Notice of Funding Opportunity for the Department of Transportation's Nationally Significant Freight and Highway Projects (FASTLANE Grants) for Fiscal Year 2016 |
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Anthony R. Foxx
U.S. Department of Transportation
March 2, 2016
[Federal Register Volume 81, Number 41 (Wednesday, March 2, 2016)]
[Notices]
[Pages 10955-10964]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-04610]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
[Docket No. DOT-OST-2016-0022]
Notice of Funding Opportunity for the Department of
Transportation's Nationally Significant Freight and Highway Projects
(FASTLANE Grants) for Fiscal Year 2016
AGENCY: Office of the Secretary of Transportation, DOT.
ACTION: Notice of funding opportunity.
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SUMMARY: The Fixing America's Surface Transportation Act (FAST Act)
established the Nationally Significant Freight and Highway Projects
(NSFHP) program to provide Federal financial assistance to projects of
national or regional significance and authorized the program at $4.5
billion for fiscal years (FY) 2016 through 2020, including $800 million
for FY 2016 to be awarded by the Secretary of Transportation. The
Department will also refer to NSFHP grants as Fostering Advancements in
Shipping and Transportation for the Long-term Achievement of National
Efficiencies (FASTLANE) grants. The purpose of this notice is to
solicit applications for FY 2016 grants for the NSFHP program. The
Department also invites interested parties to submit comments about
this notice's contents to public docket DOT-OST-2016-0022 by June 1,
2016.
DATES: Applications must be submitted by 8:00 p.m. EDT on April 14,
2016. The Grants.gov ``Apply'' function will open by March 15, 2016.
ADDRESSES: Applications must be submitted through www.Grants.gov. Only
applicants who comply with all submission requirements described in
this notice and submit applications through www.Grants.gov will be
eligible for award.
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice, please contact the Office of the Secretary via email at
FASTLANEgrants@dot.gov. For more information about highway projects,
[[Page 10956]]
please contact Crystal Jones at (202) 366-2976. For more information
about maritime projects, please contact Robert Bouchard at (202) 366-
5076. For more information about rail projects, please contact Scott
Greene at (202) 493-6408. For all other questions, please contact
Howard Hill at (202) 366-0301. A TDD is available for individuals who
are deaf or hard of hearing at 202-366-3993. Additionally, the
Department will regularly post answers to questions and requests for
clarifications as well as information about webinars for further
guidance on DOT's Web site at www.transportation.gov/FASTLANEgrants.
SUPPLEMENTARY INFORMATION: This notice solicits applications for the
NSFHP program for FY 2016. Each section of this notice contains
information and instructions relevant to the application process for
NSFHP grants, and the applicant should read this notice in its entirety
to submit eligible and competitive applications.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information
A. Program Description
The Nationally Significant Freight and Highway Projects (NSFHP)
program, as established by the Fixing America's Surface Transportation
Act (FAST Act), Public Law 114-94, section 1105 (23 U.S.C. 117), will
provide Federal financial assistance to freight and highway projects of
national or regional significance. The Department will also refer to
NSFHP grants as Fostering Advancements in Shipping and Transportation
for the Long-term Achievement of National Efficiencies (FASTLANE)
grants. The NSFHP program provides dedicated, discretionary funding for
projects that address critical freight issues facing our nation's
highways and bridges and for the first time in the U.S. Department of
Transportation's 50-year history, establishes broad, multiyear
eligibilities for freight infrastructure.
To better adapt to population growth, compete in the global
economy, and meet the needs of consumers and industry, the United
States needs a strong multimodal transportation system. Beyond Traffic
2045: Trends and Choices (Beyond Traffic),\1\ the Department's 30-year
framework for the future, outlines changing local and global patterns,
including population and employment growth in burgeoning megaregions
and significant growth in freight movement by ton and value. The report
affirms the need to address freight bottlenecks that severely constrain
system performance and capacity. The Department's draft National
Freight Strategic Plan,\2\ released in October 2015, further explores
these challenges for freight transportation and identifies strategies
to address impediments to the flow of goods throughout the nation.
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\1\ https://www.transportation.gov/BeyondTraffic.
\2\ https://www.transportation.gov/freight/NFSP.
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The NSFHP program provides an opportunity to address nationally or
regionally significant challenges across the nation's transportation
system including improving the safety, efficiency, and reliability of
the movement of freight and people; generating national or regional
economic benefits and increasing the United States' global
competitiveness; reducing highway congestion and bottlenecks; enabling
more efficient intermodal connections; minimizing delays at
international borders; improving inadequate first and last mile
segments; modernizing port facilities to meet 21st Century demands,
including connections between ports and their surface transportation
systems; enhancing the resiliency of critical intermodal infrastructure
and helping protect the environment; improving grade crossings;
improving roadways vital to national energy security; and addressing
the impact of population growth on the movement of people and freight.
The program also offers resources to advance highway and bridge
projects on the National Highway System, including those that improve
mobility through added capacity on the Interstate or address needs in a
national scenic area. Recognizing the interconnected and multimodal
nature of the nation's transportation system, the Department will give
additional consideration to nationally or regionally significant
multimodal and multijurisdictional projects.
The Department will prioritize projects that also enhance personal
mobility and accessibility. Such projects include, but are not limited
to, investments that better connect people to essential services such
as employment centers, health care, schools and education facilities,
healthy food, and recreation; remove physical barriers to access;
strengthen communities through neighborhood redevelopment; mitigate the
negative impacts of freight movement on communities; and support
workforce development, particularly for disadvantaged groups, which
include low-income groups, persons with visible and hidden
disabilities, elderly individuals, and minority persons and
populations. The Department may consider whether a project's design is
likely to generate benefits for all users of the proposed project,
including non-driving members of a community adjacent to or affected by
the project.
B. Federal Award Information
The FAST Act authorizes the NSFHP program at $4.5 billion for
fiscal years (FY) 2016 through 2020, including $800 million \3\ for FY
2016 to be awarded by DOT on a competitive basis to projects of
national or regional significance that meet statutory requirements.
