.)
g. ‘‘Positive Train Control system’’
(‘‘PTC system’’) is defined by 49 CFR
270.5 to mean a system designed to
PO 00000
Frm 00078
Fmt 4703
Sfmt 4703
23329
prevent train-to-train collisions,
overspeed derailments, incursions into
established work zone limits, and the
movement of a train through a switch
left in the wrong position, as described
in 49 CFR part 236, subpart I.
h. ‘‘Preliminary Engineering’’ (‘‘PE’’)
means engineering design to: (1) Define
a project, including identification of all
environmental impacts, design of all
critical project elements at a level
sufficient to assure reliable cost
estimates and schedules, (2) complete
project management and financial plans,
and (3) identify procurement
requirements and strategies. The PE
development process starts with specific
project design alternatives that allow for
the assessment of a range of rail
improvements, specific alignments, and
project designs—to be used concurrent
with NEPA and related analyses. PE
occurs prior to FD and Construction.
i. ‘‘Rail Carrier’’ means a person
providing common carrier railroad
transportation for compensation, but
does not include street, suburban, or
interurban electric railways not
operated as part of the general system of
rail transportation. See 49 U.S.C.
10102(5).
j. ‘‘Rural Project’’ means a project in
which all or the majority of the project
(determined by the geographic location
or locations where the majority of the
project funds will be spent) is located in
a Rural Area.
k. ‘‘Rural Area’’ is defined in 49
U.S.C. 24407(g)(2) to mean any area not
in an urbanized area as defined by the
Census Bureau. The Census Bureau
defines ‘‘Urbanized Area’’ (‘‘UA’’) as an
area with a population of 50,000 or
more people.1 Updated lists of UAs as
defined by the Census Bureau are
available on the Census Bureau website
at https://www2.census.gov/geo/maps/
dc10map/UAUC_RefMap/ua/.
B. Federal Award Information
1. Available Award Amount
The total funding available for awards
under this NOFO is $250,000,000 for
eligible PTC system projects under 49
U.S.C. 24407(c)(1). Under 49 U.S.C.
24407(g), at least $62,500,000 of the PTC
funds are available for Rural Projects.
The balance of the CRISI Program
funding provided under the 2018
Appropriation for eligible intercity
passenger and freight railroad projects
will be made available under a separate
NOFO.
1 See 74 FR 53030, 53043 (August 24, 2011)
available at https://www2.census.gov/geo/pdfs/
reference/fedreg/fedregv76n164.pdf.
E:\FR\FM\18MYN1.SGM
18MYN1
23330
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
2. Award Size
There are no predetermined minimum
or maximum dollar thresholds for
awards. FRA anticipates making
multiple awards with the available
funding. FRA may not be able to award
grants to all eligible applications, nor
even to all applications that meet or
exceed the stated evaluation criteria (see
Section E, Application Review
Information). Projects may require more
funding than is available. FRA
encourages applicants to propose
projects or components of projects that
have operational independence that can
be completed and implemented with the
level of funding available together with
other sources.
FRA strongly encourages applicants to
identify and include other state, local,
public, or private funding or financing
to support the proposed project.
3. Award Type
FRA will make awards for projects
selected under this notice through grant
agreements and/or cooperative
agreements. Grant agreements are used
when FRA does not expect to have
substantial Federal involvement in
carrying out the funded activity.
Cooperative agreements allow for
substantial Federal involvement in
carrying out the agreed upon
investment, including technical
assistance, review of interim work
products, and increased program
oversight. The funding provided under
these cooperative agreements 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 alongside Federal funds
throughout the life of the project. See an
example of standard terms and
conditions for FRA grant awards at:
https://www.fra.dot.gov/eLib/Details/
L19057.
daltland on DSKBBV9HB2PROD with NOTICES
4. Concurrent Applications
As DOT and FRA are 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 PTC
system project funding, applicants must
indicate the other programs to which
they submitted or plan to submit an
application for funding the entire
project or certain project components, as
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
well as highlight new or revised
information in the PTC system project
application that differs from the
application(s) for other federal financial
assistance programs.
C. Eligibility Information
This section of the notice explains
applicant eligibility, cost sharing and
matching requirements, project
eligibility, and project component
operational independence. Applications
that do not meet the requirements in
this section will be ineligible for
funding. Instructions for submitting
eligibility information to FRA are
detailed in Section D of this NOFO.
1. Eligible Applicants
The following entities are eligible
applicants:
a. A State;
b. A group of States;
c. An Interstate Compact;
d. A public agency or publicly chartered
authority established by one or more States; 2
e. A political subdivision of a State;
f. Amtrak or another Rail Carrier that
provides Intercity Rail Passenger
Transportation (as defined in 49 U.S.C.
24102);
g. A Class II railroad or Class III railroad
(as those terms are defined in 49 U.S.C.
20102);
h. Any Rail Carrier or rail equipment
manufacturer in partnership with at least one
of the entities described in paragraph (a)
through (e);
i. The Transportation Research Board
together with any entity with which it
contracts in the development of rail-related
research, including cooperative research
programs;
j. A University transportation center
engaged in rail-related research; or
k. A non-profit labor organization
representing a class or craft of employees of
Rail Carriers or Rail Carrier contractors.
Applications must identify an eligible
applicant as the lead applicant. The lead
applicant serves as the primary point of
contact for the application, and if
selected, as the recipient of the PTC
system grant award. Eligible applicants
may reference entities that are not
eligible applicants in an application as
a project partner.
2. Cost Sharing or Matching
The Federal share of total costs for
projects funded under this notice will
not exceed 80 percent, though FRA will
provide selection preference to
applications where the proposed
Federal share of total project costs is 50
percent or less. The estimated total cost
of a project must be based on the best
2 See Section D(2)(a)(iv) for supporting
documentation required to demonstrate eligibility
under this eligibility category.
PO 00000
Frm 00079
Fmt 4703
Sfmt 4703
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
documentation, ‘‘Capital Cost
Estimating: Guidance for Project
Sponsors,’’ which is available at:
https://www.fra.dot.gov/Page/P0926.
The minimum 20 percent non-Federal
match may be comprised of public
sector (e.g., state or local) and/or private
sector funding. FRA will not consider
any Federal financial assistance, nor any
non-Federal funds already expended (or
otherwise encumbered) that do not
comply with 2 CFR 200.458 toward the
matching requirement. FRA is limiting
the first 20 percent of the non-Federal
match to cash contributions only. FRA
will not accept ‘‘in-kind’’ contributions
for the first 20 percent in matching
funds. 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.
Amtrak or another Rail Carrier may
use ticket and other non-Federal
revenues generated from its operations
and other sources as matching funds.
Applicants must identify the source(s)
of its matching and other funds, and
must clearly and distinctly reflect these
funds as part of the total project cost.
Before applying, applicants should
carefully review the principles for cost
sharing or matching in 2 CFR 200.306.
See Section D(2)(a)(iii) for required
application information on non-Federal
match and Section E for further
discussion of FRA’s consideration of
matching funds in the review and
selection process. FRA will approve preaward costs for reimbursement and
matching contributions consistent with
2 CFR 200.458, as applicable. See
Section D(6).
3. Other
a. Project Eligibility
Projects eligible for funding under
this NOFO must be used to deploy PTC
systems technology for Intercity
Passenger Rail Transportation, freight
rail transportation, and/or Commuter
Rail Passenger Transportation. Eligible
projects include: Back office systems;
wayside, communications and onboard
hardware equipment; software;
equipment installation; spectrum; any
component, testing and training for the
E:\FR\FM\18MYN1.SGM
18MYN1
23331
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
daltland on DSKBBV9HB2PROD with NOTICES
implementation of PTC systems; and
interoperability. Maintenance and
operating expenses incurred after a PTC
system is placed in revenue service are
ineligible. Applicants considering more
comprehensive projects that include
both PTC elements and other passenger/
freight improvements are directed to
request only the PTC element under this
NOFO or submit applications for the
more comprehensive project under the
subsequent NOFO, which FRA will
soon be issuing for the remainder of the
2018 CRISI funding.
Applicants are not limited in the
number of projects for which they seek
funding.
Applicants must complete all
necessary Planning, PE and NEPA
requirements for projects funded under
this NOFO. Projects for FD must:
Resolve remaining uncertainties or risks
associated with changes to design scope;
address procurement processes; and
update and refine plans for financing
the project or program to reflect
accurately the expected year-ofexpenditure costs and cash flow
projections. Applicants selected for
funding under this NOFO must
demonstrate the following to FRA’s
satisfaction:
i. PE is completed for the proposed
project, resulting in project designs that
are reasonably expected to conform to
all regulatory, safety, security, and other
design requirements, including those
under the Americans with Disabilities
Act (ADA);
ii. NEPA is completed for the
proposed project;
iii. Signed agreements with key
project partners, including
infrastructure-owning entities; and
iv. A project management plan is inplace for managing the implementation
of the proposed project, including the
management and mitigation of project
risks.
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.)
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
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.
1. Address To Request Application
Package
Applicants must submit all
application materials for PTC system
projects in their entirety through
www.Grants.gov no later than 5:00 p.m.
EDT, on July 2, 2018. FRA reserves the
right to modify this deadline. General
information for submitting applications
through Grants.gov can be found at:
https://www.fra.dot.gov/Page/P0270.
