81_FR_50193 81 FR 50047 - Notice of Funding Opportunity for FY 2017 Positive Train Control Grant Funds

81 FR 50047 - Notice of Funding Opportunity for FY 2017 Positive Train Control Grant Funds

DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Federal Transit Administration

Federal Register Volume 81, Issue 146 (July 29, 2016)

Page Range50047-50052
FR Document2016-17943

This notice details the application requirements and procedures to obtain funding for the installation of Positive Train Control (PTC) systems required under the Railroad Safety Improvement Act of 2008, as amended by the Positive Train Control Enforcement and Implementation Act of 2015. The opportunities described in this notice are available under Catalog of Federal Domestic Assistance number 20.321, ``Positive Train Control.'' FRA will review applications for funding under this NOFO and will select the projects for funding. FTA will award the grant funds and administer and manage the grants after award. FRA will help FTA monitor the PTC implementation and progress of the grantees. In addition, applicants should contact FRA with PTC technical questions.

Federal Register, Volume 81 Issue 146 (Friday, July 29, 2016)
[Federal Register Volume 81, Number 146 (Friday, July 29, 2016)]
[Notices]
[Pages 50047-50052]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-17943]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Federal Transit Administration


Notice of Funding Opportunity for FY 2017 Positive Train Control 
Grant Funds

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

ACTION: Notice.

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SUMMARY: This notice details the application requirements and 
procedures to obtain funding for the installation of Positive Train 
Control (PTC) systems required under the Railroad Safety Improvement 
Act of 2008, as amended by the Positive Train Control Enforcement and 
Implementation Act of 2015. The opportunities described in this notice 
are available under Catalog of Federal Domestic Assistance number 
20.321, ``Positive Train Control.''
    FRA will review applications for funding under this NOFO and will 
select the projects for funding. FTA will award the grant funds and 
administer and manage the grants after award. FRA will help FTA monitor 
the PTC implementation and progress of the grantees. In addition, 
applicants should contact FRA with PTC technical questions.

DATES: Applications for funding under this solicitation are due no 
later than 5:00 p.m. EDT, September 27, 2016. Applications for funding 
received after 5:00 p.m. EDT on September 27, 2016 will not be 
considered for funding. See Section 4 of this notice for additional 
information on the application process.

ADDRESSES: Applications must be submitted via Grants.gov. For any 
required or supporting application materials that an applicant is 
unable to submit via Grants.gov (such as oversized engineering 
drawings), an applicant may submit an original and two (2) copies to 
Ms. Amy Houser, Office of Program Delivery, Federal Railroad 
Administration, 1200 New Jersey Avenue SE., Room W36-412, Washington, 
DC 20590. However, due to delays caused by enhanced screening of mail 
delivered via the U.S. Postal Service, applicants are advised to use 
other means of conveyance (such as courier service) to assure timely 
receipt of materials.

FOR FURTHER INFORMATION CONTACT: If you have a PTC project related 
question, you may contact Dr. Mark Hartong, Senior Scientific Technical 
Advisor,

[[Page 50048]]

Federal Railroad Administration (phone: (202) 493-1332; email: 
[email protected]), or Mr. Devin Rouse, Program Manager, Federal 
Railroad Administration (phone: (202) 493-6185, email: 
[email protected]). Grant application submission and processing 
questions should be addressed to Ms. Amy Houser, Office of Program 
Delivery, Federal Railroad Administration (1200 New Jersey Avenue SE., 
Room W36-412, Washington, DC 20590; email: [email protected]). For 
questions regarding FTA administration of grants awarded under this 
competition, contact Mr. Eric Hu, Office of Program Management, Federal 
Transit Administration (phone: (202) 366-0870; email: [email protected]).

SUPPLEMENTARY INFORMATION: 
    Notice to applicants: FRA and FTA recommend applicants read this 
notice in its entirety prior to preparing application materials. There 
are several administrative prerequisites described herein that 
applicants must comply with to submit an application and specific 
eligibility requirements applicants must meet. Additionally, applicants 
should note that the required Project Narrative component of the 
application package may not exceed 25 pages in length (including any 
appendices).

Table of Contents

1. Program Description
2. Federal Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review
6. Federal Award Administration
7. Federal Awarding Agency Contacts

Section 1: Program Description

    The purpose of this notice is to solicit applications for grants to 
assist financing the installation of PTC systems required under 49 
U.S.C. 20157 (Implementation of positive train control systems). The 
maximum $197.01 million of funding available under this NOFO after 
approximately $2 million is set aside for program oversight is 
authorized by section 3028 of the Fixing America's Surface 
Transportation (FAST) Act (Public Law 114-94). All projects that 
receive funding under this notice must comply with the applicable 
requirements of 49 U.S.C. 20157 and 49 CFR part 236, subpart I, 
including 236.1005 (Requirements for Positive Train Control Systems). 
The funding described in this notice is authorized to be appropriated 
for Federal Fiscal Year 2017 beginning October 1, 2016. Funding 
allocations made under this notice are subject to the availability of 
funds.

Section 2: Federal Award Information

    The maximum funding authorized under this NOFO is $197.01 million 
after approximately $2 million is set aside for program oversight per 
the FAST Act. Per the FAST Act, FRA anticipates selecting multiple 
projects for the funding made available in this notice, and is not 
predetermining any minimum or maximum dollar amounts for awards. 
However, given the limited amount of funding currently available, 
applicants are encouraged to identify scalable project phases or 
elements that would result in the installation of components necessary 
for the deployment of a PTC system required under 49 U.S.C. 20157, 
because FRA may choose to make project selections for less than the 
total amount requested in the application.

Section 3: Eligibility Information

    This section of the notice explains the requirements for submitting 
an eligible grant application. Applications that do not meet the 
requirements in this section will be considered ineligible for funding. 
Instructions for conveying eligibility information to FRA are detailed 
in Section 4 of this NOFO.

3.1 Applicant Eligibility

    Eligible applicants for PTC system funding under this notice are 
entities that are recipients of funds under 49 U.S.C. Chapter 53.
    a. This includes, but is not limited to, the following entities:
    i. Public transit agencies operating commuter railroads; and
    ii. State and local governments.
    b. Applicants must:
    i. Have submitted a revised Positive Train Control Implementation 
Plan (PTCIP) to FRA as required by 49 U.S.C. 20157(a); or
    ii. Be tenants on one or more host railroads whose host railroad(s) 
have submitted a revised PTCIP as required by 49 U.S.C. 20157(a).
    c. An applicant who has not submitted a revised PTCIP to FRA as 
required by 49 U.S.C. 20157(a), and is not a tenant on one or more host 
railroads who have submitted a revised PTCIP as required by 49 U.S.C. 
20157(a), may be eligible for funding under this notice if the 
applicant can demonstrate to FRA's satisfaction in the grant 
application that the:
    i. Applicant is not required to submit a revised PTCIP as required 
by 49 U.S.C. 20157(a); and
    ii. Proposed project will assist in financing the installation of a 
PTC system required under 49 U.S.C. 20157.

3.2 Project Eligibility

    Projects eligible for funding under this NOFO must help install PTC 
systems required under 49 U.S.C. 20157. The capital costs of PTC 
systems installation would be eligible project activities including but 
not limited to: Back office systems; wayside, communications and 
onboard hardware equipment, software; equipment installation; and 
spectrum acquisition.
    Examples of eligible PTC system projects include the following:
    a. Installation of PTC systems;
    b. Installation of shared PTC system infrastructure (e.g., back 
office systems and computer-aided dispatch (CAD) systems);
    c. Advancement of PTC system interoperability related to 
installation, such as spectrum acquisition, spectrum sharing, and radio 
interference and desensitization;
    d. Installation of technologies that will lower costs, accelerate 
PTC implementation, increase interoperability between host and tenant 
operations, and improve reliability of PTC systems; and
    e. Installation of technologies that will eliminate PTC system 
communications interference, provide solutions to configuration 
management of multi-railroad PTC software and firmware deployments, and 
provide host-tenant railroad PTC interoperability and PTC System 
Certification.
    These are examples of eligible projects, and FRA will evaluate any 
other projects meeting the criteria of this NOFO for eligibility and 
consideration for award.
    Preventive maintenance and overhaul costs, new vehicle procurement, 
real estate property acquisition, building construction and 
acquisition, and operating expenses are not eligible costs under this 
NOFO.

3.3 Cost Eligibility

    Funds awarded under this notice must not exceed 80 percent of the 
total cost of a project. The required 20 percent non-Federal share may 
be comprised of public sector (state or local) or private sector 
funding. However, FRA will not consider any other Federal grant funds, 
nor any non-Federal funds already expended (or otherwise encumbered), 
towards the matching requirement. FRA is limiting the method for 
calculating the non-Federal match to cash contributions only--FRA will 
not accept ``in-kind'' contributions and transportation development 
credits. FRA will consider non-Federal matching funds exceeding the 
minimum requirement when evaluating the merit of an application.

