[Federal Register Volume 87, Number 247 (Tuesday, December 27, 2022)]
[Notices]
[Pages 79421-79438]
[FR Doc No: 2022-28034]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Notice of Funding Opportunity for Projects Located on the
Northeast Corridor for the Federal-State Partnership for Intercity
Passenger Rail 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 projects located on the
Northeast Corridor (NEC) under the Federal-State Partnership for
Intercity Passenger Rail Program (FSP Program) for Fiscal Year 2022 and
2023. This notice solicits applications for FSP Program funds made
available by the Consolidated Appropriations Act, 2022, and Division J
of the Infrastructure Investment and Jobs Act (IIJA). The opportunity
described in this notice is made available under Assistance Listings
Number 20.326, ``Federal-State Partnership for Intercity Passenger
Rail.''

DATES: Applications for funding under this solicitation are due no
later than 5 p.m. ET, March 27, 2023. Applications that are incomplete
or received after 5 p.m. ET, on March 27, 2023 will not be considered
for funding. See Section D of this notice for additional information on
the application process.

ADDRESSES: Applications must be submitted via www.Grants.gov. Only
applicants who comply with all submission requirements described in
this notice and submit applications through www.Grants.gov will be
eligible for award. For any supporting application materials that an
applicant is unable to submit via www.Grants.gov (such as oversized
engineering drawings), an applicant may submit an original and two (2)
copies to Mr. Bryan Rodda, Office of Amtrak and Northeast Corridor
Program Delivery, 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 the FRA NOFO Support program staff via [email protected]. If additional assistance is needed, you may
contact Mr. Bryan Rodda, Office of Amtrak and Northeast Corridor
Program Delivery, Federal Railroad Administration, 1200 New Jersey
Avenue SE, Room W38-203, Washington, DC 20590; email:
[email protected]; telephone:<PHONE_NUMBER>.

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) below. These key terms are
capitalized throughout the NOFO. There are several administrative and
specific eligibility requirements described herein with which
applicants must comply. Additionally, applicants should note that the
required Project Narrative component of the application package may not
exceed 25 pages in length.

Table of Contents:

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

A. Program Description

1. Overview

    The IIJA provided distinct FSP program selection criteria for
projects located on the Northeast Corridor (NEC) and for projects not
located on the NEC. For projects located on the NEC, the law requires
projects to be selected for FSP program funds consistent with the
Northeast Corridor Project Inventory (NEC Project Inventory). FRA
published the NEC Project Inventory on November 15, 2022; the NEC
Project Inventory can be found at https://railroads.dot.gov/elibrary/nec-inventory. This Notice solicits applications for the Major Backlog,
Capital Renewal, Improvement, and Stations projects and Planning
Studies identified on the NEC Project Inventory; it describes available
FSP Program funding, application submission requirements, and the
selection and evaluation criteria (FSP-NEC NOFO). For projects located
off the NEC, FRA has published a separate notice on December 7, 2022,
and those projects are not eligible for funding under this
announcement. Under this Notice, FRA will make selections consistent
with the NEC Project Inventory and only projects on the NEC

Project Inventory for which an application is submitted under this NOFO
will be considered for award.
    Our nation's rail network is a critical component of the U.S.
transportation system and economy. The FSP Program provides a Federal
funding opportunity to improve American intercity passenger rail
infrastructure by funding projects that reduce the state of good repair
backlog, improve performance, or expand or establish new intercity
passenger rail service, including privately operated intercity
passenger rail service if an eligible applicant is involved. Consistent
with the NEC Project Inventory, FRA's first priority will be selecting
Major Backlog projects and Planning Studies. FRA's second priority will
be selecting other projects in or beginning the Final Design or
Construction Lifecycle Stages within the Inventory Period.
    The FSP Program is authorized in sections 22106 and 22307 of the
IIJA, codified at 49 U.S.C. 24911, and this NOFO is funded by IIJA
supplemental appropriations as provided in Title VIII of Division J of
IIJA (Supplemental Appropriations), and the Consolidated Appropriations
Act, 2022 (Pub. L. 117-103) (Appropriations Act). The opportunity
described in this notice is made available under Assistance Listings
Number 20.326, ``Federal-State Partnership for Intercity Passenger
Rail.''
    Discretionary grant awards, funded through the FSP-NEC NOFO, will
support projects that improve safety, economic strength and global
competitiveness, equity, climate and sustainability, and
transformation, consistent with the U.S. Department of Transportation's
(DOT) strategic goals.\1\ Section E of this NOFO, which outlines the
grant selection criteria, describes the process for selecting projects
that further these goals. Section F of this NOFO provides further
details on the Administration and National Policy Requirements to meet
these goals and describes progress and performance reporting
requirements for selected projects.
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    \1\ DOT Strategic Plan FY 2022-2026 (March 2022) at https://www.transportation.gov/sites/dot.gov/files/2022-04/US_DOT_FY2022-26_Strategic_Plan.pdf.
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2. Definitions of Key Terms

    Terms defined in this section are capitalized throughout this
notice. Some definitions have been updated from those published in the
NEC Project Inventory.
    a. ``Capital Cost Estimate'' means an estimate of the cost to
implement the Capital Project inclusive of Project Development through
completion of Construction that accounts for risk to the cost elements
and the schedule to complete the project.
    b. ``Capital Project'' means a project for acquiring, constructing,
improving or inspecting rail equipment, track and track structures, or
a rail facility, including expenses incidental to the acquisition or
construction including pre-construction activities (such as designing,
engineering, location surveying, mapping, acquiring rights-of-way) and
related relocation costs, environmental studies and all work necessary
for FRA to approve the project under the National Environmental Policy
Act; highway-rail grade crossing improvements; communication and
signalization improvements; and rehabilitating, remanufacturing or
overhauling rail rolling stock and rail facilities.
    c. ``Commuter Rail Passenger Transportation'' means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple rides, and commuter tickets and morning
and evening peak period operations, consistent with 49 U.S.C. 24102(3);
the term does not include rapid transit operations in an urban area
that are not connected to the general railroad system of
transportation.
    d. ``Construction'' means the Lifecycle Stage of a Capital Project
when physical production of fixed works and structures, or substantial
alterations to such structures or land, or production of vehicles and
equipment are accomplished and commissioned for operational use.
Construction includes associated project administration, test of
equipment as appropriate, systems integration testing, workforce
training, system certification, procurement of insurance, pre-revenue
service, start-up testing, and other related costs.
    e. ``Final Design (FD)'' means the Capital Project Lifecycle Stage
when final design and engineering plans and specifications necessary
for the Construction stage is completed, and at a minimum, includes (1)
the preparation of final design plans consistent with the applicable
environmental decision document, and detailed specifications, (2) the
preparation of an updated Project Management Plan, (3) preparation of
an updated project schedule, Capital Cost Estimate, and other necessary
plans that may include a financial plan for Major Capital Projects,
sufficiently detailed to inform decision makers of the actions required
to advance the project through completion of Final Design and
Construction. FD may include early construction or relocations and
procure equipment and materials during the final design stage, when
such work is permissible under applicable law, and may be combined with
Construction with the use of alternative delivery methods.
    f. ``Improvement'' means repair or enhancement to existing rail
infrastructure, equipment, or facility, or construction of new rail
infrastructure, equipment or facilities, that results in efficiency of
the rail system and the safety of those affected by the system.
    g. ``Inventory Period'' means the two-year period starting on the
date the applicable Northeast Corridor Project Inventory was published.
    h. ``Intercity Rail Passenger Transportation'' means rail passenger
transportation, except commuter rail passenger transportation. See 49
U.S.C. 24911(a)(3). In this notice, ``Intercity Passenger Rail
Service'' and ``Intercity Passenger Rail Transportation'' are
equivalent terms to ``Intercity Rail Passenger Transportation.''
    i. ``Lifecycle Stage'' means each of the consecutive stages of a
Capital Project as it is developed and implemented that include Systems
Planning, Project Planning, Project Development, Final Design,
Construction, and Operation. Each sequential stage involves specific
activities. FRA evaluates project readiness for a Lifecycle Stage when
considering a project for funding.
    j. ``Major Capital Project'' means a Capital Project with a Capital
Cost Estimate of $500 million and with at least $100 million in federal
assistance under the FSP Program.
    k. ``National Environmental Policy Act'' (NEPA) is a federal law
that requires Federal agencies to analyze and document the
environmental impacts of a proposed action in consultation with
appropriate Federal, state, and local authorities, and with the public.
NEPA classes of action include an Environmental Impact Statement (EIS),
Environmental Analysis (EA) or Categorical Exclusion (CE). The NEPA
class of action depends on the nature of the proposed action, its
complexity, and the potential impacts. For purposes of this NOFO, NEPA
also includes all related Federal laws and regulations including the
Clean Air Act, Section 4(f) of the Department of Transportation Act,
Section 7 of the Endangered Species Act, and Section 106 of the
National Historic Preservation Act. Additional information regarding
FRA's environmental processes and requirements are located at https://railroads.dot.gov/rail-network-development/environment/environment.