For any supporting application
materials that an applicant cannot
submit via Grants.gov, such as oversized
engineering drawings, an applicant may
submit an original and two (2) copies to
Ms. Amy Houser, Office of Program
Delivery, Federal Railroad
Administration, 1200 New Jersey
Avenue SE, Room W36–412,
Washington, DC 20590. However, due to
delays caused by enhanced screening of
mail delivered via the U.S. Postal
Service, FRA advises applicants to use
other means of conveyance (such as
courier service) to assure timely receipt
of materials before the application
deadline. Additionally, if documents
can be obtained online, 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 selected to
receive funding must generally satisfy
PO 00000
Frm 00080
Fmt 4703
Sfmt 4703
the grant readiness checklist
requirements on https://
www.fra.dot.gov/Page/P0268 as a
precondition to FRA issuing a grant
award, as well as the requirements in 49
U.S.C. 24405 explained in part at
https://www.fra.dot.gov/page/P0185. If a
project is selected for PTC systems in
Commuter Rail Passenger
Transportation under 49 U.S.C.
24407(c)(1) and such funds are
transferred in the Secretary’s discretion,
applicants will be required to comply
with chapter 53 of Title 49 of the United
States Code.
Required documents for an
application package are outlined in the
checklist below.
i. Project Narrative (see D.2.a)
ii. Statement of Work (see D.2.b.i)
iii. Benefit-Cost Analysis (see D.2. b.ii)
iv. SF424—Application for Federal
Assistance
v. Either: SF 424A—Budget Information
for Non-Construction projects or SF
424C—Budget Information for
Construction
vi. Either: SF 424B—Assurances for
Non-Construction projects or SF
424D—Assurances for Construction
vii. FRA’s Additional Assurances and
Certifications
viii. SF LLL—Disclosure of Lobbying
Activities
a. Project Narrative
This section describes the minimum
content required in the Project Narrative
of the grant application. The Project
Narrative must follow the basic outline
below to address the program
requirements and assist evaluators in
locating relevant information.
I. Cover Page ....................
II. Project Summary ...........
III. Project Funding ............
IV. Applicant Eligibility .......
V. Project Eligibility ............
VI. Detailed Project Description.
VII. Project Location ..........
VIII. Evaluation and Selection Criteria.
IX. Project Implementation
and Management.
X. PTC Readiness .............
XI. Environmental Readiness.
See
See
See
See
See
See
D.2.a.i.
D.2.a.ii.
D.2.a.iii.
D.2.a.iv.
D.2.a.v.
D.2.a.vi.
See D.2.a.vii.
See D.2.a.viii.
See D.2.a.ix.
See D.2.a.x.
See D.2.a.xi.
The above content must be provided
in a narrative statement submitted by
the applicant. The Project Narrative may
not exceed 25 pages in length
(excluding cover pages, table of
contents, and supporting
documentation). FRA will not review or
consider for award applications with
Project Narratives exceeding the 25-page
limitation. If possible, applicants should
E:\FR\FM\18MYN1.SGM
18MYN1
23332
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
submit supporting documents via
website links rather than hard copies. If
supporting documents are submitted,
applicants must clearly identify the
page number(s) of the relevant portion
in the Project Narrative supporting
documentation. The Project Narrative
must adhere to the following outline.
i. Cover Page: Include a cover page
that lists the following elements in a
table:
Project Title
Lead applicant
Was a Federal grant application previously submitted for this project?
If yes, state the name of the Federal grant program and title of the project in the previous application.
Is this a Rural Project? What percentage of the project cost is based in a Rural Area?
Yes/no
Federal Grant Program:
Project Title:
Yes/no
Percentage of total project cost:
City(ies), State(s) where the project is located
Urbanized Area where the project is located
Population of Urbanized Area
ii. Project Summary: Provide a brief
4–6 sentence summary of the proposed
project and what the project will entail.
Include challenges the proposed project
aims to address, and summarize the
intended outcomes and anticipated
benefits that will result from the
proposed project.
iii. Project Funding: Indicate in table
format the amount of Federal funding
requested, the proposed non-Federal
match, identifying contributions from
the private sector if applicable, and total
project cost. Describe the non-Federal
Task No.
funding arrangement. Include funding
commitment letters outlining funding
agreements, as attachments or in an
appendix. Identify any specific project
components that the applicant proposes
for partial project funding. If all or a
majority of a project is located in a Rural
Area, identify the Rural Area(s) and
estimated percentage of project costs
that will be spent in the Rural Area.
Identify any previously incurred costs,
as well as other sources of Federal funds
committed to the project and any
Task name/project component
pending Federal requests. Also, note if
the requested Federal funding under
this NOFO or other programs must be
obligated or spent by a certain date due
to dependencies or relationships with
other Federal or non-Federal funding
sources, related projects, law, or other
factors. If applicable, provide the type
and estimated value of any proposed inkind contributions, and demonstrate
how the in-kind contributions meet the
requirements in 2 CFR 200.306.
Example Project Funding Table:
Cost
Percentage of total cost
1
2
Total Project Cost
Federal Funds Received from Previous Grant
Federal Funding Request
Non-Federal Funding/Match
Cash:
In-Kind:
daltland on DSKBBV9HB2PROD with NOTICES
Portion of Non-Federal Funding from the Private Sector
Portion of Total Project Costs Spent in a Rural Area
Pending Federal Funding Requests
iv. Applicant Eligibility: Explain how
the applicant meets the applicant
eligibility criteria outlined in Section C
of this notice, including references to
creation or enabling legislation for
public agencies and publicly chartered
authorities established by one or more
States.
v. Project Eligibility: Explain how the
project meets the project eligibility
criteria.
vi. Detailed Project Description:
Include a detailed project description
that expands upon the brief project
summary. This detailed description
should provide, at a minimum,
background on the challenges the
project aims to address; the expected
users and beneficiaries of the project,
including all railroad operators; the
specific components and elements of
the project; and any other information
the applicant deems necessary to justify
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
the proposed project. If applicable,
explain how the project will benefit
communities in Rural Areas. Applicants
must also:
(A) Document submission of a revised
Positive Train Control Implementation
Plan (PTCIP) to FRA as required by 49
U.S.C. 20157(a);
(B) Document that it is a tenant on
one or more host railroads that
submitted a revised PTCIP to FRA as
required by 49 U.S.C. 20157(a), which
states the tenant railroad is equipping
its rolling stock with a PTC system and
provides all other information required
under 49 CFR 236.1011 regarding the
tenant railroad; or
(C) Document why the applicant is
not required to submit a revised PTCIP
as required by 49 U.S.C. 20157(a), and
whether the proposed project will assist
in the deployment (i.e., installation and/
PO 00000
Frm 00081
Fmt 4703
Sfmt 4703
or full implementation) of a PTC system
required under 49 U.S.C. 20157.
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. 24407(f).
vii. Project Location: Include
geospatial data for the project, as well as
a map of the project’s location. On the
map, include the Rural Area boundaries,
if applicable, in which the project will
take place.
viii. Evaluation and Selection Criteria:
Include a thorough discussion of how
the proposed project meets all the
evaluation criteria and selection criteria,
as outlined in Section E of this notice.
If an application does not sufficiently
address the evaluation and selection
criteria, it is unlikely to be a competitive
application.
E:\FR\FM\18MYN1.SGM
18MYN1
daltland on DSKBBV9HB2PROD with NOTICES
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
ix. 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.
x. PTC Readiness: If the railroad is
subject to the statutory PTC mandate or
if the railroad is a tenant railroad that
operates on PTC-equipped territory and
must equip its locomotives and other
controlling rolling stock under 49 CFR
236.1006(a), provide a brief summary
about the railroad’s current progress
toward fully implementing a PTC
system under 49 CFR part 236, subpart
I. For such railroads and for any other
railroad, provide information about the
railroad’s progress towards completing
all hardware installation required for
implementation of a PTC system, testing
the PTC system (including field testing
and revenue service demonstration),
training personnel under 49 CFR
236.1041–236.1049, conducting
interoperability testing with any other
railroads that operate on the same main
line, and operating an FRA-certified
PTC system in revenue service. In
addition, and if applicable, applicants
may refer to their most recent Quarterly
PTC Progress Report (FRA Form F
6180.165) to provide additional details.
xi. Environmental Readiness: If the
NEPA process is complete, an applicant
should indicate the date of completion,
and provide a website link or other
reference to the documents
demonstrating compliance with NEPA,
which might include a final CE, Finding
of No Significant Impact, or Record of
Decision. If the NEPA process is not yet
underway or is underway, but is not
complete, the application should detail
the type of NEPA review underway,
where the project is in the process, and
indicate the anticipated date of
completion of all NEPA and related
milestones. If the last agency action
with respect to NEPA documents
occurred more than three years before
the application date, the applicant
should describe why the project has
been delayed and include a proposed
approach for verifying, and if necessary,
updating this information in accordance
with applicable NEPA requirements.
Additional information regarding FRA’s
environmental processes and
requirements are located at https://
www.fra.dot.gov/eLib/Details/L05286.
