[Federal Register Volume 85, Number 112 (Wednesday, June 10, 2020)]
[Notices]
[Pages 35497-35507]
[FR Doc No: 2020-12542]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

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

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

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

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SUMMARY: This notice details the application requirements and
procedures to obtain grant funding for eligible projects under the
Federal-State Partnership for State of Good Repair Program (Partnership
Program). This notice solicits applications for Partnership Program
funds made available by the Further Consolidated Appropriations Act,
2020 (2020 Appropriations Act) and the Consolidated Appropriations Act,
2019 (2019 Appropriations Act). The opportunity described in this
notice is made available under Catalog of Federal Domestic Assistance
(CFDA) number 20.326, ``Federal-State Partnership for State of Good
Repair.''

DATES: Applications for funding under this solicitation are due no
later than 5:00 p.m. ET, July 27, 2020. FRA will not consider
applications for funding or supplemental material in support of an
application received after 5:00 p.m. ET, on July 27, 2020 or incomplete
applications 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 Bryan Rodda, Office of Policy and Planning, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W38-203, Washington, DC
20590. However, due to delays caused by enhanced screening of mail
delivered via the U.S. Postal Service, applicants are advised to use
other means of conveyance (such as courier service) to assure timely
receipt of materials before the application deadline.

FOR FURTHER INFORMATION CONTACT: For further information related to
this notice, please contact Mr. Bryan Rodda, Office of Policy and
Planning, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Room W38-203, Washington, DC 20590; email<EMAIL_ADDRESS>phone:
202-493-0443, or Ms. Ruthie Americus, Office of Policy and Planning,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W36-
403, Washington, DC 20590; email<EMAIL_ADDRESS>phone: 202-
493-0431.

SUPPLEMENTARY INFORMATION:
    Notice to applicants: FRA recommends that applicants read this
notice in its entirety prior to preparing application materials.
Definitions of key terms used throughout the NOFO are provided in
Section A(2). These key terms are capitalized throughout the NOFO.
There are several administrative and eligibility requirements described
herein with which applicants must comply. Additionally, applicants
should note that the required Project Narrative component of the
application package may not exceed 25 pages in length.

Table of Contents:

A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information

A. Program Description

1. Overview

    The purpose of this notice is to solicit applications for grants
for Capital Projects within the United States to repair, replace, or
rehabilitate Qualified Railroad Assets to reduce the state of good
repair backlog and improve Intercity Passenger Rail performance under
the Partnership Program. The Partnership Program provides a Federal
funding opportunity to leverage private, state, and local investments
to improve significantly American rail infrastructure. The Partnership
Program is authorized in Sections 11103 and 11302 of the Passenger Rail
Reform and Investment Act of 2015 (Title XI of the

Fixing America's Surface Transportation (FAST) Act, Public Law 114-94
(2015)); codified at 49 U.S.C. 24911 and this NOFO is funded by the
2020 Appropriations Act and 2019 Appropriations Act.
    DOT recognizes the importance of applying life cycle asset
management principles throughout America's infrastructure. It is
important for rail infrastructure owners and operators, as well as
those who may apply on their behalf, to plan for the maintenance and
replacement of assets and the associated costs. In light of recent
fatal passenger rail accidents, DOT particularly recognizes the
opportunity to enhance safety in both track and equipment through this
grant program and encourages the submission of proposed projects to
grade-separate or otherwise improve safety at highway-rail grade
crossings.
    The Partnership Program is intended to benefit both the Northeast
Corridor (``NEC'') and public or Amtrak-owned or controlled
infrastructure, equipment, and facilities located in other areas of the
country. Applicants should note that the Partnership Program has
distinct eligibility requirements based on project location. In
addition to the generally applicable requirements, applicants proposing
NEC Projects should specifically review the NEC-specific requirements
provided in Section C(3)(b), and the Qualified Railroad Asset
information provided in Section D(2)(a)(vi) while applicants proposing
Non-NEC Projects should review the Qualified Railroad Asset information
provided in Section D(2)(a)(v).

2. Definitions of Key Terms

    a. ``Benefit-Cost Analysis'' (or ``Cost-Benefit Analysis'') is a
systematic, data-driven, and transparent analysis comparing monetized
project benefits and costs, using a no-build baseline and properly
discounted present values, including concise documentation of the
assumptions and methodology used to produce the analysis, a description
of the baseline, data sources used to project outcomes, values of key
input parameters, basis of modeling (including spreadsheets, technical
memos, etc.), and presentation of the calculations in sufficient detail
and transparency to allow the analysis to be reproduced and sensitivity
of results evaluated by FRA. Please refer to the Benefit-Cost Analysis
(BCA) Guidance for Discretionary Grant Programs prior to preparing a
BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer
to the BCA FAQs on FRA's website for rail-specific examples of how to
apply the BCA Guidance for Discretionary Grant Programs to Partnership
Program applications.
    b. ``Capital Project'' means a project primarily intended to
replace, rehabilitate, or repair major infrastructure assets utilized
for providing Intercity Passenger Rail service, including tunnels,
bridges, stations, and other assets, as determined by the Secretary of
Transportation; or a project primarily intended to improve Intercity
Passenger Rail performance, including reduced trip times, increased
train frequencies, and higher operating speeds, and other improvements,
as determined by the Secretary, consistent with 49 U.S.C. 24911(a)(2).
    c. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple ride, and commuter tickets and morning
and evening peak period operations, consistent with 49 U.S.C. 24102(3).
    d. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except Commuter Rail Passenger Transportation,
consistent with 49 U.S.C. 24911(a)(3). In this notice, ``Intercity
Passenger Rail'' is an equivalent term to ``Intercity Rail Passenger
Transportation.''
    e. ``Major Capital Project'' means a Capital Project with an
estimated total project cost of $300 million or more.
    f. ``NEC Project'' means a Capital Project where the Qualified
Railroad Assets involved in the project are part of, or in primary use
for, the Northeast Corridor (``NEC'').
    g. ``Non-NEC Project'' means a Capital Project where the Qualified
Railroad Assets involved in the project are not part of, or are not in
primary use for, the Northeast Corridor (``NEC'').
    h. ``Northeast Corridor'' (``NEC'') means the main rail line
between Boston, Massachusetts, and the District of Columbia; the branch
rail lines connecting to Harrisburg, Pennsylvania, Springfield,
Massachusetts, and Spuyten Duyvil, New York; and facilities and
services used to operate and maintain these lines, consistent with 49
U.S.C. 24911(a)(4).
    i. A ``Qualified Railroad Asset,'' consistent with 49 U.S.C.
24911(a)(5), means infrastructure, equipment, or a facility that:
    i. Is owned or controlled by an eligible applicant;
    ii. is contained in the planning document developed under 49 U.S.C.
24904 and for which a cost-allocation policy has been developed under
49 U.S.C. 24905(c), or is contained in an equivalent planning document
and for which a similar cost-allocation policy has been developed; and
    iii. was not in a State of Good Repair on the date of enactment of
the Passenger Rail Reform and Investment Act of 2015 (December 4,
2015).
    See Section D(2)(a), Project Narrative, for further details about
the Qualified Railroad Asset requirements and application submission
instructions related to Qualified Railroad Assets.\1\
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    \1\ For any project that includes purchasing intercity passenger
rail equipment, applicants are encouraged to use a standardized
approach to the procurement, such as the specifications developed by
the Next Generation Corridor Equipment Pool Committee or a similarly
uniform process.
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    j. ``State of Good Repair'' means a condition in which physical
assets, both individually and as a system, are (A) performing at a
level at least equal to that called for in their as-built or as-
modified design specification during any period when the life cycle
cost of maintaining the assets is lower than the cost of replacing
them; and (B) sustained through regular maintenance and replacement
programs, consistent with 49 U.S.C. 24102(12).