    l. ``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)(3).
    m. ``NEC Planning Documents'' means the Northeast Corridor
Commission's CONNECT NEC 2035 and the FY 2023-2027 Northeast Corridor
Capital Improvement Plan.
    n. ``Planning Studies'' are those projects which include only
planning activities such as railroad transportation market forecasting,
operations analysis, fleet planning, cost analysis, station and
facility planning, environmental resource consideration, and other
similar activities. Planning Studies are planning activities without
association to construction of a specific Capital Project in their
current form.
    o. ``Project Development'' means the Capital Project Lifecycle
Stage during which (1) the environmental review process required under
NEPA and other related environmental laws is completed, and the
permitting processes is advanced as appropriate; (2) preliminary
engineering and other preliminary design is completed to support the
environmental review and preparation of estimates of risk, costs,
benefits and impacts; (3) a Project Management Plan is prepared that,
among other things, identifies procurement requirements and strategies;
(4) preparation of the detailed project schedule and cost estimate; and
(5) preparation of a financial plan for Major Projects and other
necessary plans.
    p. ``Project Planning'' means the Capital Project Lifecycle Stage
during which the Project Sponsor (1) identifies capital project
concepts to address transportation needs and opportunities; (2)
identifies and compares costs, benefits and impacts of project options;
and (3) identifies the impacted environmental resources and engages
with interested parties, agencies and infrastructure owners.
    q. ``Project Management Plan'' means a document, prepared in
accordance with guidance, that describes how the Capital Project will
be implemented, monitored, and controlled to help the applicant
effectively, efficiently, and safely deliver the project on-time,
within-budget, and at the highest appropriate quality.
    r. ``Preliminary Engineering (PE)'' means engineering design to
define a Capital Project, including identification of all environmental
impacts and design of all critical project elements at a level
sufficient to assure reliable cost estimates and schedules. The PE
development process starts with specific project design alternatives
that allow for the assessment of a range of rail improvements, specific
alignments, and project designs.
    s. ``Risk Assessment'' means the Major Capital Project cost and
schedule risk assessment is an unbiased, risk-based, probabilistic
analysis that verifies the accuracy and reasonableness of the current
cost estimate and schedule and results in a probability range that
represents the project's cost. It also documents how the estimate
accounts for the range of potential costs associated with project
uncertainties.
    t. ``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 up to
$8,979,150,000 made available by Supplemental Appropriations and the
Appropriations Act, as follows:
    a. Up to $8,928,000,000 in Supplemental Appropriations: IIJA
provided $36,000,000,000 in Supplemental Appropriations for the FSP
Program, with not more than $24,000,000,000 made available for projects
for the NEC ($4,800,000,000 made available per year for fiscal years
2022 through 2026). After the funding set aside for FRA award and
project management oversight and the planning and development
activities authorized at 49 U.S.C. 24911(k), up to $8,928,000,000 in
funding made available for fiscal years 2022 and 2023 is available for
FSP awards under this NOFO.
    b. Up to $51,150,000 in fiscal year 2022 annual appropriations: The
Appropriations Act provided $100,000,000 for the FSP Program.
Consistent with 49 U.S.C. 24911(d)(3), a minimum of 45 percent and a
maximum of 55 percent of this amount is for projects for the NEC. After
the funding set aside for FRA award and project management oversight
and the planning and development activities authorized at 49 U.S.C.
24911(k), at least $41,850,000 and up to $51,150,000 in fiscal year
2022 annual funding is made available for FSP awards under this NOFO.
    Should additional funds become available after the release of this
FSP-NEC NOFO, FRA may elect to award such additional funds to
applications received under this NOFO. Any selection and award under
this NOFO is subject to the availability of appropriated funds.

2. Award Size

    There are no predetermined minimum or maximum dollar thresholds for
awards. FRA intends to make selections consistent with the NEC Project
Inventory, subject to the application and evaluation process. FRA
anticipates making multiple awards with the available funding. FRA may
not be able to award grants to all eligible applications even if they
meet or exceed the stated evaluation criteria (see Section E,
Application Review Information). Projects may require more funding than
is available. FRA encourages applicants to propose a project that has
operational independence or a component of such project and that can be
completed and implemented with funding under this NOFO as a part of the
total project cost together with other, non-Federal sources (See
Section C for more information).

3. Award Type

a. Grants and Cooperative Agreements
    FRA will make awards for projects selected under this Notice
through grant agreements or cooperative agreements. Grant agreements
are used when FRA does not expect to have substantial Federal
involvement in carrying out the funded activity. Cooperative agreements
allow for substantial Federal involvement in carrying out the agreed
upon investment, including technical assistance, review of interim work
products, and increased program oversight. The term ``grant'' is used
throughout this document and is intended to reference funding awarded
through a grant agreement, as well as funding awarded through a
cooperative agreement. The funding provided under this NOFO will be
made available to grantees on a reimbursable basis. Applicants must
certify that their expenditures are allowable, allocable, reasonable,
and necessary to the approved project before seeking reimbursement from
FRA. Additionally, the grantee is expected to expend matching funds at
the required percentage concurrent with Federal

funds throughout the life of the project. See an example of standard
terms and conditions for FRA grant awards at: https://www.fra.dot.gov/eLib/Details/L19057. This template is subject to revision.
b. Letters of Intent and Phased Funding Agreements
    FRA may issue Letters of Intent (LOI) or Phased Funding Agreements
(PFA) to FSP applicants proposing Major Capital Projects. Applications
for a Major Capital Project who are seeking an LOI or PFA must request
an LOI or PFA in the Project Narrative and provide the additional
information required in Section D.2.a.iii. FRA may independently
determine that a project is appropriate for an LOI or PFA. FRA may also
determine that a grant or cooperative agreement is the more appropriate
funding vehicle for the project, or component of the project, even if a
LOI or PFA is requested.
    An LOI, authorized at 49 U.S.C. 24911(g)(1), is a letter from FRA
to a grantee announcing an intention to obligate an amount to the
grantee's Major Capital Project from future budget authority. LOIs are
contingent commitments and not binding obligations of the Federal
government. FRA intends to use LOIs to demonstrate its intent to
provide future Final Design and Construction Lifecycle Stage funding
for Major Capital Projects assuming successful completion of Project
Planning and Project Development Lifecycles for the project. FRA
therefore anticipates issuing LOIs primarily to projects currently in,
or beginning, the Project Development Lifecycle Stage. In issuing an
LOI, FRA may outline conditions or define readiness thresholds that the
grantee may use to inform future funding requests for FSP funds.
    A PFA, authorized at 49 U.S.C. 24911(g)(2), is an agreement
associated with the obligation of an initial grant award under the
Partnership Program. FRA may only enter into a PFA for highly rated
Major Capital Projects. A PFA shall: (1) establish the terms of
participation by the Federal Government in the project; (2) establish
the maximum amount of Federal financial assistance for the project; (3)
include the period of time for completing the project, even if such
period extends beyond the period for which Federal financial assistance
is authorized; and (4) make timely and efficient management of the
project easier in accordance with Federal law.\2\ FRA anticipates
limiting the use of PFAs to applications that include funding for the
Construction Lifecycle Stage and are scheduled to enter the Final
Design or Construction Lifecycle Stage within the Inventory Period.
PFAs are contingent commitments and are not financial obligations of
the Federal government. However, unlike LOIs, PFAs are agreements
relating to the obligation of future funds in which FRA commits to
provide funding as specified in the PFA, and subject to appropriation,
for the duration of the project, as long as the grantee continues to
meet the terms of the PFA. For a project with a PFA, FRA will provide
grant funding in phases consistent with the terms of the PFA and within
the established maximum amount of Federal financial assistance for the
project.
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    \2\ Generally, prior to receiving a PFA, the project sponsor
must complete the process for complying with the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
related environmental laws for the project.
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c. Concurrent Applications
    DOT and FRA may be concurrently soliciting applications for
transportation infrastructure projects for several financial assistance
programs. Applicants may submit applications requesting funding for a
particular project to one or more of these programs. In the application
for funding under this NOFO, applicants must indicate the other
program(s) to which they submitted or plan to submit an application for
funding the entire capital project or certain project components, as
well as highlight new or revised information in the application
responsive to this NOFO that differs from the previously submitted
application(s).

C. Eligibility Information

    This section of the notice explains applicant eligibility, cost
sharing and matching requirements, project eligibility, and project
component operational independence. Applications that do not meet the
requirements in this section will be ineligible for funding.
Instructions for submitting eligibility information to FRA are detailed
in Section D of this NOFO.

1. Eligible Applicants

    The following entities are eligible applicants for all projects
permitted under this notice:
    (1) a State (including the District of Columbia);
    (2) a group of States;
    (3) an Interstate Compact;
    (4) a public agency or publicly chartered authority established by
one or more States; \3\
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    \3\ See Section D(2)(a)(iv) for supporting documentation
required to demonstrate eligibility under this eligibility category.
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    (5) a political subdivision of a State;
    (6) Amtrak, acting on its own behalf or under a cooperative
agreement with one or more States;
    (7) a federally recognized Indian Tribe, or
    (8) any combination of the entities described in (1) through (7).
    The applicant is considered the project sponsor and will be the
primary point of contact for the application, and if selected, the
grantee of the FSP Program award.\4\ If a joint application is
submitted under (8) above, one of the submitting applicants must be
identified as the lead applicant to serve as the primary point of
contact for the application, and if selected, as the grantee of the FSP
Program award.
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    \4\ In this NOFO, the terms ``applicant'' and ``project
sponsor'' are used interchangeably.
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    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). Applications may
reference entities that are not eligible applicants (e.g., a private
intercity passenger rail operator) in an application as a partner in
project funding or implementation, but ineligible entities may not be
the lead applicant nor, if selected, the grantee. If the applicant
intends to partner with an ineligible entity, that intention should be
made clear in the application and a letter of support from the
ineligible entity outlining its roles and responsibilities for the
project must be included in the application. Eligible applicants who
partner with private operators of intercity passenger rail will be the
primary point of contact and the primary recipient of the award and
therefore will be responsible for administering and managing Federal
funds and ultimately delivering the project. Eligible applicants must
have necessary agreements to implement, manage, and oversee the project
with all appropriate parties and submit these agreements as supporting
documents with their application.

2. Cost Sharing or Matching

    FRA will evaluate the application based on the amount of Federal
funds for the project requested in the application.\5\ The Federal
share of total

costs for FSP projects funded under this notice shall not exceed 80
percent. As stated in the NEC Project Inventory, FRA will generally
fund Planning and Major Backlog projects applying under this notice up
to 80 percent Federal share. FRA will generally fund Capital Renewal,
Stations and Improvement projects applying under this notice between 50
and 80 percent Federal share. FRA will favorably consider a higher
Federal share, within this range, for: i) projects that primarily
repair, replace, or rehabilitate railroad assets such as track,
structures, electric traction and power systems, and communication and
signal systems, to bring such assets into a state of good repair, and
ii) intercity passenger rail projects or projects that improve rail
service consistent with 49 U.S.C. 24911(c)(2) and provide a high
proportion of intercity passenger rail benefit relative to overall
project benefits. Additionally, in preparing the Capital Cost Estimate,
applicants should, as appropriate, consult available FRA guidance,
including FRA's cost estimate guidance documentation, ``Capital Cost
Estimating: Guidance for Project Sponsors''.\6\
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    \5\ If an applicant's cost share agreement demonstrates the
commitment of more non-Federal dollars than proposed in the
application, the applicant should note the distinction and confirm
that the difference was intentional.
    \6\ The ``Capital Cost Estimating: Guidance for Project
Sponsors,'' is available at: https://www.fra.dot.gov/Page/P0926.
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    The 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, or any non-Federal funds already expended
(or otherwise encumbered) toward the matching requirement, unless
compliant with 2 CFR part 200.\7\ If repaid from non-Federal sources,
Federal credit assistance is considered non-Federal share. 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 part 200.306.
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    \7\ See Section D(2)(a)(iii) for supporting information required
to demonstrate eligibility of Federal funds for use as match.
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    If Amtrak is an applicant, Amtrak may use its ticket and other non-
Federal revenues generated from its operations and other sources as
well as funding provided by the Supplemental Appropriations under the
heading ``Northeast Corridor Grants to the National Railroad Passenger
Corporation'' to satisfy the non-Federal share requirements. Applicants
must identify the source(s) of their matching and other funds and must
clearly and distinctly reflect these funds as part of the total project
cost.
    Before applying, applicants should carefully review the principles
for cost sharing or matching in 2 CFR 200.306. See Section D(2)(a)(iii)
for required application information on non-Federal match and Section E
for further discussion of FRA's consideration of matching funds in the
review and selection process. FRA will approve pre-award costs
consistent with 2 CFR 200.458, as applicable (see Section D(5)). Cost
sharing or matching may be used only for authorized Federal award
purposes.