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
b. Additional Application Elements
Applicants must submit:
i. A Statement of Work (SOW)
addressing the scope, schedule, and
budget for the proposed project if it
were selected for award. The SOW must
contain sufficient detail so FRA, and the
applicant, can understand the expected
outcomes of the proposed work to be
performed and monitor progress toward
completing project tasks and
deliverables during a prospective grant’s
period of performance. Applicants must
use FRA’s standard SOW template to be
considered for award. The SOW
template is located at https://
www.fra.dot.gov/eLib/Details/L18661.
When preparing the budget as part of
the SOW, the total cost of a project must
be based on the best available
information as indicated in cited
references that include engineering
studies, studies of economic feasibility,
environmental analyses, and
information on the expected use of
equipment or facilities.
ii. A Benefit-Cost Analysis (BCA), as
an appendix to the Project Narrative for
each project submitted by an applicant.
The BCA must demonstrate in economic
terms the merits of investing in the
proposed project. The project narrative
should summarize the project’s benefits.
Benefits may apply to existing and
new rail users, as well as users of other
modes of transportation. In some cases,
benefits may be applied to populations
in the general vicinity of the project
area. Improvements to shared-use rail
corridors may benefit all users involved.
All benefits claimed for the project must
be clearly tied to the expected outcomes
of the project. Please refer to the BenefitCost Analysis Guidance for
Discretionary Grant Programs prior to
preparing a BCA at https://
www.transportation.gov/office-policy/
transportation-policy/benefit-costanalysis-guidance. In addition, please
also refer to the BCA FAQs on FRA’s
website for some rail specific examples
of how to apply the Benefit-Cost
Analysis Guidance for Discretionary
Grant Programs to CRISI applications.
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 NonConstruction or SF 424D—Assurances
for Construction;
vi. FRA’s Additional Assurances and
Certifications; and
vii. SF LLL—Disclosure of Lobbying
Activities.
Forms needed for the electronic
application process are at
www.Grants.gov.
PO 00000
Frm 00082
Fmt 4703
Sfmt 4703
23333
c. Post-Selection Requirements
See subsection 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
Grants.gov, applicants must be properly
registered. Complete instructions on
how to register and submit an
application can be found at
www.Grants.gov. Registering with
Grants.gov is a one-time process;
however, it can take up to several weeks
for first-time registrants to receive
confirmation and a user password. FRA
recommends that applicants start the
registration process as early as possible
to prevent delays that may preclude
submitting an application package by
the application deadline. Applications
will not be accepted after the due date.
Delayed registration is not an acceptable
justification for an application
extension.
FRA may not make a grant award to
an applicant until the applicant has
complied with all applicable Data
Universal Numbering System (DUNS)
and SAM requirements. (Please note
that if a Dun & Bradstreet DUNS number
must be obtained or renewed, this may
take a significant amount of time to
complete.) Late applications that are the
result of a failure to register or comply
with Grants.gov applicant requirements
in a timely manner will not be
considered. If an applicant has not fully
complied with the requirements by the
submission deadline, the application
will not be considered. To submit an
application through Grants.gov,
applicants must:
a. Obtain a DUNS Number
A DUNS number is required for
Grants.gov registration. The Office of
Management and Budget requires that
all businesses and nonprofit applicants
for Federal funds include a DUNS
number in their applications for a new
award or renewal of an existing award.
A DUNS number is a unique nine-digit
sequence recognized as the universal
standard for the government in
identifying and keeping track of entities
receiving Federal funds. The identifier
is used for tracking purposes and to
validate address and point of contact
information for Federal assistance
applicants, recipients, and subrecipients. The DUNS number will be
used throughout the grant life cycle.
Obtaining a DUNS number is a free,
one-time activity. Applicants may
obtain a DUNS number by calling 1–
E:\FR\FM\18MYN1.SGM
18MYN1
23334
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
866–705–5711 or by applying online at
https://www.dnb.com/us.
www.grants.gov/web/grants/applicants/
apply-for-grants.html.
b. Register With the SAM at
www.SAM.gov
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.
All applicants for Federal financial
assistance must maintain current
registrations in the SAM database. An
applicant must be registered in SAM to
successfully register in Grants.gov. The
SAM database is the repository for
standard information about Federal
financial assistance applicants,
recipients, and sub recipients.
Organizations that have previously
submitted applications via Grants.gov
are already registered with SAM, as it is
a requirement for Grants.gov
registration. Please note, however, that
applicants must update or renew their
SAM registration at least once per year
to maintain an active status. Therefore,
it is critical to check registration status
well in advance of the application
deadline. If an applicant is selected for
an award, the applicant must maintain
an active SAM registration with current
information throughout the period of
the award. Information about SAM
registration procedures is available at
www.sam.gov.
c. Create a Grants.gov Username and
Password
Applicants must complete an
Authorized Organization Representative
(AOR) profile on www.Grants.gov and
create a username and password.
Applicants must use the organization’s
DUNS number to complete this step.
Additional information about the
registration process is available at:
https://www.grants.gov/web/grants/
applicants/organizationregistration.html.
d. Acquire Authorization for Your AOR
From the E-Business Point of Contact
(E-Biz POC)
The E-Biz POC at the applicant’s
organization must respond to the
registration email from Grants.gov and
login at www.Grants.gov to authorize the
applicant as the AOR. Please note there
can be more than one AOR for an
organization.
daltland on DSKBBV9HB2PROD with NOTICES
e. Submit an Application Addressing
All Requirements Outlined in This
NOFO
If an applicant experiences difficulties
at any point during this process, please
call the Grants.gov Customer Center
Hotline at 1–800–518–4726, 24 hours a
day, 7 days a week (closed on Federal
holidays). For information and
instructions on each of these processes,
please see instructions at: https://
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
4. Submission Dates and Times
Applicants must submit complete
applications for PTC system projects to
www.Grants.gov no later than 5:00 p.m.
EDT, July 2, 2018. FRA reviews
www.Grants.gov information on dates/
times of applications submitted to
determine timeliness of submissions.
Late applications will be neither
reviewed nor considered. Delayed
registration is not an acceptable reason
for late submission. In order to apply for
funding under this announcement, all
applicants are expected to be registered
as an organization with Grants.gov.
Applicants are strongly encouraged to
apply early to ensure all materials are
received before this deadline.
To ensure a fair competition of
limited discretionary funds, the
following conditions are not valid
reasons to permit late submissions: (1)
Failure to complete the Grants.gov
registration process before the deadline;
(2) failure to follow Grants.gov
instructions on how to register and
apply as posted on its website; (3)
failure to follow all instructions in this
NOFO; and (4) technical issues
experienced with the applicant’s
computer or information technology
environment.
5. Intergovernmental Review
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 State
SPOC to determine if the program has
been selected for State review.
6. Funding Restrictions
Consistent with 2 CFR 200.458, as
applicable, FRA will only approve preaward costs if such costs are incurred
pursuant to the negotiation and in
anticipation of the grant agreement and
if such costs are necessary for efficient
and timely performance of the scope of
work. Under 2 CFR 200.458, grant
recipients must seek written approval
PO 00000
Frm 00083
Fmt 4703
Sfmt 4703
from the administering agency for preaward activities to be eligible for
reimbursement under the grant.
Activities initiated prior to the
execution of a grant or without written
approval may not be eligible for
reimbursement or included as a
grantee’s matching contribution.
7. Other Submission Requirements
If an applicant experiences difficulties
at any point during this process, please
call the Grants.gov Customer Center
Hotline at 1–800–518–4726, 24 hours a
day, 7 days a week (closed on Federal
holidays). For information and
instructions on each of these processes,
please see instructions at: https://
www.grants.gov/web/grants/applicants/
apply-for-grants.html.
E. Application Review Information
1. Criteria
a. Eligibility and Completeness Review
FRA will first screen each application
for applicant and project eligibility
(eligibility requirements are outlined in
Section C of this notice), completeness
(application documentation and
submission requirements are outlined in
Section D of this notice), and the 20
percent minimum match in determining
whether the application is eligible.
FRA will then consider the
applicant’s past performance in
developing and delivering similar
projects and previous financial
contributions, and previous competitive
grant technical evaluation ratings that
the proposed project received under
previous competitive grant programs
administered by the DOT if applicable.
b. Evaluation Criteria
FRA subject-matter experts will
evaluate all eligible and complete
applications using the evaluation
criteria outlined in this section to
determine project benefits and technical
merit.
i. Project Benefits:
FRA will evaluate the Benefit-Cost
Analysis of the proposed project for the
anticipated private and public benefits
relative to the costs of the proposed
project and the summary of benefits
provided in response to subsection
D(2)(a)(ii) including—
(A) Effects on system and service
performance;
(B) Effects on safety, competitiveness,
reliability, trip or transit time, and
resilience;
(C) Efficiencies from improved
integration with other modes; and
(D) Ability to meet existing or
anticipated demand.
ii. Technical Merit:
E:\FR\FM\18MYN1.SGM
18MYN1
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
daltland on DSKBBV9HB2PROD with NOTICES
FRA will evaluate application
information for the degree to which—
(A) The tasks and subtasks outlined in
the SOW are appropriate to achieve the
expected outcomes of the proposed
project.
(B) Applications indicate strong
project readiness and meet project
requirements.
(C) The technical qualifications and
experience of key personnel proposed to
lead and perform the technical efforts,
and the qualifications of the primary
and supporting organizations to fully
and successfully execute the proposed
project within the proposed timeframe
and budget are demonstrated.