B. Federal Award Information

1. Available Award Amount

    The total funding available for awards under this NOFO is
$291,422,706, which is composed of $198,000,00 made available by the
2020 Appropriations Act and $93,422,706 that remains unawarded from the
2019 Appropriations Act. Should additional Partnership Program funds
become available after the release of this NOFO, FRA may elect to award
such additional funds to applications received under this NOFO. Any
selection and award under this NOFO is subject to the availability of
appropriated funds.

2. Award Size

    There are no minimum or maximum dollar thresholds for awards. FRA
anticipates making multiple awards with the available funding. Given
the limited amount of funding currently available, FRA may not be able
to award grants to all eligible applications, nor even to all
applications that meet or exceed the stated evaluation criteria (see
Section E, Application Review Information). Applicants are encouraged
to identify scalable elements such as project components that have
operational independence. (See Section C(3)(c) for more information.)
    FRA strongly encourages applicants to identify and include other
state, local, public, or private funding or financing to support the
proposed project to maximize competitiveness.

    Applicants proposing a Major Capital Project are encouraged to
identify and describe project phases or elements that could be
candidates for subsequent Partnership Program funding, if such funding
becomes available. Applications for a Major Capital Project that would
seek future funds beyond funding made available in this notice should
indicate anticipated annual Federal funding requests from this program
for the expected duration of the project. FRA may issue Letters of
Intent to Partnership Program grant recipients proposing Major Capital
Projects under 49 U.S.C. 24911(g); such Letters of Intent would serve
to announce FRA's intention to obligate an amount from future available
budget authority toward a grant recipient's future project phases or
elements. A Letter of Intent is not an obligation of the Federal
government and is subject to the availability of appropriations for
Partnership Program grants and subject to Federal laws in force or
enacted after the date of the Letter of Intent.

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 under 2 CFR
200.24. The term ``grant'' is used throughout this document and is
intended to reference funding awarded through a grant agreement, as
well as funding awarded through a cooperative agreement. The funding
provided under this NOFO will be made available to grantees on a
reimbursable basis. Applicants must certify that their expenditures are
allowable, allocable, reasonable, and necessary to the approved project
before seeking reimbursement from FRA. Additionally, the grantee is
expected to expend matching funds at the required percentage concurrent
with Federal funds throughout the life of the project. See an example
of standard terms and conditions for FRA grant awards at: https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to revision.

4. Concurrent Applications

    DOT and FRA may be concurrently soliciting applications for
transportation infrastructure projects for several financial assistance
programs. Applicants may submit applications requesting funding for a
particular project to one or more of these programs. In the application
for Partnership Program funding under this NOFO, applicants must
indicate the other program(s) to which they submitted or plan to submit
an application for funding the entire project or certain project
components, as well as highlight new or revised information in the
Partnership Program application that differs from the application(s)
submitted 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 for all projects
permitted under this notice:
    (1) A state (including the District of Columbia);
    (2) a group of states;
    (3) an Interstate Compact;
    (4) a public agency or publicly chartered authority established by
one or more states; \2\
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    \2\ See Section D(2)(a)(iv) for supporting documentation
required to demonstrate eligibility under this eligibility category.
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    (5) a political subdivision of a state;
    (6) Amtrak, acting on its own behalf or under a cooperative
agreement with one or more states; or
    (7) any combination of the entities described in (1) through (6).
    Applications must identify a lead applicant. The lead applicant
serves as the primary point of contact for the application, and if
selected, as the recipient of the Partnership Program grant award. To
submit a joint application, the lead applicant must identify the joint
applicant(s) and include a signed statement from an authorized
representative of each joint applicant entity that affirms the entity
joins the application. See Section D(2) for further instructions about
submitting a joint application.
    An application submitted by Amtrak and one or more states whether
eligible under (1), (2) or (6) above, must identify the lead applicant
and include a signed cooperative agreement between Amtrak and the
state(s) consistent with 49 U.S.C. 24911(a)(1)(F). Selection preference
will be provided for joint applications, as further discussed in
Section E(1)(c). Applications may reference entities that are not
eligible applicants (e.g., private sector firms) in an application as a
project partner. However, FRA will provide selection preference to
joint applications submitted by multiple eligible applicants.

2. Cost Sharing or Matching

    The Federal share of total costs for a project funded under the
Partnership Program shall 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 facilities. The minimum 20 percent non-Federal share may
be comprised of public sector (e.g., state or local) or private sector
funding. FRA will not consider any Federal financial assistance \3\ or
any non-Federal funds already expended (or otherwise encumbered) toward
the matching requirement, unless compliant with 2 CFR part 200.
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    \3\ See Section D(2)(a)(iii) for supporting information required
to demonstrate eligibility of Federal funds for use as match.
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    FRA will give preference to applications proposing cash
contributions for the required 20 percent of the non-Federal share.
Eligible in-kind contributions may also be accepted for any non-Federal
matching beyond the required 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. Moreover, FRA encourages applicants to broaden their funding
table in applications. FRA will give preference to applications
proposing a non-Federal share exceeding the required 20 percent,
providing the required 20 percent non-Federal share as a cash
contribution, and consisting of funding from multiple sources that
demonstrate broad participation and cost sharing from affected
stakeholders. If Amtrak is an applicant, Amtrak may use its ticket and
other non-Federal revenues generated from its operations and other
sources to satisfy the non-Federal share

requirements. Applicants must identify the source(s) of their matching
and other funds and must clearly and distinctly reflect these funds as
part of the total project cost.
    Before applying, applicants should carefully review the principles
for cost sharing or matching in 2 CFR 200.306. FRA will only approve
pre-award costs consistent with 2 CFR 200.458. See Section D(6). Cost
sharing or matching may be used only for authorized Federal award
purposes. Additionally, in preparing estimates of total project costs,
applicants should refer to FRA's cost estimate guidance, ``Capital Cost
Estimating: Guidance for Project Sponsors,'' which is available at:
https://www.fra.dot.gov/Page/P0926.

3. Other

a. Project Eligibility
    Projects eligible for Partnership Program funds include Capital
Projects within the United States to replace or rehabilitate Qualified
Railroad Assets and improve Intercity Passenger Rail performance,
including:
    (1) Capital Projects to replace existing assets in-kind;
    (2) Capital Projects to replace existing assets with assets that
increase capacity or provide a higher level of service;
    (3) Capital Projects to ensure that service can be maintained while
existing assets are brought to a State of Good Repair; and
    (4) Capital Projects to bring existing assets into a State of Good
Repair.
    Qualified Railroad Assets, as further defined in Section A(2), are
owned or controlled by an eligible applicant and may include:
Infrastructure, including track, ballast, switches and interlockings,
bridges, communication and signal systems, power systems, highway-rail
grade crossings, and other railroad infrastructure and support systems
used in intercity passenger rail service; stations, including station
buildings, support systems, signage, and track and platform areas;
equipment, including passenger cars, locomotives, and maintenance-of-
way equipment; and facilities, including yards and terminal areas and
maintenance shops.
    Capital Projects, as further defined in Section A(2), may include
final design; however, final design costs will only be eligible in
conjunction with an award for project construction. Environmental and
related clearances, including all work necessary for FRA to approve the
project under the National Environmental Policy Act (NEPA) and related
statutes and regulations are not eligible for funding under this
notice. (See Section D(2)(a)(ix) for additional information.) Eligible
projects with completed environmental and engineering documents
indicate strong project readiness.
b. Additional Eligibility Requirements for NEC Projects
    This section provides additional eligibility requirements for NEC
Projects. Applicants proposing Non-NEC Projects are not subject to the
requirements in this section and may proceed to Section C(3)(c).
    In the Partnership Program, grant funds may not be provided to an
eligible recipient for an eligible NEC Project unless Amtrak and the
public authorities providing commuter rail passenger transportation at
the eligible project location on the NEC are in compliance with 49
U.S.C. 24905(c)(2). Applicants must demonstrate compliance with 49
U.S.C. 24905(c)(2) by describing the status of compliance with such
cost-allocation policy between Amtrak and the public authorities
providing commuter rail passenger transportation at the eligible
project location, which may include demonstrating that such authorities
are excepted from allocating costs for the proposed NEC Project,
consistent with 49 U.S.C. 24905(c)(1)(A)(ii). Such providers must
maintain compliance with 49 U.S.C. 24905(c)(2) for the duration of the
project.
c. Project Component 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 and comply with all eligibility
requirements described in Section C.
    In addition, the component(s) must enable independent analysis and
decision making, as determined by FRA under NEPA (i.e., have
independent utility, connect logical termini, and do not restrict the
consideration of alternatives for other reasonably foreseeable rail
projects). Components must have independent utility for use in the BCA.