3. Other

a. Project Eligibility
    Only projects on the NEC Project Inventory for which an application
is submitted under this NOFO will be considered for award. The
following capital projects, including acquisition of real property
interests, are eligible:
    (1) A project to replace, rehabilitate, or repair infrastructure,
equipment,\8\ or a facility used for providing intercity passenger rail
service to bring such assets into a state of good repair.
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    \8\ The location of the equipment's primary use will determine
whether it is a project located on the NEC.
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    (2) A project to improve intercity passenger rail service
performance, including reduced trip times, increased train frequencies,
higher operating speeds, improved reliability, expanded capacity,
reduced congestion, electrification, and other improvements, as
determined by the Secretary.
    (3) A project to expand or establish new intercity passenger rail
service.
    (4) A group of related projects described in paragraphs (1) through
(3).
    (5) The planning, environmental studies, and Final Design for a
project or group of projects described in paragraphs (1) through (4).
    For projects that are on a shared corridor with Commuter Railroad
Passenger Transportation or freight transportation, applicants must
clearly demonstrate how the proposed project benefits Intercity
Passenger Rail Transportation and that funding the proposed project
would be a reasonable investment in Intercity Passenger Rail
Transportation, independent and separate from consideration of the
proposed project's benefits to other transportation purposes. A project
that uses rolling stock or equipment originating from a ``country of
concern'' or from a state-owned enterprise, as those terms are defined
under Sec. 49 U.S.C. 20171, is ineligible.
    Capital Projects, as further defined in Section A(2), may include
the acquisition of real property interests, Project Planning, Project
Development, Final Design, and Construction. Pre-Construction
activities are eligible for funding independently or in conjunction
with proposed funding for construction.
b. Application Tracks
    Applicants are not limited in the number of applications for which
they seek funding. FRA expects that applications identify only one of
the following tracks for an eligible project: Track 1--Planning Studies
and Project Planning; Track 2--Project Development; Track 3--Final
Design (FD) and Construction.
    i. Track 1--Planning Studies and Project Planning:
    Planning Studies include planning activities (with no associated
construction), and examples include: railroad transportation market
forecasting, conceptual design activities (e.g., operations analysis,
establishing the type and scope of capital improvements), fleet
planning, cost analysis, station and facility planning, environmental
resource consideration (e.g., development of a purpose and need
statement, preliminary alternatives analysis, identification of
environmental resources and analysis of potential environmental
effects), and other similar activities. Project Planning includes
planning specific to a Capital Project. Examples include the
development of a purpose and need study for a proposed capital project;
development of conceptual design concepts that establish the type and
scope of identified capital improvements; an alternative analysis
identifying the costs, benefits, service option, and methodology for
eliminating preliminary project alternatives; an environmental analysis
that addresses resources and potential environmental effects both to
natural and the human environment.
    ii. Track 2--Project Development:
    Track 2 consists of projects for eligible Project Development
activities. Project development includes design, environmental and
other studies to ensure the project is ready for Final Design and
Construction. Examples include: PE activities such as development of PE
drawings and specifications (scale drawings at the 30 percent design
level, including track geometry as appropriate), design criteria,
schematics and/or track charts that support the development of PE; work
that can be funded in conjunction with developing PE, such as
operations

modeling, surveying, project work/management plans, preliminary cost
estimates, and preliminary project schedules; and activities required
to complete review under NEPA and associated laws, to advance
permitting processes as appropriate, and to inform economic benefits
assessments. Project Development activities funded under this NOFO
should result in capital projects that are sufficiently developed to
support FD or Construction activities, including with respect to
equipment.
    iii. Track 3--FD, FD/Construction, or Construction:
    Track 3 consists of projects for eligible FD and/or Construction,
and project implementation and deployment activities, including with
respect to equipment. Applicants must complete all necessary Project
Planning and Project Development requirements for FD/Construction
projects. FD funded under this track must resolve remaining
uncertainties or risks associated with the design and scope of the
Capital Project; address procurement processes; and update and refine
the schedule, cost estimate, and plans for financing the project to
reflect accurately the expected year-of expenditure costs and cash flow
projections. Prior to obligation, applicants selected for funding for
FD/Construction or Construction only must demonstrate the following to
FRA's satisfaction: (A) PE is completed for the proposed project,
resulting in project designs that are reasonably expected to conform to
all regulatory, safety, security, and other design requirements,
including those under the Americans with Disabilities Act (ADA); (B)
NEPA is completed for the proposed project; (C) the applicant has
entered into the appropriate agreements with key project partners,
including infrastructure-owning entities; and (D) a Project Management
Plan is complete and up-to-date for managing the implementation of the
proposed project, including the management and mitigation of project
risks.

D. Application and Submission Information

    Required documents for the application are outlined in the
following paragraphs. Applicants should, as appropriate, consult
available FRA guidance when developing applications. 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. Such supporting documentation will not count
against the Project Narrative 25-page limit.

1. Address To Request Application Package

    Applicants may access application materials at https://www.Grants.gov and must submit all application materials in their
entirety through https://www.Grants.gov no later than 5 p.m. ET, on
March 27, 2023. Applicants must complete an Authorized Organization
Representative (AOR) profile on www.Grants.gov and create a username
and password. Additional information about the registration process is
available at: https://www.grants.gov/web/grants/applicants/organization-registration.html.
    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://railroads.dot.gov/grant-administration/applying-grants/competitive-grants-application-process.
    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 Laura Mahoney, Office of the Chief Financial
Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE,
Washington, DC 20590; email: [email protected]; telephone: 202-578-
9337.
    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.
    If an applicant experiences difficulty at any point during this
process, please call the Grants.gov Customer Center Hotline at 1-800-
518-4726, 24 hours a day, 7 days a week (closed on Federal holidays).
For information and instructions on each of these processes, please see
instructions at: https://www.grants.gov/web/grants/applicants/apply-for-grants.html.

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. Applications that are
not submitted on time or do not contain all required documentation will
not be considered for funding. To support the application, applicants
may provide other relevant and available optional supporting
documentation that may have been developed by the applicant, especially
such documentation that demonstrates completion of appropriate
Lifecycle Stage(s) of a Capital Project. Additionally, applicants
selected to receive funding must satisfy the requirements in 49 U.S.C.
229003 and 22905, including FRA's Buy America requirement and
conditions explained in part at https://www.fra.dot.gov/page/P0185 and
further in section F.2 of this notice.
    All forms needed for the electronic application process are at
www.Grants.gov. Applicants must submit the following with their
application packages. The required attachments and Grants.Gov generated
forms are outlined in the checklists below. Applications that do not
complete and submit each of the required documents below will be
considered incomplete and will not be reviewed.

Required Attachments

1. Project Narrative (see D.2.a)
2. Grant Template Attachments 2-5 (see D.2.b.i)
3. Funding Commitment Supporting Documentation (see D.2.a.iii)
4. Financial Plan or Funding Plan (see D.2.a.x.B.3)
5. Draft Agreement required under 49 U.S.C. 22905(c)(1), if applicable
(see D.2.b.ii)

Grants.Gov Generated Forms Required (MUST BE SIGNED)

A. SF424--Application for Federal Assistance
B. SF 424A--Budget Information for Non-Construction (for an equipment
procurement project or non-Construction project) OR SF 424C--Budget
Information for Construction
C. FRA's F 251--Applicant Financial Capability Questionnaire
D. FRA's F 30--Certifications Regarding Debarment, Suspension and Other
Responsibility Matters, Drug-Free Workplace Requirements and Lobbying
E. SF LLL--If reportable lobbying activities exist, Certification
Regarding Debarment, Suspension and Other Responsibility Matters, Drug
Free Workplace Requirements and Disclosure of Lobbying Activities
F. SF 424B--Assurances for Non-Construction (for an equipment
procurement project or non-

Construction project) OR SF 424D--Assurances for Construction
a. Project Narrative
    This section describes the minimum content required in the Project
Narrative. The Project Narrative must follow the basic outline below to
address the program requirements and assist evaluators in locating
relevant information.

i. Cover Page.............................  See D.2.a.i.
ii. Project Summary.......................  See D.2.a.ii.
iii. Project Funding......................  See D.2.a.iii.
iv. Applicant Eligibility Criteria........  See D.2.a.iv.
v. Project Eligibility Criteria...........  See D.2.a.v.
vi. Detailed Project Description..........  See D.2.a.vi.
vii. Project Location.....................  See D.2.a.vii.
viii. Grade Crossing Information, if        See D.2.a.viii.
 applicable.
ix. Statutory Criteria....................  See D.2.a.ix.
x. Evaluation and Selection Criteria......  See D.2.a.x.