(D) The proposed project’s business
plan considers potential private sector
participation in the financing,
construction, or operation of the
proposed project.
(E) The applicant has, or will have the
legal, financial, and technical capacity
to carry out the proposed project;
satisfactory continuing control over the
use of the equipment or facilities; and
the capability and willingness to
maintain the equipment or facilities.
(F) If applicable, the proposed project
is consistent with planning guidance
and documents set forth by DOT,
including those required by law or State
rail plans developed under Title 49,
United State Code, Chapter 227.
c. Selection Criteria
In addition to the eligibility and
completeness review and the evaluation
criteria outlined in this subsection, the
FRA Administrator will select projects
applying the following selection criteria:
i. The FRA Administrator will give
preference to projects for which the:
(A) Proposed Federal share of total
project costs is 50 percent or less; and
(B) Net benefits of the grant funds will
be maximized considering the BCA,
including anticipated private and public
benefits relative to the costs of the
proposed project, and factoring in the
other considerations in 49 U.S.C. 24407
(e).
ii. After applying the above
preferences, the FRA Administrator will
take into account the following key
Departmental objectives:
(A) Supporting economic vitality at
the national and regional level;
(B) Leveraging Federal funding to
attract other, non-Federal sources of
infrastructure investment, as well as
accounting for the life-cycle costs of the
project;
(C) Using innovative approaches to
improve safety and expedite project
delivery; and,
(D) Holding grant recipients
accountable for their performance and
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
achieving specific, measurable
outcomes identified by grant applicants.
2. Review and Selection Process
FRA will conduct a three-part
application review process, as follows:
a. Screen applications for
completeness and eligibility;
b. Evaluate eligible applications
(completed by technical panels applying
the evaluation criteria); and
c. Select projects for funding
(completed by the FRA Administrator
applying the selection criteria).
F. Federal Award Administration
Information
1. Federal Award Notice
FRA will announce applications
selected for funding in a press release
and on the FRA website after the
application review periods. 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. A formal cooperative
agreement or grant agreement signed by
both the grantee and the FRA, including
an approved scope, schedule, and
budget, is required before the award is
obligated and complete.
For all projects, obligation occurs
when a selected applicant and FRA
enter a written project specific
cooperative agreement or grant
agreement and is after the applicant has
satisfied applicable requirements. For
FD/Construction projects, these
requirements may include
transportation planning, PE and
environmental reviews.
2. Administrative and National Policy
Requirements
Due to funding limitations, projects
that are selected for funding may receive
less than the amount originally
requested. In those cases, applicants
must be able to demonstrate the
proposed projects are still viable and
can be completed with the amount
awarded.
Grantees and entities receiving
funding from the grantee, must comply
with all applicable laws and regulations.
Examples of administrative and national
policy requirements include: 2 CFR part
200; procurement standards;
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
PO 00000
Frm 00084
Fmt 4703
Sfmt 4703
23335
requirements including those applicable
to PTC projects; NEPA; environmental
justice requirements; performance
measures under 49 U.S.C. 24407(f); 49
U.S.C. 24405, including the Buy
America requirements and the provision
deeming operators rail carriers and
employers for certain purposes. Grants
for PTC system projects selected under
49 U.S.C. 24407(c)(1) for Commuter Rail
Passenger Transportation, if transferred
to a different agency, must comply with
the requirements of chapter 53 of Title
49.
See an example of standard terms and
conditions for FRA grant awards at
https://www.fra.dot.gov/eLib/Details/
L19057.
3. Reporting
a. Reporting Matters Related to Integrity
and Performance
Before making a Federal award with
a total amount of Federal share greater
than the simplified acquisition
threshold of $150,000 (see 2 CFR 200.88
Simplified Acquisition Threshold), FRA
will review and consider any
information about the applicant that is
in the designated integrity and
performance system accessible through
SAM (currently the Federal Awardee
Performance and Integrity Information
System (FAPIIS)). See 41 U.S.C. 2313.
An applicant, at its option, may
review information in the designated
integrity and performance systems
accessible through SAM and comment
on any information about itself that a
Federal awarding agency previously
entered and is currently in the
designated integrity and performance
system accessible through SAM.
FRA will consider any comments by
the applicant, in addition to the other
information in the designated integrity
and performance system, in making a
judgment about the applicant’s integrity,
business ethics, and record of
performance under Federal awards
when completing the review of risk
posed by applicants as described in 2
CFR 200.205.
b. 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.
c. Performance Reporting
Each applicant selected for funding
must collect information and report on
E:\FR\FM\18MYN1.SGM
18MYN1
23336
Federal Register / Vol. 83, No. 97 / Friday, May 18, 2018 / Notices
the project’s performance using
measures mutually agreed upon by FRA
and the grantee to assess progress in
achieving strategic goals and objectives.
G. Federal Awarding Agency Contacts
For further information regarding this
notice and the grants program, please
contact Ms. Amy Houser, Office of
Program Delivery, Federal Railroad
Administration, 1200 New Jersey
Avenue SE, Room W36–412,
Washington, DC 20590; email:
amy.houser@dot.gov; phone: 202–493–
0303.
H. Other Information
All information submitted as part of
or in support of any application shall
use publicly available data or data that
can be made public and methodologies
that are accepted by industry practice
and standards, to the extent possible. If
the application includes information the
applicant considers to be a trade secret
or confidential commercial or financial
information, the applicant should do the
following: (1) Note on the front cover
that the submission ‘‘Contains
Confidential Business Information
(CBI)’’; (2) mark each affected page
‘‘CBI’’; and (3) highlight or otherwise
denote the CBI portions.
DOT protects such information from
disclosure to the extent allowed under
applicable law. In the event DOT
receives a Freedom of Information Act
(FOIA) request for the information, DOT
will follow the procedures described in
its FOIA regulations at 49 CFR 7.17.
Only information that is ultimately
determined to be confidential under that
procedure will be exempt from
disclosure under FOIA.
Issued in Washington, DC
Ronald Louis Batory,
Administrator.
[FR Doc. 2018–10652 Filed 5–17–18; 8:45 am]
BILLING CODE 4910–06–P
DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety
Administration
[U.S. DOT Docket No. NHTSA–2018–0057]
Reports, Forms, and Record Keeping
Requirements
National Highway Traffic
Safety Administration (NHTSA), DOT.
ACTION: Request for public comment on
proposed collection of information.
daltland on DSKBBV9HB2PROD with NOTICES
AGENCY:
Before a Federal agency can
collect certain information from the
public, it must receive approval from
the Office of Management and Budget
SUMMARY:
VerDate Sep<11>2014
16:38 May 17, 2018
Jkt 244001
(OMB). Under procedures established
by the Paperwork Reduction Act of
1995, before seeking OMB approval,
Federal agencies must solicit public
comment on proposed collections of
information, including extensions and
reinstatements of previously approved
collections. This document describes
the collection of information for which
NHTSA intends to seek OMB approval.
DATES: Comments must be received on
or before July 17, 2018.
ADDRESSES: You may submit comments
identified by DOT Docket Number
NHTSA–2018–0057 using any of the
following methods:
Electronic submissions: Go to https://
www.regulations.gov. Follow the online
instructions for submitting comments.
Mail: Docket Management Facility,
M–30, U.S. Department of
Transportation, 1200 New Jersey
Avenue SE, West Building Ground
Floor, Room W12–140, Washington, DC
20590.
Hand Delivery: West Building Ground
Floor, Room W12–140, 1200 New Jersey
Avenue SE, Washington, DC, between 9
a.m. and 5 p.m., Monday through
Friday, except Federal holidays.
Fax: 1–202–493–2251.
Instructions: Each submission must
include the agency name and the docket
number for this Notice. Note that all
comments received will be posted
without change to https://
www.regulations.gov, including any
personal information provided.
FOR FURTHER INFORMATION CONTACT: Dr.
Kathy Sifrit, Contracting Officer’s
Representative, Office of Behavioral
Safety Research (NPD–320), National
Highway Traffic Safety Administration,
1200 New Jersey Avenue SE,
Washington, DC 20590. Dr. Sifrit’s
phone number is 202–366–0868, and
her email address is kathy.sifrit@
dot.gov.
SUPPLEMENTARY INFORMATION: Under the
Paperwork Reduction Act of 1995,
before an agency submits a proposed
collection of information to OMB for
approval, it must publish a document in
the Federal Register providing a 60-day
comment period and otherwise consult
with members of the public and affected
agencies concerning each proposed
collection of information. The OMB has
promulgated regulations describing
what must be included in such a
document. Under OMB’s regulations (at
5 CFR 1320.8(d)), an agency must ask
for public comment on the following:
(i) Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
PO 00000
Frm 00085
Fmt 4703
Sfmt 4703
(ii) The accuracy of the agency’s
estimate of the burden of the proposed
collection of information, including the
validity of the methodology and
assumptions used;
(iii) How to enhance the quality,
utility, and clarity of the information to
be collected; and
(iv) How to minimize the burden of
the collection of information on those
who are to respond, including the use
of appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology, e.g., permitting
electronic submission of responses.
In compliance with these
requirements, NHTSA asks public
comment on the following proposed
collection of information:
Title: Hazard Perception and
Distracted Driving Training Intervention
for Teens.
Type of Request: New information
collection.
OMB Clearance Number: None.
Requested Expiration Date of
Approval: Three years from date of
approval.