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 page limit.

1. Address To Request Application Package

    Applicants must submit all application materials in their entirety
through http://www.Grants.gov no later than 5:00 p.m. ET, on July 27,
2020. Applicants are strongly encouraged to apply early to ensure that
all materials are received before the application deadline. FRA
reserves the right to modify this deadline. General information for
submitting applications through Grants.gov can be found at: https://www.fra.dot.gov/Page/P0270. FRA is committed to ensuring that
information is available in appropriate alternative formats to meet the
requirements of persons who have a disability. If you require an
alternative version of files provided, please contact Mr. Bryan Rodda,
Office of Policy and Planning, Federal Railroad Administration,1200 New
Jersey Avenue SE, Room W38-203, Washington, DC 20590; email:
[email protected]

2. Content and Form of Application Submission

    FRA strongly advises applicants to read this section carefully.
Applicants must submit all required information and components of the
application package to be considered for funding. Additionally,
applicants selected to receive funding must satisfy the requirements in
49 U.S.C. 22905 explained in part at https://www.fra.dot.gov/page/P0185.
    Required documents for an application package are outlined in the
checklist below.
     Project Narrative (see D.2.a).
     Statement of Work (see D.2.b.i).
     Benefit-Cost Analysis (see D.2.b.ii).
     Environmental Compliance Documentation (see D.2.b.iii).
     SF424--Application for Federal Assistance.
     SF 424C--Budget Information for Construction, or, for an
equipment procurement project without any construction costs, or SF
424A--Budget Information for Non-Construction.
     SF 424D--Assurances for Construction, or, for an equipment
procurement project without any construction costs, or SF 424B--
Assurances for Non-Construction.
     FRA's Additional Assurances and Certifications.
     SF LLL--Disclosure of Lobbying Activities.

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

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I. Cover Page...........................  See D.2.a.i.
II. Project Summary.....................  See D.2.a.ii.
III. Project Funding....................  See D.2.a.iii.
IV. Applicant Eligibility Criteria......  See D.2.a.iv.
V. Non-NEC Project Eligibility Criteria.  See D.2.a.v.
VI. NEC Project Eligibility Criteria....  See D.2.a.vi.
VII. Detailed Project Description.......  See D.2.a.vii.
VIII. Project Location..................  See D.2.a.viii.
IX. Grade Crossing Information, if        See D.2.a.ix.
 applicable.
X. Evaluation and Selection Criteria....  See D.2.a.x.
XI. Project Implementation and            See D.2.a.xi.
 Management.
XII. Environmental Readiness............  See D.2.a.xii.
------------------------------------------------------------------------

    The above content must be provided in a narrative statement
submitted by the applicant. The Project Narrative may not exceed 25
pages in length (excluding cover pages, table of contents, and
supporting documentation). FRA will not review or consider for award
applications with Project Narratives exceeding the 25-page limitation.
If possible, applicants should submit supporting documents via website
links rather than hard copies. If supporting documents are submitted,
applicants must clearly identify the relevant portion of the supporting
document with the page numbers of the cited information in the Project
Narrative. The Project Narrative must adhere to the following outline.
    i. Cover Page: Include a cover page that lists the following
elements in either a table or formatted list:

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

    ii. Project Summary: Provide a brief 4-6 sentence summary of the
proposed project and what the project will entail. Include challenges
the proposed project aims to address, and summarize the intended
outcomes and anticipated benefits that will result from the proposed
project.
    iii. Project Funding: Indicate the amount of Federal funding
requested, the proposed non-Federal match, and total project cost.
Identify the source(s) of matching and other funds, and clearly and
distinctly reflect these funds as part of the total project cost in the
application budget. If federal funding is proposed as match,
demonstrate the applicant's determination of eligibility for such use,
and the legal basis for that determination. Also, note if the requested
Federal funding under this NOFO or other programs must be obligated or
spent by a certain date due to dependencies or relationships with other
Federal or non-Federal funding sources, related projects, law, or other
factors. If applicable, provide the type and estimated value of any
proposed contributions, as well as substantiate how the contributions
meet the requirements in 2 CFR 200.306. For a Major Capital Project
that would seek future funds beyond funding made available in this
notice, provide the anticipated annual Federal funding requests from
this grant program for the expected duration of the project. Finally,
specify whether Federal funding for the project has previously been
sought, and identify the Federal program and fiscal year of the funding
request(s), as well as highlight new or revised information in the
Partnership Program application that differs from the application(s) to
other financial assistance programs.
    iv. Applicant Eligibility Criteria: Explain how the lead applicant
and joint applicant(s) meet the applicant eligibility criteria outlined
in Section C of this notice, including references to creation or
enabling legislation for public agencies and publicly chartered
authorities established by one or more states. To submit a joint
application, the lead applicant must identify the joint applicant(s)
and include a signed statement from an authorized representative of
each joint applicant entity that affirms the entity joins the
application. For joint applications involving Amtrak and one or more
states, Amtrak and the state(s) must provide a cooperative agreement
for the project signed by authorized representatives of Amtrak and each
state. Joint applications are expected to include a description of the
roles and responsibilities of each applicant, including budget and
subrecipient information showing how the applicants will share project
costs.
    v. Non-NEC Project Eligibility Criteria: This section provides
project eligibility requirements for Non-NEC Projects. Applicants
proposing NEC Projects may skip this section and proceed to section
D(2)(a)(vi). For Non-NEC Projects, demonstrate that the proposed
project is a Capital Project that meets the project eligibility
criteria in Section C(3) of this notice. Further, demonstrate that the
infrastructure, equipment and/or facilities involved in the proposed
project are Qualified Railroad Assets under 49 U.S.C. 24911(a)(5), as
follows:
    (A) To demonstrate ownership or control by an eligible applicant
under 49 U.S.C. 24911(a)(5)(A), show either:
    (1) The lead or joint applicant owns or will, at project
completion, have ownership of the infrastructure, equipment, or
facility improved by the project; or
    (2) The lead or joint applicant controls or will, at project
completion, have control over the infrastructure, equipment, or
facility improved by the project including by agreement with the
infrastructure, equipment, or facility owner(s). Applicants should
describe such agreement(s) in sufficient detail in their application
for FRA to understand the extent of the control, including the lead or
joint applicant's management and decision-making authority regarding
the infrastructure, equipment, or facility improved by the project, and
the remaining or anticipated duration of the agreement(s). Agreements
involving railroad rights-of-way should also demonstrate the lead or
joint applicant has train dispatching and maintenance-of-way
responsibilities for the right-of-way.
    (B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B),
show that the infrastructure, equipment, or facilities involved in the
proposed project are contained in a planning document equivalent to the
planning document developed under 49 U.S.C. 24904 and for which a
similar cost-allocation policy to the cost-allocation policy developed
under 49 U.S.C. 24905(c) has been developed.
    Non-NEC Projects may satisfy the equivalent planning document
requirement by demonstrating the project is contained in the planning