NSFHP grants may be used for the construction, reconstruction,
rehabilitation, acquisition of property (including land related to the
project and improvements to the land), environmental mitigation,
construction contingencies, equipment acquisition, and operational
improvements directly related to system performance. NSFHP grants may
also fund developmental phase activities, including planning,
feasibility analysis, revenue forecasting, environmental review,
preliminary engineering, design, and other preconstruction activities,
provided the project meets statutory requirements.
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\3\ Funds are subject to the overall Federal-aid highway
obligation limitation, and funds in excess of the obligation
limitation provided to the program are distributed to the States.
While $800 million was authorized for FY 2016, only $759.2 million
is available for award. For additional information see FAST Act
Sec. 1102 (f) and the Transportation, Housing and Urban
Development, and Related Agencies Appropriations Act, 2016, Public
Law 114-113, div. L Sec. 120.
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The Department will divide grants under the NSFHP program into
large and small projects. (Refer to section C.3.ii.for a definition of
large and small projects.) For large projects, the FAST Act specifies
that NSFHP grants must be at least $25 million. For small projects, the
grants must be at least $5 million. For both large and small projects,
maximum NSFHP awards may not exceed 60 percent of future eligible
project costs. Ten percent of available funds, approximately $76
million in FY 2016, are reserved for small projects. Applicants are
strongly encouraged to submit applications only for eligible award
amounts.
Pursuant to the FAST Act, not more than $500 million in aggregate
of the $4.5 billion authorized for NSFHP
[[Page 10957]]
grants over fiscal years 2016 to 2020 may be used for grants to freight
rail, water (including ports), or other freight intermodal projects
that make significant improvements to freight movement on the National
Highway Freight Network. Only the non-highway portion(s) of multimodal
projects count toward the $500 million maximum. Improving freight
movement on the National Highway Freight Network may include shifting
freight transportation to other modes, thereby reducing congestion and
bottlenecks on the National Highway Freight Network. The Federal share
for projects that count toward the $500 million maximum may fund only
elements of the project that provide public benefit. Grade crossing and
grade separation projects do not count toward the $500 million maximum
for freight rail, port, and intermodal projects.
The FAST Act directs at least 25 percent of the funds provided for
NSFHP grants, $190 million in FY 2016, are to be used for projects
located in rural areas, as defined in Section C.3.iv. If the Department
does not receive enough qualified applications to fully award the 25
percent reserved for rural projects, the Department may use the excess
funding for non-rural awards. DOT must consider geographic diversity
among grant recipients, including the need for a balance in addressing
the needs of urban and rural areas.
The FAST Act allows an NSFHP grant recipient to use NSFHP funds
granted to pay the subsidy and administrative costs necessary to
receive credit assistance for the associated project under the
Transportation Infrastructure Finance and Innovation Act of 1998
(``TIFIA'') program.
C. Eligibility Information
To be selected for an NSFHP grant, an applicant must be an Eligible
Applicant and the project must be an Eligible Project that meets the
Minimum Project Size Requirement.
1. Eligible Applicants
Eligible applicants for NSFHP grants are (1) a State or group of
States; (2) a metropolitan planning organization that serves an
urbanized area (as defined by the Bureau of the Census) with a
population of more than 200,000 individuals; (3) a unit of local
government or group of local governments; (4) a political subdivision
of a State or local government; (5) a special purpose district or
public authority with a transportation function, including a port
authority; (6) a Federal land management agency that applies jointly
with a State or group of States; (7) a tribal government or a
consortium of tribal governments; or (8) a multi-State or
multijurisdictional group of public entities. Multiple States or
jurisdictions that submit a joint application must identify a lead
applicant as the primary point of contact. Each applicant in a joint
application must be an Eligible Applicant. Joint applications must
include a description of the roles and responsibilities of each
applicant and must be signed by each applicant.
2. Cost Sharing or Matching
NSFHP grants may be used for up to 60 percent of future eligible
project costs. Other Federal assistance may satisfy the non-Federal
share requirement for an NSFHP grant, but total Federal assistance for
a project receiving an NSFHP grant may not exceed 80 percent of the
future eligible project costs. Non-Federal sources include State funds
originating from programs funded by State revenue, local funds
originating from State or local revenue funded programs, private funds
or other funding sources of non-Federal origins. If a Federal land
management agency applies jointly with a State or group of States and
that agency carries out the project, then Federal funds that were not
made available under titles 23 or 49 of the United States Code may be
used for the non-Federal share. Unless otherwise authorized in statute,
local cost-share may not be counted as non-Federal share for both the
NSFHP and another Federal program. For any project, the Department
cannot consider previously incurred costs or previously expended or
encumbered funds towards the matching requirement. Matching funds are
subject to the same Federal requirements described in Section F.2 as
awarded funds.
3. Other
i. Eligible Project
Eligible projects for NSFHP grants are: Highway freight projects
carried out on the National Highway Freight Network (23 U.S.C. 167);
Highway or bridge projects carried out on the National Highway System
(NHS) including projects that add capacity on the Interstate System to
improve mobility or projects in a national scenic area; railway-highway
grade crossing or grade separation projects; or a freight project that
is (1) an intermodal or rail project, or (2) within the boundaries of a
public or private freight rail, water (including ports), or intermodal
facility. A project within the boundaries of a freight rail, water
(including ports), or intermodal facility must be a surface
transportation infrastructure project necessary to facilitate direct
intermodal interchange, transfer, or access into or out of the facility
and must significantly improve freight movement on the National Highway
Freight Network. For a freight project within the boundaries of a
freight rail, water (including ports), or intermodal facility, Federal
funds can only support project elements that provide public benefits.
ii. Eligible Project Costs
Eligible costs under the NSFHP program include development phase
activities, including planning, feasibility analysis, revenue
forecasting, environmental review, preliminary engineering and design
work, and other pre-construction activities, as well as construction,
reconstruction, rehabilitation, acquisition of real property,
environmental mitigation, construction contingencies, acquisition of
equipment, and operational improvements directly related to system
performance.
iii. Minimum Project Size Requirement
For the purposes of determining whether a project meets the minimum
project size requirement, the Department will count all future eligible
project costs under the award and some related costs incurred before
selection for an NSFHP grant. Previously incurred costs will be counted
toward the minimum project size requirement only if they were eligible
project costs under Section C.3.ii. and were expended as part of the
project for which the applicant seeks funds. Although those previously
incurred costs may be used for meeting the minimum project size
thresholds described in this Section, they cannot be reimbursed with
NSFHP grant funds, nor will the count toward the project's required
non-Federal share.
a. Large Projects
The minimum project size for large projects is the lesser of $100
million; 30 percent of a State's FY 2015 Federal-aid apportionment if
the project is located in one State; or 50 percent of the larger
participating State's FY 2015 apportionment for projects located in
more than one State. The following chart identifies the minimum total
project cost for projects for FY 2016 for both single and multi-State
projects.