[[Page 50049]]

Section 4: Application and Submission Information

4.1 Submission Dates and Times

    Applicants must submit complete applications to Grants.gov no later 
than 5:00 p.m. EDT, September 27, 2016. Delayed registration is not an 
acceptable reason for late submission. In order to apply for funding 
under this announcement, all applicants are expected to be registered 
as an organization with Grants.gov. Applicants are strongly encouraged 
to apply early to ensure that all materials are received before this 
deadline. Late applications that are the result of failure to register 
or comply with Grants.gov applicant requirements in a timely manner 
will not be considered.

4.2 Application Content

    Applicants should read this section carefully and must submit all 
required information.
Project Narrative
    This section describes the minimum content required in the Project 
Narrative component of grant applications (FRA also recommends the 
Project Narrative generally adhere to the following outline). These 
requirements must be satisfied through a narrative statement submitted 
by the applicant, and may be supported by spreadsheet documents, 
tables, maps, drawings, and other materials, as appropriate. The 
Project Narrative may not exceed 25 pages in length (including any 
appendices). FRA will not review or consider for award applications 
with Project Narratives exceeding the 25 page limitation.
    a. The Project Narrative must:
    i. Include a title page that lists the following elements in either 
a table or formatted list: Project title; location (i.e., city, State, 
Congressional district); applicant organization name; name of any co-
applicants; amount of Federal funding requested; and proposed non-
Federal match;
    ii. Designate a point of contact for the applicant and provide his 
or her name and contact information, including phone number, mailing 
address, and email address. The point of contact must be an employee of 
an eligible applicant;
    iii. Indicate the amount of Federal funding requested, the proposed 
non-Federal match, and total project cost. Additionally, identify any 
other sources of Federal funds committed to the project and any pending 
Federal requests. You must also note if the requested Federal funding 
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. Finally, specify whether you 
ever previously sought Federal funding for the project, and name the 
Federal program and fiscal year for the funding request;
    iv. Explain how the applicant meets the applicant eligibility 
criteria outlined in Section 3 of this notice;
    v. Provide a brief 4-6 sentence summary of the proposed project, 
capturing the PTC challenges the proposed project aims to address, as 
well as the intended outcomes and anticipated benefits that will result 
from the proposed project;
    vi. Include a detailed project description that expands upon the 
brief summary required above. This detailed description should provide, 
at a minimum, additional background on the PTC challenges the project 
aims to address, the expected users and beneficiaries of the project, 
the specific components and elements of the project, and any other 
information the applicant deems necessary to justify the proposed 
project. The detailed description should also clearly explain how the 
proposed project meets the project eligibility criteria in Section 3 of 
this notice;
    vii. Include a thorough discussion of how the proposed project 
meets all of the evaluation criteria for the respective project type, 
as outlined in Section 5 of this notice. Applicants should note that 
FRA reviews applications based upon the evaluation criteria. If an 
application does not sufficiently address the evaluation criteria, it 
is unlikely to be a competitive application. In responding to the 
criteria, applicants should clearly identify, quantify, and compare 
expected benefits and costs of proposed projects;
    viii. Describe proposed project implementation and project 
management arrangements. Include descriptions of the expected 
arrangements for project contracting, contract oversight, change-order 
management, risk management, and conformance to Federal requirements 
for project progress reporting.
Additional Application Elements
    b. Applicants must:
    i. Submit a Statement of Work (SOW) that addresses the scope, 
schedule, and budget for the proposed project if it were selected for 
award. The SOW must contain sufficient detail so that FRA and FTA, and 
the applicant, can understand the expected outcomes of the proposed 
work to be performed and monitor progress toward completing project 
tasks and deliverables during a prospective grant's period of 
performance. FRA developed a standard SOW template that applicants must 
use to be considered for award. The SOW templates and other required 
forms are located at http://www.fra.dot.gov/Page/P0021.
    ii. Describe anticipated environmental and historic preservation 
impacts associated with the proposed project, any environmental or 
historic preservation analyses that have been prepared, and progress 
toward completing any environmental documentation or clearance required 
for the proposed project under the National Environmental Policy Act 
(NEPA), the National Historic Preservation Act, section 4(f) of the 
U.S. DOT Act, the Clean Water Act, and other applicable Federal or 
State laws such as the FCC requirements for antenna transmission. 
Applicants are encouraged to contact FTA and obtain preliminary 
direction regarding the appropriate NEPA action and required 
environmental documentation. Generally, projects will be ineligible to 
receive funding if they have begun construction activities prior to the 
applicant receiving written approval from FTA that all environmental 
and historical analyses have been completed. Additional information 
regarding FTA's environmental processes and requirements are located at 
https://www.transit.dot.gov/regulations-and-guidance/environmental-programs/environmental-analysis-review.
    iii. Submit an SF 424A--Budget Information for Non-Construction or 
SF 424C.
    iv. Budget Information for Construction;
    v. Submit an SF 424B--Assurances for Non-Construction or SF 424D--
Assurances for Construction; and
    vi. Submit an SF LLL: Disclosure of Lobbying Activities.

4.3 Submission Instructions

    To apply for funding through Grants.gov, applicants must be 
properly registered. Complete instructions on how to register and 
submit an application can be found at Grants.gov. Registering with 
Grants.gov is a onetime 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. (Please note 
that if a Dun &

[[Page 50050]]

Bradstreet (DUNS) number must be obtained or renewed, this may take a 
significant amount of time to complete.) Late applications that are the 
result of failure to register or comply with Grants.gov applicant 
requirements in a timely manner will not be considered.
    Required documents for the application package are outlined in the 
following paragraphs. Applicants must complete and submit all 
components of the application package. FRA welcomes the submission of 
other relevant supporting documentation that may have been developed by 
the applicant (planning, engineering and design documentation, and 
letters of support). In particular, applications accompanied by 
completed feasibility studies and cost estimates may be more favorably 
considered during the evaluation process, as they demonstrate that an 
applicant has a greater understanding of the scope and cost of the 
project.
    Applicants must submit all application materials through 
Grants.gov. For any required or supporting application materials that 
an applicant cannot submit via Grants.gov (such as oversized 
engineering drawings), an applicant may submit an original and two (2) 
copies to Ms. Amy Houser, Office of Program Delivery, Federal Railroad 
Administration, 1200 New Jersey Avenue SE., Room W36-412, Washington, 
DC 20590. However, due to delays caused by enhanced screening of mail 
delivered via the U.S. Postal Service, FRA advises applicants to use 
other means of conveyance (such as courier service) to assure timely 
receipt of materials. Additionally, if documents can be obtained 
online, explaining to FRA how to access files on a referenced Web site 
may also be sufficient.

4.4 Funding Restrictions

Use of Grant Funds for Federal Credit Assistance
    At the request of an eligible applicant under Section 3 of this 
NOFO, and subject to DOT approval and any applicable laws that may 
otherwise prohibit using Federal grant funds in such a manner, amounts 
awarded to an eligible applicant under this grant may be used to pay 
certain costs applicants incur under sections 502 through 504 of the 
Railroad Revitalization and Regulatory Reform Act of 1976 (45 U.S.C. 
801, et seq.) (Railroad Rehabilitation and Improvement Financing (RRIF) 
program). Requirements to use the grant money awarded under this NOFO 
for RRIF costs are explained further below.
    In general, the RRIF program provides loans and loan guarantees to 
finance railroad and intermodal equipment and infrastructure, including 
PTC installation. Under the RRIF program, a RRIF loan applicant or 
other non-Federal source must pay a Credit Risk Premium (CRP) assessed 
based on the overall risk of each transaction. In addition, the RRIF 
applicant pays an evaluation charge to reimburse the Secretary for 
costs incurred to administer the program, including financial and legal 
advice (administrative costs).
    Eligible applicants may use amounts awarded under this NOFO to pay 
the RRIF CRP and/or administrative costs associated with a RRIF loan or 
loan guarantee made to finance the same PTC system installation project 
for which the grant under this NOFO was awarded.
    To be clear, the funds made available under this NOFO may only be 
used to finance the installation of PTC systems required under 49 
U.S.C. 20157.
Availability
    The grant funds made available under this NOFO must be obligated in 
a grant agreement no later than September 30, 2018. Therefore, for an 
eligible applicant to use grant funds to pay the CRP and/or 
administrative costs associated with a RRIF loan or loan guarantee, the 
applicable loan or loan guarantee must be executed by September 30, 
2018. Subsidy and administrative costs associated with a RRIF loan or 
loan guarantee agreement that is not executed by September 30, 2018 are 
not eligible for funding under this NOFO.