    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 page, table of contents, and
supporting documentation). FRA will not review or consider any pages
within the Project Narratives beyond the 25-page limitation. If
possible, applicants should submit supporting documents via website
links rather than hard copies. If supporting documents are submitted,
applicants must clearly identify the relevant portion of the supporting
document with the page numbers of the cited information in the Project
Narrative. The Project Narrative must adhere to the following outline.
    i. Cover Page: Include a cover page that lists the following
elements in either a table or formatted list:

------------------------------------------------------------------------
                  Project Name
------------------------------------------------------------------------
Lead Applicant Name/Project Sponsor.
Amount of Federal Funding Requested in this
 Application.
Proposed Non-Federal Match.
Total Project Cost/Total Project Cost For         $_/$_
 Lifecycle Stage beginning by 2024.
LOI/PFA Requested?..............................  Yes/No.
If PFA Funding Requested, Provide Amount of:
    --Request under this NOFO for initial         Initial Obligation:
     obligation.
    --Request under this NOFO for scheduled       Total Future
     obligations under a PFA (This equals the      Obligations:
     remaining amount of the Total Project
     Cost.).
The above amounts combined should equal the
 Total Project Cost.
If LOI Requested, Provide Amount of:
    --Request under this NOFO for obligation and  Obligation Amount:
    --Requested amount under LOI which may be     LOI Amount:
     applied for under future NOFOs (This may or
     may not equal the remaining amount of the
     Total Project Cost.).
Was a Federal Grant Application Previously        Yes/No.
 Submitted for this Project?.
If Yes, State the Name of the Federal Grant       Federal Grant Program:
 Program and Title of the Project in the
 Previous Application.
Current Project Lifecycle Stage.
Project Lifecycle Stage(s) to be Funded in this
 Application.
Intercity Passenger Rail Service(s) Benefiting
 from the Project.
For shared benefit projects, identify the
 Commuter Rail Passenger Transportation
 service(s) benefiting from the project.
Infrastructure Owner(s) of Project Assets.
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:
    a. Indicate in table format the amount of Federal funding requested
under this NOFO, the proposed non-Federal match, and total project cost
based on the Capital Cost Estimate. Applications for a Major Capital
Project seeking funding for Construction, must include the remaining
budget needed to complete the Construction Lifecycle Stage, whether or
not the applicant is seeking a PFA. Applications for a Major Capital
Project seeking funding for Project Development must distinguish the
amount requested under this NOFO and the amount for the LOI to be
requested under future NOFOs. The Capital Cost Estimate 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.
    Identify the source(s) of matching and other funds, and clearly and
distinctly reflect these funds as part of the total project cost in the
application budget. Include funding commitment letters outlining
funding agreements, as attachments or in an appendix. Funding
commitments must be signed by an authorized representative of the
entity providing a non-Federal match. If Federal funding is proposed as
match, demonstrate the applicant's determination of eligibility for
such use, and the legal basis for that determination. Also, note if the
requested Federal funding under this NOFO or other programs must be
obligated or spent by a certain date due to dependencies or
relationships with other Federal or non-Federal funding sources,
related projects, law, or other factors. If applicable, provide the
type and estimated value of any proposed in-kind contributions, as well
as substantiate how the contributions meet the requirements in 2 CFR
200.306.
    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 FSP application that differs from the application(s)
to other financial assistance programs. FRA may not award more funding
for a project than is requested in an application.
    b. Example Project Funding Tables:
    The following tables provide examples of how applicants may provide
project funding information. All applicants should provide the
information requested in Table 1 and Table 2. Only applicants with
Major Capital Projects are required to provide the information
requested in all three

tables. Applicants may provide additional rows and columns, or
additional project funding tables, as appropriate, to provide the
requested project funding information.

                                                              Table 1--Project Cost by Task
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Non-federal funding             FSP funding request            Other federal funding
  Task     Task name/project  component  ------------------------------------------------------------------------------------------------    Total ($)
  No.                                       Amount ($)      Percent (%)     Amount ($)      Percent (%)     Amount ($)      Percent (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
2        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
3        ...............................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

                                            Table 2--Source of Funds
----------------------------------------------------------------------------------------------------------------
                                                                                Percent of project
                  Type                                Source                  Amount ($)           cost (%)
----------------------------------------------------------------------------------------------------------------
Federal................................  FSP Funds Request..............  ..................  ..................
                                         FSP PFA or LOI Request.........  ..................  ..................
                                         Other Federal Funds............  ..................  ..................
Non-Federal............................  Non-Federal Matching Funds.....  ..................  ..................
----------------------------------------------------------------------------------------------------------------

                            Table 3--Project Costs by Anticipated Year of Expenditure
----------------------------------------------------------------------------------------------------------------
                                        FY 2023             FY 2024             FY 2025             FY 2026
----------------------------------------------------------------------------------------------------------------
FSP Funding                       ..................  ..................  ..................  ..................
Other Federal                     ..................  ..................  ..................  ..................
Non-Federal                       ..................  ..................  ..................  ..................
    Total                         ..................  ..................  ..................  ..................
----------------------------------------------------------------------------------------------------------------

    c. Applications for a Major Capital Project seeking funding for FD/
Construction or Construction Stage activities that are scheduled to
enter the Final Design or Construction Stages within the Inventory
Period, must provide an annualized budget in year of expenditure
dollars, the anticipated annual Federal funding requests from this
grant program, anticipated future non-Federal match, and total project
cost through completion of the Construction Stage, so that FRA can
properly evaluate the project for a PFA. PFA applicants must include
proposed milestones by which FRA can measure progress.
    iv. Applicant Eligibility Criteria: Explain how the applicant meets
the applicant eligibility criteria outlined in Section C of this
notice. For public agencies and publicly chartered authorities
established by one or more States, the explanation must include
relevant legislative language and citations to the applicable enabling
legislation. Include 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. Discussion of applicant
qualifications should include experience in managing similar projects
and specifically address the considerations in 2 CFR 200.206(b).
    For 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. Such
cooperative agreements must include a description of the roles and
responsibilities of each party, including budget and subrecipient
information showing how the parties will share project costs. A cost
share agreement signed by Amtrak and one or more States would address
this requirement if it addressed the requirements above.
    v. Project Eligibility Criteria: Demonstrate that the proposed
project meets the project eligibility criteria in Section C(3)(a) of
this notice.
    vi. Detailed Project Description: Include a detailed project
description that expands upon the project summary. The detailed
description should provide, at a minimum: a statement of the intercity
passenger rail benefit of the project and the proportion of intercity
passenger rail benefit relative to overall project benefits; a
statement of the purpose or purposes for undertaking the project
consistent with 49 U.S.C. 24911(c)(1-5), including identifying the
primary purpose of the project or the relative importance of such
purposes; a thorough description of the scope of the project
identifying the specific components and elements of the project and
associating those components and elements to the purposes provided
above; additional background on the transportation challenges the
project aims to address; a summary of current and proposed railroad
operations in the project area, to include identification of all
railroad owners and operators, typical daily, weekly, or annual train
counts by operator, and ridership data for passenger operations; a
statement of the primary expected project outcomes such as increased
ridership, reduced delays, improved rail network asset condition and
performance, or similar outcomes and benefits; identification of the
expected users and beneficiaries of the project, including all railroad
operators and types of passenger or freight rail service operating or
proposed to operate in the project area; a statement demonstrating how
the proposed project is consistent with the NEC Planning Documents \9\
and

associated state or regional long-range planning documents and local
government priorities; and any other information the applicant deems
necessary to justify the proposed project.
---------------------------------------------------------------------------

    \9\ Applicants may submit copies of the relevant pages of such
plans as supporting documents in their application or provide a
citation of the relevant document name(s) and page number(s).
---------------------------------------------------------------------------

    vii. Project Location: Include geospatial data for the project, as
well as a map of the project's location. Geospatial data can be
expressed in terms of decimal degrees for latitude and longitude of at
least five decimal places of precision or start and end mileposts with
the railroad code of the owning railroad and subdivision name. On the
map, include the Congressional districts in which the project will take
place.
    viii. Grade Crossing Information, if applicable: For a 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: https://railroads.dot.gov/safety-data/fra-safety-data-reporting/crossing-inventory-data-search.
    ix. Statutory Criteria: Include a statement that the proposed
project is consistent with the most recently published NEC Project
Inventory, or in the alternative include a statement that there have
not been any material changes to infrastructure, service conditions or
project sponsor capabilities or commitments or other significant
changes that may affect the scope, schedule or budget of the project,
or in the alternative a statement explaining such material changes and
how they will affect the scope, schedule or budget of the project.
    For projects that benefit intercity and commuter rail services, a
statement that Amtrak and the public authorities providing commuter
rail passenger transportation at the eligible project location are in
compliance with section 24905(c)(2); and identification of the funding
for the intercity passenger rail share, the commuter rail share and the
local share of the project before commencement of the project.
Applicants must identify these shares for the Lifecycle Stage(s) for
which they are seeking funding (for example, an application seeking
funding only for Project Development must identify funding shares only
for the Project Development Lifecycle Stage and not for the FD and
Construction stages of the same project.)
    x. Evaluation and Selection Criteria: Include a thorough discussion
of how the proposed project meets 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.
    A. Project Implementation:
    Describe proposed project implementation and project management
arrangements. Applicants must address whether railroad workforce needs
have been evaluated as well as whether all required resources have been
identified. Include descriptions of the arrangements for handling work
force constraints and outages, project contracting including use of
small businesses consistent with 2 CFR 200.321, contract oversight and
control, change-order management, and conformance to Federal
requirements for project progress reporting (see https://www.fra.dot.gov/Page/P0274). Further, applicants must provide their
plan for taking affirmative steps to employ small businesses consistent
with 2 CFR 200.321.
    Assessment of Project Risks and Mitigation Strategies. Project
risks, such as procurement delays, environmental uncertainties,
increases in real estate acquisition costs, uncommitted local match,
concerns expressed by stakeholders or impacted communities or residents
or businesses who would be relocated for the project, or lack of
legislative approval, affect the likelihood of successful project start
and completion. Applicant must identify all material risks to the
project and the strategies that the lead applicant and any project
partners have undertaken or will undertake to mitigate those risks. The
applicant will assess the greatest risks to the project and identify
how the project parties will mitigate those risks. The applicant must
include its risk monitoring, management and mitigation strategy and
explain management staffing plans and procedures. Risks and mitigation
strategies should be summarized in the project narrative and additional
detailed information should be provided with the application as
supporting documentation.
    Provide a Project Management Plan including management controls,
relations management, project planning and concept design, description
and approach to managing risk, environment, design management, project
delivery, construction management, construction close out, start up and
revenue operation, real estate acquisition and management, and rolling
stock acquisition and management (see https://railroads.dot.gov/training-guidance/resources/project-development).
    B. Project Readiness:
    1. Lifecycle Stage
    Applicants should demonstrate completion of the Project Lifecycle
prerequisites consistent with the definitions of Lifecycle Stages and
consistent with the available guidance at the time of application.\10\
---------------------------------------------------------------------------

    \10\ FRA published the proposed Guidance on Development and
Implementation of Railroad Capital Projects in the Federal Register
on June 28, 2022. 87 FR 38451; FRA Docket No. FRA-2022-0035. FRA
anticipates that the final Guidance will be published in the Federal
Register soon. The final Guidance will also be made available on
FRA's website and in FRA Docket No. FRA-2022-0035.
---------------------------------------------------------------------------