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One-State Multi-State
State \4\ minimum minimum*
(millions) (millions)
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Alabama....................................... $100 $100
Alaska........................................ 100 100
Arizona....................................... 100 100
[[Page 10958]]
Arkansas...................................... $100 $100
California.................................... 100 100
Colorado...................................... 100 100
Connecticut................................... 100 100
Delaware...................................... 49 82
Dist. of Col.................................. 46 77
Florida....................................... 100 100
Georgia....................................... 100 100
Hawaii........................................ 49 82
Idaho......................................... 83 100
Illinois...................................... 100 100
Indiana....................................... 100 100
Iowa.......................................... 100 100
Kansas........................................ 100 100
Kentucky...................................... 100 100
Louisiana..................................... 100 100
Maine......................................... 53 89
Maryland...................................... 100 100
Massachusetts................................. 100 100
Michigan...................................... 100 100
Minnesota..................................... 100 100
Mississippi................................... 100 100
Missouri...................................... 100 100
Montana....................................... 100 100
Nebraska...................................... 84 100
Nevada........................................ 100 100
New Hampshire................................. 48 80
New Jersey.................................... 100 100
New Mexico.................................... 100 100
New York...................................... 100 100
North Carolina................................ 100 100
North Dakota.................................. 72 100
Ohio.......................................... 100 100
Oklahoma...................................... 100 100
Oregon........................................ 100 100
Pennsylvania.................................. 100 100
Rhode Island.................................. 63 100
South Carolina................................ 100 100
South Dakota.................................. 82 100
Tennessee..................................... 100 100
Texas......................................... 100 100
Utah.......................................... 100 100
Vermont....................................... 59 98
Virginia...................................... 100 100
Washington.................................... 100 100
West Virginia................................. 100 100
Wisconsin..................................... 100 100
Wyoming....................................... 74 100
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* For multi-State projects, the minimum project size is largest of the
multi-State minimums from the participating States.
b. Small Projects
A small project is an eligible project that does not meet the
minimum project size described in Section C.3.iii.a.
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\4\ For purposes of determine total project cost threshold,
funds allocated to Puerto Rico will be treated as fund apportioned
to a State. Project cost threshold for Puerto Rico will be based on
30 percent of funds allocated in FY 2015.
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iv. Rural/Urban Area
The NSFHP statute defines a rural area as an area outside an
Urbanized Area \5\ with a population of over 200,000. In this notice,
urban area is defined as inside an Urbanized Area, as a designated by
the U.S. Census Bureau, with a population of 200,000 or more.\6\ Cost
share requirements and minimum grant awards are the same for projects
located in rural and urban areas. The Department will consider a
project to be in a rural area if the majority of the project
(determined by geographic location(s) where the majority of the money
is to be spent) is located in a rural area. Rural and urban definitions
differ in some other DOT programs, including TIFIA and the FY 2016
TIGER Discretionary Grants Program.
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\5\ For Census 2010, the Census Bureau defined an Urbanized Area
(UA) as an area that consists of densely settled territory that
contains 50,000 or more people. Updated lists of UAs are available
on the Census Bureau Web site at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/. For the purposes of the NSFHP program,
Urbanized Areas with populations fewer than 200,000 will be
considered rural.
\6\ See www.transportation.gov/FASTLANEgrants for a list of
Urbanized Areas with a population of 200,000 or more.
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v. Application Limit
To encourage applicants to prioritize their NSFHP submissions, each
eligible applicant may submit no more than three applications. The
three-application limit applies only to applications where the
applicant is the lead applicant. There is no limit on applications for
which an applicant can be listed as a partnering agency. If a lead
applicant submits more than three applications as the lead applicant,
only the first three received will be considered. The NSFHP and the FY
2016 TIGER Discretionary Grant programs have independent application
limits. Applicants applying to both the NSFHP and the FY 2016 TIGER
Discretionary Grants program may apply for the same project to both
programs (noted in each application), but must timely submit separate
applications that independently address how the project satisfies
applicable selection criteria for the relevant grant program. Although
a project may be eligible for award under both programs, the same
application is unlikely to be responsive to both programs' notices of
funding opportunity because the purposes and selection criteria of the
programs differ.
vi. Project Components
An application may describe a project that contains more than one
component, and may describe components that may be carried out by
parties other than the applicant. Applicants should clearly identify
all highway, bridge, and freight related components comprising the
total project. DOT may award funds for a component, instead of the
larger project, if that component (1) independently meets minimum award
amounts described in Section B and all eligibility requirements
described in Section C; (2) independently aligns well with the
selection criteria specified in Section E; and (3) meets National
Environmental Policy Act (NEPA) requirements with respect to
independent utility. Independent utility means that the component will
represent a transportation improvement that is usable and represents a
reasonable expenditure of DOT funds even if no other improvements are
made in the area, and will be ready for intended use upon completion of
that component's construction. All project components that are
presented together in a single application must demonstrate a
relationship or connection between them. (See Section D.2.f. for
Required Approvals).
Applicants should be aware that, depending upon the relationship
between project components and upon applicable Federal law, DOT funding
of only some project components may make other project components
subject to Federal requirements as described in Section F.2.
DOT strongly encourages applicants to identify in their
applications the project components that have independent utility and
separately detail costs and requested NSFHP funding for each component.