document(s) prepared under 49 U.S.C. Chapter 227, ``State Rail Plans,''
for the state(s) where the infrastructure, equipment and facilities are
located or in primary use. Applicants with projects contained in a
State Rail Plan should indicate the location (e.g., table or page
number) where the project is discussed in the document. If a project is
not contained in the State Rail Plan, applicants may demonstrate the
infrastructure, equipment and facilities involved in the proposed
project are contained in an equivalent planning document or amend the
relevant State Rail Plan(s) to contain the project. Amending a State
Rail Plan requires a letter to FRA from an authorized representative of
the relevant state rail transportation authority adding the proposed
project to the plan and stating that the letter serves as an addendum
to the current plan. Such a letter should include the project name, a
brief description of the project, and estimated project cost and
Federal and non-Federal share by funding source. FRA encourages state
rail transportation authorities to make any such addendum letters
publicly available with their State Rail Plans. FRA recommends such
letters be submitted as part of an applicant's Partnership Program
application via Grants.gov. Whether submitted as part of a Partnership
Program application package or separately to FRA, FRA must receive the
letter by the application due date of this notice.
    Non-NEC Projects must satisfy the similar cost-allocation policy
requirement either by demonstrating the infrastructure, equipment or
facilities involved in the proposed project are for routes subject to
the cost-allocation policy adopted under Section 209 of the Passenger
Rail Investment and Improvement Act of 2008 (PRIIA), Public Law 110-
432, Oct. 16, 2008; or by demonstrating the infrastructure, equipment
or facilities involved in the proposed project are subject to a similar
cost-allocation policy.
    (C) To demonstrate the state of good repair requirement under 49
U.S.C. 24911(a)(5)(B):
    (1) Describe the condition and performance of the infrastructure,
equipment, or facility as of the time of enactment of the Passenger
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
    (2) indicate how the infrastructure, equipment, or facility's
condition or performance falls short of the definition of ``State of
Good Repair'' in Section A(2); and
    (3) indicate, if known, when the infrastructure, equipment, or
facility last received comprehensive repair, replacement, or
rehabilitation work similar to the applicant's proposed scope of work.
    vi. NEC Project Eligibility Criteria: This section provides project
eligibility requirements for NEC Projects. (Applicants proposing Non-
NEC Projects may skip this section and proceed to Section
D(2)(a)(vii).) For NEC Projects, demonstrate that the proposed project
is a Capital Project that meets the project eligibility criteria in
Section C(3) of this notice including the requirements in 49 U.S.C.
24911(e). Further, demonstrate that the infrastructure, equipment, and/
or facilities involved in the project are Qualified Railroad Assets
under 49 U.S.C. 24911(a)(5), as follows:
    (A) To demonstrate ownership or control by an eligible applicant
under 49 U.S.C. 24911(a)(5)(A), show either:
    (1) The lead or joint applicant owns or will, at project
completion, have ownership of the infrastructure, equipment, or
facility improved by the project; or
    (2) The lead or joint applicant controls or will, at project
completion, have control over the infrastructure, equipment, or
facility improved by the project including by agreement with the
infrastructure, equipment, or facility owner(s). Applicants should
describe such agreement(s) in sufficient detail in their application
for FRA to understand the extent of the control, including the lead or
joint applicant's management and decision-making authority regarding
the infrastructure, equipment, or facility improved by the project, and
the remaining or anticipated duration of the agreement(s). Agreements
involving railroad rights-of-way should also demonstrate the lead or
joint applicant has train dispatching and maintenance-of-way
responsibilities for the right-of-way.
    (B) To demonstrate the requirements under 49 U.S.C. 24911(a)(5)(B),
show that the infrastructure, equipment, or facilities involved in the
proposed project are contained in the planning document developed under
49 U.S.C. 24904 and for which a cost-allocation policy has been
developed under 49 U.S.C. 24905(c), or are contained in an equivalent
planning document and for which a similar cost-allocation policy has
been developed.
    NEC Projects must satisfy the planning document requirement by
demonstrating the project is contained in the current approved planning
document developed under 49 U.S.C. 24904 (i.e., the NEC Commission
Five-Year Capital Investment Plan). Applicants with projects contained
this plan should indicate the location (e.g., table or page number)
where the project in discussed in the document. If an NEC Project is
not contained in the 49 U.S.C. 24904 planning document at the time of
this notice, applicants may demonstrate that the infrastructure,
equipment and facilities involved in the proposed project are contained
in an equivalent planning document or update the 49 U.S.C. 24904
planning document to contain the project by the due date for
applications under this notice. An equivalent planning document may
include a planning document developed under 49 U.S.C. 24320(c).
    NEC Projects must satisfy the cost-allocation policy requirement by
demonstrating the infrastructure, equipment, or facilities are subject
to the cost-allocation policy developed under 49 U.S.C. 24905(c) (i.e.,
Northeast Corridor Commuter and Intercity Rail Cost Allocation Policy),
or a similar cost-allocation policy.
    (C) To demonstrate the state of good repair requirement under 49
U.S.C. 24911(a)(5)(C), the NEC applicant must:
    (1) Describe the condition and performance of the infrastructure,
equipment, or facility as of the time of enactment of the Passenger
Rail Reform and Investment Act of 2015 (Dec. 4, 2015);
    (2) indicate how the infrastructure, equipment, or facility's
condition or performance falls short of the definition of ``State of
Good Repair'' in Section A(2); and
    (3) indicate, if known, when the infrastructure, equipment, or
facility last received comprehensive repair, replacement, or
rehabilitation work similar to the applicant's proposed scope of work.
    vii. Detailed Project Description: Include a detailed project
description that expands upon the brief summary required above. This
detailed description must provide, at a minimum: Additional 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. Consistent with DOT's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), DOT encourages applicants to describe
how activities proposed in their application would address the unique
challenges facing rural transportation networks, regardless of the
geographic location of those activities. Applicants with Major Capital
Projects are encouraged to identify and describe project phases or