Summary of the Collection of
Information: The National Highway
Traffic Safety Administration (NHTSA)
proposes to collect information from
licensed teen drivers for a one-time
voluntary study to evaluate Risk
Awareness and Perception Training
(RAPT), a hazard perception and
distracted driving training intervention
for teens to improve driving safety.
NHTSA proposes to collect information
from newly-licensed teen drivers to
determine (1) their eligibility to
participate in a study to evaluate RAPT
hazard perception training; (2) their
hazard perception performance before
and after they complete RAPT or
placebo training, and again six months
after training; and (3) their driving
exposure via driving logs to account for
potential differences across participants.
In addition, participants will agree to
allow researchers to access their crash
and citation records for the first six
months of driving to support analyses of
the effects of RAPT training on crash
and citation rates.
These data will be analyzed to
determine (1) whether, during the first
six months of driving, new drivers who
complete RAPT training have fewer
crashes or traffic violations on their
driving records than comparison group
members who receive placebo training,
(2) when they do crash, is there a
difference in severity and at-fault
between drivers who took RAPT
training versus those who received
placebo training, (3) is there a difference
in driving exposure between those who
E:\FR\FM\18MYN1.SGM
18MYN1
]]>Agencies
[Federal Register Volume 83, Number 97 (Friday, May 18, 2018)]
[Notices]
[Pages 23328-23336]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-10652]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Funding Opportunity for Positive Train Control Systems
Grants Under the Consolidated Rail Infrastructure and Safety
Improvements Program
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of Funding Opportunity (NOFO or notice).
-----------------------------------------------------------------------
SUMMARY: This NOFO details the application procedures and requirements
to obtain grant funding for eligible positive train control (PTC)
system projects of the Consolidated Rail Infrastructure and Safety
Improvements (CRISI) Program. The funding in this NOFO is provided by
the Consolidated Appropriations Act, 2018, Division L, Title I, Public
Law 115-141 (2018 Appropriation). The opportunity described in this
notice is made available under Catalog of Federal Domestic Assistance
(CFDA) number 20.325, ``Consolidated Rail Infrastructure and Safety
Improvements.''
DATES: Applications under this solicitation are due no later than 5:00
p.m. EDT, July 2, 2018. Applications for funding or supplemental
material in support of such an application received after 5:00 p.m. EDT
on July 2, 2018 will not be considered for funding. Incomplete
applications will not be considered for funding. See Section D of this
notice for additional information on the application process.
ADDRESSES: Applications must be submitted via www.Grants.gov. Only
applicants who comply with all submission requirements described in
this notice and submit applications through www.Grants.gov will be
eligible for award. For any supporting application materials that an
applicant is unable to submit via www.Grants.gov (such as oversized
engineering drawings), an applicant may submit an original and two (2)
copies to Ms. Amy Houser, Office of Program Delivery, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W36-412, 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 in this
notice, please contact Ms. Amy Houser, Office of Program Delivery,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
412, Washington, DC 20590; email: [email protected]; phone: 202-493-
0303.
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing application materials. A list
providing the definitions of key terms used throughout the NOFO is in
Section A(2) below. These key terms are capitalized throughout the
NOFO. There are several administrative prerequisites and specific
eligibility requirements described herein that applicants must comply
with to submit an application. 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
[[Page 23329]]
A. Program Description
1. Overview
The purpose of this notice is to solicit applications for
competitive PTC system project funding authorized under Section 11301
of the Fixing America's Surface Transportation (FAST) Act, Public Law
114-94 (2015); 49 U.S.C. 24407 and funded in the 2018 Appropriation.
Together with the FAST Act, the 2018 Appropriation provides funding
made available under this NOFO to fund the deployment of PTC system
technology for Intercity Passenger Rail Transportation, freight rail
transportation and/or Commuter Rail Passenger Transportation. Projects
selected under this NOFO for Commuter Rail Passenger Transportation may
be transferred to the Federal Transit Administration for grant
administration. Projects selected for Intercity Passenger Rail
Transportation and freight rail transportation will be administered by
the FRA.
A railroad must fully implement a PTC system on all required route
miles by December 31, 2018, unless a railroad qualifies for and obtains
FRA approval of an alternative schedule (i.e., a deadline no later than
December 31, 2020) under the Positive Train Control Enforcement and
Implementation Act of 2015 (PTCEI Act). The PTCEI Act authorizes, and
requires, FRA to approve a railroad's alternative schedule only if the
railroad demonstrates in a written notification that it has met all
statutory criteria for an alternative schedule, including that it has:
(1) Installed, by December 31, 2018, all PTC system hardware consistent
with the governing PTC Implementation Plan (PTCIP); (2) acquired, by
December 31, 2018, all spectrum necessary to implement its PTC system
consistent with the governing PTCIP, and (3) made sufficient progress
on employee training, revenue service demonstration, and other criteria
as specified under 49 U.S.C. 20157(a)(3)(B)(i)-(vii).
2. Definitions of Key Terms
a. ``Benefit-Cost Analysis'' (``BCA'' or ``Cost-Benefit Analysis'')
is a systematic, data driven, and transparent analysis comparing
monetized project benefits and costs, using a no-build baseline and
properly discounted present values, including concise documentation of
the assumptions and methodology used to produce the analysis; a
description of the baseline, data sources used to project outcomes, and
values of key input parameters; basis of modeling including
spreadsheets, technical memos, etc.; and presentation of the
calculations in sufficient detail and transparency to allow the
analysis to be reproduced and sensitivity of results evaluated by FRA.
Please refer to the Benefit-Cost Analysis Guidance for Discretionary
Grant Programs prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer to the BCA FAQs
on FRA's website for some rail specific examples of how to apply the
BCA Guidance for Discretionary Grant Programs to CRISI applications.
b. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple ride, and commuter tickets and morning
and evening peak period operations. See 49 U.S.C. 24102(3).
c. ``Construction'' means the production of fixed works and
structures or substantial alterations to such structures or land and
associated costs.
d. ``Final Design'' (``FD'') means design activities following
Preliminary Engineering, and at a minimum, includes the preparation of
final Construction plans, detailed specifications, and estimates
sufficiently detailed to inform project stakeholders (designers,
reviewers, contractors, suppliers, etc.) of the actions required to
advance the project from design through completion of Construction.
e. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except Commuter Rail Passenger Transportation. See 49
U.S.C. 24401(3). In this notice, ``Intercity Passenger Rail Service''
and ``Intercity Passenger Rail Transportation'' are equivalent terms to
``Intercity Rail Passenger Transportation.''
f. ``National Environmental Policy Act'' (``NEPA'') is a Federal
law that requires Federal agencies to assess the environmental impacts
of a proposed action in consultation with appropriate federal, state,
and local authorities, and with the public. The NEPA class of action
depends on the nature of the proposed action, its complexity, and the
potential impacts. For purposes of this NOFO, NEPA also includes all
related Federal laws and regulations including Section 4(f) of the
Department of Transportation Act, Section 7 of the Endangered Species
Act, and Section 106 of the National Historic Preservation Act. (See
FRA's Environmental Procedures at: https://www.fra.dot.gov/eLib/details/L02561.)
g. ``Positive Train Control system'' (``PTC system'') is defined by
49 CFR 270.5 to mean a system designed to prevent train-to-train
collisions, overspeed derailments, incursions into established work
zone limits, and the movement of a train through a switch left in the
wrong position, as described in 49 CFR part 236, subpart I.
h. ``Preliminary Engineering'' (``PE'') means engineering design
to: (1) Define a project, including identification of all environmental
impacts, design of all critical project elements at a level sufficient
to assure reliable cost estimates and schedules, (2) complete project
management and financial plans, and (3) identify procurement
requirements and strategies. The PE development process starts with
specific project design alternatives that allow for the assessment of a
range of rail improvements, specific alignments, and project designs--
to be used concurrent with NEPA and related analyses. PE occurs prior
to FD and Construction.
i. ``Rail Carrier'' means a person providing common carrier
railroad transportation for compensation, but does not include street,
suburban, or interurban electric railways not operated as part of the
general system of rail transportation. See 49 U.S.C. 10102(5).
j. ``Rural Project'' means a project in which all or the majority
of the project (determined by the geographic location or locations
where the majority of the project funds will be spent) is located in a
Rural Area.
k. ``Rural Area'' is defined in 49 U.S.C. 24407(g)(2) to mean any
area not in an urbanized area as defined by the Census Bureau. The
Census Bureau defines ``Urbanized Area'' (``UA'') as an area with a
population of 50,000 or more people.\1\ Updated lists of UAs as defined
by the Census Bureau are available on the Census Bureau website at
https://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/.
---------------------------------------------------------------------------
\1\ See 74 FR 53030, 53043 (August 24, 2011) available at
https://www2.census.gov/geo/pdfs/reference/fedreg/fedregv76n164.pdf.
---------------------------------------------------------------------------
B. Federal Award Information
1. Available Award Amount
The total funding available for awards under this NOFO is
$250,000,000 for eligible PTC system projects under 49 U.S.C.
24407(c)(1). Under 49 U.S.C. 24407(g), at least $62,500,000 of the PTC
funds are available for Rural Projects. The balance of the CRISI
Program funding provided under the 2018 Appropriation for eligible
intercity passenger and freight railroad projects will be made
available under a separate NOFO.