    For Planning Studies projects (to be submitted under Track 1),
applicants must state why the planning study is being undertaken (e.g.,
to advance a Departmental strategic goal, to advance the NEC toward
achieving a state of good repair, or to study how trip times on the NEC
can be improved), and the primary activities to be undertaken in the
planning study (e.g., feasibility study, a market analysis, a
preliminary alternatives analysis, stakeholder coordination effort).
Applicants should demonstrate the extent of support from local,
regional, State or other partners to advance the study.
    For Planning Projects (to be submitted under Track 1), applicants
should demonstrate whether there is support from local, regional, State
or other partners to advance the study. For projects currently in a
planning stage, applicants should indicate whether preliminary
alternatives have been developed, evaluated and submitted for public
review and comment, as well as the timeline for procurement of
preliminary engineering services.
    For Project Development projects (to be submitted under Track 2),
applicants must indicate whether or the extent to which the following
has been completed or provide the timeline for completion: development
of a purpose and need statement; development of preliminary
alternatives; public, tribal and agency outreach regarding the project;
and development of conceptual design.
    For Final Design projects, Final Design and Construction projects,
or Construction projects (to be submitted under Track 3), applicants
must indicate whether Project Development activities, including
issuance of a NEPA decision by a USDOT agency, acceptance of
preliminary engineering by FRA, and preparation of a project management
plan have been completed, or provide

the timeline for completion. In addition, applicants must describe the
status of coordination among FRA and the operating railroads in the
study area in relation to track configuration. If coordination is
complete, provide documentation of operator and FRA's concurrence with
the new track configuration. For Construction projects, the applicant
must demonstrate completion of final design documentation that is
consistent with the NEPA decision, and the engineering configuration
accepted during Project Development.
    2. Status of Environmental Review.
    Applicants should explain what Federal (and, if appropriate, State
and local) environmental compliance and permitting requirements have
been completed. Such requirements include NEPA and other Federal, local
and State permitting requirements, if applicable. If the NEPA process
is complete, an applicant should indicate the date of completion, and
provide a website link or other reference to the NEPA decision
document, which might include a final Categorical Exclusion, Finding of
No Significant Impact, or Record of Decision. If the NEPA process is
not yet underway, the application should state this. If the NEPA
process is underway, but not complete, the application should detail
the type of NEPA review underway, where the project is in the process,
and indicate the anticipated date of completion of all NEPA-related
milestones. If the last agency NEPA document was dated more than three
years before the application date, the applicant should explain whether
the NEPA document needs to be updated and include a proposed approach,
if appropriate, for such an update in accordance with applicable NEPA
and FRA requirements as well as indicate what, if any, coordination on
the update has been conducted with FRA. Information regarding FRA's
environmental processes and requirements are located at https://www.fra.dot.gov/environment. For all other Federal, state and local
permitting requirements, the applicant should describe which permits
apply, the status of those reviews, and the expected timeline for
completion.
    3. Financial Readiness.
    Applicants must provide a funding plan consistent with the project
budget identifying anticipated sources of project funding, describing
the applicant's assessment of financial risk to the project and
mitigation strategies, providing a methodology for handling cost
overruns, and determining and analyzing appropriate contingency. The
funding plan must also describe the applicant's plan for financing
operation and maintenance of the project. If selected, a financial plan
for Major Capital Projects must be prepared consistent with the
requirements of the Final Railroad Capital Project Development and
Implementation Guidance by time of obligation.
    For anticipated Federal funding other than through the FSP Program,
describe when the funding is expected to be secured and indicate what
federal grant programs are anticipated, as well as the percentage of
the total project cost expected be funded by the other federal funds.
    For anticipated non-Federal funding, applicants must provide the
total percentage of non-Federal funding and identify the sources of the
non-Federal share. Applicants should demonstrate the availability of
non-Federal funds for project match, for example, by including an
approved budget document showing the match commitment, a funding
commitment letter signed by an authorized official of the entity
committing funds, or similar materials.
    Applicants should provide executed cost sharing agreements if
applicable, or, if incomplete, describe whether they have been started
and the expected timeline for finalizing those agreements.
    For Major Capital Projects, the Capital Cost Estimate should
incorporate a narrative and Risk Assessment consistent with the
available guidance at the time of application and that describes and
explains the logic, methods, assumptions, and calculations used in the
estimate, and should account for varying risks related to materials,
labor, and project activities necessary for an independently conducted
risk review.
    4. Legal, financial and technical capacity of the applicant.
    i. Legal capacity of applicant.
    To address legal capacity, an applicant should indicate whether it
owns now or will own the project property and provide a description of
agreements necessary to enable the project construction, necessary
continuing access and ability to ensure operation and maintenance.
    ii. Financial capacity of applicant.
    To explain financial capacity, applicants should complete FRA Form
251. Describe past experience in managing and overseeing similar
projects.
    iii. Technical capacity of applicant.
    To explain technical capacity applicants should demonstrate
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 time frame and budget. Discussion of applicant
qualifications should include experience in managing similar projects
and specifically address the considerations in 2 CFR 200.206(b)
including the applicant's financial stability, management systems and
standards, history of performance, audit reports and findings, and
ability to effectively implement grant requirements. Include 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. DOT Strategic Goals: In addressing the selection criteria
applicants must address the following:
    a. Safety: The applicant must, if applicable, include information
on, and to the extent possible, quantify, how the project will target
known documented safety problems within the project area or wider rail
network and demonstrate how the project will address safety risks. A
project addressing grade crossings should include 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: https://safetydata.fra.dot.gov/OfficeofSafety/default.aspx. In addition, if
applicable, applicants should provide the page number in the State
Highway-Rail Grade Crossing Action Plan where the grade crossing is
referenced. Applicants should specify whether the project will result
in the elimination of one or more grade crossings through grade
separation or otherwise. the number of crossings addressed and focus on
what the project intervention will do to mitigate existing quantifiable
safety problems. The application should provide evidence to support the
claimed level of effectiveness of the project in protecting motorized
and non-motorized travelers from health and safety risks, such as the
number or rate of crashes, serious injuries, and/or fatalities. In
cases which the project seeks to upgrade infrastructure, the applicant
is encouraged to describe the infrastructure being upgraded and
specifically how the upgrades enhance safety with documentation
provided.

    b. Economic Strength and Global Competitiveness: The applicant
must, if applicable, include information on, and to the extent
possible, quantify, how the project will target known documented issues
or improve conditions for laborers and/or local residents in regard to
equitable economic strength and core assets within the project area or
wider rail network. Quantifiable elements corresponding to this DOT
objective may include specific commitment regarding targeted hiring or
utilization of underrepresented workers written into the process or
labor agreement(s) of the project, the creation of long-term employment
opportunities with estimated quantity range expressed as a number or
demonstrate how the project will contribute to economic progress
stemming from infrastructure investment. To the extent that applicants
have not sufficiently considered job quality and labor rights in their
planning, as determined by the Department of Labor, the applicants will
be required to do so before receiving funds for construction,
consistent with Executive Order 14025, Worker Organizing and
Empowerment (86 FR 22829), and Executive Order 14052, Implementation of
the Infrastructure Investment and Jobs Act (86 FR 64335). Specifically,
the project planning activities and project delivery actions must
support: (a) strong labor standards and the free and fair choice to
join a union, including project labor agreements, local hire
agreements, distribution of workplace rights notices, and use of an
appropriately trained workforce; (b) high-quality workforce development
programs, including registered apprenticeship, labor-management
training programs, and supportive services to help train, place, and
retain people in good-paying jobs and apprenticeships; and (c)
comprehensive planning and policies to promote hiring and inclusion for
all groups of workers, including through the use of local and economic
hiring preferences, linkage agreements with workforce programs that
serve these underrepresented groups, and proactive plans to prevent
harassment. Consistent with E.O. 11246, Equal Employment Opportunity
(30 FR 12319, and as amended), all federally assisted contractors are
required to make good faith efforts to meet the goals of 6.9 percent of
construction project hours being performed by women, in addition to
goals that vary based on geography for construction work hours and for
work being performed by people of color.
    c. Equity: The applicant must, if applicable, include information
on, and to the extent possible, quantify, how the project will target
known documented inequality and barriers to opportunity within the
project area or wider rail network. Quantifiable elements corresponding
to this DOT objective may include specific ways the project supports
investments increasing accessibility to rail infrastructure and
expanding travel options for underserved populations by providing data
on the size of the targeted underserved population, demographic
descriptors of the population, and distance from project area to key
locations. If applicable, the applicant should describe how the project
will meet ADA requirements and be accessible to people with
disabilities, including individuals who use wheelchairs, and how the
project will connect underserved communities to essential services such
as hospitals, grocery stores, or affordable housing. If applicable,
applicants should include their plan for taking affirmative steps to
employ small business consistent with 2 CFR 200.321, workforce
development and training information, if applicable: For any project
that includes workforce development, applicants must document, to the
extent practicable, similar existing local training programs supported
by the DOT, the Department of Labor, and/or the Department of
Education. The applicant must also (a) describe whether the workforce
development project incorporates union representation, and (b) describe
any involvement or partnership with existing in-house skills training
programs, unions and worker organizations, community colleges and
public school districts, community-based organizations, supportive
services providers, pre-apprenticeships tied to Registered
Apprenticeships, Registered Apprenticeship programs and other labor-
management training programs, or other quality workforce training
providers. FRA strongly encourages applicants to outline their plan to
recruit, train, and retain a locally hired, diverse workforce. In
support of Executive Order 13985, Advancing Racial Equity and Support
for Underserved Communities Through the Federal Government (86 FR 7009)
and Executive Order 14008, FRA will assess the project's ability to
address equity and barriers to opportunity, to the extent possible
within the program and consistent with law. Such considerations will
include, but are not limited to, the applicant's plan for using small
businesses to complete its project, the extent to which the project
improves or expands transportation options for underserved communities,
mitigates the safety risks and detrimental quality of life effects that
rail lines can have on communities especially those communities that
might have been historically disconnected due to the railroad
infrastructure, and expands workforce development and career pathway
opportunities to foster a more diverse rail industry. This will also
include community engagement efforts already taken or planned, the
extent to which engagement efforts are designed to reach impacted
communities, whether engagement is accessible for persons with
disabilities or limited English proficient persons within the impacted
communities, and how community feedback is taken into account in
decision-making.\11\
---------------------------------------------------------------------------