elements that would be candidates for subsequent Partnership Program
funding if such funding becomes available. Include information to
demonstrate the project is reasonably expected to begin construction in
a timely manner. For all projects, applicants must provide information
about proposed performance measures, as described in Section F(3)(c)
and required in 2 CFR 200.301.
    viii. Project Location: Include geospatial data for the project, as
well as a map of the project's location. Include the Congressional
districts in which the project will take place.
    ix. Grade Crossing Information, if applicable: For any project that
includes grade crossing components, cite specific DOT National Grade
Crossing Inventory information, including the railroad that owns the
infrastructure (or the crossing owner, if different from the railroad),
the primary railroad operator, the DOT crossing inventory number, and
the roadway at the crossing. Applicants can search for data to meet
this requirement at the following link: http://safetydata.fra.dot.gov/OfficeofSafety/default.aspx.
    x. Evaluation and Selection Criteria: Include a thorough discussion
of how the proposed project meets all of the evaluation and selection
criteria, as outlined in Section E of this notice. If an application
does not sufficiently address the evaluation criteria and the selection
criteria, it is unlikely to be a competitive application.
    xi. Project Implementation and Management: Describe proposed
project implementation and project management arrangements including as
between the lead and joint applicants. 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. Describe past experience
in managing and overseeing similar projects. For Major Capital
Projects, explain plans for a rigorous project management and oversight
approach.
    xii. Environmental Readiness: If the NEPA process is complete,
indicate the date of completion, and provide a website link or other
reference to the final Categorical Exclusion determination, Finding of
No Significant Impact, or Record of Decision, as well as any other NEPA
documents prepared. If the NEPA process is not complete, the
application should detail the type of NEPA review underway, if
applicable, where the project is in the process, and indicate the
anticipated date of completion of all NEPA-related milestones and of
the final NEPA determination. If the last agency action with respect to
NEPA documents occurred more than three years before the application
date, the applicant should describe why the project has been delayed
and why NEPA documents have not been updated and include a proposed
approach for verifying and, if necessary, updating this material in
accordance with applicable NEPA requirements. Additional information
regarding FRA's environmental processes and requirements are located at
https://www.fra.dot.gov/environment.
b. Additional Application Elements
    Applicants must submit:
    i. A Statement of Work (SOW) addressing the scope, schedule, and
budget for the proposed project if it were selected for award. The SOW
must contain sufficient detail so FRA, and the applicant, can
understand the expected outcomes of the proposed work to be performed
and can monitor progress toward completing project tasks and
deliverables during a prospective grant's period of performance.
Applicants must use FRA's standard SOW, schedule, and budget templates
to be considered for award. The templates are located at https://www.fra.dot.gov/Page/P0325.
    When preparing the budget, the total cost of a project must be
based on the best available information as indicated in cited
references that include engineering studies, economic feasibility
studies, environmental analyses, and information on the expected use of
equipment or facilities. For Major Capital Projects, the SOW must
include annual budget estimates and anticipated Federal funding for the
expected duration of the project.
    ii. A Benefit-Cost Analysis consistent with 49 U.S.C.
24911(d)(2)(A) that demonstrates the merit of investing in the proposed
project. The BCA should include anticipated private and public benefits
relative to the costs of the proposed project, including:
    i. Effects on system and service performance;
    ii. effects on safety, competitiveness, reliability, trip or
transit time, and resilience;
    iii. efficiencies from improved integration with other modes; and
    iv. ability to meet existing or anticipated demand.
    The BCA should be systematic, data driven, and examine the trade-
offs between reasonably expected project costs and benefits. Applicants
are encouraged to include quantifiable railroad data related to the
Qualified Railroad Assets involved in the project, such as information
on delay, failure or safety incidents, passengers carried (e.g.,
ridership), daily train movements, or similar metrics. The complexity
and level of detail in the Benefit-Cost Analysis prepared for the
Partnership Program should reflect the scope and scale of the proposed
project. Please refer to the Benefit-Cost Analysis Guidance for
Discretionary Grant Programs prior to preparing a BCA at https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance. In addition, please also refer to the BCA FAQs
on FRA's website (https://www.fra.dot.gov/grants) for some rail-
specific examples of how to apply the Benefit-Cost Analysis Guidance
for Discretionary Grant Programs to Partnership applications.
    iii. Environmental compliance documentation, if a website link is
not cited in the Project Narrative.
    iv. SF 424--Application for Federal Assistance.
    v. SF 424C--Budget Information for Construction, or, for an
equipment procurement project without any other construction elements,
the SF 424A--Budget Information for Non-Construction.
    vi. SF 424D--Assurances for Construction, or, for an equipment
procurement project without any other construction elements, the SF
424B--Assurances for Non-Construction.
    vii. FRA's Additional Assurances and Certifications.
    viii. An SF LLL--Disclosure of Lobbying Activities.
    ix. A statement that the lead applicant has a system for procuring
property and services under a Federal award under this NOFO that
supports the provisions in 2 CFR 200 Subpart D-Procurement Standards at
2 CFR 200.317-326 and 2 CFR 1201.317.
    x. A statement indicating whether the applicant or any of its
principals:
    a. Is presently suspended, debarred, voluntarily excluded, or
disqualified;
    b. has been convicted within the preceding 3 years of any of the
offenses listed in 2 CFR 180.800(a); or had a civil judgment rendered
against the organization or the individual for one of those offenses
within that time period;
    c. is presently indicted for, or otherwise criminally or civilly
charged by a governmental entity (Federal, state or local) with,
commission of any of the offenses listed in 2 CFR 180.800(a); or
    d. has had one or more public transactions (Federal, state, or
local) terminated within the preceding 3 years for cause or default
(including material failure to comply).

    Forms needed for the electronic application process are at
www.Grants.gov.
c. Post-Selection Requirements
    See Section F(2) of this notice for post-selection requirements.

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

    To apply for funding through Grants.gov, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier in its application, and continue to
maintain an active SAM registration all as described in detail below.
Complete instructions on how to register and submit an application can
be found at www.Grants.gov. Registering with Grants.gov is a one-time
process; however, it can take up to several weeks for first-time
registrants to receive confirmation and a user password. FRA recommends
that applicants start the registration process as early as possible to
prevent delays that may preclude submitting an application package by
the application deadline. Applications will not be accepted after the
due date. Delayed registration is not an acceptable justification for
an application extension.
    FRA may not make a grant award to an applicant until the applicant
has complied with all applicable Data Universal Numbering System (DUNS)
and SAM requirements and if an applicant has not fully complied with
the requirements by the time the Federal awarding agency is ready to
make a Federal award, the Federal awarding agency may determine that
the applicant is not qualified to receive a Federal award and use that
determination as a basis for making a Federal award to another
applicant. (Please note that if a Dun & Bradstreet DUNS number must be
obtained or renewed, this may take a significant amount of time to
complete.) Late applications that are the result of a failure to
register or comply with Grants.gov applicant requirements in a timely
manner will not be considered. If an applicant has not fully complied
with the requirements by the submission deadline, the application will
not be considered. To submit an application through Grants.gov,
applicants must:
a. Obtain a DUNS Number
    A DUNS number is required for Grants.gov registration. The Office
of Management and Budget requires that all businesses and nonprofit
applicants for Federal funds include a DUNS number in their
applications for a new award or renewal of an existing award. A DUNS
number is a unique nine-digit sequence recognized as the universal
standard for the government in identifying and keeping track of
entities receiving Federal funds. The identifier is used for tracking
purposes and to validate address and point of contact information for
Federal assistance applicants, recipients, and subrecipients. The DUNS
number will be used throughout the grant life cycle. Obtaining a DUNS
number is a free, one-time activity. Applicants may obtain a DUNS
number by calling 1-866-705-5711 or by applying online at http://www.dnb.com/us.
b. Register With the SAM at www.SAM.gov
    All applicants for Federal financial assistance must maintain
current registrations in the SAM database. An applicant must be
registered in SAM to successfully register in Grants.gov. The SAM
database is the repository for standard information about Federal
financial assistance applicants, recipients, and subrecipients.
Organizations that have previously submitted applications via
Grants.gov are already registered with SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award. 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: http://www.grants.gov/web/grants/applicants/apply-for-grants.html.

4. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no
later than 5:00 p.m. ET, July 27, 2020. Applicants will receive a
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov
information on dates/times of applications submitted to determine
timeliness of submissions. Delayed registration is not an acceptable
reason for late submission. To apply for funding under this
announcement, all applicants are expected to be registered as an
organization with Grants.gov. Applicants are strongly encouraged to
apply early to ensure all materials are received before this deadline.
    To ensure a fair competition of limited discretionary funds, 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
the instructions in this NOFO; and (4) technical issues experienced
with the applicant's computer or information technology environment.

5. Intergovernmental Review

    Executive Order 12372 requires applicants from state and local
units of government or other organizations providing services within a
state to submit a copy of the application to the State Single Point of
Contact (SPOC), if one exists, and if this program has been selected
for review by the state. Intergovernmental Review is not required for
this program. Applicants must contact their State SPOC to determine if
the program has been selected for state review.

