Notice of Funding Opportunity for the Department of Transportation's Nationally Significant Freight and Highway Projects (INFRA Grants) for Fiscal Year 2019 |
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Elaine L. Chao
U.S. Department of Transportation
21 December 2018
[Federal Register Volume 83, Number 245 (Friday, December 21, 2018)]
[Notices]
[Pages 65789-65802]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-27695]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
Notice of Funding Opportunity for the Department of
Transportation's Nationally Significant Freight and Highway Projects
(INFRA Grants) for Fiscal Year 2019
AGENCY: Office of the Secretary of Transportation, U.S. Department of
Transportation.
ACTION: Notice of funding opportunity.
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Infrastructure for Rebuilding America (INFRA) Program
FY 2019 Notice of Funding Opportunity
SUMMARY: The Nationally Significant Freight and Highway Projects
(INFRA) program provides Federal financial assistance to highway and
freight
[[Page 65790]]
projects of national or regional significance. This notice solicits
applications for awards under the program's fiscal year (FY) 2019
funding, subject to the availability of appropriated funds.
DATES: Applications must be submitted by 8:00 p.m. EST March 4, 2019.
The Grants.gov ``Apply'' function will open by January 7, 2019.
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 regarding this
notice, please contact the Office of the Secretary via email at
INFRAgrants@dot.gov, or call Paul Baumer at (202) 366-1092. A TDD is
available for individuals who are deaf or hard of hearing at 202-366-
3993. In addition, up to the application deadline, the Department will
post answers to common questions and requests for clarifications on
USDOT's website at https://www.transportation.gov/buildamerica/INFRAgrants.
SUPPLEMENTARY INFORMATION: The organization of this notice is based on
an outline set in 2 CFR part 200 to ensure consistency across Federal
financial assistance programs. However, that format is designed for
locating specific information, not for linear reading. For readers
seeking to familiarize themselves with the INFRA program, the
Department encourages them to begin with Section A (Program
Description), which describes the Department's goals for the INFRA
program and purpose in making awards, and Section E (Application Review
Information), which describes how the Department will select among
eligible applications. Those two sections will provide appropriate
context for the remainder of the notice: Section B (Federal Award
Information) describes information about the size and nature of awards;
Section C (Eligibility Information) describes eligibility requirements
for applicants and projects; Section D (Application and Submission
Information) describes in detail how to apply for an award; Section F
(Federal Award Administration Information) describes administrative
requirements that will accompany awards; and Sections G (Federal
Awarding Agency Contacts) and H (Other Information) provide additional
administrative information.
Table of Contents
A. Program Description
1. Overview
2. Key Program Objectives
3. Changes From the FY 2017-2018 NOFO
B. Federal Award Information
1. Amount Available
2. Restrictions on Award Portfolio
C. Eligibility Information
1. Eligible Applicants
2. Cost Sharing or Matching
3. Other
D. Application and Submission Information
1. Address
2. Content and Form of Application
3. Unique Entity Identifier and System for Award Management
(SAM)
4. Submission Dates and Timelines
E. Application Review Information
1. Criteria
2. Review and Selection Process
3. Additional Information
F. Federal Award Administration Information
1. Federal Award Notices
2. Administrative and National Policy Requirements
3. Reporting
G. Federal Awarding Agency Contacts
H. Other Information
1. Protection of Confidential Business Information
2. Publication of Application Information
A. Program Description
1. Overview
The INFRA program provides Federal financial assistance to highway
and freight projects of national or regional significance. To maximize
the value of FY 2019 INFRA funds for all Americans, the Department is
focusing the competition on transportation infrastructure projects that
support four key objectives, each of which is discussed in greater
detail in section A.2:
(1) Supporting economic vitality at the national and regional
level;
(2) Leveraging Federal funding to attract non-Federal sources of
infrastructure investment;
(3) Deploying innovative technology, encouraging innovative
approaches to project delivery, and incentivizing the use of innovative
financing; and
(4) Holding grant recipients accountable for their performance.
This notice's focus on the four key objectives does not supplant
the Department's focus on safety as our top priority. The Department is
committed to reducing fatalities and serious injuries on the surface
transportation system. To reinforce the Department's safety priority,
the USDOT will require projects that receive INFRA awards to consider
and effectively respond to data-driven transportation safety concerns.
Section F.2.a describes related requirements that the Department will
impose on each INFRA project. These requirements focus on performing
detailed, data-driven safety analyses and incorporating project
elements that respond to State-specific safety priority areas.
2. Key Program Objectives
This section of the notice describes the four key program
objectives that the Department intends to advance with FY 2019 INFRA
funds. These four objectives are reflected in later portions of the
notice, including section E.1, which describes how the Department will
evaluate applications to advance these objectives, and section D.2.b,
which describes how applicants should address the four objectives in
their applications.
a. Key Program Objective #1: Supporting Economic Vitality
A strong transportation network is critical to the functioning and
growth of the American economy. The nation's industry depends on the
transportation network not only to move the goods that it produces, but
also to facilitate the movements of the workers who are responsible for
that production. When the nation's highways, railways, and ports
function well, that infrastructure connects people to jobs, increases
the efficiency of delivering goods and thereby cuts the costs of doing
business, reduces the burden of commuting, and improves overall well-
being. When the transportation network fails--whether due to increasing
bottlenecks, growing connectivity gaps, or unsafe, crumbling
conditions--our economy suffers. Projects that address congestion in
our major urban areas, particularly those that do so through the use of
congestion pricing or the deployment of advanced technology, projects
that bridge gaps in service in our rural areas, and projects that
attract private economic development, all have the potential to support
national or regional economic vitality. Therefore, USDOT seeks
applications for these types of infrastructure projects under the INFRA
program.
b. Key Program Objective #2: Leveraging of Federal Funding
The Department is committed to supporting the President's call for
more infrastructure investment. That goal will not be achieved through
Federal investment alone, but rather requires States, local
governments, and the private sector to maximize their own
contributions.
To increase the leveraging of Federal funding, the INFRA program
will give priority consideration to projects that
[[Page 65791]]
use all available non-Federal resources for development, construction,
operations, and maintenance. As described further in section E.1.a
(Criterion #2), the Department will also consider the level at which
these resources are in fact available, particularly for rural areas.
These projects include projects that maximize State, local, and private
sector funding, projects that raise revenue directly, and projects that
pair INFRA grants with broader-scale innovative financing, including
Federal credit assistance such as Transportation Infrastructure Finance
and Innovation Act (TIFIA) and Railroad Rehabilitation Improvement
Financing (RRIF) loans.