Section 5: Application Review

    FRA will conduct a three-part application review process, as 
follows:
    a. Screen applications for completeness and eligibility;
    b. Evaluate eligible applications (completed by technical panels 
applying the evaluation criteria); and
    c. Select projects for funding (completed by the FRA Administrator 
applying additional selection criteria).

5.1 Intake and Eligibility

    FRA first will screen each application for eligibility (eligibility 
requirements are outlined in Section 3 of this notice) and completeness 
(application documentation and submission requirements are outlined in 
Section 4 of this notice). FRA-led technical panels of subject-matter 
experts will evaluate all eligible and complete applications using the 
evaluation criteria outlined in this section. The FRA Administrator 
then will select for funding the projects that are well-aligned with 
one or more of the evaluation and selection criteria.

5.2 Evaluation Criteria

    FRA will give preference to applicants that can demonstrate an 
ability to substantially complete the project work, or otherwise 
provide benefits to industry, prior to the statutory deadlines the 
Positive Train Control Enforcement and Implementation Act of 2015 
(PTCEI Act) established. The PTCEI Act extended the statutory deadline 
for implementation of PTC systems to at least December 31, 2018, and 
allows railroads to request approval from FRA for an extension beyond 
December 31, 2018, but no later than December 31, 2020, for 
implementation of certain operational, non-hardware aspects of PTC 
systems, upon completion of statutory prerequisites. FRA will review 
applications using the following four evaluation criteria:
     Accrued safety benefits;
     Expeditious PTC system deployment;
     Technical merit; and
     Project development approach.
a. Accrued Safety Benefits
    FRA will consider a proposed project's accrued safety benefits, 
including the following factors:
    i. The number of passengers for which the proposed project will 
improve safety by reducing the threat of train-to-train collisions, 
over speed derailments, incursions into established work zone limits, 
and the movement of a train through a misaligned switch; and
    ii. The number of miles of roadway work zones protected by the 
proposed project.
b. Expeditious PTC System Deployment
    FRA will consider a proposed project's achievement of expeditious 
PTC system deployment, including the following factors:
    i. The degree to which the proposed project expedites the 
installation of the PTC system;
    ii. The degree to which the proposed project expedites testing and 
certification of the PTC system; and
    iii. The ability for the proposed project to maintain the 
railroad's PTC system implementation timeline or reduce/eliminate 
schedule risks.
c. Technical Merit
    FRA will consider a proposed project's technical merit, including 
the following factors:
    i. The degree to which the proposed project exhibits a sound 
scientific and engineering basis;
    ii. The degree to which the proposed project is practically applied 
in and

[[Page 50051]]

compatible with the railroad's operating environment and 
infrastructure; and
    iii. The likelihood of technical and practical success.
d. Project Development Approach
    FRA will consider a proposed project's project development 
approach, including the following factors:
    i. 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;
    ii. The degree to which proposed project is supported by multiple 
entities (letters of support are encouraged);
    iii. The affordability and degree to which the proposed project is 
a good value for the amount of funding requested. Good value means the 
goods/services received are worth the price paid. (Examples of the 
types of factors that may be considered include, but are not limited 
to, suitability, quality, skills, price, and life-cycle cost. The mix 
of these and other factors and the relevant importance of each will 
vary on a case by case basis);
    iv. The reasonableness of the proposed costs; and
    v. The extent of proposed cost sharing or cost participation 
(exclusive of the applicant's prior investment).

5.3 Selection Criteria

    In addition to the evaluation criteria, the FRA Administrator will 
apply the following four selection criteria to further ensure that the 
projects selected for funding advance FRA's current PTC mission and key 
priorities:
     Alignment with DOT strategic goals and priorities;
     Project delivery performance;
     Region/location; and
     Innovation/resource development.
a. Alignment With DOT Strategic Goals and Priorities
    i. Improving transportation safety;
    ii. Maintaining transportation infrastructure in a state of good 
repair;
    iii. Promoting economic competitiveness;
    iv. Advancing environmentally sustainable transportation policies;
    v. Enhancing quality of life; and
    vi. Building ladders of opportunity to expand the middle class.
    Proposed projects that demonstrate the ability to provide reliable, 
safe and affordable transportation choices to connect economically 
disadvantaged populations, non-drivers, senior citizens, and persons 
with disabilities in disconnected communities with employment, training 
and education will receive particular consideration during project 
selection.
b. Project Delivery Performance
    i. The applicant's track record in successfully delivering previous 
DOT grants on time, on budget, and for the full intended scope;
    ii. The applicant's means for achieving satisfactory continuing 
control over project assets in a timely manner, including public 
ownership of project assets or agreements with commuter railroad 
operators and infrastructure owners at the time of application; and
    iii. The extent to which the proposed project complements previous 
DOT awards.
c. Region/Location
    i. The extent to which the proposed project increases the economic 
productivity of land, capital, or labor at specific locations, 
particularly in economically distressed areas;
    ii. Ensuring appropriate level of regional balance across the 
country;
    iii. Ensuring consistency with national transportation and rail 
network objectives; and
    iv. Ensuring integration with other rail services and 
transportation modes.
d. Innovation/Resource Development
    i. Promoting innovations that demonstrate the value of new 
approaches to, among other things, transportation funding and finance, 
contracting, project delivery, congestion management, safety 
management, asset management, or long-term operations and maintenance.

6. Federal Award Administration

6.1 Federal Award Notice

    Final project selections will be posted on DOT, FRA, and FTA's Web 
sites.

6.2 Award Administration

    Due to funding limitations, projects that are selected for funding 
may receive less than the amount originally requested. In those cases, 
applicants must be able to demonstrate that the proposed projects are 
still viable and can be completed with the amount awarded.
Federal Awardee Performance and Integrity Information System (FAPIIS) 
Review
    Before making a Federal award with a total amount of Federal share 
greater than the simplified acquisition threshold (see 2 CFR 200.88 
Simplified Acquisition Threshold), FTA will review and consider any 
information about the applicant that is in the designated integrity and 
performance system accessible through the System for Award Management 
(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.
    FTA will consider any comments by the applicant, in addition to the 
other information in the designated integrity and performance system, 
in making a judgment about the applicant's integrity, business ethics, 
and record of performance under Federal awards when completing the 
review of risk posed by applicants as described in 2 CFR 200.205.

6.3 Administrative and National Policy Requirements

a. Pre-Award Authority
    Once selected, FTA will issue specific guidance to recipients 
regarding pre-award authority at the time of selection. FTA does not 
provide pre-award authority for discretionary funds until projects are 
selected and even then there are Federal requirements that must be met 
before costs are incurred. For more information about FTA's policy on 
pre-award authority, please see the FY 2016 Apportionment Notice 
published on February 16, 2016. https://www.thefederalregister.org/fdsys/pkg/FR-2016-02-16/pdf/2016-02821.pdf.
b. Grant Requirements
    If selected, awardees will apply for a grant through FTA's Transit 
Award Management System (TrAMS). Recipients of PTC Funding are subject 
to the requirements of 49 U.S.C. Chapter 53, including FTA's Buy 
America requirements, Disadvantaged Business Enterprise, and Planning 
Requirements. All recipients must follow the Grants Management 
Requirements of FTA Circular 5010.1D, the labor protections of 49 
U.S.C. 5333(b), and the third party procurement requirements of FTA 
Circular 4220.1F. All discretionary grants, regardless of award amount, 
will be subject to the congressional notification and release process. 
Technical assistance regarding these requirements is available from 
each FTA regional office.

[[Page 50052]]

c. Standard Assurances
    The applicant must assure it will comply with all applicable 
Federal statutes, regulations, executive orders, FTA circulars, and 
other Federal administrative requirements in carrying out any project 
supported by the FTA grant. The applicant must acknowledge that it is 
under a continuing obligation to comply with the terms and conditions 
of the grant agreement issued for its project with FTA. The applicant 
understands that Federal laws, regulations, policies, and 
administrative practices might be modified from time to time and may 
affect the implementation of the project. The applicant must agree that 
the most recent Federal requirements will apply to the project, unless 
FTA issues a written determination otherwise. The applicant must submit 
the Certifications and Assurances before receiving a grant if it does 
not have current certifications on file.
d. Reporting
    Post-award reporting requirements include submission of Federal 
Financial Reports and Milestone Progress Reports in TrAMS.
e. Technical Assistance and Other Program Information
    This program is not subject to Executive Order 12372, 
``Intergovernmental Review of Federal Programs.'' FRA will consider 
applications for funding only from eligible recipients as explained in 
Section 3.