[[Page 23330]]
2. Award Size
There are no predetermined minimum or maximum dollar thresholds for
awards. FRA anticipates making multiple awards with the available
funding. FRA may not be able to award grants to all eligible
applications, nor even to all applications that meet or exceed the
stated evaluation criteria (see Section E, Application Review
Information). Projects may require more funding than is available. FRA
encourages applicants to propose projects or components of projects
that have operational independence that can be completed and
implemented with the level of funding available together with other
sources.
FRA strongly encourages applicants to identify and include other
state, local, public, or private funding or financing to support the
proposed project.
3. Award Type
FRA will make awards for projects selected under this notice
through grant agreements and/or cooperative agreements. Grant
agreements are used when FRA does not expect to have substantial
Federal involvement in carrying out the funded activity. Cooperative
agreements allow for substantial Federal involvement in carrying out
the agreed upon investment, including technical assistance, review of
interim work products, and increased program oversight. The funding
provided under these cooperative agreements 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 alongside Federal funds throughout the life of the project.
See an example of standard terms and conditions for FRA grant awards
at: https://www.fra.dot.gov/eLib/Details/L19057.
4. Concurrent Applications
As DOT and FRA are 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 PTC system project funding, applicants must indicate the other
programs to which they submitted or plan to submit an application for
funding the entire project or certain project components, as well as
highlight new or revised information in the PTC system project
application that differs from the application(s) for other federal
financial assistance programs.
C. Eligibility Information
This section of the notice explains applicant eligibility, cost
sharing and matching requirements, project eligibility, and project
component operational independence. Applications that do not meet the
requirements in this section will be ineligible for funding.
Instructions for submitting eligibility information to FRA are detailed
in Section D of this NOFO.
1. Eligible Applicants
The following entities are eligible applicants:
a. A State;
b. A group of States;
c. An Interstate Compact;
d. A public agency or publicly chartered authority established
by one or more States; \2\
---------------------------------------------------------------------------
\2\ See Section D(2)(a)(iv) for supporting documentation
required to demonstrate eligibility under this eligibility category.
---------------------------------------------------------------------------
e. A political subdivision of a State;
f. Amtrak or another Rail Carrier that provides Intercity Rail
Passenger Transportation (as defined in 49 U.S.C. 24102);
g. A Class II railroad or Class III railroad (as those terms are
defined in 49 U.S.C. 20102);
h. Any Rail Carrier or rail equipment manufacturer in
partnership with at least one of the entities described in paragraph
(a) through (e);
i. The Transportation Research Board together with any entity
with which it contracts in the development of rail-related research,
including cooperative research programs;
j. A University transportation center engaged in rail-related
research; or
k. A non-profit labor organization representing a class or craft
of employees of Rail Carriers or Rail Carrier contractors.
Applications must identify an eligible applicant as the lead
applicant. The lead applicant serves as the primary point of contact
for the application, and if selected, as the recipient of the PTC
system grant award. Eligible applicants may reference entities that are
not eligible applicants in an application as a project partner.
2. Cost Sharing or Matching
The Federal share of total costs for projects funded under this
notice will not exceed 80 percent, though FRA will provide selection
preference to applications where the proposed Federal share of total
project costs is 50 percent or less. The estimated total cost of a
project must be based on the best available information, including
engineering studies, studies of economic feasibility, environmental
analyses, and information on the expected use of equipment and/or
facilities. Additionally, in preparing estimates of total project
costs, applicants should refer to FRA's cost estimate guidance
documentation, ``Capital Cost Estimating: Guidance for Project
Sponsors,'' which is available at: https://www.fra.dot.gov/Page/P0926.
The minimum 20 percent non-Federal match may be comprised of public
sector (e.g., state or local) and/or private sector funding. FRA will
not consider any Federal financial assistance, nor any non-Federal
funds already expended (or otherwise encumbered) that do not comply
with 2 CFR 200.458 toward the matching requirement. FRA is limiting the
first 20 percent of the non-Federal match to cash contributions only.
FRA will not accept ``in-kind'' contributions for the first 20 percent
in matching funds. 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.
Amtrak or another Rail Carrier may use ticket and other non-Federal
revenues generated from its operations and other sources as matching
funds. Applicants must identify the source(s) of its matching and other
funds, and must clearly and distinctly reflect these funds as part of
the total project cost.
Before applying, applicants should carefully review the principles
for cost sharing or matching in 2 CFR 200.306. See Section D(2)(a)(iii)
for required application information on non-Federal match and Section E
for further discussion of FRA's consideration of matching funds in the
review and selection process. FRA will approve pre-award costs for
reimbursement and matching contributions consistent with 2 CFR 200.458,
as applicable. See Section D(6).
3. Other
a. Project Eligibility
Projects eligible for funding under this NOFO must be used to
deploy PTC systems technology for Intercity Passenger Rail
Transportation, freight rail transportation, and/or Commuter Rail
Passenger Transportation. Eligible projects include: Back office
systems; wayside, communications and onboard hardware equipment;
software; equipment installation; spectrum; any component, testing and
training for the
[[Page 23331]]
implementation of PTC systems; and interoperability. Maintenance and
operating expenses incurred after a PTC system is placed in revenue
service are ineligible. Applicants considering more comprehensive
projects that include both PTC elements and other passenger/freight
improvements are directed to request only the PTC element under this
NOFO or submit applications for the more comprehensive project under
the subsequent NOFO, which FRA will soon be issuing for the remainder
of the 2018 CRISI funding.
Applicants are not limited in the number of projects for which they
seek funding.
Applicants must complete all necessary Planning, PE and NEPA
requirements for projects funded under this NOFO. Projects for FD must:
Resolve remaining uncertainties or risks associated with changes to
design scope; address procurement processes; and update and refine
plans for financing the project or program to reflect accurately the
expected year-of-expenditure costs and cash flow projections.
Applicants selected for funding under this NOFO must demonstrate the
following to FRA's satisfaction:
i. PE is completed for the proposed project, resulting in project
designs that are reasonably expected to conform to all regulatory,
safety, security, and other design requirements, including those under
the Americans with Disabilities Act (ADA);
ii. NEPA is completed for the proposed project;
iii. Signed agreements with key project partners, including
infrastructure-owning entities; and
iv. A project management plan is in-place for managing the
implementation of the proposed project, including the management and
mitigation of project risks.
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.
1. Address To Request Application Package
Applicants must submit all application materials for PTC system
projects in their entirety through www.Grants.gov no later than 5:00
p.m. EDT, on July 2, 2018. FRA reserves the right to modify this
deadline. General information for submitting applications through
Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270.
For any supporting application materials that an applicant cannot
submit via Grants.gov, such as oversized engineering drawings, an
applicant may submit an original and two (2) copies to Ms. Amy Houser,
Office of Program Delivery, Federal Railroad Administration, 1200 New
Jersey Avenue SE, Room W36-412, Washington, DC 20590. However, due to
delays caused by enhanced screening of mail delivered via the U.S.
Postal Service, FRA advises applicants to use other means of conveyance
(such as courier service) to assure timely receipt of materials before
the application deadline. Additionally, if documents can be obtained
online, 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 selected to receive funding must generally satisfy the grant
readiness checklist requirements on https://www.fra.dot.gov/Page/P0268
as a precondition to FRA issuing a grant award, as well as the
requirements in 49 U.S.C. 24405 explained in part at https://www.fra.dot.gov/page/P0185. If a project is selected for PTC systems in
Commuter Rail Passenger Transportation under 49 U.S.C. 24407(c)(1) and
such funds are transferred in the Secretary's discretion, applicants
will be required to comply with chapter 53 of Title 49 of the United
States Code.
Required documents for an application package are outlined in the
checklist below.
i. Project Narrative (see D.2.a)
ii. Statement of Work (see D.2.b.i)
iii. Benefit-Cost Analysis (see D.2. b.ii)
iv. SF424--Application for Federal Assistance
v. Either: SF 424A--Budget Information for Non-Construction projects or
SF 424C--Budget Information for Construction
vi. Either: SF 424B--Assurances for Non-Construction projects or SF
424D--Assurances for Construction
vii. FRA's Additional Assurances and Certifications
viii. SF LLL--Disclosure of Lobbying Activities
a. Project Narrative
This section describes the minimum content required in the Project
Narrative of the grant application. The Project Narrative must follow
the basic outline below to address the program requirements and assist
evaluators in locating relevant information.
------------------------------------------------------------------------
------------------------------------------------------------------------
I. Cover Page.......................... See D.2.a.i.
II. Project Summary.................... See D.2.a.ii.
III. Project Funding................... See D.2.a.iii.
IV. Applicant Eligibility.............. See D.2.a.iv.
V. Project Eligibility................. See D.2.a.v.
VI. Detailed Project Description....... See D.2.a.vi.
VII. Project Location.................. See D.2.a.vii.
VIII. Evaluation and Selection Criteria See D.2.a.viii.
IX. Project Implementation and See D.2.a.ix.
Management.
X. PTC Readiness....................... See D.2.a.x.
XI. Environmental Readiness............ See D.2.a.xi.
------------------------------------------------------------------------
The above content must be provided in a narrative statement
submitted by the applicant. The Project Narrative may not exceed 25
pages in length (excluding cover pages, table of contents, and
supporting documentation). FRA will not review or consider for award
applications with Project Narratives exceeding the 25-page limitation.