    \11\ For more information and best practices on meaningful
public involvement applicants are encouraged to review the DOT's
Promising Practices for Meaningful Public Involvement in
Transportation Decision-Making at https://www.transportation.gov/priorities/equity/promising-practices-meaningful-public-involvement-transportation-decision-making).
---------------------------------------------------------------------------

    d. Climate and Sustainability: The applicant must, if applicable,
include information on, and to the extent possible, quantify, how the
project will target climate change and sustainability within the
project area or wider rail network. Quantifiable elements corresponding
to this DOT objective may include specific data showing expected shift
to different transportation modes, reduction in fossil fuel usage or
greenhouse gas (GHG) emissions from project implementation, and
programmatic infrastructure review showing existing infrastructure or
evacuation vulnerabilities to climate change events. Projects that have
not sufficiently considered climate change and sustainability in their
planning, as determined by FRA, will be required to do so before
receiving funds for construction, consistent with Executive Order 14008
In the grant agreement, recipients will be expected to describe
activities they have taken or will take prior to obligation of
construction funds that addresses climate change and environmental
justice (EJ). Activities that address climate change include, but are
not limited to, demonstrating: the project will result in significant
GHG emissions reductions; and the project supports emissions reductions
goals in a Local/Regional/State plan. Activities that address EJ
include but are not limited to: basing project design on the results of
a proven EJ screening tool (developed by another Federal agency such as
the EPA, a state agency, etc.);

conducting enhanced, targeted outreach to EJ communities; considering
EJ in alternatives analysis and final project design; and supporting a
modal shift in freight or passenger movement to reduce emissions or
reduce induced travel demand.
    e. Transformation. The applicant must, if applicable, provide
information on and, to the extent possible, quantify, how the project
will transform the nation's transportation infrastructure within the
project area or wider rail network to improve operations, increase
capacity, and maintain existing assets. Quantifiable elements
corresponding to this DOT objective may include data showing additional
capacity of the rail system in terms of passengers served, programmatic
review of existing assets showing vulnerability due to age or lack of
maintenance, and change of maintenance requirements (i.e., hours spent
with a train or rail line taken out of operation to make maintenance
repairs before and after the project).
b. Additional Application Elements
    Applicants must submit:
    i. Grant Template Attachments 2-5: A Statement of work (SOW)
addressing the scope, a schedule, a budget, and performance measures
for the proposed project if it were selected for award as described in
Section F(3)(c) and required in 2 CFR 200.301. The four required
templates are labeled ``Example General Grants--Attachments 2-5'' and
are located at https://www.fra.dot.gov/Page/P0325. Applications that do
not complete and submit all four of the grant package templates will be
considered incomplete and will not be reviewed. 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.
    ii. Draft Agreement required under 49 U.S.C. 22905(c)(1), if
applicable. As a condition of receiving a grant under this program for
a project that uses rights-of-way owned by a railroad, the grantee
shall have in place a written agreement between the grant recipient and
the railroad regarding such use and ownership, including any
compensation for such use; assurances regarding the adequacy of
infrastructure capacity to accommodate both existing and future freight
and passenger operations; an assurance by the railroad that collective
bargaining agreements with the railroad's employees including terms
regulating the contracting of work will remain in full force and effect
according to their terms for work performed by the railroad on the
railroad transportation corridor; and an assurance that the grant
recipient complies with liability requirements consistent with 49
U.S.C. 28103. For additional information please see FRA's Answers to
Frequently Asked Questions about Rail Improvement Grant Conditions
under 49 U.S.C. 22905(c)(1).\12\
---------------------------------------------------------------------------

    \12\ https://railroads.dot.gov/sites/fra.dot.gov/files/2022-05/Rail-Improvement-Grant-Conds%20-Sec22905-FAQs_042922.pdf.
---------------------------------------------------------------------------

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

    To apply for funding through Grants.gov, applicants must be
properly registered in SAM before submitting an application, provide a
valid unique entity identifier in its application, and continue to
maintain an active SAM registration all as described in detail below.
Complete instructions on how to register and submit an application can
be found at www.Grants.gov. Registering with Grants.gov is a one-time
process; however, it can take up to several weeks for first-time
registrants to receive confirmation and a user password. FRA recommends
that applicants start the registration process as early as possible to
prevent delays that may preclude submitting an application package by
the application deadline. Applications will not be accepted after the
due date. Delayed registration is not an acceptable justification for
an application extension.
    FRA may not make a grant award to an applicant until the applicant
has complied with all applicable 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. Late applications, including those
that are the result of a failure to register or comply with Grants.gov
applicant requirements in a timely manner, will not be considered. If
an applicant has not fully complied with the requirements by the
submission deadline, the application will not be considered. To submit
an application through Grants.gov, applicants must:
a. Register with the SAM at www.SAM.gov
    All applicants for Federal financial assistance must maintain
current registrations in the SAM database. An applicant must be
registered in SAM to successfully register in Grants.gov. The SAM
database is the repository for standard information about Federal
financial assistance applicants, grantees, and subrecipients.
Organizations that have previously submitted applications via
Grants.gov are already registered with SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM registration at least once per year to
maintain an active status. Therefore, it is critical to check
registration status well in advance of the application deadline. If an
applicant is selected for an award, the applicant must maintain an
active SAM registration with current information throughout the period
of the award, including information on a grantee's immediate and
highest level owner and subsidiaries, as well as on all predecessors
that have been awarded a Federal contract or grant within the last
three years, if applicable. Information about SAM registration
procedures is available at www.sam.gov.
b. Obtain a Unique Entity Identifier
    On April 4, 2022, the Federal government discontinued using DUNS
Numbers. The DUNS Number was replaced by a new, non-proprietary
identifier that is provided by the System for Award Management
(SAM.gov). This new identifier is called the Unique Entity Identifier
(UEI), or the Entity ID. To find or request a Unique Entity Identifier,
please visit www.sam.gov.

4. Submission Dates and Times

    Applicants must submit complete applications to www.Grants.gov no
later than 5:00 p.m. ET, March 27, 2023. Applicants will receive a
system-generated acknowledgement of receipt. FRA reviews www.Grants.gov
information on dates/times of applications submitted to determine
timeliness of submissions. Late applications will be neither reviewed
nor considered. Delayed registration is not an acceptable reason for
late submission. To apply for funding under this announcement, all
applicants are expected to be registered as an organization with
Grants.gov. Applicants are strongly encouraged to apply early to ensure
all materials are received before this deadline.
    To ensure a fair competition of limited discretionary funds, no
late submissions will be reviewed for any reason, including: (1)
failure to complete the Grants.gov registration process before the
deadline; (2) failure to follow Grants.gov instructions on how to
register and apply as posted on

its website; (3) failure to follow all the instructions in this NOFO;
and (4) technical issues experienced with the applicant's computer or
information technology environment.

5. Intergovernmental Review

    Intergovernmental Review is required for this program. Applicants
must contact their State Single Point of Contact to comply with their
state's process under Executive Order 12372.

6. Funding Restrictions

    Consistent with 2 CFR 200.458, as applicable, FRA will only approve
pre-award costs if such costs are incurred pursuant to the negotiation
and in anticipation of the grant agreement and if such costs are
necessary for efficient and timely performance of the scope of work.
Under 2 CFR 200.458, grant recipients must seek written approval from
FRA for pre-award activities to be eligible for reimbursement under the
grant. Activities initiated prior to the execution of a grant or
without FRA's written approval may be ineligible for reimbursement or
matching contribution. Cost sharing or matching may be used only for
authorized Federal award purposes.
    FRA is prohibited under 49 U.S.C. 22905(f) \13\ from providing FSP
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 eligible capital projects in 49 U.S.C. 24911(c). FRA's
primary intent in funding FSP projects is to make reasonable
investments in Capital Projects for Intercity Rail Passenger
Transportation. Such projects may be located on shared corridors where
Commuter Rail Passenger Transportation and/or freight rail also benefit
from the project.
---------------------------------------------------------------------------

    \13\ Under 49 U.S.C. 24911(i), FSP 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,
Amtrak and Northeast Corridor Program Delivery, 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: Eligibility, Completeness and Application 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), and the 20
percent minimum non-Federal match.
    FRA will determine whether the proposed project is consistent with
the most recently published NEC Project Inventory, and if not whether
materially changed infrastructure or service conditions, changes in
project sponsor capabilities or commitments, or other significant
changes since the completion of the most recently published NEC Project
Inventory have occurred. For projects that benefit intercity and
commuter rail services, FRA will determine whether Amtrak and the
public authorities providing commuter rail passenger transportation at
the eligible project location: are in compliance with section
24905(c)(2); and have identified funding for the intercity passenger
rail share, the commuter rail share, and the local share of the
eligible project before the commencement of the project. Applicants
must identify these shares for the Lifecycle Stage(s) for which they
are seeking funding (for example, an application seeking funding only
for Project Development must identify funding shares only for the
Project Development Lifecycle Stage and not for the FD and Construction
stages of the same project.)
a. Evaluation Criteria
    Consistent with the NEC Project Inventory, FRA's first priority
will be selecting Major Backlog projects and Planning Studies. FRA's
second priority will be selecting other projects in or beginning the
Final Design or Construction Lifecycle Stages within the Inventory
Period. FRA will evaluate all eligible and complete applications using
the following evaluation criteria.
    i. Technical Merit: FRA will take into account--
    A. The degree to which the application, statement of work, schedule
and budget are reasonable and appropriate to achieve the expected
outcomes of the proposed project on time and on budget;
    B. The extent to which the proposed implementation approach
demonstrates an efficient project delivery approach, demonstrates the
commitment of necessary resources and workforce to deliver the project
in accordance with the proposed schedule and budget, and includes
methods for handling track outages to reduce service impacts and
maximize productivity during such outages (e.g., construction is
coordinated with other geographically proximate projects);
    C. Project Readiness: FRA will evaluate the extent to which the
project demonstrates strong project readiness by:
    i. Lifecycle Stage. Completion of all prerequisites necessary to
reach the scheduled Lifecycle Stage(s) proposed for funding in the
application and consistent with the Lifecycle Stage(s) anticipated to
start during the Inventory Period;
    ii. Status of Environmental Review. Status of environmental and
permitting approval(s) and likelihood of any outstanding approval(s)
affecting project obligation or completion;
    iii. Technical Capacity. Demonstration of capacity to successfully
deliver the project in compliance with applicable Federal requirements
including whether the applicant has, or will have
    (a) the legal, financial and technical capacity to carry out the
project,
    (b) satisfactory continuing access to the equipment or facilities,
and
    (c) the capability and willingness to maintain the equipment or
facilities; and
    iv. Financial Readiness. Demonstration of financial resources
necessary to complete the project. For a Project where an applicant is
requesting funding for the Final Design and/or Construction Lifecycle
Stages of projects, FRA will assess demonstration of commitment of the
financial resources to bring the project to completion.
    ii. Funding Considerations:
    In determining FSP Program funding allocations, FRA will generally
fund Capital Renewal, Stations and Improvement projects applying under
this notice between 50 and 80 percent Federal share. FRA will favorably