By emphasizing leveraging of Federal funding, the Department
expects to expand the total resources being used to build and restore
infrastructure, rather than have Federal dollars merely displace or
substitute for State, local, and private funds.
c. Key Program Objective #3: Innovation
The Department seeks to use the INFRA program to encourage
innovation in three areas: (1) The deployment of innovative technology
and expanded access to broadband; (2) use of innovative permitting,
contracting, and other project delivery practices; and (3) innovative
financing. This objective supports the Department's strategic goal of
innovation, with the potential for significantly enhancing the safety,
efficiency, and performance of the transportation network. DOT
anticipates INFRA projects will support the integration of new
technology and facilitate increased public and private sector
collaboration. In section E.1.c (Criterion #3), the Department provides
many examples of innovative technologies, practices, and financing. It
encourages applicants to identify those that are suitable for their
projects and local constraints.
d. Key Program Objective #4: Performance and Accountability
The Department seeks to increase project sponsor accountability and
performance by evaluating each INFRA applicant's plans to address the
full lifecycle costs of their project and willingness to condition
award funding on achieving specific Departmental goals.
To maximize public benefits from INFRA funds and promote local
activity that will provide benefits beyond the INFRA-funded projects,
the Department seeks projects that allow it to condition funding on
specific, measurable outcomes. For appropriate projects, the Department
may use one or more of the following types of events to trigger
availability of some or all INFRA funds: (1) Reaching construction and
project completion in a timely manner; (2) achieving transportation
performance objectives that support economic vitality or improve
safety; and (3) making specific State or local policy changes that
facilitate interstate commerce.
The Department does not intend to impose these conditions on
unwilling or uninterested INFRA recipients, nor does it intend to limit
the types of projects that should consider accountability mechanisms.
Instead, in section E.1.d (Criterion #4), the Department provides a
framework for accountability measures and encourages applicants to
voluntarily identify those that are most appropriate for their projects
and local constraints.
3. Changes From the FY 2017-2019 NOFO
The FY 2019 INFRA Notice includes changes to multiple selection
criteria, including criterion #2, criterion #3, and criterion #4.
Applicants who are planning to re-apply using materials prepared for
prior competitions should ensure that their FY 2019 application fully
addresses the criteria and considerations described in this Notice and
that all relevant information is up to date.
B. Federal Award Information
1. Amount Available
The FAST Act authorizes the INFRA program at $4.5 billion for
fiscal years (FY) 2016 through 2020, including $950 million\1\ for FY
2019, to be awarded by USDOT on a competitive basis to projects of
national or regional significance that meet statutory requirements.
This notice solicits applications for the $855-902.5 million in FY 2019
INFRA funds that the Department anticipates will be available for
awards. The estimate may be higher or lower than the final amount,
which is dependent on fiscal year 2019 appropriations, which have yet
to be enacted. Any award under this notice will be subject to the
availability of appropriated funds.
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\1\ 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 $950 million is authorized for FY 2019, the Department
anticipates between $855 and $902.5 million available for award. The
number will be finalized following enactment of full year FY 19
Appropriations. 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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2. Restrictions on Award Portfolio
The Department will make awards under the INFRA program to both
large and small projects (refer to section C.3.ii.for a definition of
large and small projects). For a large project, the FAST Act specifies
that an INFRA grant must be at least $25 million. For a small project,
including both construction awards and project development awards, the
grant must be at least $5 million. For each fiscal year of INFRA funds,
10 percent of available funds are reserved for small projects, and 90
percent of funds are reserved for large projects.
The FAST Act specifies that not more than $500 million in aggregate
of the $4.5 billion authorized for INFRA 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. After accounting for FY 2016-2018 INFRA selections,
approximately $200 million within this constraint remains available.
Only the non-highway portion(s) of multimodal projects count toward
this limit. Grade crossing and grade separation projects do not count
toward the limit for freight rail, port, and intermodal projects.
The FAST Act directs that at least 25 percent of the funds provided
for INFRA grants must be used for projects located in rural areas, as
defined in Section C.3.iv. The Department may elect to go above that
threshold. The USDOT must consider geographic diversity among grant
recipients, including the need for a balance in addressing the needs of
urban and rural areas.
C. Eligibility Information
To be selected for an INFRA 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 INFRA 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;
[[Page 65792]]
(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
should identify a lead applicant as the primary point of contact. Joint
applications should include a description of the roles and
responsibilities of each applicant and should be signed by each
applicant. The applicant that will be responsible for financial
administration of the project must be an eligible applicant.
2. Cost Sharing or Matching
This section describes the statutory cost share requirements for an
INFRA award. Cost share will also be evaluated according to the
``Leveraging of Federal Funding'' evaluation criterion described in
Section E.1.a.ii. That section clarifies that the Department seeks
applications for projects that exceed the minimum non-Federal cost
share requirement described here.
INFRA 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 INFRA grant, but total Federal assistance for
a project receiving an INFRA grant may not exceed 80 percent of 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 by statute,
local cost-share may not be counted as non-Federal share for both the
INFRA 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.b as
awarded funds.
For the purpose of evaluating eligibility under the statutory limit
on total Federal assistance, funds from the TIFIA and RRIF credit
assistance programs are considered Federal assistance and, combined
with other Federal assistance, may not exceed 80 percent of the future
eligible project costs.
3. Other
a. Eligible Projects
Eligible projects for INFRA 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. 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. 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.
b. Eligible Project Costs
INFRA 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. Statutorily, INFRA
grants may also fund development phase activities, including planning,
feasibility analysis, revenue forecasting, environmental review,
preliminary engineering, design, and other preconstruction activities,
provided the project meets statutory requirements. However, the
Department is seeking to use INFRA funding on projects that result in
construction. Public-private partnership assessments for projects in
the development phase are also eligible costs.
INFRA grant recipients may use INFRA funds to pay the subsidy and
administrative costs necessary to receive TIFIA credit assistance.
c. 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 INFRA grant. Previously incurred costs will be counted
toward the minimum project size requirement only if they were eligible
project costs under Section C.3.b. 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
INFRA grant funds, nor will they count toward the project's required
non-Federal share.
i. Large Projects
The minimum project size for large projects is the lesser of $100
million; 30 percent of a State's FY 2018 Federal-aid apportionment if
the project is located in one State; or 50 percent of the larger
participating State's FY 2018 apportionment for projects located in
more than one State. The following chart identifies the minimum total
project cost for projects for FY 2018 for both single and multi-State
projects.