7. Federal Awarding Agency Contacts

    If you have a PTC technical project related question, you may 
contact Dr. Mark Hartong, Senior Scientific Technical Advisor (phone: 
(202) 493-1332; email: [email protected]), or Mr. Devin Rouse, 
Program Manager (phone: (202) 493-6185, email: [email protected].) 
Grant application submission and processing questions should be 
addressed to Ms. Amy Houser, Office of Program Delivery, Federal 
Railroad Administration, 1200 New Jersey Avenue SE., Room W36-412, 
Washington, DC 20590; email: [email protected].
    For questions relating to grant requirements, please contact Eric 
Hu, Program Manager, Urban Programs (phone: (202) 366-0870, email 
[email protected]). FTA grantees may also contact their FTA regional 
office. Contact for FTA's regional offices can be found on FTA's Web 
site at: https://www.transit.dot.gov/about/regional-offices/regional-offices.
    Information Collection: The Office of Management and Budget (OMB) 
approved the information collection associated with the PTC Grants 
Program. The approval number for this collection of information is OMB 
No. 2130-0587.

    Issued in Washington, DC on July 21, 2016.
Carolyn Flowers,
Acting Administrator, FTA.

Sarah E. Feinberg,
Administrator, FRA.
[FR Doc. 2016-17943 Filed 7-28-16; 8:45 am]
 BILLING CODE 4910-06-P



                                                                                 Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices                                           50047

                                                   Instructions: All submissions must                       In 49 CFR 397.73, the FMCSA                        DEPARTMENT OF TRANSPORTATION
                                                include the Agency name and docket                       requires that each State and Indian tribe,
                                                number. For detailed instructions on                     through its routing agency, provide                   Federal Railroad Administration
                                                submitting comments and additional                       information identifying new, or changes
                                                information on the exemption process,                    to existing, hazardous materials routing              Federal Transit Administration
                                                see the Public Participation heading                     designations within its jurisdiction
                                                below. Note that all comments received                   within 60 days after their establishment              Notice of Funding Opportunity for FY
                                                will be posted without change to http://                 (or 60 days of the change). That                      2017 Positive Train Control Grant
                                                www.regulations.gov, including any                       information is collected and                          Funds
                                                personal information provided. Please                    consolidated by FMCSA and published                   AGENCY:  Federal Railroad
                                                see the Privacy Act heading below.                       annually, in whole or as updates, in the              Administration (FRA) and Federal
                                                   Docket: For access to the docket to                   Federal Register.                                     Transit Administration (FTA),
                                                read background documents or                                Title: Transportation of Hazardous                 Department of Transportation (DOT).
                                                comments received, go to http://                         Materials, Highway Routing.                           ACTION: Notice.
                                                www.regulations.gov, and follow the                         OMB Control Number: 2126–0014.
                                                online instructions for accessing the                       Type of Request: Extension of a                    SUMMARY: This notice details the
                                                dockets, or go to the street address listed              currently-approved information                        application requirements and
                                                above.                                                   collection.                                           procedures to obtain funding for the
                                                   Privacy Act: Anyone is able to search                    Respondents: The reporting burden is               installation of Positive Train Control
                                                                                                                                                               (PTC) systems required under the
                                                the electronic form of all comments                      shared by 50 States, the District of
                                                                                                                                                               Railroad Safety Improvement Act of
                                                received into any of our dockets by the                  Columbia, Indian tribes with designated
                                                                                                                                                               2008, as amended by the Positive Train
                                                name of the individual submitting the                    routes, and U.S. Territories including;
                                                                                                                                                               Control Enforcement and
                                                comment (or signing the comment, if                      Puerto Rico, American Samoa, Guam,
                                                                                                                                                               Implementation Act of 2015. The
                                                submitted on behalf of an association,                   the Commonwealth of the Northern
                                                                                                                                                               opportunities described in this notice
                                                business, labor union, etc.). You may                    Mariana Islands and the U.S. Virgin
                                                                                                                                                               are available under Catalog of Federal
                                                review DOT’s complete Privacy Act                        Islands.
                                                                                                                                                               Domestic Assistance number 20.321,
                                                Statement for the Federal Docket                            Estimated Number of Respondents: 57                ‘‘Positive Train Control.’’
                                                Management System published in the                       [36 States and the District of Columbia,                 FRA will review applications for
                                                Federal Register on January 17, 2008                     with designated hazardous materials                   funding under this NOFO and will
                                                (73 FR 3316), or you may visit http://                   highway routes + 20 States/U.S.                       select the projects for funding. FTA will
                                                edocket.access.gpo.gov/2008/pdfE8-                       Territories without designated                        award the grant funds and administer
                                                794.pdf.                                                 hazardous materials highway routes + 1                and manage the grants after award. FRA
                                                   Public Participation: The Federal                     Indian tribe with a designated route =                will help FTA monitor the PTC
                                                eRulemaking Portal is available 24                       57].                                                  implementation and progress of the
                                                hours each day, 365 days each year. You                     Estimated Time per Response: 15                    grantees. In addition, applicants should
                                                can obtain electronic submission and                     minutes.                                              contact FRA with PTC technical
                                                retrieval help and guidelines under the                     Expiration Date: None.                             questions.
                                                ‘‘help’’ section of the Federal                             Frequency of Response: Once every                  DATES: Applications for funding under
                                                eRulemaking Portal Web site. If you                      two years.
                                                want us to notify you that we received                                                                         this solicitation are due no later than
                                                                                                            Estimated Total Annual Burden: 7                   5:00 p.m. EDT, September 27, 2016.
                                                your comments, please include a self-                    hours [57 annual respondents × 1                      Applications for funding received after
                                                addressed, stamped envelope or                           response per 2 years × 15 minutes per                 5:00 p.m. EDT on September 27, 2016
                                                postcard, or print the acknowledgement                   response/60 minutes per response =
                                                page that appears after submitting                                                                             will not be considered for funding. See
                                                                                                         7.125 hours rounded to 7 hours].                      Section 4 of this notice for additional
                                                comments online. Comments received                          Public Comments Invited: You are
                                                after the comment closing date will be                                                                         information on the application process.
                                                                                                         asked to comment on any aspect of this                ADDRESSES: Applications must be
                                                included in the docket and will be                       information collection, including: (1)
                                                considered to the extent practicable.                                                                          submitted via Grants.gov. For any
                                                                                                         Whether the proposed collection is                    required or supporting application
                                                FOR FURTHER INFORMATION CONTACT: Mr.                     necessary for the performance of                      materials that an applicant is unable to
                                                Vincent Babich, Office of Enforcement                    FMCSA’s functions; (2) the accuracy of                submit via Grants.gov (such as oversized
                                                and Compliance, Hazardous Materials                      the estimated burden; (3) ways for                    engineering drawings), an applicant
                                                Division, Department of Transportation,                  FMCSA to enhance the quality,                         may submit an original and two (2)
                                                FMCSA, West Building 6th Floor, 1200                     usefulness, and clarity of the collected              copies to Ms. Amy Houser, Office of
                                                New Jersey Avenue SE., Washington,                       information; and (4) ways that the                    Program Delivery, Federal Railroad
                                                DC 20590. Telephone: 202–366–4871;                       burden could be minimized without                     Administration, 1200 New Jersey
                                                email vincent.babich@dot.gov.                            reducing the quality of the collected                 Avenue SE., Room W36–412,
                                                SUPPLEMENTARY INFORMATION:                               information. The agency will summarize                Washington, DC 20590. However, due to
                                                                                                         or include your comments in the request               delays caused by enhanced screening of
                                                   Background: The data for the
                                                                                                         for OMB’s clearance of this information               mail delivered via the U.S. Postal
                                                Transportation of Hazardous Materials;
                                                                                                         collection.                                           Service, applicants are advised to use
                                                Highway Routing ICR is collected under
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                                                authority of 49 U.S.C. 5112 and 5125.                      Issued under the authority of 49 CFR 1.87           other means of conveyance (such as
                                                Specifically, 49 U.S.C. 5112(c) requires                 on: July 21, 2016.                                    courier service) to assure timely receipt
                                                that the Secretary, in coordination with                 Kelly Regal,                                          of materials.
                                                the States, ‘‘shall update and publish                   Associate Administrator for Office of                 FOR FURTHER INFORMATION CONTACT: If
                                                periodically a list of currently effective               Research and Information Technology.                  you have a PTC project related question,
                                                hazardous material highway route                         [FR Doc. 2016–17974 Filed 7–28–16; 8:45 am]           you may contact Dr. Mark Hartong,
                                                designations.’’                                          BILLING CODE 4910–EX–P                                Senior Scientific Technical Advisor,


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                                                50048                            Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices

                                                Federal Railroad Administration                          notice are subject to the availability of             3.2 Project Eligibility
                                                (phone: (202) 493–1332; email:                           funds.                                                   Projects eligible for funding under
                                                mark.hartong@dot.gov), or Mr. Devin                                                                            this NOFO must help install PTC
                                                                                                         Section 2: Federal Award Information
                                                Rouse, Program Manager, Federal                                                                                systems required under 49 U.S.C. 20157.
                                                Railroad Administration (phone: (202)                       The maximum funding authorized
                                                                                                                                                               The capital costs of PTC systems
                                                493–6185, email: devin.rouse@dot.gov).                   under this NOFO is $197.01 million
                                                                                                                                                               installation would be eligible project
                                                Grant application submission and                         after approximately $2 million is set
                                                                                                                                                               activities including but not limited to:
                                                processing questions should be                           aside for program oversight per the
                                                                                                                                                               Back office systems; wayside,
                                                addressed to Ms. Amy Houser, Office of                   FAST Act. Per the FAST Act, FRA
                                                                                                                                                               communications and onboard hardware
                                                Program Delivery, Federal Railroad                       anticipates selecting multiple projects
                                                                                                                                                               equipment, software; equipment
                                                Administration (1200 New Jersey                          for the funding made available in this
                                                                                                                                                               installation; and spectrum acquisition.
                                                Avenue SE., Room W36–412,                                notice, and is not predetermining any                    Examples of eligible PTC system
                                                Washington, DC 20590; email:                             minimum or maximum dollar amounts                     projects include the following:
                                                amy.houser@dot.gov). For questions                       for awards. However, given the limited                   a. Installation of PTC systems;
                                                regarding FTA administration of grants                   amount of funding currently available,                   b. Installation of shared PTC system
                                                awarded under this competition, contact                  applicants are encouraged to identify                 infrastructure (e.g., back office systems
                                                Mr. Eric Hu, Office of Program                           scalable project phases or elements that              and computer-aided dispatch (CAD)
                                                Management, Federal Transit                              would result in the installation of                   systems);
                                                Administration (phone: (202) 366–0870;                   components necessary for the                             c. Advancement of PTC system
                                                email: eric.hu@dot.gov).                                 deployment of a PTC system required                   interoperability related to installation,
                                                                                                         under 49 U.S.C. 20157, because FRA                    such as spectrum acquisition, spectrum
                                                SUPPLEMENTARY INFORMATION:                               may choose to make project selections                 sharing, and radio interference and
                                                  Notice to applicants: FRA and FTA                      for less than the total amount requested              desensitization;
                                                recommend applicants read this notice                    in the application.                                      d. Installation of technologies that
                                                in its entirety prior to preparing                       Section 3: Eligibility Information                    will lower costs, accelerate PTC
                                                application materials. There are several                                                                       implementation, increase
                                                administrative prerequisites described                      This section of the notice explains the            interoperability between host and tenant
                                                herein that applicants must comply                       requirements for submitting an eligible               operations, and improve reliability of
                                                with to submit an application and                        grant application. Applications that do               PTC systems; and
                                                specific eligibility requirements                        not meet the requirements in this                        e. Installation of technologies that will
                                                applicants must meet. Additionally,                      section will be considered ineligible for             eliminate PTC system communications
                                                applicants should note that the required                 funding. Instructions for conveying                   interference, provide solutions to
                                                Project Narrative component of the                       eligibility information to FRA are                    configuration management of multi-
                                                application package may not exceed 25                    detailed in Section 4 of this NOFO.                   railroad PTC software and firmware
                                                pages in length (including any                           3.1 Applicant Eligibility                             deployments, and provide host-tenant
                                                appendices).                                                                                                   railroad PTC interoperability and PTC
                                                                                                            Eligible applicants for PTC system                 System Certification.
                                                Table of Contents                                        funding under this notice are entities                   These are examples of eligible
                                                                                                         that are recipients of funds under 49                 projects, and FRA will evaluate any
                                                1. Program Description
                                                2. Federal Award Information
                                                                                                         U.S.C. Chapter 53.                                    other projects meeting the criteria of this
                                                                                                            a. This includes, but is not limited to,
                                                3. Eligibility Information                                                                                     NOFO for eligibility and consideration
                                                4. Application and Submission Information                the following entities:
                                                                                                                                                               for award.
                                                5. Application Review                                       i. Public transit agencies operating
                                                                                                                                                                  Preventive maintenance and overhaul
                                                6. Federal Award Administration                          commuter railroads; and
                                                                                                            ii. State and local governments.                   costs, new vehicle procurement, real
                                                7. Federal Awarding Agency Contacts                                                                            estate property acquisition, building
                                                                                                            b. Applicants must:
                                                Section 1: Program Description                              i. Have submitted a revised Positive               construction and acquisition, and
                                                                                                         Train Control Implementation Plan                     operating expenses are not eligible costs
                                                   The purpose of this notice is to solicit                                                                    under this NOFO.
                                                                                                         (PTCIP) to FRA as required by 49 U.S.C.
                                                applications for grants to assist                        20157(a); or
                                                financing the installation of PTC                                                                              3.3 Cost Eligibility
                                                                                                            ii. Be tenants on one or more host
                                                systems required under 49 U.S.C. 20157                   railroads whose host railroad(s) have                   Funds awarded under this notice
                                                (Implementation of positive train                        submitted a revised PTCIP as required                 must not exceed 80 percent of the total
                                                control systems). The maximum $197.01                    by 49 U.S.C. 20157(a).                                cost of a project. The required 20
                                                million of funding available under this                     c. An applicant who has not                        percent non-Federal share may be
                                                NOFO after approximately $2 million is                   submitted a revised PTCIP to FRA as                   comprised of public sector (state or
                                                set aside for program oversight is                       required by 49 U.S.C. 20157(a), and is                local) or private sector funding.
                                                authorized by section 3028 of the Fixing                 not a tenant on one or more host                      However, FRA will not consider any
                                                America’s Surface Transportation                         railroads who have submitted a revised                other Federal grant funds, nor any non-
                                                (FAST) Act (Public Law 114–94). All                      PTCIP as required by 49 U.S.C.                        Federal funds already expended (or
                                                projects that receive funding under this                 20157(a), may be eligible for funding                 otherwise encumbered), towards the
                                                notice must comply with the applicable                   under this notice if the applicant can                matching requirement. FRA is limiting
                                                requirements of 49 U.S.C. 20157 and 49                                                                         the method for calculating the non-
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                                                                                                         demonstrate to FRA’s satisfaction in the
                                                CFR part 236, subpart I, including                       grant application that the:                           Federal match to cash contributions
                                                236.1005 (Requirements for Positive                         i. Applicant is not required to submit             only—FRA will not accept ‘‘in-kind’’
                                                Train Control Systems). The funding                      a revised PTCIP as required by 49 U.S.C.              contributions and transportation
                                                described in this notice is authorized to                20157(a); and                                         development credits. FRA will consider
                                                be appropriated for Federal Fiscal Year                     ii. Proposed project will assist in                non-Federal matching funds exceeding
                                                2017 beginning October 1, 2016.                          financing the installation of a PTC                   the minimum requirement when
                                                Funding allocations made under this                      system required under 49 U.S.C. 20157.                evaluating the merit of an application.


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                                                                                 Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices                                            50049