consider a higher Federal share, within this range, to the extent such
projects:
    (A) Replace, rehabilitate, or repair infrastructure, equipment, or
a facility used for providing intercity passenger rail service to bring
such assets into a state of good repair;
    (B) Improve intercity passenger rail service performance consistent
with 49 U.S.C. 24911(c)(2), and provide a high proportion of intercity
passenger rail benefit relative to overall project benefits.
b. Selection Criteria
    In addition, FRA will:
    1. Consider the following:
    i. The geographic diversity of the projects receiving funding, and
    ii. The award of other competitive Federal funds for the project.
    2. Consider the extent to which the project adequately address the
following DOT Strategic Goals:
    i. Safety. FRA will assess the project's ability to foster a safe
transportation system for the movement of goods and people, consistent
with the Department's strategic goal to reduce transportation-related
fatalities and serious injuries across the transportation system. Such
considerations will include, but are not limited to, the extent to
which the project improves safety at highway-rail grade crossings,
reduces incidences of rail-related trespassing, and upgrades
infrastructure to achieve a higher level of safety.
    ii. Economic Strength and Global Competitiveness. FRA will assess
the project's ability to contribute to economic progress stemming from
infrastructure investment and associated job creation in the industry.
Such considerations will include, but are not limited to, the extent to
which the project results in high-quality job creation by supporting
good-paying jobs with a free and fair choice to join a union, and in
on-going operations and maintenance, and incorporates strong labor
standards, such as through the use of project labor agreements or union
neutrality agreements; includes comprehensive planning and policies to
promote hiring of underrepresented populations including local and
economic hiring preferences and investments in high-quality workforce
development programs with supportive services, including labor-
management programs, to help train, place, and retain people in good-
paying jobs or registered apprenticeship, and invests in vital
infrastructure assets;
    iii. Equity. FRA will assess the project's ability to address
equity and barriers to opportunity, to the extent possible within the
program and consistent with law. Such considerations will include, but
are not limited to, the applicant's plan for using small businesses to
complete its project, the extent to which the project improves or
expands transportation options and mitigates the safety risks and
detrimental quality of life effects that rail lines can have on
communities. This will also include community engagement efforts
already taken or planned, the extent to which engagement efforts are
designed to reach impacted communities, whether engagement is
accessible for persons with disabilities or limited English proficient
persons within the impacted communities, and how community feedback is
taken into account in decision-making.
    iv. Climate and Sustainability. In support of Executive Order
14008, Tackling the Climate Crisis at Home and Abroad, FRA will assess
the project's ability to reduce the harmful effects of climate change
and anticipate necessary improvements to prepare for extreme weather
events. Such considerations will include, but are not limited to, the
extent to which the project reduces overall lifecycle emissions,
promotes energy efficiency, incorporates lower-carbon construction
materials, increases resiliency, and recycles or redevelops existing
infrastructure.
    v. Transformation. FRA will assess the project's ability to expand
and improve the nation's rail network, which needs to balance new
infrastructure for increased capacity with proper maintenance of aging
assets. Such considerations will include, but are not limited to, the
extent to which the project adds capacity to congested corridors,
builds new connections or attracts new users to passenger rail, and
ensures assets will be improved to a state of good repair.

2. Review and Selection Process

    Consistent with the NEC Project Inventory, FRA will conduct an
application review process, as follows. FRA will evaluate applications
for Major Backlog projects first, followed by evaluations for the
remaining project types.
    a. Screen applications for applicant and project eligibility,
completeness, the minimum match;
    b. Evaluate remaining applications (completed by technical panels
applying the evaluation criteria) to:
    (1) Prioritize projects based on technical merit (including
readiness) consistent with the NEC Project Inventory (e.g., Capital
Renewal, Stations and Improvement projects starting Construction within
the Inventory period will be prioritized with other Capital Renewal,
Stations and Improvement projects starting Construction in the
Inventory period.)
    (2) Review for funding allocation considerations; and
    (3) Assign a rating of ``Not Recommended'', ``Acceptable,''
``Recommended,'' or ``Highly Recommended'';
    c. Review highly rated Major Capital Projects for LOI and PFAs, as
applicable, to determine whether either is appropriate for the project
based on project specific characteristics, funding availability, and
statutory and policy criteria stated in this NOFO, as well as review
funding allocation considerations provided by the technical panels
(completed by a panel of senior FRA officials.)
    d. Apply selection criteria and recommend initial selection of
projects consistent with the prioritization and funding allocations
described in the NEC Project Inventory (including recommendations for
potential PFA/LOIs and options for reduced awards) for the FRA
Administrator's review (completed by a Senior Review Team, which
includes senior leadership from the Office of the Secretary and FRA);
and
    e. Select projects for grant award and associated PFAs or LOIs for
the Secretary's or his designee's review and approval (completed by the
FRA Administrator).

3. Reporting Matters Related to Integrity and Performance

    Before making a Federal award with a total amount of Federal share
greater than the simplified acquisition threshold of $250,000 (see 2
CFR 200.88 Simplified Acquisition Threshold), FRA will review and
consider any information about the applicant that is in the designated
integrity and performance system accessible through SAM (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)).
See 41 U.S.C. 2313.
    An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a Federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
    FRA will consider any comments by the applicant, in addition to the
other information, in making a judgment about the applicant's
integrity, business ethics, and record of performance under Federal
awards when completing the

review of risk posed by applicants as described in 2 CFR 200.205.

F. Federal Award Administration Information

1. Federal Award Notice

    FRA will announce applications selected for funding in a press
release and on FRA's website after the application review period. This
announcement is FRA's notification to successful and unsuccessful
applicants alike. Project Sponsors of rail projects who are ineligible
to receive Partnership Program funding, who are not selected for
Partnership Program funds, or who receive less than the requested
Partnership Program funding amount, are encouraged to consider other
FRA and Departmental grant programs.
    FRA will contact applicants with successful applications after
announcement with information and instructions about the award process.
This notification is not an authorization to begin proposed project
activities. FRA requires satisfaction of applicable requirements by the
applicant and a formal agreement signed by both the grantee and the
FRA, including an approved scope, schedule, and budget, before
obligating the grant. See an example of standard terms and conditions
for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is subject to
revision.

2. Administrative and National Policy Requirements

    In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, grantees of funds must
comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States; the
conditions of performance, nondiscrimination requirements, and other
assurances made applicable to the award of funds in accordance with
regulations of DOT; and applicable Federal financial assistance and
contracting principles promulgated by the Office of Management and
Budget (OMB). In complying with these requirements, grantees, in
particular, must ensure that no concession agreements are denied or
other contracting decisions made on the basis of speech or other
activities protected by the First Amendment. If DOT determines that a
grantee has failed to comply with applicable Federal requirements, DOT
may terminate the award of funds and disallow previously incurred
costs, requiring the grantee to reimburse any expended award funds.
    Examples of administrative and national policy requirements
include: 2 CFR 200; procurement standards at 2 CFR 200 (D)--Procurement
Standards; 2 CFR 1207.317 and 2 CFR 200.401; compliance with Federal
civil rights laws and regulations; disadvantaged business enterprises
requirements; debarment and suspension requirements; drug-free
workplace requirements; FRA's and OMB's Assurances and Certifications;
ADA; safety requirements; NEPA; EJ requirements; and compliance with 49
U.S.C. 24905(c)(2) for the duration of NEC Projects. Unless otherwise
stated in statutory or legislative authority, or appropriations
language, all financial assistance awards follow the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards at 2 CFR 200 and 2 CFR 1201.
    Assistance under this NOFO is subject to the grant conditions in 49
U.S.C. 22905, including protective arrangements that are equivalent to
the protective arrangements established under section 504 of the
Railroad Revitalization and Regulatory Reform Act of 1976 (45 U.S.C.
836) with respect to employees affected by actions taken in connection
with the project to be financed in whole or in part by grants subject
to 49 U.S.C. 22905, the provision deeming operators rail carriers and
employers for certain purposes, and grantee agreements with railroad
right-of-way owners for projects using railroad rights-of-way (see
D.2.b.ii).\14\
---------------------------------------------------------------------------

    \14\ FRA has posted final guidance to grantees on implementing
protective arrangements at to assist grantees implementing the
protective arrangements; and answers to frequently asked questions
intended to assist grantees subject to the requirements of 49 U.S.C.
22905(c)(1) at https://railroads.dot.gov/elibrary/frequently-asked-questions-about-rail-improvement-grant-conditions-under-49-usc-ss-22905c1.
---------------------------------------------------------------------------

    Grantees must comply with applicable appropriations act
requirements and all relevant requirements of 2 CFR 200. Rights to
intangible property under grants awarded under this NOFO are governed
in accordance with 2 CFR 200.315. See an example of standard terms and
conditions for FRA grant awards at https://railroads.fra.dot.gov/elibrary/award-administration-and-grant-conditions. This template is
subject to revision.
    The FSP-NEC NOFO will be implemented, as appropriate and consistent
with law, in alignment with the priorities in Executive Order 14052,
Implementation of the Infrastructure Investment and Jobs Act (86 FR
64355), which are to invest efficiently and equitably, promote the
competitiveness of the U.S. economy, improve job opportunities by
focusing on high labor standards, strengthen infrastructure resilience
to all hazards including climate change, and to effectively coordinate
with State, local, Tribal, and territorial government partners.
    a. Climate Change, Sustainability, and Environmental Justice.
Projects that have not sufficiently considered climate change and
sustainability in their planning, as determined by FRA, will be
required to do so before receiving funds for construction, consistent
with Executive Order 14008, Tackling the Climate Crisis at Home and
Abroad (86 FR 7619). In the grant agreement, recipients will be
expected to describe activities they have taken, or will take, prior to
obligation of construction funds that addresses climate change and EJ.
Activities that address climate change include, but are not limited to,
demonstrating: the project will result in significant greenhouse gas
emissions reductions; the project supports emissions reductions goals
in a Local/Regional/State plan; and the project primarily focuses on
funding for state of good repair and clean transportation options,
including public transportation, walking, biking, and micro-mobility.
Activities that address EJ include, but are not limited to: basing
project design on the results of a proven EJ screening tool (developed
by another Federal agency such as the EPA, a State agency, etc.);
conducting enhanced, targeted outreach to EJ communities; considering
EJ in alternatives analysis and final project design; and supporting a
modal shift in freight or passenger movement to reduce emissions or
reduce induced travel demand.
    b. Racial Equity and Barriers to Opportunity. Projects must
consider and address equity and barriers to opportunity in their
planning, as determined by FRA, and as a condition of receiving
construction funds, consistent with Executive Order 13985, Advancing
Racial Equity and Support for Underserved Communities Through the
Federal Government (86 FR 7009). The grant agreement should include the
grantee's description of activities they have taken, or will take,
prior to obligation of construction funds that addresses equity and
barriers to opportunity. These activities may include, but are not
limited to: completing an equity impact analysis for the project;
adopting an equity and inclusion program/plan; conducting meaningful
public engagement to ensure underserved communities are provided