------------------------------------------------------------------------
FY19 NSFHP FY19 NSFHP
(30% of FY18 (50% of FY18
apportionment) apportionment)
State one-state multi-state
minimum minimum*
(millions) (millions)
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Alabama................................. $100 $100
Alaska.................................. 100 100
Arizona................................. 100 100
Arkansas................................ 100 100
California.............................. 100 100
Colorado................................ 100 100
Connecticut............................. 100 100
Delaware................................ 53 89
Dist. of Col............................ 50 84
Florida................................. 100 100
Georgia................................. 100 100
Hawaii.................................. 53 89
Idaho................................... 90 100
Illinois................................ 100 100
Indiana................................. 100 100
Iowa.................................... 100 100
Kansas.................................. 100 100
Kentucky................................ 100 100
Louisiana............................... 100 100
Maine................................... 58 97
Maryland................................ 100 100
Massachusetts........................... 100 100
Michigan................................ 100 100
Minnesota............................... 100 100
Mississippi............................. 100 100
Missouri................................ 100 100
Montana................................. 100 100
Nebraska................................ 91 100
Nevada.................................. 100 100
New Hampshire........................... 52 87
[[Page 65793]]
New Jersey.............................. 100 100
New Mexico.............................. 100 100
New York................................ 100 100
North Carolina.......................... 100 100
North Dakota............................ 78 100
Ohio.................................... 100 100
Oklahoma................................ 100 100
Oregon.................................. 100 100
Pennsylvania............................ 100 100
Rhode Island............................ 69 100
South Carolina.......................... 100 100
South Dakota............................ 89 100
Tennessee............................... 100 100
Texas................................... 100 100
Utah.................................... 100 100
Vermont................................. 64 100
Virginia................................ 100 100
Washington.............................. 100 100
West Virginia........................... 100 100
Wisconsin............................... 100 100
Wyoming................................. 81 100
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* For multi-State projects, the minimum project size is the largest of
the multi-State minimums from the participating States.
ii. Small Projects
A small project is an eligible project that does not meet the
minimum project size described in Section C.3.c.i.
d. Large/Small Project Requirements
For a large project to be selected, the Department must 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 available to construct, maintain, and operate the project, and
contingency amounts are available 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. These requirements are discussed in greater detail in
section D.2.b.vii.
For a small project to be selected, the Department must consider
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.
e. Rural/Urban Area
This section describes the statutory definition of urban and rural
areas and the minimum statutory requirements for projects that meet
those definitions. For more information on how the Department consider
projects in urban, rural, and low population areas as part of the
selection process, see Section E.1.a. Criterion #2, and E.1.c.
The INFRA statute defines a rural area as an area outside an
Urbanized Area \2\ 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.\3\ Rural
and urban definitions differ in some other USDOT programs, including
TIFIA and the FY 2018 BUILD Discretionary Grants program. 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. However, if a project consists of multiple
components, as described under section C.3.f or C.3.g., then for each
separate component the Department will determine whether that component
is rural or urban. In some circumstances, including networks of
projects under section C.3.g that cover wide geographic regions, this
component-by-component determination may result in INFRA awards that
include urban and rural funds.
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\2\ 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 website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/. For the purposes of the INFRA program,
Urbanized Areas with populations fewer than 200,000 will be
considered rural.
\3\ See www.transportation.gov/buildamerica/InFRAgrants for a
list of Urbanized Areas with a population of 200,000 or more.
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f. Project Components
An application may describe a project that contains more than one
component. The USDOT 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, including the requirements for large projects
described in Sections C.3.d and D.2.b.vii; (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 USDOT 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. If an application describes multiple
components, the application should demonstrate how the components
collectively advance the purposes of the INFRA program. An applicant
should not add multiple components to a single application merely to
aggregate costs or avoid submitting multiple applications.
Applicants should be aware that, depending upon applicable Federal
law and the relationship among project components, an award funding
only some project components may make other project components subject
to Federal requirements as described in Section F.2.b. For example,
under 40 CFR 1508.25, the NEPA review for the funded project component
may need to include evaluation of all project components as connected,
similar, or cumulative actions.
The Department strongly encourages applicants to identify in their
applications the project components that meet independent utility
standards and separately detail the costs and INFRA funding requested
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.
g. Network of Projects
An application may describe and request funding for a network of
projects. A network of projects is one INFRA award that consists of
multiple projects addressing the same transportation problem. For
example, if an applicant seeks to improve efficiency along a rail
corridor, then their application might propose one award for four grade
separation projects at four different railway-highway crossings. Each
of the four projects would independently reduce congestion but the
overall benefits would be greater if the projects were completed
together under a single award.
The USDOT will evaluate applications that describe networks of
projects similar to how it evaluates projects with multiple components.
Because of their similarities, the guidance in Section C.3.f is
applicable to networks of projects, and applicants should follow that
guidance on how to
[[Page 65794]]
present information in their application. As with project components,
depending upon applicable Federal law and the relationship among
projects within a network of projects, an award that funds only some
projects in a network may make other projects subject to Federal
requirements as described in Section F.2.
h. Application Limit
To encourage applicants to prioritize their INFRA 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.
D. Application and Submission Information
1. Address
Applications must be submitted through www.Grants.gov. Instructions
for submitting applications can be found at https://
www.transportation.gov/buildamerica/InFRAgrants.
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 pages and Project Narrative
follows.
a. Cover Page
Each application should contain a cover page with the following
chart:
------------------------------------------------------------------------
------------------------------------------------------------------------
Basic Project Information:
What is the Project Name?.............. ...........................
Who is the Project Sponsor?............ ...........................
Was an INFRA application for this ...........................
project submitted previously? (If Yes,
please include title).
Project Costs: ...........................
INFRA Request Amount................... $
Estimated federal funding (excl. INFRA) $
Estimated non-federal funding.......... $
Future Eligible Project Cost (Sum of $
previous three rows).
Previously incurred project costs (if $
applicable).
Total Project Cost (Sum of `previous $
incurred' and `future eligible').
Are matching funds restricted to a ...........................
specific project component? If so,
which one?
Project Eligibility: ...........................
Approximately how much of the estimated $
future eligible project costs will be
spent on components of the project
currently located on National Highway
Freight Network (NHFN)?