If the application identifies one or more independent project
components, the application should clearly identify how each
independent component addresses selection criteria and produces
benefits on its own, in addition to describing how the full proposal of
which the independent component is a part addresses selection criteria.
D. Application and Submission Information
1. Address
Applications must be submitted through www.Grants.gov. Instructions
for submitting applications can be found at www.transportation.gov/FASTLANEgrants.
2. Content and Form of Application
The application must include the Standard Form 424 (Application for
Federal Assistance), Standard Form 424C (Budget Information for
Construction Programs), cover page, and the Project Narrative. More
detailed information about the cover page and Project Narrative
follows.
i. Cover Page Including the Following Chart:
[[Page 10959]]
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Project Name.................
Previously Incurred Project $.
Cost.
Future Eligible Project Cost. $.
Total Project Cost........... $.
NSFHP Request................ $.
Total Federal Funding $.
(including NSFHP).
Are matching funds restricted Yes/no.
to a specific project
component? If so, which one?.
Is the project or a portion Yes/no.
of the project currently
located on National Highway
Freight Network.
Is the project or a portion Yes/no (for each question).
of the project located on
the National Highway System.
Does the project add
capacity to the Interstate
system?.
Is the project in a
national scenic area?.
Do the project components Yes/no.
include a railway-highway
grade crossing or grade
separation project?
Do the project components Yes/no.
include an intermodal or
freight rail project, or
freight project within the
boundaries of a public or
private freight rail, water
(including ports), or
intermodal facility?
If answered yes to either of
the two component questions
above, how much of requested
NSFHP funds will be spent on
each of these projects
components?
State(s) in which project is
located.
Small or large project....... Small/Large.
Also submitting an Yes/no.
application to TIGER for
this project?.
Urbanized Area in which
project is located, if
applicable.
Population of Urbanized Area.
Is the project currently Yes/no (please specify in which plans the
programmed in the:. project is currently programmed).
TIP.................
STIP................
MPO Long Range
Transportation Plan.
State Long Range
Transportation Plan.
State Freight
Plan?
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ii. Project Narrative
The application must include information required for DOT to
determine that the project satisfies project requirements described in
Sections B and C and to assess the selection criteria specified in
Section E.1. To the extent practicable, applicants should provide data
and evidence of project merits in a form that is verifiable or publicly
available. DOT may ask any applicant to supplement data in its
application, but expects applications to be complete upon submission.
DOT recommends that the project narrative adhere to the following
basic outline to clearly address the program requirements and make
critical information readily apparent. In addition to a detailed
statement of work, detailed project schedule, and detailed project
budget, the project narrative should include a table of contents, maps,
and graphics, as appropriate to make the information easier to review.
DOT recommends that the project narrative be prepared with standard
formatting preferences (i.e., a single-spaced document, using a
standard 12-point font such as Times New Roman, with 1-inch margins.)
The project narrative may not exceed 25 pages in length, excluding
cover pages and table of contents. The only substantive portion that
may exceed the 25-page limit are supporting documents to support
assertions or conclusions made in the 25-page project narrative. If
possible, Web site links to supporting documentation should be provided
rather than copies of these supporting materials. If supporting
documents are submitted, applicants must clearly identify within the
project narrative the relevant portion of the project narrative that
each supporting document supports. At the applicant's discretion,
relevant materials provided previously to a modal administration in
support of a different DOT financial assistance program may be
referenced and described as unchanged. DOT recommends using
appropriately descriptive final names (e.g., ``Project Narrative,''
``Maps,'' ``Memoranda of Understanding and Letters of Support,'' etc.)
for all attachments. DOT recommends applications include the following
sections:
a. Project Description including a description project size
including previously incurred expenses to show the project meets
minimum project size requirements, a description of what requested
NSFHP and matching funds will support, how the project is nationally or
regionally significant, information on the expected users of the
project, a description of the transportation challenges the project
aims to address, and how the project will address these challenges. The
description should include relevant data for before and after the
project is built, such as passenger and freight volumes, congestion
levels, infrastructure condition, and safety experience, including
citations for data sources. Examples of potentially relevant data can
be found at www.transportation.gov/FASTLANEgrants, but DOT encourages
applicants to identify the most relevant information for their project.
b. Project Location including a detailed description of the
proposed project and geospatial data for the project, as well as a map
of the project's location and its connections to existing
transportation infrastructure. If the project is located within the
boundary of a Census- designated Urbanized Area, the application must
identify the Urbanized Area.
c. Project Parties including information about the grant recipient
and other affected public and private parties who are involved in
delivering the project, such as ports, terminal operators, freight
railroads, shippers, carriers, freight-related associations, third-
party logistics providers, and the freight industry workforce.
d. Grant Funds, Sources and Uses of Project Funds including
information to demonstrate the viability and completeness of the
project's financing package, assuming the availability of the requested
NSFHP grant funds. The applicant should show evidence of stable and
reliable capital and (as appropriate) operating fund commitments
sufficient to cover estimated costs; the availability of contingency
reserves should planned capital or operating revenue sources not
materialize; evidence of the financial condition of the project
sponsor; and evidence of the grant recipient's ability to manage
grants. At a minimum, applicants must include:
[[Page 10960]]
(i) Future eligible cost, as defined in Section C.3.ii-iii.
(ii) Availability and commitment of all committed and expected
funding sources and uses of all project funds for future eligible
project costs, including the identity of all parties providing funds
for the project and their percentage shares; any restrictions attached
to specific funds; compliance or a schedule for compliance with all
conditions applicable to each funding source, and, to the extent
possible, funding commitment letters from non-Federal sources.
(iii) Federal funds already provided and the size, nature, and
source of the required match for those funds, as well as pending or
past Federal funding requests for the project. This information should
demonstrate that the requested NSFHP funds do not exceed 60 percent of
future eligible project costs and that total Federal funding will not
exceed 80 percent of future eligible project costs. This information
should also show that local share for the NSFHP grant is not counted as
the matching requirement for another Federal program.