                                                Section 4: Application and Submission                    other Federal or non-Federal funding                  performance. FRA developed a standard
                                                Information                                              sources, related projects, law, or other              SOW template that applicants must use
                                                                                                         factors. Finally, specify whether you                 to be considered for award. The SOW
                                                4.1 Submission Dates and Times
                                                                                                         ever previously sought Federal funding                templates and other required forms are
                                                  Applicants must submit complete                        for the project, and name the Federal                 located at http://www.fra.dot.gov/Page/
                                                applications to Grants.gov no later than                 program and fiscal year for the funding               P0021.
                                                5:00 p.m. EDT, September 27, 2016.                       request;                                                ii. Describe anticipated environmental
                                                Delayed registration is not an acceptable                  iv. Explain how the applicant meets                 and historic preservation impacts
                                                reason for late submission. In order to                  the applicant eligibility criteria outlined           associated with the proposed project,
                                                apply for funding under this                             in Section 3 of this notice;                          any environmental or historic
                                                announcement, all applicants are                           v. Provide a brief 4–6 sentence                     preservation analyses that have been
                                                expected to be registered as an                          summary of the proposed project,                      prepared, and progress toward
                                                organization with Grants.gov.                            capturing the PTC challenges the                      completing any environmental
                                                Applicants are strongly encouraged to                    proposed project aims to address, as                  documentation or clearance required for
                                                apply early to ensure that all materials                 well as the intended outcomes and                     the proposed project under the National
                                                are received before this deadline. Late                  anticipated benefits that will result from            Environmental Policy Act (NEPA), the
                                                applications that are the result of failure              the proposed project;                                 National Historic Preservation Act,
                                                to register or comply with Grants.gov                      vi. Include a detailed project                      section 4(f) of the U.S. DOT Act, the
                                                applicant requirements in a timely                       description that expands upon the brief               Clean Water Act, and other applicable
                                                manner will not be considered.                           summary required above. This detailed                 Federal or State laws such as the FCC
                                                                                                         description should provide, at a                      requirements for antenna transmission.
                                                4.2 Application Content                                  minimum, additional background on the                 Applicants are encouraged to contact
                                                  Applicants should read this section                    PTC challenges the project aims to                    FTA and obtain preliminary direction
                                                carefully and must submit all required                   address, the expected users and                       regarding the appropriate NEPA action
                                                information.                                             beneficiaries of the project, the specific            and required environmental
                                                                                                         components and elements of the project,               documentation. Generally, projects will
                                                Project Narrative
                                                                                                         and any other information the applicant               be ineligible to receive funding if they
                                                   This section describes the minimum                    deems necessary to justify the proposed               have begun construction activities prior
                                                content required in the Project Narrative                project. The detailed description should              to the applicant receiving written
                                                component of grant applications (FRA                     also clearly explain how the proposed                 approval from FTA that all
                                                also recommends the Project Narrative                    project meets the project eligibility                 environmental and historical analyses
                                                generally adhere to the following                        criteria in Section 3 of this notice;                 have been completed. Additional
                                                outline). These requirements must be                       vii. Include a thorough discussion of               information regarding FTA’s
                                                satisfied through a narrative statement                  how the proposed project meets all of                 environmental processes and
                                                submitted by the applicant, and may be                   the evaluation criteria for the respective            requirements are located at https://
                                                supported by spreadsheet documents,                      project type, as outlined in Section 5 of             www.transit.dot.gov/regulations-and-
                                                tables, maps, drawings, and other                        this notice. Applicants should note that              guidance/environmental-programs/
                                                materials, as appropriate. The Project                   FRA reviews applications based upon                   environmental-analysis-review.
                                                Narrative may not exceed 25 pages in                     the evaluation criteria. If an application              iii. Submit an SF 424A—Budget
                                                length (including any appendices). FRA                   does not sufficiently address the                     Information for Non-Construction or SF
                                                will not review or consider for award                    evaluation criteria, it is unlikely to be a           424C.
                                                applications with Project Narratives                     competitive application. In responding                  iv. Budget Information for
                                                exceeding the 25 page limitation.                        to the criteria, applicants should clearly            Construction;
                                                   a. The Project Narrative must:                        identify, quantify, and compare                         v. Submit an SF 424B—Assurances
                                                   i. Include a title page that lists the                expected benefits and costs of proposed               for Non-Construction or SF 424D—
                                                following elements in either a table or                  projects;                                             Assurances for Construction; and
                                                formatted list: Project title; location (i.e.,             viii. Describe proposed project                       vi. Submit an SF LLL: Disclosure of
                                                city, State, Congressional district);                    implementation and project                            Lobbying Activities.
                                                applicant organization name; name of                     management arrangements. Include                      4.3 Submission Instructions
                                                any co-applicants; amount of Federal                     descriptions of the expected
                                                funding requested; and proposed non-                     arrangements for project contracting,                   To apply for funding through
                                                Federal match;                                           contract oversight, change-order                      Grants.gov, applicants must be properly
                                                   ii. Designate a point of contact for the              management, risk management, and                      registered. Complete instructions on
                                                applicant and provide his or her name                    conformance to Federal requirements                   how to register and submit an
                                                and contact information, including                       for project progress reporting.                       application can be found at Grants.gov.
                                                phone number, mailing address, and                                                                             Registering with Grants.gov is a onetime
                                                email address. The point of contact                      Additional Application Elements                       process; however, it can take up to
                                                must be an employee of an eligible                         b. Applicants must:                                 several weeks for first-time registrants to
                                                applicant;                                                 i. Submit a Statement of Work (SOW)                 receive confirmation and a user
                                                   iii. Indicate the amount of Federal                   that addresses the scope, schedule, and               password. FRA recommends that
                                                funding requested, the proposed non-                     budget for the proposed project if it                 applicants start the registration process
                                                Federal match, and total project cost.                   were selected for award. The SOW must                 as early as possible to prevent delays
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                                                Additionally, identify any other sources                 contain sufficient detail so that FRA and             that may preclude submitting an
                                                of Federal funds committed to the                        FTA, and the applicant, can understand                application package by the application
                                                project and any pending Federal                          the expected outcomes of the proposed                 deadline. Applications will not be
                                                requests. You must also note if the                      work to be performed and monitor                      accepted after the due date. Delayed
                                                requested Federal funding must be                        progress toward completing project                    registration is not an acceptable
                                                obligated or spent by a certain date due                 tasks and deliverables during a                       justification for an application
                                                to dependencies or relationships with                    prospective grant’s period of                         extension. (Please note that if a Dun &


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                                                50050                            Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices

                                                Bradstreet (DUNS) number must be                            In general, the RRIF program provides              that are well-aligned with one or more
                                                obtained or renewed, this may take a                     loans and loan guarantees to finance                  of the evaluation and selection criteria.
                                                significant amount of time to complete.)                 railroad and intermodal equipment and
                                                                                                                                                               5.2 Evaluation Criteria
                                                Late applications that are the result of                 infrastructure, including PTC
                                                failure to register or comply with                       installation. Under the RRIF program, a                 FRA will give preference to applicants
                                                Grants.gov applicant requirements in a                   RRIF loan applicant or other non-                     that can demonstrate an ability to
                                                timely manner will not be considered.                    Federal source must pay a Credit Risk                 substantially complete the project work,
                                                                                                         Premium (CRP) assessed based on the                   or otherwise provide benefits to
                                                   Required documents for the
                                                                                                         overall risk of each transaction. In                  industry, prior to the statutory deadlines
                                                application package are outlined in the
                                                                                                         addition, the RRIF applicant pays an                  the Positive Train Control Enforcement
                                                following paragraphs. Applicants must
                                                                                                         evaluation charge to reimburse the                    and Implementation Act of 2015 (PTCEI
                                                complete and submit all components of                                                                          Act) established. The PTCEI Act
                                                the application package. FRA welcomes                    Secretary for costs incurred to
                                                                                                         administer the program, including                     extended the statutory deadline for
                                                the submission of other relevant                                                                               implementation of PTC systems to at
                                                supporting documentation that may                        financial and legal advice
                                                                                                         (administrative costs).                               least December 31, 2018, and allows
                                                have been developed by the applicant                                                                           railroads to request approval from FRA
                                                (planning, engineering and design                           Eligible applicants may use amounts
                                                                                                         awarded under this NOFO to pay the                    for an extension beyond December 31,
                                                documentation, and letters of support).                                                                        2018, but no later than December 31,
                                                In particular, applications accompanied                  RRIF CRP and/or administrative costs
                                                                                                         associated with a RRIF loan or loan                   2020, for implementation of certain
                                                by completed feasibility studies and                                                                           operational, non-hardware aspects of
                                                cost estimates may be more favorably                     guarantee made to finance the same PTC
                                                                                                         system installation project for which the             PTC systems, upon completion of
                                                considered during the evaluation                                                                               statutory prerequisites. FRA will review
                                                process, as they demonstrate that an                     grant under this NOFO was awarded.
                                                                                                            To be clear, the funds made available              applications using the following four
                                                applicant has a greater understanding of                                                                       evaluation criteria:
                                                the scope and cost of the project.                       under this NOFO may only be used to
                                                                                                         finance the installation of PTC systems                 • Accrued safety benefits;
                                                   Applicants must submit all                            required under 49 U.S.C. 20157.                         • Expeditious PTC system
                                                application materials through                                                                                  deployment;
                                                Grants.gov. For any required or                          Availability                                            • Technical merit; and
                                                supporting application materials that an                   The grant funds made available under                  • Project development approach.
                                                applicant cannot submit via Grants.gov                   this NOFO must be obligated in a grant                a. Accrued Safety Benefits
                                                (such as oversized engineering                           agreement no later than September 30,
                                                drawings), an applicant may submit an                                                                             FRA will consider a proposed
                                                                                                         2018. Therefore, for an eligible
                                                original and two (2) copies to Ms. Amy                                                                         project’s accrued safety benefits,
                                                                                                         applicant to use grant funds to pay the
                                                Houser, Office of Program Delivery,                                                                            including the following factors:
                                                                                                         CRP and/or administrative costs                          i. The number of passengers for which
                                                Federal Railroad Administration, 1200                    associated with a RRIF loan or loan                   the proposed project will improve safety
                                                New Jersey Avenue SE., Room W36–                         guarantee, the applicable loan or loan                by reducing the threat of train-to-train
                                                412, Washington, DC 20590. However,                      guarantee must be executed by                         collisions, over speed derailments,
                                                due to delays caused by enhanced                         September 30, 2018. Subsidy and                       incursions into established work zone
                                                screening of mail delivered via the U.S.                 administrative costs associated with a                limits, and the movement of a train
                                                Postal Service, FRA advises applicants                   RRIF loan or loan guarantee agreement                 through a misaligned switch; and
                                                to use other means of conveyance (such                   that is not executed by September 30,                    ii. The number of miles of roadway
                                                as courier service) to assure timely                     2018 are not eligible for funding under               work zones protected by the proposed
                                                receipt of materials. Additionally, if                   this NOFO.                                            project.
                                                documents can be obtained online,
                                                explaining to FRA how to access files on                 Section 5: Application Review                         b. Expeditious PTC System Deployment
                                                a referenced Web site may also be                          FRA will conduct a three-part                          FRA will consider a proposed
                                                sufficient.                                              application review process, as follows:               project’s achievement of expeditious
                                                                                                           a. Screen applications for                          PTC system deployment, including the
                                                4.4   Funding Restrictions                               completeness and eligibility;                         following factors:
                                                Use of Grant Funds for Federal Credit                      b. Evaluate eligible applications                      i. The degree to which the proposed
                                                Assistance                                               (completed by technical panels applying               project expedites the installation of the
                                                                                                         the evaluation criteria); and                         PTC system;
                                                   At the request of an eligible applicant                 c. Select projects for funding                         ii. The degree to which the proposed
                                                under Section 3 of this NOFO, and                        (completed by the FRA Administrator                   project expedites testing and
                                                subject to DOT approval and any                          applying additional selection criteria).              certification of the PTC system; and
                                                applicable laws that may otherwise                                                                                iii. The ability for the proposed
                                                prohibit using Federal grant funds in                    5.1 Intake and Eligibility
                                                                                                                                                               project to maintain the railroad’s PTC
                                                such a manner, amounts awarded to an                        FRA first will screen each application             system implementation timeline or
                                                eligible applicant under this grant may                  for eligibility (eligibility requirements             reduce/eliminate schedule risks.
                                                be used to pay certain costs applicants                  are outlined in Section 3 of this notice)
                                                incur under sections 502 through 504 of                  and completeness (application                         c. Technical Merit
                                                the Railroad Revitalization and                          documentation and submission
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                                                                                                                                                                  FRA will consider a proposed
                                                Regulatory Reform Act of 1976 (45                        requirements are outlined in Section 4                project’s technical merit, including the
                                                U.S.C. 801, et seq.) (Railroad                           of this notice). FRA-led technical panels             following factors:
                                                Rehabilitation and Improvement                           of subject-matter experts will evaluate                  i. The degree to which the proposed
                                                Financing (RRIF) program).                               all eligible and complete applications                project exhibits a sound scientific and
                                                Requirements to use the grant money                      using the evaluation criteria outlined in             engineering basis;
                                                awarded under this NOFO for RRIF                         this section. The FRA Administrator                      ii. The degree to which the proposed
                                                costs are explained further below.                       then will select for funding the projects             project is practically applied in and