Approximately how much of the estimated $
future eligible project costs will be
spent on components of the project
currently located on the National
Highway System (NHS)?
Approximately how much of the estimated $
future eligible project costs will be
spent on components constituting
railway-highway grade crossing or
grade separation projects?
Approximately how much of the estimated $
future eligible project costs will be
spent on components constituting
intermodal or freight rail projects,
or freight projects within the
boundaries of a public or private
freight rail, water (including ports),
or intermodal facility?
Project Location: ...........................
State(s) in which project is located. ...........................
Small or large project................. Small/Large.
Urbanized Area in which project. ...........................
is located, if applicable..............
Population of Urbanized Area. ...........................
Is the project currently programmed in Yes/no (please specify in
the:. which plans the project is
TIP........................... currently programmed).
STIP..........................
MPO Long Range Transportation
Plan..
State Long Range
Transportation Plan..
State Freight Plan?...........
------------------------------------------------------------------------
b. Project Narrative for Construction Projects
The Department recommends that the project narrative follow the
basic outline below to address the program requirements and assist
evaluators in locating relevant information.
------------------------------------------------------------------------
------------------------------------------------------------------------
I. Project Description................. See D.2.b.i
II. Project Location................... See D.2.b.ii.
III. Project Parties................... See D.2.b.iii.
IV. Grant Funds, Sources and Uses of See D.2.b.iv.
all Project Funding.
V. Merit Criteria...................... See D.2.b.v.
VI. Project Readiness.................. See D.2.b.vi and E.1.c.ii.
VII. Large/Small Project Requirements.. See D.2.b.vii.
------------------------------------------------------------------------
The project narrative should include the information necessary for
the Department 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 supporting data and documentation in a form
that is directly verifiable by the Department. The Department may ask
any applicant to supplement data in its application, but expects
applications to be complete upon submission.
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. The Department 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 portions that may exceed the 25-page limit are
documents supporting assertions or
[[Page 65795]]
conclusions made in the 25-page project narrative. If possible, website
links to supporting documentation should be provided rather than copies
of these supporting materials. If supporting documents are submitted,
applicants should 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 USDOT
financial assistance program may be referenced and described as
unchanged. The Department recommends using appropriately descriptive
final names (e.g., ``Project Narrative,'' ``Maps,'' ``Memoranda of
Understanding and Letters of Support,'' etc.) for all attachments. The
USDOT recommends applications include the following sections:
i. Project Summary
The first section of the application should provide a concise
description of the project, the transportation challenges that it is
intended to address, and how it will address those challenges. This
section should discuss the project's history, including a description
of any previously incurred costs. The applicant may use this section to
place the project into a broader context of other infrastructure
investments being pursued by the project sponsor.
ii. Project Location
This section of the application should describe the project
location, including a detailed geographical description of the proposed
project, a map of the project's location and connections to existing
transportation infrastructure, and geospatial data describing the
project location. If the project is located within the boundary of a
Census-designated Urbanized Area, the application should identify the
Urbanized Area.
iii. Project Parties
This section of the application should list all project parties,
including details about the proposed grant recipient and other public
and private parties who are involved in delivering the project, such as
port authorities, terminal operators, freight railroads, shippers,
carriers, freight-related associations, third-party logistics
providers, and freight industry workforce organizations.
iv. Grant Funds, Sources and Uses of Project Funds
This section of the application should describe the project's
budget. At a minimum, it should include:
(A) Previously incurred expenses, as defined in Section C.3.c.
(B) Future eligible costs, as defined in Section C.3.c.
(C) For all funds to be used for future eligible project costs, the
source and amount of those funds.
(D) For non-Federal funds to be used for future eligible project
costs, documentation of funding commitments should be referenced here
and included as an appendix to the application.
(E) For Federal funds to be used for future eligible project costs,
the amount, nature, and source of any required non-Federal match for
those funds.
(F) A budget showing how each source of funds will be spent. The
budget should show how each funding source will share in each major
construction activity, and present that data in dollars and
percentages. Funding sources should be grouped into three categories:
Non-Federal; INFRA; and other Federal. If the project contains
components, the budget should separate the costs of each project
component. If the project will be completed in phases, the budget
should separate the costs of each phase. The budget should be detailed
enough to demonstrate that the project satisfies the statutory cost-
sharing requirements described in Section C.2.
(G) Information showing that the applicant has budgeted sufficient
contingency amounts to cover unanticipated cost increases.
(H) The amount of the requested INFRA funds that would be subject
to the limit on freight rail, port, and intermodal infrastructure
described in Section B.2.
In addition to the information enumerated above, this section
should provide complete information on how all project funds may be
used. For example, if a particular source of funds is available only
after a condition is satisfied, the application should identify that
condition and describe the applicant's control over whether it is
satisfied. Similarly, if a particular source of funds is available for
expenditure only during a fixed time period, the application should
describe that restriction. Complete information about project funds
will ensure that the Department's expectations for award execution
align with any funding restrictions unrelated to the Department, even
if an award differs from the applicant's request.
v. Merit Criteria
This section of the application should demonstrate how the project
aligns with the Merit Criteria described in Section E.1 of this notice.
The Department encourages applicants to address each criterion or
expressly state that the project does not address the criterion.
Applicants are not required to follow a specific format, but the
following organization, which addresses each criterion separately,
promotes a clear discussion that assists project evaluators. To
minimize redundant information in the application, the Department
encourages applicants to cross-reference from this section of their
application to relevant substantive information in other sections of
the application.
The guidance here is about how the applicant should organize their
application. Guidance describing how the Department will evaluate
projects against the Merit Criteria is in Section E.1 of this notice.
Applicants also should review that section before considering how to
organize their application.
Criterion #1: Support for National or Regional Economic Vitality
This section of the application should describe the anticipated
outcomes of the project that support the Economic Vitality criterion
(described in Section E.1.a of this notice). The applicant should
summarize the conclusions of the project's benefit-cost analysis,
including estimates of the project's benefit-cost ratio and net
benefits. The applicant should also describe economic impacts and other
data-supported benefits that are not included in the benefit-cost
analysis.
The benefit-cost analysis itself should be provided as an appendix
to the project narrative, as described in Section D.2.d. of this
notice.