(iv) A detailed project budget containing a breakdown of how the
funds will be spent. That budget should estimate--both dollar amount
and percentage of cost--the cost of work for each project component. If
the project will be completed in individual segments or phases, a
budget for each individual segment or phase should be included. Budget
spending categories should be broken down between NSFHP, other Federal,
and non-Federal sources, and this breakdown should also identify how
each funding source will share in each activity.
(v) Amount of requested NSFHP funds that will be spent on highway,
bridge, freight intermodal or freight rail, port, grade crossing or
grades separation project components.
e. Cost-Effectiveness analysis should demonstrate that the project
is likely to deliver its anticipated benefits at reasonable costs.
Applicants should delineate each of their project's expected outputs
and costs, preferably in the form of a complete Benefit-Cost Analysis
(BCA), to enable the Department to consider cost-effectiveness (small
projects) or determine whether the project is cost effective (for large
projects). The primary economic benefits from projects eligible for
NSFHP grants are likely to include time savings for passenger travel
and freight shipments, improvements in transportation safety (less
frequent accidents and the resulting reductions in fatalities,
injuries, and property damage), reduced damages from emissions of
greenhouse gases and criteria air pollutants, and savings in
maintenance costs to public agencies. Applicants are strongly
encouraged to submit a BCA in support of each project for which they
seek funding that quantifies each of these benefits, provides monetary
estimates of their economic value, and compares the properly-discounted
present values of these benefits to the project's estimated costs.
Where applicants cannot adequately monetize benefits, they are urged to
identify non-monetary measures for other categories of benefits
(examples below) to assist the Department in making cost-effectiveness
and other determinations about projects.
Many projects are likely to generate other categories of benefits
that are more difficult to quantify and value in economic terms, but
are nevertheless important considerations in determining whether a
proposed project is cost-effective. These may include impacts such as
improving the reliability of passenger travel times or freight
deliveries, reducing recurring delays at critical transportation
bottlenecks, improvements to the existing human and natural
environments surrounding the project, increased access and mobility,
benefits to safety and public health, stormwater runoff mitigation, and
noise reduction. Applicants should identify each category of impact or
benefits that is not already included in the estimated dollar value of
their project's benefits (as described above), and wherever possible
provide numerical estimates of the magnitude and timing of each of
these additional impacts.
For the purpose of evaluating cost-effectiveness, project costs
should include those for constructing, operating, and maintaining the
proposed project, including a detailed breakdown of those costs by
spending category, the expected timing or schedule for costs in each
category, and any contingency or other allowances for unanticipated
costs. Detailed guidance for estimating some types of quantitative
benefits and costs, together with recommended economic values for
converting them to dollar terms and discounting to their present values
are available in DOT's guidance for conducting BCAs for projects
seeking funding under the NSFHP program (see www.transportation.gov/FASTLANEgrants).
Applicants for freight projects within the boundaries of a freight
rail, water (including ports), or intermodal facility should also
quantify the benefits of their proposed projects for freight movements
on the National Highway Freight Network, and should demonstrate that
the Federal share of the project funds only elements of the project
that provide public benefits.
f. Project Readiness including information to demonstrate that the
project is reasonably expected to begin construction in a timely
manner. For a large project, the Department cannot award a project that
is not reasonably expected to begin construction within 18 months of
obligation of funds for the project. The Department will determine that
large projects with a construction start date beyond September 30, 2019
are not reasonably expected to begin construction within 18 months of
obligation. Obligation occurs when a selected applicant and DOT enter a
written project specific agreement and is generally after the applicant
has satisfied applicable administrative requirements, including
transportation planning and environmental review requirements.
Depending on the nature of pre-construction activities included in the
awarded project, the Department may obligate funds in phases.
Preliminary engineering and right-of-way acquisition activities,
such as environmental review, design work, and other preconstruction
activities, do not fulfill the requirement to begin construction within
18 months of obligation for large projects.
To assist the Department's project readiness determination, the
Department will consider information provided in this Section D.2.ii.d.
(Grant Funds, Sources and Uses of Project Funds) in addition to the
following information:
(i) Technical Feasibility. The technical feasibility of the project
should be demonstrated by engineering and design studies and
activities; the development of design criteria and/or a basis of
design; the basis for the cost estimate presented in the NSFHP
application, including the identification of contingency levels
appropriate to its level of design; and any scope, schedule, and budget
risk-mitigation measures. Applicants must include a detailed statement
of work that focuses on the technical and engineering aspects of the
project and describes in detail the project to be constructed.
(ii) Project Schedule. The applicant must include a detailed
project schedule that identifies all major project milestones. Examples
of such milestones include State and local planning approvals
(programming on the STIP), start and completion of NEPA and other
environmental reviews and approvals including permitting; design
completion; right of way acquisition;
[[Page 10961]]
approval of plan, specification and estimate (PS&E); procurement; State
and local approvals; project partnership and implementation agreements
including agreements with railroads; and construction. The project
schedule should be sufficiently detailed to demonstrate that:
(a) All necessary activities will be complete to allow grant funds
to be obligated sufficiently in advance of the statutory deadline, and
that any unexpected delays will not put the funds at risk of expiring
before they are obligated;
(b) the project can begin construction quickly upon receipt of a
NSFHP grant, and that the grant funds will be spent expeditiously once
construction starts; and
(c) all property and/or right-of-way acquisition will be completed
in a timely manner in accordance with 49 CFR part 24 and other legal
requirements or a statement that no acquisition is necessary.
(iii) Required Approvals
(a) Environmental Permits and Reviews: As noted in Section
D.2.ii.f.iii above, the application should demonstrate receipt (or
reasonably anticipated receipt) of all environmental approvals and
permits necessary for the project to proceed to construction on the
timeline specified in the project schedule and necessary to meet the
statutory obligation deadline, including satisfaction of all Federal,
State and local requirements and completion of the NEPA process.