6. Funding Restrictions

    FRA will not fund any preliminary engineering, environmental work,
or

related clearances under this NOFO. FRA will only consider funding a
project's final design activities if the applicant is also seeking
funding for construction activities. 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 consistent with 2
CFR 200.458. Under 2 CFR 200.458, grant recipients must seek written
approval from FRA for pre-award activities to be eligible for
reimbursement under the grant. Activities initiated prior to the
execution of a grant or without FRA's written approval may be
ineligible for reimbursement or matching contribution.
    FRA is prohibited under 49 U.S.C. 22905(f) \4\ from providing
Partnership Program grants for Commuter Rail Passenger Transportation.
FRA's interpretation of this provision is informed by the language in
49 U.S.C. 24911, and specifically the definitions of capital project in
49 U.S.C. 24911(a)(2)(A) and (B). FRA's primary intent in funding
Partnership Program projects is to make reasonable investments in
Capital Projects used in Intercity Rail Passenger Transportation. Such
projects may be located on shared corridors where Commuter Rail
Passenger Transportation also benefits from the project.
---------------------------------------------------------------------------

    \4\ Under 49 U.S.C. 24911(i), Partnership grants are subject to
the conditions in 49 U.S.C. 22905.
---------------------------------------------------------------------------

7. Other Submission Requirements

    For any supporting application materials that an applicant cannot
submit via Grants.gov, such as oversized engineering drawings, an
applicant may submit an original and two (2) copies to Mr. Bryan Rodda,
Office of Policy and Planning, Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W38-203, Washington, DC 20590. However, due
to delays caused by enhanced screening of mail delivered via the U.S.
Postal Service, FRA advises applicants to use other means of conveyance
(such as courier service) to assure timely receipt of materials before
the application deadline. Additionally, if documents can be obtained
online, explaining to FRA how to access files on a referenced website
may also be sufficient. Note: Please use generally accepted formats
such as .pdf, .doc, .docx, .xls, .xlsx and .ppt, when uploading
attachments. While applicants may embed picture files, such as .jpg,
.gif, and .bmp, in document files, applicants should not submit
attachments in these formats. Additionally, the following formats will
not be accepted: .com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll,
.ini, .log, .ora, .sys, and .zip.

E. Application Review Information

1. Criteria

a. Eligibility, Completeness, and Applicant Risk Review
    FRA will first screen each application for applicant and project
eligibility (eligibility requirements are outlined in Section C of this
notice), completeness (application documentation and submission
requirements are outlined in Section D of this notice), applicant risk
and the 20 percent minimum non-Federal match in determining whether the
application is eligible.
b. Evaluation Criteria
    FRA will evaluate all eligible and complete applications against
the following evaluation criteria:
    i. Technical Merit: FRA will to take into account--
    (A) The degree to which the tasks and subtasks outlined in the SOW
are appropriate to achieve the expected outcomes of the proposed
project;
    (B) The technical qualifications and demonstrated experience of key
personnel proposed to lead and perform the technical efforts, and the
qualifications of the primary and supporting organizations to fully and
successfully execute the proposed project within the proposed timeframe
and budget;
    (C) The degree to which the proposed project's business plan
considers potential private sector participation in the financing,
construction, or operation of the proposed project;
    (D) Whether the applicant has, or will have, the legal, financial,
and technical capacity to carry out the project; satisfactory
continuing control over the use of the equipment or facilities; and the
capability and willingness to maintain the equipment or facilities;
    (E) The applicant's past performance in developing and delivering
similar projects, and previous financial contributions;
    (F) Whether the project has completed necessary pre-construction
activities and indicates strong project readiness; and
    (G) Whether the project is consistent with planning guidance and
documents set forth by the Secretary of Transportation or required by
law.
    ii. Project Benefits: FRA will take into account the benefit-cost
analysis of the proposed project, including anticipated private and
public benefits relative to the costs of the proposed project
including--
    (A) Effects on system and service performance;
    (B) Effects on safety, competitiveness, reliability, trip or
transit time, and resilience;
    (C) Efficiencies from improved integration with other modes; and
    (D) Ability to meet existing or anticipated demand.
c. Selection Criteria
    In addition to the eligibility and completeness review and the
evaluation criteria outlined in this section, FRA will apply the
selection criteria:
    i. FRA will give preference to eligible projects for which:
    (A) Amtrak is not the sole applicant;
    (B) Applications were submitted jointly by multiple eligible
applicants; and
    (C) The proposed Federal share of total project costs does not
exceed 50 percent.
    ii. After applying the above preferences, FRA will take in account
the following key DOT priorities:
    (A) Supporting economic vitality at the national and regional
level;
    (B) Leveraging Federal funding to attract other, non-Federal
sources of infrastructure investment;
    (C) Preparing for future operations and maintenance costs
associated with a project's life-cycle, as demonstrated by a credible
plan to maintain assets without having to rely on future Federal
funding;
    (D) Using innovative approaches to improve safety and expedite
project delivery;
    (E) Holding grant recipients accountable for grant performance and
achieving specific, measurable outcomes identified by grant applicants;
    (F) Proposed non-Federal share is comprised of more than one
source, including private sources, demonstrating broad participation by
affected stakeholders; and
    (G) Applications indicate strong project readiness.
    iii. For NEC Projects, FRA will consider the appropriate sequence
and phasing of projects as contained in the Northeast Corridor capital
investment plan developed pursuant to 49 U.S.C. 24904(a).
    iv. In determining the allocation of program funds, FRA may also
consider geographic diversity, diversity in the size of the systems
receiving funding, the applicant's receipt of other competitive awards,
projects located in or that support transportation service in a
qualified opportunity zone designated pursuant to 26 U.S.C. 1400Z-1,
the

percentage of non-Federal share provided, the percentage of non-Federal
share provided as a cash contribution, and whether such non-Federal
share is provided by multiple sources.
    v. Consistent with DOT's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), DOT recognizes that rural transportation
networks face unique challenges. To the extent that those challenges
are reflected in the applicant's response to the criteria listed in
this section, DOT will consider how the activities proposed in the
application will address those challenges, regardless of the geographic
location of those activities.

2. Review and Selection Process

    FRA will conduct a four-part application review process, as
follows:
    a. Screen applications for completeness, eligibility, and applicant
risk;
    b. Evaluate eligible applications (completed by technical panels
applying the evaluation criteria);
    c. Review, apply selection criteria and recommend initial selection
of projects for the FRA Administrator's review (completed by a non-
career Senior Review Team, which includes senior leadership from the
Office of the Secretary and FRA); and
    d. Select recommended awards for the Secretary's review and
approval (completed by the FRA Administrator.)

3. Reporting Matters Related to Integrity and Performance

    Before making a Federal award with a total amount of Federal share
greater than the simplified acquisition threshold (see 2 CFR 200.88
Simplified Acquisition Threshold), FRA will review and consider any
information about the applicant that is in the designated integrity and
performance system accessible through SAM (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)). See 41
U.S.C. 2313.
    An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a Federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
    FRA will consider any comments by the applicant, in addition to the
other information in the designated integrity and performance system,
in making a judgment about the applicant's integrity, business ethics,
and record of performance under Federal awards when completing the
review of risk posed by applicants as described in 2 CFR 200.205.

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press
release and on FRA's website after the application review period. This
announcement is FRA's notification to successful and unsuccessful
applicants alike. FRA will contact applicants with successful
applications after announcement with information and instructions about
the award process. This notification is not an authorization to begin
proposed project activities. A formal grant agreement signed by both
the grantee and FRA, including an approved scope, schedule, and budget,
is required before the award is considered complete. See an example of
standard terms and conditions for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to revision.

2. Administrative and National Policy Requirements

    In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, recipients of funds
must comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States; the
conditions of performance, nondiscrimination requirements, and other
assurances made applicable to the award of funds in accordance with
regulations of DOT; and applicable Federal financial assistance and
contracting principles promulgated by the Office of Management and
Budget. In complying with these requirements, recipients, in
particular, must ensure that no concession agreements are denied or
other contracting decisions made on the basis of speech or other
activities protected by the First Amendment. If DOT determines that a
recipient has failed to comply with applicable Federal requirements,
DOT may terminate the award of funds and disallow previously incurred
costs, requiring the recipient to reimburse any expended award funds.
    Examples of administrative and national policy requirements
include: 2 CFR part 200; procurement standards at 2 CFR part 200
Subpart D--Procurement Standards, 2 CFR 1207.317 and 2 CFR 200.401;
compliance with Federal civil rights laws and regulations;
disadvantaged business enterprises; debarment and suspension; drug-free
workplace; FRA's and OMB's Assurances and Certifications; Americans
with Disabilities Act; safety requirements; NEPA; environmental justice
and the grant conditions in 49 U.S.C. 22905 including the Buy America
requirements, the provision deeming operators rail carriers and
employers for certain purposes, grantee agreements with railroad right-
of-way owners for projects using railroad rights-of-way, and compliance
with 49 U.S.C. 24905(c)(2) for the duration of NEC Projects.
    Grantees must comply with applicable appropriations act
requirements and all relevant requirements of 2 CFR part 200. Rights to
intangible property under grants awarded under this NOFO are governed
in accordance with 2 CFR 200.315. Unless otherwise stated in the
Federal award, FRA will not consider non-federal entities as that term
is used in 2 CFR part 200 to include for-profit entities. See an
example of standard terms and conditions for FRA grant awards at
https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to revision.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with
all standard FRA reporting requirements, including quarterly progress
reports, quarterly Federal financial reports, and interim and final
performance reports, as well as all applicable auditing, monitoring and
close out requirements. Reports may be submitted electronically.
    The applicant must comply with all relevant requirements of 2 CFR
part 200.
b. Additional Reporting
    Applicants selected for funding are required to comply with all
reporting requirements in the standard terms and conditions for FRA
grant awards including 2 CFR 180.335 and 2 CFR 180.350. See an example
of standard terms and conditions for FRA grant awards at: https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions.
    If the Federal share of any Federal award under this NOFO includes
more than $500,000 over the period of performance, applicants are
informed of the post award reporting requirements reflected in 2 CFR
part 200, Appendix XII--Award Term and Condition for Recipient
Integrity and Performance Matters.