Criterion #2: Leveraging of Federal Funding
While the Leveraging Criterion will be assessed according to the
methodology described in Section E.1.a., this section of the
application may be used to include additional information that may
strengthen the Department's understanding of the project sponsor's
effort to improve non-federal leverage, including:
(A) A description of the applicant's activities to maximize the
non-Federal share of the project funding;
(B) a description of all evaluations of the project for private
funding, the outcome of those evaluations, and all activities
undertaken to pursue private funding for the project;
[[Page 65796]]
(C) a description of any fiscal constraints that affect the
applicant's ability to increase the amount of non-Federal revenue
dedicated for transportation infrastructure.
Criterion #3: Potential for Innovation
This section of the application should contain sufficient
information to evaluate how the project includes or enables innovation
in: (1) The accelerated deployment of innovative technology and
expanded access to broadband; (2) use of innovative permitting,
contracting, and other project delivery practices; and (3) innovative
financing. If the project does not address a particular innovation
area, the application should state this fact. Please see Section E.1.a
for additional information.
Criterion #4: Performance and Accountability
This section of the application should include sufficient
information to evaluate how the applicant will advance the Performance
and Accountability program objective. In general, the applicant should
indicate which (if any) accountability measures they are willing to
implement or have implemented, along with the specific details
necessary for the Department to evaluate their accountability measure.
The applicant should also address the lifecycle cost component of this
criterion in this section. See Section E.1.a for additional
information.
vi. Project Readiness
This section of the application should include information that,
when considered with the project budget information presented elsewhere
in the application, is sufficient for the Department to evaluate
whether the project is reasonably expected to begin construction in a
timely manner. To assist the Department's project readiness assessment,
the applicant should provide the information requested on technical
feasibility, project schedule, project approvals, and project risks,
each of which is described in greater detail in the following sections.
Applicants are not required to follow the specific format described
here, but this organization, which addresses each relevant aspect of
project readiness, promotes a clear discussion that assists project
evaluators. To minimize redundant information in the application, the
Department encourages applicants to cross-reference from this section
of their application to relevant substantive information in other
sections of the application.
The guidance here is about what information applicants should
provide and how the applicant should organize their application.
Guidance describing how the Department will evaluate a project's
readiness is described in section E.1 of this notice. Applicants also
should review that section before considering how to organize their
application.
(A) Technical Feasibility. The applicant should demonstrate the
technical feasibility of the project with 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 INFRA
application, including the identification of contingency levels
appropriate to its level of design; and any scope, schedule, and budget
risk-mitigation measures. Applicants should 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.
(B) Project Schedule. The applicant should include a detailed
project schedule that identifies all major project milestones. Examples
of such milestones include State and local planning approvals
(programming on the Statewide Transportation Improvement Program),
start and completion of NEPA and other Federal environmental reviews
and approvals including permitting; design completion; right of way
acquisition; approval of plans, specifications and estimates (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:
(1) All necessary activities will be complete to allow INFRA funds
to be obligated sufficiently in advance of the statutory deadline
(September 30, 2022 for FY 2019 funds), and that any unexpected delays
will not put the funds at risk of expiring before they are obligated;
(2) the project can begin construction quickly upon obligation of
INFRA funds, and that the grant funds will be spent expeditiously once
construction starts; and
(3) all real property and right-of-way acquisition will be
completed in a timely manner in accordance with 49 CFR part 24, 23 CFR
part 710, and other applicable legal requirements or a statement that
no acquisition is necessary.
(C) Required Approvals.
(1) Environmental Permits and Reviews. 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. Specifically, the application
should include:
(a) Information about the NEPA status of the project. If the NEPA
process is complete, an applicant should indicate the date of
completion, and provide a website link or other reference to the final
Categorical Exclusion, Finding of No Significant Impact, Record of
Decision, and any other NEPA documents prepared. If the NEPA process is
underway, but not complete, the application should detail the type of
NEPA review underway, where the project is in the process, and indicate
the anticipated date of completion of all milestones and of the final
NEPA determination. If the last agency action with respect to NEPA
documents occurred more than three years before the application date,
the applicant should describe why the project has been delayed and
include a proposed approach for verifying and, if necessary, updating
this material in accordance with applicable NEPA requirements.
(b) Information on reviews, approvals, and permits by other
agencies. An application should indicate whether the proposed project
requires reviews or approval actions by other agencies,\4\ indicate the
status of such actions, and provide detailed information about the
status of those reviews or approvals and should demonstrate compliance
with any other applicable Federal, State, or local requirements, and
when such approvals are expected. Applicants should provide a website
link or other reference to copies of any reviews, approvals, and
permits prepared.
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\4\ 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.
---------------------------------------------------------------------------
(c) Environmental studies or other documents--preferably through a
website link--that describe in detail known project impacts, and
possible mitigation for those impacts.
(d) A description of discussions with the appropriate USDOT modal
administration field or headquarters office regarding the project's
compliance with NEPA and other applicable Federal environmental reviews
and approvals.
[[Page 65797]]
(e) A description of public engagement about the project that has
occurred, including details on the degree to which public comments and
commitments have been integrated into project development and design.
(2) State and Local Approvals. The applicant should demonstrate
receipt of State and local approvals on which the project depends, such
as State and local environmental and planning approvals and STIP or TIP
funding. Additional support from relevant State and local officials is
not required; however, an applicant should demonstrate that the project
has broad public support.
(3) Federal Transportation Requirements Affecting State and Local
Planning. The planning requirements applicable to the Federal-aid
highway program apply to all INFRA projects, but for port, freight, and
rail projects, planning requirements of the operating administration
that will administer the INFRA project will also apply,\5\ including
intermodal projects located at airport facilities.\6\ 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 in such documents. If the project is not included in a
relevant planning document 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.
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\5\ 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 applicable plan and programming documents (e.g.,
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. Inclusion in the STIP is required under certain
circumstances. To the extent a project is required to be on a
metropolitan transportation plan, TIP, and/or STIP, it will not
receive an INFRA 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 an
INFRA 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
include whether the project is in a TIP 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.
\6\ 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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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). Applicants should provide links or other
documentation supporting this consideration.
Because projects have different schedules, the construction start
date for each INFRA grant will be specified in the project-specific
agreements signed by relevant modal administration and the grant
recipients, based on critical path items that applicants identify in
the application and will be consistent with relevant State and local
plans.
(D) 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 all
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. The applicant should assess the greatest
risks to the project and identify how the project parties will mitigate
those risks.