Although Section C.3.vi (Project Components) of this notice encourages
applicants to identify independent project components, those components
may not be separable for the NEPA process. In such cases, the NEPA
review for the independent project component may have to include
evaluation of all project components as connected, similar, or
cumulative actions, as detailed at 40 CFR 1508.25. In addition, the
scope of the NEPA decision may affect the applicability of the Federal
requirements on the project described in the application. Specifically,
the application should include:
(1) Information about the NEPA status of the project. If the NEPA
process is completed, an applicant must indicate the date of, and
provide a Web site link or other reference to the final Categorical
Exclusion, Finding of No Significant Impact, Record of Decision, or any
other NEPA documents prepared. If the NEPA process is underway but not
complete, the application must detail the type of NEPA review underway,
where the project is in the process, and indicate the anticipated date
of completion of all milestones and of the final NEPA determination.
(2) Information on reviews, approvals, and permits by other
agencies. An application must indicate whether the proposed project
requires reviews or approval actions by other agencies,\7\ indicate the
status of such actions, and provide detailed information about the
status of those reviews or approvals and or demonstrate compliance with
any other applicable Federal, State, or local requirements. Applicants
should provide a Web site link or other reference to copies of any
reviews, approvals, and permits prepared.
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\7\ Projects that may impact protected resources such as
wetlands, species habitat, cultural or historic resources require
review and approval by Federal and State agencies with jurisdiction
over those resources.
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(3) Environmental studies or other documents--preferably through a
Web site link--that describe in detail known project impacts, and
possible mitigation for those impacts.
(4) A description of discussions with the appropriate DOT modal
administration field or headquarters office regarding compliance with
NEPA and other applicable environmental reviews and approvals.
(5) A description of public engagement to date about the project
including the degree to which public comments and commitments have been
integrated into project development and design.
b. State and Local Approvals. The applicant should demonstrate
receipt of State and local approvals on which the project depends, such
as local government funding commitments or TIF approval. Additional
support from relevant State and local officials is not required;
however, an applicant should demonstrate that the project is broadly
supported.
c. State and Local Planning. The planning requirements of the
operating administration administering the NSFHP project will apply,\8\
including intermodal projects located at airport facilities.\9\
Applicants should demonstrate that a project that is required to be
included in the relevant State, metropolitan, and local planning
documents has been or will be included. If the project is not included
in the relevant planning documents at the time the application is
submitted, the applicant should submit a statement from the appropriate
planning agency that actions are underway to include the project in the
relevant planning document. To the extent possible, freight projects
should be included in a State Freight Plan and supported by a State
Freight Advisory Committee (49 U.S.C. 70201, 70202).
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\8\ In accordance with 23 U.S.C. 134 and Sec. 135, all projects
requiring an action by the Federal Highway Administration (FHWA)
must be in the metropolitan transportation plan, transportation
improvement program (TIP) and statewide transportation improvement
program (STIP). Further, in air quality non-attainment and
maintenance areas, all regionally significant projects, regardless
of the funding source, must be included in the conforming
metropolitan transportation plan and TIP. To the extent a project is
required to be on a metropolitan transportation plan, TIP, and/or
STIP, it will not receive a NSFHP grant until it is included in such
plans. Projects not currently included in these plans can be amended
by the State and metropolitan planning organization (MPO). Projects
that are not required to be in long range transportation plans,
STIPs, and TIPs will not need to be included in such plans in order
to receive a NSFHP grant. Port, freight rail, and intermodal
projects are not required to be on the State Rail Plans called for
in the Passenger Rail Investment and Improvement Act of 2008.
However, applicants seeking funding for freight projects are
encouraged to demonstrate that they have done sufficient planning to
ensure that projects fit into a prioritized list of capital needs
and are consistent with long-range goals. Means of demonstrating
this consistency would to include the projects in TIPs or a State
Freight Plan that conforms to the requirements Section 70202 of
Title 49 prior to the start of construction. Port planning
guidelines are available at StrongPorts.gov.
\9\ Projects at grant obligated airports, must be compatible
with the FAA-approved Airport Layout Plan (ALP), as well as
aeronautical surfaces associated with the landing and takeoff of
aircraft at the airport. Additionally, projects at an airport: Must
comply with established Sponsor Grant Assurances, including (but not
limited to) requirements for non-exclusive use facilities,
consultation with users, consistency with local plans including
development of the area surrounding the airport, and consideration
of the interest of nearby communities, among others; and must not
adversely affect the continued and unhindered access of passengers
to the terminal.
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Because projects have different schedules, the construction start
date for each NSFHP grant will be specified in the project-specific
agreements signed by relevant modal administration and the grant
recipients and will be based on critical path items identified by
applicants in response to items (iv)(a) through (c) above, and be
consistent with other relevant State or local plan, including bicycle
and pedestrian plans, economic development plans, local land-use plans,
and water and coastal zone management plans.
(iv) Assessment of Project Risks and Mitigation Strategies. Project
risks, such as procurement delays, environmental uncertainties,
increases in real estate acquisition costs, uncommitted local match, or
lack of legislative approval, affect the likelihood of successful
project start and completion. The applicant should identify the
material risks to the project and the strategies that the lead
applicant and any project partners have undertaken or will undertake in
order to mitigate those risks. Information provided in response
[[Page 10962]]
to Section D.2.ii.f.i-iv above should be referenced in developing this
assessment. The applicant should assess the greatest risks to the
project and identify how the project parties will mitigate those risks.
DOT will consider projects that contain risks, but expects the
applicant to clearly and directly describe achievable mitigation
strategies.
The applicant, to the extent they are unfamiliar with the Federal
program, should contact DOT modal field or headquarters offices as
found at www.transportation.gov/FASTLANEgrants for information on what
steps are pre-requisite to the obligation of Federal funds in order to
ensure that their project schedule is reasonable and that there are no
risks of delays in satisfying Federal requirements.
3. Unique Entity Identifier and System for Award Management (SAM)
Each applicant must: (1) Be registered in SAM before submitting its
application; (2) provide a valid unique entity identifier in its
application; and (3) continue to maintain an active SAM registration
with current information at all times during which it has an active
Federal award or an application or plan under consideration by a
Federal awarding agency. DOT may not make an NSFHP grant to an
applicant until the applicant has complied with all applicable unique
entity identifier and SAM requirements and, if an applicant has not
fully complied with the requirements by the time DOT is ready to make
an NSFHP grant, DOT may determine that the applicant is not qualified
to receive an NSFHP grant and use that determination as a basis for
making an NSFHP grant to another applicant.