If possible, applicants should
[[Page 23332]]
submit supporting documents via website links rather than hard copies.
If supporting documents are submitted, applicants must clearly identify
the page number(s) of the relevant portion in the Project Narrative
supporting documentation. The Project Narrative must adhere to the
following outline.
i. Cover Page: Include a cover page that lists the following
elements in a table:
------------------------------------------------------------------------
------------------------------------------------------------------------
Project Title .................
Lead applicant .................
Was a Federal grant application previously submitted Yes/no
for this project?
If yes, state the name of the Federal grant program Federal Grant
and title of the project in the previous Program:
application.
Project Title:
Is this a Rural Project? What percentage of the Yes/no
project cost is based in a Rural Area? Percentage of
total project
cost:
City(ies), State(s) where the project is located .................
Urbanized Area where the project is located .................
Population of Urbanized Area .................
------------------------------------------------------------------------
ii. Project Summary: Provide a brief 4-6 sentence summary of the
proposed project and what the project will entail. Include challenges
the proposed project aims to address, and summarize the intended
outcomes and anticipated benefits that will result from the proposed
project.
iii. Project Funding: Indicate in table format the amount of
Federal funding requested, the proposed non-Federal match, identifying
contributions from the private sector if applicable, and total project
cost. Describe the non-Federal funding arrangement. Include funding
commitment letters outlining funding agreements, as attachments or in
an appendix. Identify any specific project components that the
applicant proposes for partial project funding. If all or a majority of
a project is located in a Rural Area, identify the Rural Area(s) and
estimated percentage of project costs that will be spent in the Rural
Area. Identify any previously incurred costs, as well as other sources
of Federal funds committed to the project and any pending Federal
requests. Also, note if the requested Federal funding under this NOFO
or other programs must be obligated or spent by a certain date due to
dependencies or relationships with other Federal or non-Federal funding
sources, related projects, law, or other factors. If applicable,
provide the type and estimated value of any proposed in-kind
contributions, and demonstrate how the in-kind contributions meet the
requirements in 2 CFR 200.306.
Example Project Funding Table:
------------------------------------------------------------------------
Task name/project Percentage of
Task No. component Cost total cost
------------------------------------------------------------------------
1 ................. ................. ...............
2 ................. ................. ...............
------------------------------------------------------------------------
Total Project Cost ................. ...............
Federal Funds Received from Previous ................. ...............
Grant
Federal Funding Request ................. ...............
Non-Federal Funding/Match Cash:
In-Kind: ...............
Portion of Non-Federal Funding from ................. ...............
the Private Sector
Portion of Total Project Costs Spent ................. ...............
in a Rural Area
Pending Federal Funding Requests ................. ...............
------------------------------------------------------------------------
iv. Applicant Eligibility: Explain how the applicant meets the
applicant eligibility criteria outlined in Section C of this notice,
including references to creation or enabling legislation for public
agencies and publicly chartered authorities established by one or more
States.
v. Project Eligibility: Explain how the project meets the project
eligibility criteria.
vi. Detailed Project Description: Include a detailed project
description that expands upon the brief project summary. This detailed
description should provide, at a minimum, background on the challenges
the project aims to address; the expected users and beneficiaries of
the project, including all railroad operators; the specific components
and elements of the project; and any other information the applicant
deems necessary to justify the proposed project. If applicable, explain
how the project will benefit communities in Rural Areas. Applicants
must also:
(A) Document submission of a revised Positive Train Control
Implementation Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a);
(B) Document that it is a tenant on one or more host railroads that
submitted a revised PTCIP to FRA as required by 49 U.S.C. 20157(a),
which states the tenant railroad is equipping its rolling stock with a
PTC system and provides all other information required under 49 CFR
236.1011 regarding the tenant railroad; or
(C) Document why the applicant is not required to submit a revised
PTCIP as required by 49 U.S.C. 20157(a), and whether the proposed
project will assist in the deployment (i.e., installation and/or full
implementation) of a PTC system required under 49 U.S.C. 20157.
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. 24407(f).
vii. Project Location: Include geospatial data for the project, as
well as a map of the project's location. On the map, include the Rural
Area boundaries, if applicable, in which the project will take place.
viii. Evaluation and Selection Criteria: Include a thorough
discussion of how the proposed project meets all the evaluation
criteria and selection criteria, as outlined in Section E of this
notice. If an application does not sufficiently address the evaluation
and selection criteria, it is unlikely to be a competitive application.
[[Page 23333]]
ix. 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.
x. PTC Readiness: If the railroad is subject to the statutory PTC
mandate or if the railroad is a tenant railroad that operates on PTC-
equipped territory and must equip its locomotives and other controlling
rolling stock under 49 CFR 236.1006(a), provide a brief summary about
the railroad's current progress toward fully implementing a PTC system
under 49 CFR part 236, subpart I. For such railroads and for any other
railroad, provide information about the railroad's progress towards
completing all hardware installation required for implementation of a
PTC system, testing the PTC system (including field testing and revenue
service demonstration), training personnel under 49 CFR 236.1041-
236.1049, conducting interoperability testing with any other railroads
that operate on the same main line, and operating an FRA-certified PTC
system in revenue service. In addition, and if applicable, applicants
may refer to their most recent Quarterly PTC Progress Report (FRA Form
F 6180.165) to provide additional details.
xi. Environmental Readiness: If the NEPA process is complete, an
applicant should indicate the date of completion, and provide a website
link or other reference to the documents demonstrating compliance with
NEPA, which might include a final CE, Finding of No Significant Impact,
or Record of Decision. If the NEPA process is not yet underway or is
underway, but is not complete, the application should detail the type
of NEPA review underway, where the project is in the process, and
indicate the anticipated date of completion of all NEPA and related
milestones. If the last agency action with respect to NEPA documents
occurred more than three years before the application date, the
applicant should describe why the project has been delayed and include
a proposed approach for verifying, and if necessary, updating this
information in accordance with applicable NEPA requirements. Additional
information regarding FRA's environmental processes and requirements
are located at https://www.fra.dot.gov/eLib/Details/L05286.
b. Additional Application Elements
Applicants must submit:
i. A Statement of Work (SOW) addressing the scope, schedule, and
budget for the proposed project if it were selected for award. The SOW
must contain sufficient detail so FRA, and the applicant, can
understand the expected outcomes of the proposed work to be performed
and monitor progress toward completing project tasks and deliverables
during a prospective grant's period of performance. Applicants must use
FRA's standard SOW template to be considered for award. The SOW
template is located at https://www.fra.dot.gov/eLib/Details/L18661.
When preparing the budget as part of the SOW, the total cost of a
project must be based on the best available information as indicated in
cited references that include engineering studies, studies of economic
feasibility, environmental analyses, and information on the expected
use of equipment or facilities.
ii. A Benefit-Cost Analysis (BCA), as an appendix to the Project
Narrative for each project submitted by an applicant. The BCA must
demonstrate in economic terms the merits of investing in the proposed
project. The project narrative should summarize the project's benefits.
Benefits may apply to existing and new rail users, as well as users
of other modes of transportation. In some cases, benefits may be
applied to populations in the general vicinity of the project area.
Improvements to shared-use rail corridors may benefit all users
involved. All benefits claimed for the project must be clearly tied to
the expected outcomes of the project. Please refer to the Benefit-Cost
Analysis Guidance for Discretionary Grant Programs prior to preparing a
BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer
to the BCA FAQs on FRA's website for some rail specific examples of how
to apply the Benefit-Cost Analysis Guidance for Discretionary Grant
Programs to CRISI applications.
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; and
vii. SF LLL--Disclosure of Lobbying Activities.
Forms needed for the electronic application process are at
www.Grants.gov.
c. Post-Selection Requirements
See subsection F(2) of this notice for post-selection requirements.
3. Unique Entity Identifier, System for Award Management (SAM), and
Submission Instructions
To apply for funding through Grants.gov, applicants must be
properly registered. Complete instructions on how to register and
submit an application can be found at www.Grants.gov. Registering with
Grants.gov is a one-time process; however, it can take up to several
weeks for first-time registrants to receive confirmation and a user
password. FRA recommends that applicants start the registration process
as early as possible to prevent delays that may preclude submitting an
application package by the application deadline. Applications will not
be accepted after the due date. Delayed registration is not an
acceptable justification for an application extension.
FRA may not make a grant award to an applicant until the applicant
has complied with all applicable Data Universal Numbering System (DUNS)
and SAM requirements. (Please note that if a Dun & Bradstreet DUNS
number must be obtained or renewed, this may take a significant amount
of time to complete.) Late applications that are the result of a
failure to register or comply with Grants.gov applicant requirements in
a timely manner will not be considered. If an applicant has not fully
complied with the requirements by the submission deadline, the
application will not be considered. To submit an application through
Grants.gov, applicants must:
a. Obtain a DUNS Number
A DUNS number is required for Grants.gov registration. The Office
of Management and Budget requires that all businesses and nonprofit
applicants for Federal funds include a DUNS number in their
applications for a new award or renewal of an existing award. A DUNS
number is a unique nine-digit sequence recognized as the universal
standard for the government in identifying and keeping track of
entities receiving Federal funds. The identifier is used for tracking
purposes and to validate address and point of contact information for
Federal assistance applicants, recipients, and 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-
[[Page 23334]]
866-705-5711 or by applying online at https://www.dnb.com/us.
b. Register With the SAM at www.SAM.gov
All applicants for Federal financial assistance must maintain
current registrations in the SAM database. An applicant must be
registered in SAM to successfully register in Grants.gov. The SAM
database is the repository for standard information about Federal
financial assistance applicants, recipients, and sub recipients.