To the extent it is unfamiliar with the Federal program, the
applicant should contact USDOT modal field or headquarters offices as
found at www.transportation.gov/infragrants 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.
vii. Large/Small Project Requirements
To select a large project for award, the Department must determine
that the project satisfies several statutory requirements enumerated at
23 U.S.C. 117(g) and restated in the table below. The application must
include sufficient information for the Department to make these
determinations. Applicants should use this section of the application
to summarize how their project meets each of the following
requirements. Applicants are not required to reproduce the table below
in their application, but following this format will help evaluators
identify the relevant information that supports each large project
determination. To minimize redundant information in the application,
the Department encourages applicants to cross-reference from this
section of their application to relevant substantive information in
other sections of the application.
------------------------------------------------------------------------
Large project determination Guidance
------------------------------------------------------------------------
1. Does the project generate national Summarize the economic,
or regional economic, mobility, or mobility, and safety benefits
safety benefits? described in Section V of the
application, and describe the
scale of their impact in
national or regional terms.
2. Is the project cost effective?...... Highlight the results of the
benefit cost analysis
described in Section V of the
application.
3. Does the project contribute to one Specify the Goal(s) and
or more of the Goals listed under 23 summarize how the project
U.S.C. 150 (and shown below)? contributes to that goal(s).
This information may also be
found in Section I or Section
V.
(b) National Goals.--It is in the
interest of the United States to
focus the Federal-aid highway
program on the following national
goals:
(1) Safety.--To achieve a
significant reduction in
traffic fatalities and serious
injuries on all public roads.
(2) Infrastructure condition.--
To maintain the highway
infrastructure asset system in
a state of good repair.
(3) Congestion reduction.--To
achieve a significant
reduction in congestion on the
National Highway System.
[[Page 65798]]
(4) System reliability.--To
improve the efficiency of the
surface transportation system.
(5) Freight movement and
economic vitality.--To improve
the national freight network,
strengthen the ability of
rural communities to access
national and international
trade markets, and support
regional economic development.
(6) Environmental
sustainability.--To enhance
the performance of the
transportation system while
protecting and enhancing the
natural environment.
(7) Reduced project delivery
delays.--To reduce project
costs, promote jobs and the
economy, and expedite the
movement of people and goods
by accelerating project
completion through eliminating
delays in the project
development and delivery
process, including reducing
regulatory burdens and
improving agencies' work
practices.
4. Is the project based on the results Yes/No. Please provide evidence
of preliminary engineering?. of preliminary engineering.
For more information on
preliminary engineering
activities, please see: https://www.fhwa.dot.gov/federalaid/150311.cfm.
5a. With respect to non-Federal Please indicate funding
financial commitments, does the source(s) and amounts.
project have one or more stable and Historical trends, current
dependable funding or financing policy, or future feasibility
sources to construct, maintain, and analyses can be used as
operate the project? evidence to substantiate the
stable and dependable nature
of the non-Federal funding or
financing.
5b. Are contingency amounts available Contingency amounts are often,
to cover unanticipated cost increases? but not always, expressly
shown in project budgets or
the SF-424C. If your project
cost estimates include an
implicit contingency
calculation, please say so
directly.
6. Is it the case that the project Discussion of the impact that
cannot be easily and efficiently not having any Federal
completed without other Federal funding, including an INFRA
funding or financial assistance grant, would have on project's
available to the project sponsor? schedule, cost, or likelihood
of completion, can help convey
whether a project can be
completed as easily or
efficiently without Federal
funding available to the
project sponsor.
7. Is the project reasonably expected Please reference project budget
to begin construction not later than and schedule when providing
18 months after the date of obligation evidence.
of funds for the project?
------------------------------------------------------------------------
For a small project to be selected, the Department must consider
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. If an applicant seeks an award for a small
project, it should use this section to provide information on the
project's cost effectiveness and the project's effect on the mobility
in its State and region, or refer to where else the information can be
found in the application.
c. Guidance for Benefit-Cost Analysis
This section describes the recommended approach for the completion
and submission of a benefit-cost analysis (BCA) as an appendix to the
Project Narrative. The results of the analysis should be summarized in
the Project Narrative directly, as described in Section D.2.b.v.
Applicants should delineate each of their project's expected
outcomes in the form of a complete BCA to enable the Department to
consider cost-effectiveness (small projects), determine whether the
project will be cost effective (large projects), estimate a benefit-
cost ratio and calculate the magnitude of net benefits and costs for
the project. In support of each project for which an applicant seeks
funding, the applicant should submit a BCA that quantifies the expected
benefits and costs of the project against a no-build baseline.
Applicants should use a real discount rate (i.e., the discount rate net
of the inflation rate) of 7 percent per year to discount streams of
benefits and costs to their present value in their BCA.
The primary economic benefits from projects eligible for INFRA
grants are likely to include savings in travel time costs, vehicle
operating costs, and safety costs for both existing users of the
improved facility and new users who may be attracted to it as a result
of the project. Reduced damages from vehicle emissions and savings in
maintenance costs to public agencies may also be quantified. Applicants
may describe other categories of benefits in the BCA that are more
difficult to quantify and value in economic terms, such as improving
the reliability of travel times or improvements to the existing human
and natural environments (such as increased connectivity, improved
public health, storm water runoff mitigation, and noise reduction),
while also providing numerical estimates of the magnitude and timing of
each of these additional impacts wherever possible. Any benefits
claimed for the project, both quantified and unquantified, should be
clearly tied to the expected outcomes of the project.
The BCA should include the full costs of developing, constructing,
operating, and maintaining the proposed project (including both
previously incurred and future costs), as well as the expected timing
or schedule for costs in each of these categories. The BCA may also
consider the present discounted value of any remaining service life of
the asset at the end of the analysis period (net of future maintenance
and rehabilitation costs) as a deduction from the estimated costs. The
costs and benefits that are compared in the BCA should also cover the
same project scope.
The BCA should carefully document the assumptions and methodology
used to produce the analysis, including a description of the baseline,
the sources of data used to project the outcomes of the project, and
the values of key input parameters. Applicants should provide all
relevant files used for their BCA, including any spreadsheet files and
technical memos describing the analysis (whether created in-house or by
a contractor). The spreadsheets and technical memos should present the
calculations in sufficient detail and transparency to allow the
analysis to be reproduced by USDOT evaluators. Detailed guidance for
estimating some types of quantitative benefits and costs, together with
recommended economic values for converting them to dollar
[[Page 65799]]
terms and discounting to their present values, are available in the
Department's guidance for conducting BCAs for projects seeking funding
under the INFRA program (see https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance).