an opportunity to be involved in the planning process; including
investments that either redress past barriers to opportunity or that
proactively create new connections and opportunities for underserved
communities; hiring from local communities; improving access to or
providing economic growth opportunities for underserved, overburdened,
or rural communities; or addressing historic or current inequitable air
pollution or other environmental burdens and impacts.
    c. Employment Opportunities. In addition to prioritizing projects
that address climate change, proactively address racial equity, and
reduce barriers to opportunity, FRA intends to use the FSP-NEC NOFO to
support the creation of good-paying jobs with the free and fair choice
to join a union and the incorporation of strong labor standards and
training and placement programs, especially registered apprenticeships
and local hire agreements, in project planning and development. To the
extent that applicants have not sufficiently considered job quality and
labor rights in their planning, as determined by the Department of
Labor, the applicants will be required to do so before receiving funds
for construction, consistent with Executive Order 14025, Worker
Organizing and Empowerment (86 FR 22829), and Executive Order 14052,
Implementation of the Infrastructure Investment and Jobs Act (86 FR
64335). Specifically, the project planning activities and project
delivery actions must support: (a) strong labor standards and the free
and fair choice to join a union,\15\ including project labor
agreements, local hire agreements,\16\ distribution of workplace rights
notices, and use of an appropriately trained workforce; (b) support of
high-quality workforce development programs, including registered
apprenticeship, labor-management training programs, and supportive
services to help train, place, and retain people in good-paying jobs
and apprenticeships; and (c) comprehensive planning and policies to
promote hiring and inclusion for all groups of workers, including
through the use of local and economic hiring preferences, linkage
agreements with workforce programs that serve these underrepresented
groups, and proactive plans to prevent harassment.
---------------------------------------------------------------------------

    \15\ Federal funds may not be used to support or oppose union
organizing, whether directly or as an offset for other funds.
    \16\ IIJA div. B section 25019 provides authority to use
geographical and economic hiring preferences, including local hire,
for construction jobs, subject to any applicable State and local
laws, policies, and procedures.
---------------------------------------------------------------------------

    The Office of Federal Contract Compliance Programs (OFCCP) is
charged with protecting America's workers by enforcing equal employment
opportunity and affirmative action obligations of employers that do
business with the federal government. OFCCP enforces Executive Order
11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam
Era Veterans' Readjustment Assistance Act of 1974. Together these legal
authorities make it unlawful for federal contractors and subcontractors
to discriminate in employment because of race, color, religion, sex,
sexual orientation, gender identity, national origin, disability, or
status as a protected veteran. Consistent with E.O. 11246, Equal
Employment Opportunity (30 FR 12319, and as amended), all Federally
assisted contractors are required to make good faith efforts to meet
the goals of 6.9 percent of construction project hours being performed
by women, in addition to goals that vary based on geography for
construction work hours and for work being performed by people of
color. Recipients of Federal transportation funding will be required to
comply fully with Title VI of the Civil Rights Act of 1964 and
implementing regulations (49 CFR 21), the ADA, Section 504 of the
Rehabilitation Act of 1973, and all other civil rights requirements.
The Department's and FRA's Office of Civil Rights may provide resources
and technical assistance to recipients to ensure full and sustainable
compliance with Federal civil rights requirements. The OFCCP has a Mega
Construction Project Program through which it engages with project
sponsors as early as the design phase to help promote compliance with
non-discrimination and affirmative action obligations. Through the
program, OFCCP offers contractors and subcontractors extensive
compliance assistance, conducts compliance evaluations, and helps to
build partnerships between the project sponsor, prime contractor,
subcontractors, and relevant stakeholders. OFCCP will identify projects
that receive an award under this notice and are required to participate
in OFCCP's Mega Construction Project Program from a wide range of
federally assisted projects over which OFCCP has jurisdiction and that
have a project cost above $35 million. DOT will require project
sponsors with costs above $35 million that receive awards under this
funding opportunity to partner with OFCCP, if selected by OFCCP, as a
condition of their DOT award. Under that partnership, OFCCP will ask
these project sponsors to make clear to prime contractors in the pre-
bid phase that project sponsor's award terms will require their
participation in the Mega Construction Project Program. Additional
information on how OFCCP makes their selections for participation in
the Mega Construction Project Program is outlined under ``Scheduling''
on the Department of Labor website: https://www.dol.gov/agencies/ofccp/
faqs/construction-compliance.''
    d. Critical Infrastructure Security and Resilience. It is the
policy of the United States to strengthen the security and resilience
of its critical infrastructure against both physical and cyber threats.
Each applicant selected for Federal funding under this Notice must
demonstrate, prior to signing of the grant agreement, efforts to
consider and address physical and cyber security risks relevant to the
transportation mode and type and scale of the project. Projects that
have not appropriately considered and addressed physical and cyber
security and resilience in their planning, design, and project
oversight, as determined by the DOT and the Department of Homeland
Security, will be required to do so before receiving funds for
construction, consistent with Presidential Policy Directive 21--
Critical Infrastructure Security and Resilience and the National
Security Presidential Memorandum on Improving Cybersecurity for
Critical Infrastructure Control Systems. Information on cybersecurity
performance goals can be found at https://www.cisa.gov/cpg. '
    e. Domestic Preference Requirements. Assistance under this NOFO is
subject to the Buy America requirements in 49 U.S.C. 22905(a) and the
Build America, Buy America Act, Public Law 117-58, 70901-52. In
addition, as expressed in Executive Order 14005, Ensuring the Future Is
Made in All of America by All of America's Workers (86 FR 7475), it is
the policy of the executive branch to maximize, consistent with law,
the use of goods, products, and materials produced in, and services
offered in, the United States. FRA expects all applicants to comply
with that requirement without needing a waiver. However, to obtain a
waiver, a recipient must be prepared to demonstrate how they will
maximize the use of domestic goods, products, and materials in
constructing their project. If an applicant anticipates it may need a
waiver, the applicant should indicate the need in its application and
submit

materials necessary for such requests together with its application.
    f. Civil Rights and Title VI. Applications should demonstrate that
the recipient has a plan for compliance with civil rights obligations
and nondiscrimination laws, including Title VI of the Civil Rights Act
of 1964 and implementing regulations (49 CFR 21), the ADA, and section
504 of the Rehabilitation Act, and accompanying regulations. This may
include, as applicable, providing a Title VI plan, community
participation plan, and other information about the communities that
will be benefited and impacted by the project. The DOT's and FRA's
Office of Civil Rights may provide resources and technical assistance
to recipients to ensure full and sustainable compliance with Federal
civil rights requirements.

3. Reporting

a. Progress Reporting on Grant Activity
    Each applicant selected for a grant will be required to comply with
all standard FRA reporting requirements, including quarterly progress
reports, quarterly Federal financial reports, and interim and final
performance reports, as well as all applicable auditing, monitoring and
close out requirements. Reports may be submitted electronically.
Pursuant to 2 CFR 170.210, non-Federal entities applying under this
NOFO must have the necessary processes and systems in place to comply
with the reporting requirements should they receive Federal funding.
b. Additional Reporting
    Applicants selected for funding are required to comply with all
reporting requirements in the standard terms and conditions for FRA
grant awards including 2 CFR 180.335 and 2 CFR 180.350.
    If the Federal share of any Federal award under this NOFO may
include more than $500,000 over the period of performance, applicants
are informed of the post award reporting requirements reflected in 2
CFR 200, Appendix XII--Award Term and Condition for Recipient Integrity
and Performance Matters.
c. Performance and Program Evaluation
    As a condition of grant award, grant recipients may be required to
participate in an evaluation undertaken by DOT, or another agency or
partner. The evaluation may take different forms such as an
implementation assessment across grant recipients, an impact and/or
outcomes analysis of all or selected sites within or across grant
recipients, or a benefit/cost analysis or assessment of return on
investment. The Department may require applicants to collect data
elements to aid the evaluation. As a part of the evaluation, as a
condition of award, grant recipients must agree to: (1) make records
available to the evaluation contractor; (2) provide access to program
records, and any other relevant documents to calculate costs and
benefits; (3) in the case of an impact analysis, facilitate the access
to relevant information as requested; and (4) follow evaluation
procedures as specified by the evaluation contractor or DOT staff.
    Recipients and subrecipients are also encouraged to incorporate
program evaluation, including associated data collection activities
from the outset of their program design and implementation, to
meaningfully document and measure their progress towards meeting an
agency priority goal(s). Title I of the Foundations for Evidence-Based
Policymaking Act of 2018, Public Law 115-435 (2019) urges Federal
awarding agencies and Federal assistance recipients and subrecipients
to use program evaluation as a critical tool to learn, to improve
equitable delivery, and to elevate program service and delivery across
the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency.'' (5 U.S.C. 311). Credible program evaluation activities
are implemented with relevance and utility, rigor, independence and
objectivity, transparency, and ethics (OMB Circular A-11, Part 6,
Section 290).
    For grant recipients receiving an award, evaluation costs are
allowable costs (either as direct or indirect), unless prohibited by
statute or regulation, and such costs may include the personnel and
equipment needed for data infrastructure and expertise in data
analysis, performance, and evaluation. (2 CFR 200).
d. 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.

----------------------------------------------------------------------------------------------------------------
                                                                       Primary strategic
         Rail measures             Unit  measured        Temporal             goal              Description
----------------------------------------------------------------------------------------------------------------
Slow Order Miles Reduced.......  Miles............  Annual...........  Economic Strength  The number of miles
                                                                        and Global         per year within the
                                                                        Competitiveness.   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.
Number of Passenger Trains.....  Count............  Annual...........  Economic Strength  The number of daily
                                                                        and Global         passenger trains
                                                                        Competitiveness.   between city pairs.
Passenger Counts...............  Count............  Annual...........  Economic Strength  Count of the annual
                                                                        and Global         passenger boardings
                                                                        Competitiveness.   and alightings at
                                                                                stations within the
                                                                                project area.
Delay Minutes..................  Time/Trip........  Annual...........  Economic Strength  Point-to-point delay
                                                                        and Global         minutes reduced
                                                                        Competitiveness.   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.........  Economic Strength  The number of track
                                                                        and Global         miles replaced and/or
                                                                        Competitiveness.   rehabilitated that
                                                                                exist within the
                                                                                project area. This
                                                                                measure can be
                                                                                beneficial for