Organizations that have previously submitted applications via
Grants.gov are already registered with SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award. Information about SAM registration procedures is
available at www.sam.gov.
c. Create a Grants.gov Username and Password
Applicants must complete an Authorized Organization Representative
(AOR) profile on www.Grants.gov and create a username and password.
Applicants must use the organization's DUNS number to complete this
step. Additional information about the registration process is
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
d. Acquire Authorization for Your AOR From the E-Business Point of
Contact (E-Biz POC)
The E-Biz POC at the applicant's organization must respond to the
registration email from Grants.gov and login at www.Grants.gov to
authorize the applicant as the AOR. Please note there can be more than
one AOR for an organization.
e. Submit an Application Addressing All Requirements Outlined in This
NOFO
If an applicant experiences difficulties at any point during this
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays).
For information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/web/grants/applicants/apply-for-grants.html.
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 for PTC system
projects to www.Grants.gov no later than 5:00 p.m. EDT, July 2, 2018.
FRA reviews www.Grants.gov information on dates/times of applications
submitted to determine timeliness of submissions. Late applications
will be neither reviewed nor considered. Delayed registration is not an
acceptable reason for late submission. In order to apply for funding
under this announcement, all applicants are expected to be registered
as an organization with Grants.gov. Applicants are strongly encouraged
to apply early to ensure all materials are received before this
deadline.
To ensure a fair competition of limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(1) Failure to complete the Grants.gov registration process before the
deadline; (2) failure to follow Grants.gov instructions on how to
register and apply as posted on its website; (3) failure to follow all
instructions in this NOFO; and (4) technical issues experienced with
the applicant's computer or information technology environment.
5. Intergovernmental Review
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 State SPOC to
determine if the program has been selected for State review.
6. Funding Restrictions
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, grant recipients must seek written approval from
the administering agency for pre-award activities to be eligible for
reimbursement under the grant. Activities initiated prior to the
execution of a grant or without written approval may not be eligible
for reimbursement or included as a grantee's matching contribution.
7. Other Submission Requirements
If an applicant experiences difficulties at any point during this
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays).
For information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/web/grants/applicants/apply-for-grants.html.
E. Application Review Information
1. Criteria
a. Eligibility and Completeness Review
FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in Section C of this
notice), completeness (application documentation and submission
requirements are outlined in Section D of this notice), and the 20
percent minimum match in determining whether the application is
eligible.
FRA will then consider the applicant's past performance in
developing and delivering similar projects and previous financial
contributions, and previous competitive grant technical evaluation
ratings that the proposed project received under previous competitive
grant programs administered by the DOT if applicable.
b. Evaluation Criteria
FRA subject-matter experts will evaluate all eligible and complete
applications using the evaluation criteria outlined in this section to
determine project benefits and technical merit.
i. Project Benefits:
FRA will evaluate the Benefit-Cost Analysis of the proposed project
for the anticipated private and public benefits relative to the costs
of the proposed project and the summary of benefits provided in
response to subsection D(2)(a)(ii) including--
(A) Effects on system and service performance;
(B) Effects on safety, competitiveness, reliability, trip or
transit time, and resilience;
(C) Efficiencies from improved integration with other modes; and
(D) Ability to meet existing or anticipated demand.
ii. Technical Merit:
[[Page 23335]]
FRA will evaluate application information for the degree to which--
(A) The tasks and subtasks outlined in the SOW are appropriate to
achieve the expected outcomes of the proposed project.
(B) Applications indicate strong project readiness and meet project
requirements.
(C) The technical qualifications and experience of key personnel
proposed to lead and perform the technical efforts, and the
qualifications of the primary and supporting organizations to fully and
successfully execute the proposed project within the proposed timeframe
and budget are demonstrated.
(D) The proposed project's business plan considers potential
private sector participation in the financing, construction, or
operation of the proposed project.
(E) The applicant has, or will have the legal, financial, and
technical capacity to carry out the proposed project; satisfactory
continuing control over the use of the equipment or facilities; and the
capability and willingness to maintain the equipment or facilities.
(F) If applicable, the proposed project is consistent with planning
guidance and documents set forth by DOT, including those required by
law or State rail plans developed under Title 49, United State Code,
Chapter 227.
c. Selection Criteria
In addition to the eligibility and completeness review and the
evaluation criteria outlined in this subsection, the FRA Administrator
will select projects applying the following selection criteria:
i. The FRA Administrator will give preference to projects for which
the:
(A) Proposed Federal share of total project costs is 50 percent or
less; and
(B) Net benefits of the grant funds will be maximized considering
the BCA, including anticipated private and public benefits relative to
the costs of the proposed project, and factoring in the other
considerations in 49 U.S.C. 24407 (e).
ii. After applying the above preferences, the FRA Administrator
will take into account the following key Departmental objectives:
(A) Supporting economic vitality at the national and regional
level;
(B) Leveraging Federal funding to attract other, non-Federal
sources of infrastructure investment, as well as accounting for the
life-cycle costs of the project;
(C) Using innovative approaches to improve safety and expedite
project delivery; and,
(D) Holding grant recipients accountable for their performance and
achieving specific, measurable outcomes identified by grant applicants.
2. Review and Selection Process
FRA will conduct a three-part application review process, as
follows:
a. Screen applications for completeness and eligibility;
b. Evaluate eligible applications (completed by technical panels
applying the evaluation criteria); and
c. Select projects for funding (completed by the FRA Administrator
applying the selection criteria).
F. Federal Award Administration Information
1. Federal Award Notice
FRA will announce applications selected for funding in a press
release and on the FRA website after the application review periods.
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. A formal cooperative agreement or grant agreement signed by
both the grantee and the FRA, including an approved scope, schedule,
and budget, is required before the award is obligated and complete.
For all projects, obligation occurs when a selected applicant and
FRA enter a written project specific cooperative agreement or grant
agreement and is after the applicant has satisfied applicable
requirements. For FD/Construction projects, these requirements may
include transportation planning, PE and environmental reviews.
2. Administrative and National Policy Requirements
Due to funding limitations, projects that are selected for funding
may receive less than the amount originally requested. In those cases,
applicants must be able to demonstrate the proposed projects are still
viable and can be completed with the amount awarded.
Grantees and entities receiving funding from the grantee, must
comply with all applicable laws and regulations. Examples of
administrative and national policy requirements include: 2 CFR part
200; procurement standards; 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 including those applicable
to PTC projects; NEPA; environmental justice requirements; performance
measures under 49 U.S.C. 24407(f); 49 U.S.C. 24405, including the Buy
America requirements and the provision deeming operators rail carriers
and employers for certain purposes. Grants for PTC system projects
selected under 49 U.S.C. 24407(c)(1) for Commuter Rail Passenger
Transportation, if transferred to a different agency, must comply with
the requirements of chapter 53 of Title 49.
See an example of standard terms and conditions for FRA grant
awards at https://www.fra.dot.gov/eLib/Details/L19057.
3. Reporting
a. Reporting Matters Related to Integrity and Performance
Before making a Federal award with a total amount of Federal share
greater than the simplified acquisition threshold of $150,000 (see 2
CFR 200.88 Simplified Acquisition Threshold), FRA will review and
consider any information about the applicant that is in the designated
integrity and performance system accessible through SAM (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)).
See 41 U.S.C. 2313.
An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a Federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
FRA will consider any comments by the applicant, in addition to the
other information in the designated integrity and performance system,
in making a judgment about the applicant's integrity, business ethics,
and record of performance under Federal awards when completing the
review of risk posed by applicants as described in 2 CFR 200.205.
b. 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.
c. Performance Reporting
Each applicant selected for funding must collect information and
report on
[[Page 23336]]
the project's performance using measures mutually agreed upon by FRA
and the grantee to assess progress in achieving strategic goals and
objectives.
G. Federal Awarding Agency Contacts
For further information regarding this notice and the grants
program, please contact Ms. Amy Houser, Office of Program Delivery,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
412, Washington, DC 20590; email: [email protected]; phone: 202-493-
0303.
H. Other Information
All information submitted as part of or in support of any
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the application includes
information the applicant considers to be a trade secret or
confidential commercial or financial information, the applicant should
do the following: (1) Note on the front cover that the submission
``Contains Confidential Business Information (CBI)''; (2) mark each
affected page ``CBI''; and (3) highlight or otherwise denote the CBI
portions.
DOT protects such information from disclosure to the extent allowed
under applicable law. In the event DOT receives a Freedom of
Information Act (FOIA) request for the information, DOT will follow the
procedures described in its FOIA regulations at 49 CFR 7.17. Only
information that is ultimately determined to be confidential under that
procedure will be exempt from disclosure under FOIA.
Issued in Washington, DC
Ronald Louis Batory,
Administrator.
[FR Doc. 2018-10652 Filed 5-17-18; 8:45 am]
BILLING CODE 4910-06-P