c. Performance Reporting
    Each applicant selected for funding must collect information and
report on the project's performance using measures mutually agreed upon
by FRA and the grantee to assess progress in achieving strategic goals
and objectives. Examples of some rail performance measures are listed
in the table below. The applicable measure(s) will depend upon the type
of project. Applicants requesting funding for rolling stock must
integrate at least one equipment/rolling stock performance measure,
consistent with the grantee's application materials and program goals.

                                                                   Performance Measure
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Primary  strategic    Secondary  strategic
           Rail measures                  Unit measured             Temporal                 goal                   goal                Description
--------------------------------------------------------------------------------------------------------------------------------------------------------
Slow Order Miles...................  Miles.................  Annual...............  State of Good Repair.  Safety...............  The number of miles
                                                                                per year within the
                                                                                project area that
                                                                                have temporary speed
                                                                                restrictions (``slow
                                                                                orders'') imposed due
                                                                                to track condition.
                                                                                This is an indicator
                                                                                of the overall
                                                                                condition of track.
                                                                                This measure can be
                                                                                used for projects to
                                                                                rehabilitate sections
                                                                                of a rail line since
                                                                                the rehabilitation
                                                                                should eliminate, or
                                                                                at least reduce the
                                                                                slow orders upon
                                                                                project completion.
Rail Track Grade Separation........  Count.................  Annual...............  Economic               Safety...............  The number of annual
                                                                                Competitiveness.                              automobile crossings
                                                                                that are eliminated
                                                                                at an at-grade
                                                                                crossing as a result
                                                                                of a new grade
                                                                                separation.
Passenger Counts...................  Count.................  Annual...............  Economic               State of Good Repair.  Count of the annual
                                                                                Competitiveness.                              passenger boardings
                                                                                and alightings at
                                                                                stations within the
                                                                                project area.
Travel Time........................  Time/Trip.............  Annual...............  Economic               Quality of Life......  Point-to-point travel
                                                                                Competitiveness.                              times between pre-
                                                                                determined station
                                                                                stops within the
                                                                                project area. This
                                                                                measure demonstrates
                                                                                how track
                                                                                improvements and
                                                                                other upgrades
                                                                                improve operations on
                                                                                a rail line. It also
                                                                                helps make sure the
                                                                                railroad is
                                                                                maintaining the line
                                                                                after project
                                                                                completion.
Track Miles........................  Miles.................  One Time.............  State of Good Repair.  Economic               The number of track
                                                                                Competitiveness.       miles that exist
                                                                                within the project
                                                                                area. This measure
                                                                                can be beneficial for
                                                                                projects building
                                                                                sidings or sections
                                                                                of additional main
                                                                                line track on a
                                                                                railroad.
--------------------------------------------------------------------------------------------------------------------------------------------------------

G. Federal Awarding Agency Contacts

    For further information related to this notice, please contact Mr.
Bryan Rodda, Office of Policy and Planning, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W38-203, Washington, DC
20590; email<EMAIL_ADDRESS>phone:<PHONE_NUMBER>, or Ms. Ruthie
Americus, Office of Policy and Planning, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W36-403, Washington, DC
20590; email<EMAIL_ADDRESS>phone:<PHONE_NUMBER>.

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.
    The DOT regulations implementing the FOIA are found at 49 CFR part
7 Subpart C--Availability of Reasonably Described Records under the
Freedom of Information Act which sets forth rules for FRA to make
requested materials, information and, and records publicly available
under FOIA. Unless prohibited by law and to the extent permitted under
the FOIA, contents of application and proposals submitted by successful
applicants may be released in response to FOIA requests.

    Issued in Washington, DC.
Quintin Kendall,
Deputy Administrator.
[FR Doc. 2020-12542 Filed 6-9-20; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register: March 30, 2006 (Volume 71, Number 61)]
[Notices]
[Page 16153-16154]
[DOCID:fr30mr06-68]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Application for Surrender of Conduit Exemption and
Soliciting Comments, Motions To Intervene, and Protests

March 24, 2006.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Application Type: Surrender of Conduit Exemption.
    b. Project No: 5714-001.
    c. Date Filed: February 7, 2006.
    d. Applicant: Lake Hemet Municipal Water District.
    e. Name of Project: Oakcliff Project.
    f. Location: The project is located on the Lake Hemet Municipal
Water District's pipeline in Riverside County, California.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a--825r.
    h. Applicant Contact: Mr. Mitchell J. Freeman, Lake Hemet Municipal
Water District, 2480 East Florida Avenue, P.O. Box 5039, Hemet, CA
92544,<PHONE_NUMBER>.
    i. FERC Contact: Robert Bell,<PHONE_NUMBER>.
    j. Status of Environmental Analysis: This application is ready for
analysis at this time, and the Commission is requesting comments, reply
comments, recommendations, terms and conditions, and prescriptions.
    k. Deadline for filing comments and or motions: April 24, 2006.
    All documents (original and eight copies) should be filed with: Ms.
Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington DC 20426. Please include the project
number ( P-5714-001) on any comments or motions filed.
    Comments, protests, and interventions may be filed electronically
via the Internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and
the instructions on the Commission's Web site at http://www.ferc.gov

under the ``e-Filing'' link. The Commission strongly encourages
electronic filings.
    l. Description of Application: Lake Hemet Municipal Water District
proposes to surrender the exemption from licensing for the Oakcliff
Project. As part of its request, Lake Hemet Municipal Water District
proposes to decommission the project. The Lake Hemet Municipal Water
District will remove all generating and electrical equipment from the
site and water deliveries will continue through the same conduits that
have been historically used.
    m. Location of the Application: This filing is available for review
and reproduction at the Commission in the Public Reference Room, Room
2A, 888 First Street, NE., Washington, DC 20426. The filing may also be
viewed on the Web at http://www.ferc.gov using the ``eLibrary'' link.

Enter the docket number, here P-5714, in the docket number field to
access the document. For assistance, call toll-free 1-866-208-3676 or
e-mail<EMAIL_ADDRESS>For TTY, call<PHONE_NUMBER>. A copy
is also available for inspection and reproduction at the address in
item (h) above.
    n. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    o. Comments, Protests, or Motions to Intervene--Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    p. Filing and Service of Responsive Documents--Any filings must
bear in all capital letters the title ``COMMENTS'', ``RECOMMENDATIONS
FOR TERMS AND CONDITIONS'', ``PROTEST'', OR ``MOTION TO INTERVENE'', as
applicable, and the Project Number of the particular application to
which the filing refers. A copy of any motion to intervene must also be
served upon each representative of the Applicant specified in the
particular application.
    q. Agency Comments--Federal, state, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an

agency's comments must also be sent to the Applicant's representatives.