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.
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. The Department may not make an INFRA 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 the Department is
ready to make an INFRA grant, the Department may determine that the
applicant is not qualified to receive an INFRA grant and use that
determination as a basis for making an INFRA grant to another
applicant.
4. Submission Dates and Timelines
a. Deadline
Applications must be submitted by 8:00 p.m. EST March 4, 2019. The
Grants.gov ``Apply'' function will open by January 7, 2019.
To submit an application through Grants.gov, applicants must:
(1) Obtain a Data Universal Numbering System (DUNS) number:
(2) Register with the System Award for Management (SAM) at
www.sam.gov; and
(3) Create a Grants.gov username and password;
(4) The E-business Point of Contact (POC) at the applicant's
organization must also 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 that the Department will not consider late
applications that are the result of failure to register or comply with
Grants.gov applicant requirements in a timely manner. 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. EST.
b. 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.
c. Late Applications
Applications received after the deadline will not be considered
except in the case of unforeseen technical difficulties outlined in
Section D.4.d.
d. Late Application Policy
Applicants experiencing technical issues with Grants.gov that are
beyond the applicant's control must contact INFRAgrants@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:
(1) Details of the technical issue experienced;
(2) Screen capture(s) of the technical issues experienced along
with corresponding Grants.gov ``Grant tracking number'';
(3) The ``Legal Business Name'' for the applicant that was provided
in the SF-424;
(4) The AOR name submitted in the SF-424;
(5) The DUNS number associated with the application; and
(6) 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 website; (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 the Department reviews all information
submitted and contacts the Grants.gov Help Desk to validate reported
technical issues, USDOT 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
a. Merit Criteria for Construction Projects
To differentiate among applications for construction projects under
this notice, the Department will consider the extent to which the
project addresses the follow criteria, which are explained in greater
detail below and reflect the key program objectives described in
Section A.2: (1) Support for national or regional economic vitality;
(2) leveraging of Federal funding; (3) potential for innovation; and
(4) performance and accountability. The Department is neither weighting
these criteria nor requiring that each application address every
criterion, but the Department expects that competitive applications
will substantively address all four criteria.
Criterion #1: Support for National or Regional Economic Vitality
The Department will consider the extent to which a project would
support the economic vitality of either the nation or a region. To the
extent possible, the Department will rely on quantitative, data-
supported analysis to assess how well a project addresses this
criterion, including an assessment of the applicant-supplied benefit-
cost analysis described in Section D.2.d. In addition to considering
the anticipated outcomes of the project that align with this criterion,
the Department will consider estimates of the project's benefit-cost
ratio and net quantifiable benefits.
There are several different types of projects that the Department
anticipates will successfully support national or regional economic
vitality, including projects that:
Achieve a significant reduction in traffic fatalities
and serious injuries on the surface transportation system;
Improve interactions between roadway users, reducing
the likelihood of derailments or high consequence events;
Eliminate bottlenecks in the freight supply chain;
Ensure or restore the good condition of infrastructure
that supports commerce and economic growth;
[[Page 65800]]
Sustain or advance national or regional economic
development in areas of need, including projects that provide or
improve connections to the Nation's transportation network to
support the movement of freight and people; and
Reduce barriers separating workers from employment
centers, including projects that are primarily oriented toward
reducing traffic congestion and corridor projects that reduce
transportation network gaps to connect peripheral regions to urban
centers or job opportunities.
The Department anticipates that applications for networks of
projects are likely to align well with this evaluation criterion
because networks of projects often are able to address problems on a
broader scale.
Criterion #2: Leveraging of Federal Funding
To maximize the impact of INFRA awards, the Department seeks to
leverage INFRA funding with non-Federal contributions. To evaluate this
criterion, the Department will assign a rating to each project based on
how the calculated non-federal share of the project's future eligible
project costs compares with other projects proposed for INFRA funding.
The Department will sort large and small project applications' non-
federal leverage percentage from high to low, and the assigned ratings
will be based on quintile: Projects in the 80th percentile and above
receive the highest rating; the 60th-79th percentile receive the second
highest rating; 40th-59th, the third highest; 20th-39th, the fourth
highest; and 0-19th, the lowest rating.
DOT recognizes that applicants have varying abilities and resources
to contribute non-Federal contributions. If an applicant describes
broader fiscal constraints that affect its ability to generate or draw
on non-Federal contributions, the Department may consider those
constraints. Relevant constraints may include the size of the
population taxed to supply the matching funds, the wealth of that
population, or other constraints on the raising of funds. In addition,
the Department may consider whether there are obstacles to collecting
non-federal revenue from a project's beneficiaries, including the
extent to which a project's beneficiaries reside in the sponsor's
jurisdiction.
This evaluation criterion is separate from the statutory cost share
requirements for INFRA grants, which are described in Section C.2.
Those statutory requirements establish the minimum permissible non-
Federal share; they do not define a competitive INFRA project.
Criterion #3: Potential for Innovation
The Department seeks to use the INFRA program to encourage
innovation in three areas: (1) The accelerated deployment of innovative
technology and expanded access to broadband; (2) use of innovative
permitting, contracting, and other project delivery practices; and (3)
innovative financing. The project will be assigned an innovation rating
based on how it cumulatively addresses these areas. Applications which
address at least two of these three areas will be assigned a high
rating. Applications which address one of these areas will be assigned
a medium rating. Applications which address none of these areas will be
assigned a low rating.
In Innovation Area #1: Technology, the application will be
determined to have addressed the Technology Innovation Area if the
INFRA project incorporates any of the following:
Conflict detection and mitigation technologies (e.g.,
intersection alerts, signal prioritization, or smart traffic
signals);
Dynamic signaling or pricing systems to reduce
congestion;
Signage and design features that facilitate autonomous
or semi-autonomous vehicle technologies;
Applications to automatically capture and report
safety-related issues (e.g., identifying and documenting near-miss
incidents);
V2X Technologies (e.g. technology which facilitates
passing of information between a vehicle and any entity which may
affect the vehicle);
Cybersecurity elements to protect safety-critical
systems;
Technology at land and sea ports of entry that reduces
congestion, wait times, and delays, while maintaining or enhancing
the integrity of our border;
Other Intelligent Transportation Systems (ITS) which
directly benefit the project's users.
The application will also address the Technology Innovation Area
if the project facilitates broadband deployment and the installation
of high-speed networks concurrent with project construction.