4. Submission Dates and Timelines
i. Deadline
Applications must be submitted by 8:00 p.m. EDT April 14, 2016. The
Grants.gov ``Apply'' function will open by March 15, 2016. The
Department has determined that an application deadline fewer than 60
days after this notice is published is appropriate because the
accelerated timeline is necessary to satisfy the statutory 60-day
Congressional notification requirement, as well as to ensure the timely
obligation of available funds.
To submit an application through Grants.gov, applicants must:
a. Obtain a Data Universal Numbering System (DUNS) number:
b. Register with the System Award for Management (SAM) at
www.sam.gov;
c. Create a Grants.gov username and password; and
d. The E-business Point of Contact (POC) at the applicant's
organization must respond to the registration email from Grants.gov and
login at Grants.gov to authorize the POC as an Authorized Organization
Representative (AOR).
Please note that there can only be one AOR per organization.
Please note that the Grants.gov registration process usually takes
2-4 weeks to complete and 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. For information and instruction
on each of these processes, please see instructions at http://www.grants.gov/web/grants/applicants/applicant-faqs.html. If interested
parties experience difficulties at any point during the registration or
application process, please call the Grants.gov Customer Service
Support Hotline at 1(800) 518-4726, Monday-Friday from 7:00 a.m. to
9:00 p.m. EDT.
ii. Consideration of Application
Only applicants who comply with all submission deadlines described
in this notice and submit applications through Grants.gov will be
eligible for award. Applicants are strongly encouraged to make
submissions in advance of the deadline.
Applicants interested in applying are encouraged to email
FASTLANEgrants@dot.gov no later than March 25, 2016 with applicant
name, State in which project is located, approximate total project
cost, and amount of the NSFHP grant request, and a 2-3 sentence project
description. DOT seeks this early notification of interest to inform
the Department's allocation of resources for application evaluations
and to facilitate timely and efficient awards.
iii. Late Applications
Applications received after the deadline will not be considered
except in the case of unforeseen technical difficulties outlined in
Section 4.iv.
iv. Late Application Policy
Applicants experiencing technical issues with Grants.gov that are
beyond the applicant's control must contact FASTLANEgrants@dot.gov
prior to the application deadline with the user name of the registrant
and details of the technical issue experienced. The applicant must
provide:
a. Details of the technical issue experienced
b. Screen capture(s) of the technical issues experienced along with
corresponding Grants.gov ``Grant tracking number''
c. The ``Legal Business Name'' for the applicant that was provided in
the SF-424
d. The AOR name submitted in the SF-424
e. The DUNS number associated with the application
f. The Grants.gov Help Desk Tracking Number
To ensure a fair competition of limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(1) Failure to complete the registration process before the deadline;
(2) failure to follow Grants.gov instructions on how to register and
apply as posted on its Web site; (3) failure to follow all of the
instructions in this notice of funding opportunity; and (4) technical
issues experienced with the applicant's computer or information
technology environment. After DOT staff review all information
submitted and contact the Grants.gov Help Desk to validate reported
technical issues, DOT staff will contact late applicants to approve or
deny a request to submit a late application through Grants.gov. If the
reported technical issues cannot be validated, late applications will
be rejected as untimely.
E. Application Review Information
1. Criteria
For a small project to be selected, the Department will evaluate
the cost effectiveness of the proposed project and the effect of the
proposed project on mobility in the State and region in which the
project is carried out.
For a large project to be selected, the Department will determine
that the project generates national or regional economic, mobility, or
safety benefits; is cost-effective; contributes to one or more of the
goals described in 23 U.S.C. 150; is based on the results of
preliminary engineering; has one or more stable and dependable funding
or financing sources to construct, maintain, and operate and
contingency amounts to cover unanticipated cost increases; cannot be
easily and efficiently completed without other Federal funding or
financial assistance; and is reasonably expected to begin construction
no later than 18 months after the date of obligation.
i. Merit Criteria
For both large and small projects, the Department will consider the
extent to which the project addresses the following criteria:
a. Economic Outcomes
Improving the efficiency and reliability of the surface
transportation
[[Page 10963]]
system at the regional or national level to increase the global
economic competitiveness of the United States, including improving
connectivity between freight modes of transportation, improving
roadways vital to national energy security, facilitating freight
movement across land border crossings, and addressing the impact of
population growth on the movement of people and freight.
b. Mobility Outcomes
Improving the movement of people and goods by maintaining highways,
bridges, and freight infrastructure in a state of good repair,
enhancing the resiliency of critical surface transportation
infrastructure, and significantly reducing highway congestion and
bottlenecks.
c. Safety Outcomes
Achieving a significant reduction in traffic fatalities and serious
injuries on the surface transportation system, as well as improving
interactions between roadway users, reducing the likelihood of
derailments or high consequence events, and improving safety in
transporting certain types of commodities.
d. Community and Environmental Outcomes
How and whether the project mitigates harm to communities and the
environment, extends benefits to the human and natural environment, or
enhances personal mobility and accessibility. This includes reducing
the negative effects of existing infrastructure, removing barriers,
avoiding harm to the human and natural environment, and using design
improvements to enhance access (where appropriate) and environmental
quality for affected communities. Projects should also reflect
meaningful community input provided during project development.
ii. Other Review Criteria
a. Partnership and Innovation
Demonstrating strong collaboration among a broad range of
stakeholders or using innovative strategies to pursue primary outcomes
listed above including efforts to reduce accelerate delivery delays.
Additional consideration will be given for the use of innovative and
flexible designs and construction techniques or innovative
technologies.
b. Cost Share
NSFHP grants must have one or more stable and dependable sources of
funding and financing to construct, maintain, and operate the project,
subject to the parameters in Section C.2. Applicants should provide
sufficient information to demonstrate that the project cannot be easily
and efficiently completed without other Federal funding or financial
assistance available to the project sponsor. Additional consideration
will be given to the use of nontraditional financing, as well as the
use of non-Federal contributions. The Department may consider the form
of cost sharing presented in an application. Firm commitments of cash
that indicate a complete project funding package and demonstrate local
support for the project are more competitive than other forms of cost
sharing.