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                                                                                 Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices                                          50051

                                                compatible with the railroad’s operating                 citizens, and persons with disabilities in            Acquisition Threshold), FTA will
                                                environment and infrastructure; and                      disconnected communities with                         review and consider any information
                                                  iii. The likelihood of technical and                   employment, training and education                    about the applicant that is in the
                                                practical success.                                       will receive particular consideration                 designated integrity and performance
                                                                                                         during project selection.                             system accessible through the System
                                                d. Project Development Approach
                                                                                                                                                               for Award Management (SAM)
                                                   FRA will consider a proposed                          b. Project Delivery Performance
                                                                                                                                                               (currently the Federal Awardee
                                                project’s project development approach,                     i. The applicant’s track record in                 Performance and Integrity Information
                                                including the following factors:                         successfully delivering previous DOT                  System (FAPIIS)) (see 41 U.S.C. 2313).
                                                   i. The technical qualifications and                   grants on time, on budget, and for the                  An applicant, at its option, may
                                                demonstrated experience of key                           full intended scope;                                  review information in the designated
                                                personnel proposed to lead and perform                      ii. The applicant’s means for                      integrity and performance systems
                                                the technical efforts, and the                           achieving satisfactory continuing                     accessible through SAM and comment
                                                qualifications of the primary and                        control over project assets in a timely               on any information about itself that a
                                                supporting organizations to fully and                    manner, including public ownership of                 Federal awarding agency previously
                                                successfully execute the proposed                        project assets or agreements with                     entered and is currently in the
                                                project within the proposed timeframe                    commuter railroad operators and                       designated integrity and performance
                                                and budget;                                              infrastructure owners at the time of                  system accessible through SAM.
                                                   ii. The degree to which proposed                      application; and                                        FTA will consider any comments by
                                                project is supported by multiple entities                   iii. The extent to which the proposed              the applicant, in addition to the other
                                                (letters of support are encouraged);                     project complements previous DOT                      information in the designated integrity
                                                   iii. The affordability and degree to                  awards.                                               and performance system, in making a
                                                which the proposed project is a good                     c. Region/Location                                    judgment about the applicant’s integrity,
                                                value for the amount of funding                                                                                business ethics, and record of
                                                requested. Good value means the goods/                      i. The extent to which the proposed                performance under Federal awards
                                                services received are worth the price                    project increases the economic                        when completing the review of risk
                                                paid. (Examples of the types of factors                  productivity of land, capital, or labor at            posed by applicants as described in 2
                                                that may be considered include, but are                  specific locations, particularly in                   CFR 200.205.
                                                not limited to, suitability, quality, skills,            economically distressed areas;
                                                price, and life-cycle cost. The mix of                      ii. Ensuring appropriate level of                  6.3 Administrative and National
                                                these and other factors and the relevant                 regional balance across the country;                  Policy Requirements
                                                importance of each will vary on a case                      iii. Ensuring consistency with
                                                                                                                                                               a. Pre-Award Authority
                                                by case basis);                                          national transportation and rail network
                                                   iv. The reasonableness of the                         objectives; and                                         Once selected, FTA will issue specific
                                                proposed costs; and                                         iv. Ensuring integration with other                guidance to recipients regarding pre-
                                                   v. The extent of proposed cost sharing                rail services and transportation modes.               award authority at the time of selection.
                                                or cost participation (exclusive of the                                                                        FTA does not provide pre-award
                                                                                                         d. Innovation/Resource Development
                                                applicant’s prior investment).                                                                                 authority for discretionary funds until
                                                                                                            i. Promoting innovations that                      projects are selected and even then there
                                                5.3   Selection Criteria                                 demonstrate the value of new                          are Federal requirements that must be
                                                  In addition to the evaluation criteria,                approaches to, among other things,                    met before costs are incurred. For more
                                                the FRA Administrator will apply the                     transportation funding and finance,                   information about FTA’s policy on pre-
                                                following four selection criteria to                     contracting, project delivery, congestion             award authority, please see the FY 2016
                                                further ensure that the projects selected                management, safety management, asset                  Apportionment Notice published on
                                                for funding advance FRA’s current PTC                    management, or long-term operations                   February 16, 2016. https://
                                                mission and key priorities:                              and maintenance.                                      www.gpo.gov/fdsys/pkg/FR-2016-02-16/
                                                  • Alignment with DOT strategic goals                   6. Federal Award Administration                       pdf/2016-02821.pdf.
                                                and priorities;                                                                                                b. Grant Requirements
                                                  • Project delivery performance;                        6.1 Federal Award Notice
                                                  • Region/location; and                                   Final project selections will be posted               If selected, awardees will apply for a
                                                  • Innovation/resource development.                     on DOT, FRA, and FTA’s Web sites.                     grant through FTA’s Transit Award
                                                                                                                                                               Management System (TrAMS).
                                                a. Alignment With DOT Strategic Goals                    6.2 Award Administration                              Recipients of PTC Funding are subject
                                                and Priorities                                             Due to funding limitations, projects                to the requirements of 49 U.S.C. Chapter
                                                   i. Improving transportation safety;                   that are selected for funding may receive             53, including FTA’s Buy America
                                                   ii. Maintaining transportation                        less than the amount originally                       requirements, Disadvantaged Business
                                                infrastructure in a state of good repair;                requested. In those cases, applicants                 Enterprise, and Planning Requirements.
                                                   iii. Promoting economic                               must be able to demonstrate that the                  All recipients must follow the Grants
                                                competitiveness;                                         proposed projects are still viable and                Management Requirements of FTA
                                                   iv. Advancing environmentally                         can be completed with the amount                      Circular 5010.1D, the labor protections
                                                sustainable transportation policies;                     awarded.                                              of 49 U.S.C. 5333(b), and the third party
                                                   v. Enhancing quality of life; and                                                                           procurement requirements of FTA
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                                                   vi. Building ladders of opportunity to                Federal Awardee Performance and                       Circular 4220.1F. All discretionary
                                                expand the middle class.                                 Integrity Information System (FAPIIS)                 grants, regardless of award amount, will
                                                   Proposed projects that demonstrate                    Review                                                be subject to the congressional
                                                the ability to provide reliable, safe and                   Before making a Federal award with                 notification and release process.
                                                affordable transportation choices to                     a total amount of Federal share greater               Technical assistance regarding these
                                                connect economically disadvantaged                       than the simplified acquisition                       requirements is available from each FTA
                                                populations, non-drivers, senior                         threshold (see 2 CFR 200.88 Simplified                regional office.