Magalie R. Salas,
Secretary.
[FR Doc. E6-4652 Filed 3-29-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: August 5, 2008 (Volume 73, Number 151)]
[Notices]
[Page 45458-45459]
[DOCID:fr05au08-65]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2007-D-0424] (formerly Docket No. 2007D-0101)

Guidance for the Public, FDA Advisory Committee Members, and FDA
Staff on Procedures for Determining Conflict of Interest and
Eligibility for Participation in FDA Advisory Committees; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The Food and Drug Administration (FDA) is announcing the
availability of a guidance document for the public, FDA advisory
committee members, and FDA staff entitled ``Guidance for the Public,
FDA Advisory Committee Members, and FDA Staff: Procedures for
Determining Conflict of Interest and Eligibility for Participation in
FDA Advisory Committees'' dated August 2008. This guidance describes
the factors and analyses that should be used in considering whether an
advisory committee member has a potential conflict of interest and
whether participation in a meeting is appropriate. This guidance is
intended to help the public, FDA advisory committee members, and FDA
staff to understand and implement FDA policy in applying the applicable
statutory and regulatory requirements. This guidance finalizes the
draft guidance of the same title dated March 2007 and replaces the
guidance document entitled ``FDA Waiver Criteria 2000.'' Elsewhere in
this issue of the Federal Register, FDA is announcing the availability
of three additional guidances, and one draft guidance, intended to
improve FDA's advisory committee procedures.

DATES:  This guidance is effective for advisory committee meetings
scheduled on or after December 3, 2008. Submit written or electronic
comments on agency guidances at any time.

ADDRESSES:  Submit written requests for single copies of the guidance
to the Office of Policy (HF-11), Office of the Commissioner, Food and
Drug Administration, 5600 Fishers Lane, Rockville, MD 20857. Send one
self-addressed adhesive label to assist that office in processing your
requests. Submit phone requests to<PHONE_NUMBER> or<PHONE_NUMBER>. See
the SUPPLEMENTARY INFORMATION section for electronic access to the
guidance document.
    Submit written comments on the guidance to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
rm. 1061, Rockville, MD 20852. Submit electronic comments to http://
www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Jill Hartzler Warner, Office of
Policy, Planning, and Preparedness (HF-11), Food and Drug
Administration, 5600 Fishers Lane, Rockville, MD 20857,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a document, entitled
``Guidance for the Public, FDA Advisory Committee Members, and FDA
Staff; Procedures for Determining Conflict of Interest and Eligibility
for Participation in FDA Advisory Committees,'' dated August 2008.
FDA's advisory committees provide independent and expert advice on
scientific, technical, and policy matters related to the development
and evaluation of products regulated by FDA.
    FDA is committed to strictly adhering to the laws and regulations
governing the process for selecting advisory committee members. FDA for
many years has screened, prior to each meeting, all potential members
who are special government employees or regular government employees,
to determine whether the potential for a financial conflict of interest
exists. The agency may grant a waiver to allow an individual to
participate in a meeting when statutory criteria are met; for example,
when the need for the individual's services outweighs the potential for
a conflict of interest created by the financial interest involved. FDA
administers several laws and regulations that govern conflict of
interest determinations. The applicable laws have recently changed with
the enactment of the Food and Drug Administration Amendments Act
(FDAAA). Title VII of FDAAA added section 712 of the Federal Food,
Drug, and Cosmectic Act (the act), which became effective October 1,
2007, replaced the conflict of interest provisions in section 505(n)(4)
of the act, and introduced new requirements. In addition, the agency
must apply 18 U.S.C. section 208, which contains different standards
for assessing conflicts of interest. FDA's Waiver Criteria 2000
guidance, which this guidance replaces, attempted to comprehensively
address the complex set of variables that can be applied in reaching a
determination about an individual advisory committee participant.
However, because of its complexity and discretionary elements, FDA
staff found it difficult to achieve consistent results that the public
could readily understand. As part of FDA's recent internal assessment
of its advisory committee process, the agency has targeted its
assessment of potential conflicts of interest and granting of waivers
as an area that needs improvement. This guidance implements a more
stringent approach for considering eligibility for participation in FDA
advisory committee meetings. The purpose of this guidance is to
simplify and streamline the process by which FDA considers meeting
participation, increase the transparency, clarity, and consistency of
the process, and enhance public trust in this important function.
    In the Federal Register of March 23, 2007 (72 FR 13805), FDA
announced the availability of the draft guidance of the same title
dated March 2007. FDA received a number of comments on the draft
guidance and those comments were considered as the guidance was

finalized. In addition, changes necessitated by the enactment of FDAAA
were incorporated into the final guidance. A summary of changes
includes the following:
     FDA is choosing to limit the waivers the agency grants and
harmonize our implementation of the various statutory provisions by
applying a generally stricter test for granting waivers than would be
required in some cases. FDA will ensure that all waivers meet the
standard established by section 712(c)(2)(B) of the act that the waiver
is ``necessary to afford the advisory committee essential expertise.''
     The guidance incorporates a progressively more stringent
cap on the numbers of waivers issued per fiscal year in accordance with
FDAAA.
     Advisory committee members will be considered for meeting
participation under a rigorous policy regarding the value of their
personal financial interests and those of their immediate family that
potentially could be affected by the meeting deliberations. If an
individual or his spouse or minor child has disqualifying financial
interests whose combined value exceeds $50,000, she generally would not
participate in the meeting, regardless of the need for her expertise.
Financial interests imputed to the member (e.g., the financial
interests of a university that employs the member) are not subject to
the $50,000 maximum.
     FDA will not issue a waiver in certain circumstances where
the agency has determined that the conflict of interest is significant.
     Waivers may be voting or non-voting at the discretion of
the agency.
     Past financial interests that are outside of the scope of
18 U.S.C. 208 and section 712 of the act are not addressed in this
guidance.
     New section 712 of the act harmonizes with 18 U.S.C. 208
those exempted interests considered too remote or inconsequential to
affect the integrity of the services of advisory committee members;
therefore, the guidance incorporates such exemptions.
     The guidance removes references to administrative steps
(e.g., submission of internal memoranda) that staff should follow;
internal staff instructions will be developed separately.
    In addition, editorial changes were made to improve clarity.
    This guidance is effective for advisory committee meetings
scheduled on or after (see DATES). FDA staff begin planning and
preparing for advisory committee meetings well in advance of the
meeting date, in order to initiate and complete conflict of interest
screening, among other things, for potential advisory committee
participants. Accordingly, while staff will begin using the guidance
directly, its impact on advisory committee meetings will not be fully
apparent until 120 days after publication.
    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
agency's current thinking on procedures for considering conflict of
interest and eligibility for participation in FDA advisory committees.
It does not create or confer any rights for or on any person and does
not operate to bind FDA or the public. An alternative approach may be
used if such approach satisfies the requirements of the applicable
statutes and regulations.

II. Comments

    Interested persons may, at any time, submit to the Division of
Dockets Management (see ADDRESSES) written or electronic comments
regarding this document. Submit a single copy of electronic comments or
two paper copies of any mailed comments, except that individuals may
submit one paper copy. Comments are to be identified with the docket
number found in brackets in the heading of this document. Received
comments may be seen in the Division of Dockets Management between 9
a.m. and 4 p.m., Monday through Friday.
    Please note that on January 15, 2008, the FDA Web site transitioned
to the Federal Dockets Management System (FDMS). FDMS is a Government-
wide, electronic docket management system. Electronic submissions will
be accepted by FDA through FDMS only.

III. Electronic Access

    Persons with access to the Internet may obtain the document at:
http://www.fda.gov/ohrms/dockets/default.htm

    Dated: July 31, 2008.
Randall W. Lutter,
Deputy Commissioner for Policy.
[FR Doc. E8-17998 Filed 8-4-08; 8:45 am]

BILLING CODE 4160-01-S