2. Review and Selection Process
i. DOT Review
DOT will review all eligible applications received before the
application deadline. The NSFHP process consists of a Technical
Evaluation phase and Senior Review. In the Technical Evaluation phase,
teams will, for each project determine whether the project satisfies
statutory requirements and rate how well it addresses selection
criteria. The Senior Review Team will consider the applications and the
technical evaluations to determine which projects to advance to the
Secretary for consideration. Evaluations in both the Technical
Evaluation and Senior Review Team phases will place projects into
rating categories, not assign numerical scores. The Secretary will
select the projects for award. A Control and Calibration Team will
ensure consistency across project evaluations and appropriate
documentation throughout the review and selection process. The FAST Act
requires Congressional notification, in writing, at least 60 days
before making a NSFHP grant.
3. Additional Information
Prior to award, each selected applicant will be subject to a risk
assessment required by 2 CFR 200.205. The Department must review and
consider any information about the applicant that is in the designated
integrity and performance system accessible through SAM (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)).
An applicant may review information in FAPIIS and comment on any
information about itself. The Department will consider comments by the
applicant in addition to the other information in FAPIIS, 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.
F. Federal Award Administration Information
1. Federal Award Notices
Following the evaluation outlined in Section E, the Secretary will
announce awarded projects by posting a list of selected projects at
www.transportation.gov/FASTLANEgrants. Following the announcement, the
Department will contact the point of contact listed in the SF 424 to
initiate negotiation of a project specific agreement.
2. Administrative and National Policy Requirements
All awards will be administered pursuant to the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards found in 2 CFR part 200, as adopted by DOT at 2 CFR part
1201. Additionally, applicable Federal laws, rules and regulations of
the relevant modal administration administering the project will apply
to the projects that receive NSFHP grants, including planning
requirements, Stakeholder Agreements, Buy America compliance, and other
requirements under DOT's other highway, transit, rail, and port grant
programs. A project carried out under this NSFHP program will be
treated as if the project is located on a Federal-aid highway. For an
illustrative list of the applicable laws, rules, regulations, executive
orders, policies, guidelines, and requirements as they relate to an
NSFHP, please see http://www.ops.fhwa.dot.gov/freight/infrastructure/nsfhp/fy2016_gr_exhbt_c/index.htm.
3. Reporting
i. Progress Reporting on Grant Activity
Each applicant selected for an NSFHP grant must submit the Federal
Financial Report (SF-425) on the financial condition of the project and
the project's progress, as well as an Annual Budget Review and Program
Plan to monitor the use of Federal funds and ensure accountability and
financial transparency in the NSFHP program.
ii. Reporting of Matters Related to Integrity and Performance
If the total value of a selected applicant's currently active
grants, cooperative agreements, and procurement contracts from all
Federal awarding agencies exceeds $10,000,000 for any period of time
during the period of performance of this Federal award, then the
applicant during that period of
[[Page 10964]]
time must maintain the currency of information reported to the System
for Award Management (SAM) that is made available in the designated
integrity and performance system (currently the Federal Awardee
Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of
this award term and condition. This is a statutory requirement under
section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As
required by section 3010 of Public Law 111-212, all information posted
in the designated integrity and performance system on or after April
15, 2011, except past performance reviews required for Federal
procurement contracts, will be publicly available.
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
Office of the Secretary via email at FASTLANEgrants@dot.gov. For more
information about highway projects, please contact Crystal Jones at
(202) 366-2976. For more information about maritime projects, please
contact Robert Bouchard at (202) 366-5076. For more information about
rail projects, please contact Scott Greene at (202) 493-6408. For all
other questions, please contact Howard Hill at (202) 366-0301. A TDD is
available for individuals who are deaf or hard of hearing at 202-366-
3993. In addition, up to the application deadline, DOT will post
answers to common questions and requests for clarifications on DOT's
Web site at www.transportation.gov/FASTLANEgrants. To ensure applicants
receive accurate information about eligibility or the program, the
applicant is encouraged to contact DOT directly, rather than through
intermediaries or third parties, with questions.
H. Other Information
1. Public Comment
The FAST Act authorized the NSFHP program through FY 2020. This
notice solicits applications for FY 2016 only. Because this is the
first year implementing the NSFHP program, the Department invites
interested parties to submit comments about this notice's contents, the
Department's implementation choices within the legal bounds of the
program, as well as suggestions for clarification in future NSFHP
rounds. The Department seeks input on whether the information requested
in applications is reasonable and clear, additional merit criteria
should be considered, additional public engagement is necessary for
specific stakeholder groups, and the program sufficiently targets
nationally or regionally significant projects. The Department may
consider the submitted comments and suggestions when developing
subsequent NSFHP notices and program guidance, but submitted comments
will not affect the program's evaluation and selection process for FY
2016 awards. Applications or comments about specific projects should
not be submitted to the docket. Any application submitted to the
document will not be reviewed. Comments should be sent to DOT-OST-2016-
0022 by June 1, 2016, but, to the extent practicable, the Department
will consider late-filed comments.
2. Protection of Confidential Business Information
All information submitted as part of or in support of any
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the application includes
information the applicant considers to be a trade secret or
confidential commercial or financial information, the applicant should
do the following: (1) Note on the front cover that the submission
``Contains Confidential Business Information (CBI)''; (2) mark each
affected page ``CBI''; and (3) highlight or otherwise denote the CBI
portions. DOT protects such information from disclosure to the extent
allowed under applicable law. In the event DOT receives a Freedom of
Information Act (FOIA) request for the information, DOT will follow the
procedures described in its FOIA regulations at 49 CFR 7.17. Only
information that is ultimately determined to be confidential under that
procedure will be exempt from disclosure under FOIA.
Anthony R. Foxx,
Secretary.
[FR Doc. 2016-04610 Filed 3-1-16; 8:45 am]
BILLING CODE 4910-9X-P