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                                                50052                            Federal Register / Vol. 81, No. 146 / Friday, July 29, 2016 / Notices

                                                c. Standard Assurances                                     Information Collection: The Office of               participants priority for carriage of
                                                   The applicant must assure it will                     Management and Budget (OMB)                           peacetime cargos.
                                                comply with all applicable Federal                       approved the information collection                   DATES: VISA Program applications must
                                                                                                         associated with the PTC Grants                        be received on or before August 29,
                                                statutes, regulations, executive orders,
                                                                                                         Program. The approval number for this                 2016.
                                                FTA circulars, and other Federal
                                                                                                         collection of information is OMB No.
                                                administrative requirements in carrying                                                                        ADDRESSES: Submit applications and
                                                                                                         2130–0587.
                                                out any project supported by the FTA                                                                           questions related to this notice to
                                                grant. The applicant must acknowledge                      Issued in Washington, DC on July 21, 2016.          William G. McDonald, Director, Office
                                                that it is under a continuing obligation                 Carolyn Flowers,                                      of Sealift Support, U.S. Department of
                                                to comply with the terms and                             Acting Administrator, FTA.                            Transportation, Maritime
                                                conditions of the grant agreement issued                 Sarah E. Feinberg,                                    Administration, 1200 New Jersey
                                                for its project with FTA. The applicant                  Administrator, FRA.                                   Avenue SE., Washington, DC 20590.
                                                understands that Federal laws,                           [FR Doc. 2016–17943 Filed 7–28–16; 8:45 am]
                                                                                                                                                               FOR FURTHER INFORMATION CONTACT:
                                                regulations, policies, and administrative                                                                      William G. McDonald, Director, Office
                                                                                                         BILLING CODE 4910–06–P
                                                practices might be modified from time                                                                          of Sealift Support, U.S. Department of
                                                to time and may affect the                                                                                     Transportation, Maritime
                                                implementation of the project. The                       DEPARTMENT OF TRANSPORTATION                          Administration, 1200 New Jersey
                                                applicant must agree that the most                                                                             Avenue SE., Washington, DC 20590.
                                                recent Federal requirements will apply                   Maritime Administration                               Telephone (202) 366–0688; Fax (202)
                                                to the project, unless FTA issues a                                                                            366–5904, electronic mail to
                                                written determination otherwise. The                     Voluntary Intermodal Sealift                          william.g.mcdonald@dot.gov or visit
                                                applicant must submit the Certifications                 Agreement Open Season                                 http://www.marad.dot.gov.
                                                and Assurances before receiving a grant                  AGENCY: Maritime Administration,                      SUPPLEMENTARY INFORMATION: The VISA
                                                if it does not have current certifications               Department of Transportation.                         program was established pursuant to
                                                on file.                                                                                                       Section 708 of the Defense Production
                                                                                                         ACTION: Notice of open season for
                                                d. Reporting                                             enrollment in the VISA program.                       Act of 1950, as amended (DPA). The
                                                                                                                                                               VISA program was created to provide
                                                  Post-award reporting requirements                      SUMMARY: The Maritime Administration                  for voluntary agreements for emergency
                                                include submission of Federal Financial                  (MARAD) announces that the open                       preparedness programs. Pursuant to the
                                                Reports and Milestone Progress Reports                   season for Fiscal Year 2017 applications              DPA, voluntary agreements for
                                                in TrAMS.                                                for participation in the Voluntary                    preparedness programs, including the
                                                e. Technical Assistance and Other                        Intermodal Sealift Agreement (VISA)                   VISA program expire five (5) years after
                                                Program Information                                      program will run for 30 days beginning                the date they became effective.
                                                                                                         today and ending August 29, 2016. The                    The VISA program is open to U.S.-flag
                                                   This program is not subject to                        purpose of this notice is to invite                   vessel operators of oceangoing militarily
                                                Executive Order 12372,                                   interested, qualified U.S.-flag vessel                useful vessels. An operator is defined as
                                                ‘‘Intergovernmental Review of Federal                    operators that are not currently enrolled             an owner or bareboat charterer of a
                                                Programs.’’ FRA will consider                            in the VISA program to apply. This is                 vessel. Operators include vessel owners
                                                applications for funding only from                       the only planned enrollment period for                and bareboat charter operators if
                                                eligible recipients as explained in                      carriers to join the VISA program and                 satisfactory signed agreements are in
                                                Section 3.                                               derive benefits for Department of                     place committing the assets of the
                                                7. Federal Awarding Agency Contacts                      Defense (DOD) peacetime contracts                     owner to VISA. Voyage and space
                                                                                                         initiated during the period from October              charterers are not considered U.S.-flag
                                                  If you have a PTC technical project                    1, 2016, through September 30, 2017.                  vessel operators for purposes of VISA
                                                related question, you may contact Dr.                       Any U.S.-flag vessel operator                      eligibility.
                                                Mark Hartong, Senior Scientific                          organized under the laws of a state of
                                                Technical Advisor (phone: (202) 493–                     the United States, or the District of                 VISA Program
                                                1332; email: mark.hartong@dot.gov), or                   Columbia, who is able and willing to                    The VISA program provides for the
                                                Mr. Devin Rouse, Program Manager                         commit militarily useful sealift assets               staged, time-phased availability of
                                                (phone: (202) 493–6185, email:                           and assume the related consequential                  participants’ shipping services/systems
                                                devin.rouse@dot.gov.) Grant application                  risks of commercial disruption, may be                through pre-negotiated contracts
                                                submission and processing questions                      eligible to participate in the VISA                   between the Government and
                                                should be addressed to Ms. Amy                           program.                                              participants. Such arrangements are
                                                Houser, Office of Program Delivery,                         The mission of VISA is to provide                  jointly planned with the MARAD, the
                                                Federal Railroad Administration, 1200                    commercial sealift and intermodal                     United States Transportation Command
                                                New Jersey Avenue SE., Room W36–                         shipping services and systems,                        (USTRANSCOM), and participants in
                                                412, Washington, DC 20590; email:                        including access to vessels, vessel                   peacetime to allow effective and best
                                                amy.houser@dot.gov.                                      space, intermodal systems and                         valued use of commercial sealift
                                                  For questions relating to grant                        equipment, terminal facilities, and                   capacity, provide DOD assured
                                                requirements, please contact Eric Hu,                    related management services, to the                   contingency access, and to minimize
                                                Program Manager, Urban Programs                          Department of Defense (DOD), as                       commercial disruption.
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                                                (phone: (202) 366–0870, email                            necessary, to meet national defense                     Throughout the activation of any
                                                eric.hu@dot.gov). FTA grantees may also                  contingency requirements or national                  stages of VISA, DOD may utilize
                                                contact their FTA regional office.                       emergencies. Carriers enrolled in the                 voluntary commitment of sealift
                                                Contact for FTA’s regional offices can be                VISA program provide DOD with                         capacity or systems. Requests for
                                                found on FTA’s Web site at: https://                     assured access to such services during                volunteer capacity will be extended
                                                www.transit.dot.gov/about/regional-                      contingencies. In return for their VISA               simultaneously to both participants and
                                                offices/regional-offices.                                commitment, DOD gives VISA                            other carriers. First priority for


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Document Created: 2018-02-08 07:51:38
Document Modified: 2018-02-08 07:51:38
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
DatesApplications for funding under this solicitation are due no later than 5:00 p.m. EDT, September 27, 2016. Applications for funding received after 5:00 p.m. EDT on September 27, 2016 will not be considered for funding. See Section 4 of this notice for additional information on the application process.
ContactIf you have a PTC project related question, you may contact Dr. Mark Hartong, Senior Scientific Technical Advisor, Federal Railroad Administration (phone: (202) 493-1332; email: [email protected]), or Mr. Devin Rouse, Program Manager, Federal Railroad Administration (phone: (202) 493-6185, email: [email protected]). Grant application submission and processing
FR Citation81 FR 50047 

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