In Innovation Area #2: Project Delivery, the Department will assess
whether the applicant intends to pursue an innovative strategy to
improve project delivery. These strategies will result in more
efficient project implementation. Some of these strategies may require
the use of a SEP-14 or SEP-15 waiver, but many do not: An application
can address this innovation area without requiring a waiver. Examples
of innovative project delivery include:
Contracting/Procurement:
[cir] Indefinite Quantity/Indefinite Delivery Contracting
[cir] Alternative Pavement Type Bidding
[cir] No Excuse Bonuses
[cir] Lump Sum Bidding
[cir] Best Value Procurement
[cir] System Integrator Contracts
[cir] Progressive Design-Build
[cir] P3 DBFOM Procurements
Environmental Requirements
[cir] NEPA/Section 404 Merger
[cir] Use of Permitting/Authorization Agency Liaisons
[cir] Establishment of State/Local ``One-Stop-Shop'' for
Permitting
[cir] Programmatic Agreements
Every Day Counts Initiative
[cir] Use of proven technologies and innovations to shorten and
enhance project delivery listed at https://www.fhwa.dot.gov/innovation/everydaycounts/edc_innovation.cfm
Finally, in Innovation Area #3, Innovative Financing, the
Department will consider if the project financial plan incorporates
funding or financing from innovative sources, or if the applicant
describes recent or pending efforts to raise significant new revenue
for transportation investment across its program.
Examples of innovative sources in a financial plan include:
Private Sector contributions, excluding donated right-of-
way, amounting to at least $5 million,
Revenue from the competitive sale or lease of publicly
owned or operated asset, or
Financing supported by direct project user fees
Examples of significant new revenue--provided it is dedicated to
transportation investment across an applicant's program--include:
Revenue resulting from recent or pending increases to sales
or fuel taxes
Revenue resulting from the recent or pending implementation
of tolling
Revenue resulting from the recent or pending adoption of
value capture strategies such as tax-increment financing
Revenue resulting from the recent or pending competitive
sale or lease of publicly owned or operated assets
Criterion #4: Performance and Accountability
The Department encourages applicants to describe a credible plan to
address the full lifecycle costs associated with the project and
implement an accountability measure as described in Section A.2.d of
this NOFO.
A credible plan to address full lifecycle costs should include, at
a minimum, (1) an estimate of the lifecycle costs of the project; (2)
an identified source of funding that will be sufficient to pay for
operation and maintenance of the project; and (3) a description of
controls in place to ensure the identified funding will not be diverted
away from operation and
[[Page 65801]]
maintenance. Examples of such controls include if a private sector
entity is contractually obligated to maintain the project, if a project
sponsor has a demonstrated history of fully funding maintenance on its
assets, or if the sponsor describes an asset management plan or
strategy.
Applicants intending to address the accountability measure portion
of this criterion should describe how they meet at least one of the
three options below:
(1) The applicant should agree to meet a specific construction
start and completion date, detailed in the application. If the
project sponsor does not meet these deadlines, the project will be
subject to forfeit or return of up to 10% of the awarded funds, or
$10 million, whichever is lower.
(2) The applicant should propose a specific indicator of project
success that will be evident within 12 months of project completion.
The indicator should relate to a benefit estimated in the BCA (e.g.,
travel time savings), and the level of performance should be
consistent with the estimates in the BCA. If the project fails to
produce this specific outcome in the time allotted, it will be
subject to forfeit or return of up to 10% of the awarded funds, or
$10 million, whichever is lower.
(3) The applicant should describe a specific recent example of
enacting state or local policy change to facilitate interstate
commerce. Examples include:
a. Collaborating with neighboring states on interstate toll
financing
b. Collaborating on cross-state energy distribution
infrastructure
The project will be assigned a Performance and Accountability
rating based on how it addresses these areas. Applications that address
both lifecycle costs and accountability measures will receive a high
rating. Applications that address either lifecycle costs or
accountability measures, but not both, will receive a medium rating.
Applications that address neither area will receive a low rating.
b. Additional Considerations
i. Geographic Diversity
By statute, when selecting INFRA projects, the Department must
consider contributions to geographic diversity among recipients,
including the need for a balance between the needs of rural and urban
communities. However, the Department also recognizes that it can better
balance the needs of rural and urban communities if it does not take a
binary view of urban and rural. Accordingly, in addition to considering
whether a project is ``rural'' as defined by the INFRA statute and
described in section C.3.e, when balancing the needs of rural and urban
communities, the Department will consider the actual population of the
community that each project serves.
ii. Project Readiness
During application evaluation, the Department considers project
readiness in two ways: To assess the likelihood of successful project
delivery and to confirm that a project will satisfy statutory readiness
requirements.
First, the Department will consider significant risks to successful
completion of a project, including risks associated with environmental
review, permitting, technical feasibility, funding, and the applicant's
capacity to manage project delivery. Risks do not disqualify projects
from award, but competitive applications clearly and directly describe
achievable risk mitigation strategies. A project with mitigated risks
is more competitive than a comparable project with unaddressed risks.
Second, by statute, the Department cannot award a large project
unless that project is reasonably expected to begin construction within
18 months of obligation of funds for the project. Obligation occurs
when a selected applicant enters a written, project-specific agreement
with the Department 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. By statute, INFRA funds must be obligated within three
years of the end of the fiscal year for which they are authorized.
Therefore, for awards with FY 2019 funds, the Department will determine
that large projects with an anticipated obligation date beyond
September 30, 2022 are not reasonably expected to begin construction
within 18 months of obligation.
iii. Previous Awards
The Department may consider whether the project has previously
received an award from the TIGER, BUILD, FASTLANE, INFRA, or other
departmental discretionary grant programs.
2. Review and Selection Process
The USDOT will review all eligible applications received before the
application deadline. The INFRA 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 the 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. The Secretary will ultimately select the
projects for award. A Quality Control and Oversight Team will ensure
consistency across project evaluations and appropriate documentation
throughout the review and selection process.
3. Additional Information
Prior to award, each selected applicant will be subject to a risk
assessment as 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
https://www.transportation.gov/buildamerica/INFRAgrants. 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
a. Safety Requirements
The Department will require INFRA projects to meet two general
requirements related to safety. First, INFRA projects must be part of a
thoughtful, data-driven approach to safety. Each State maintains a
strategic
[[Page 65802]]
highway safety plan.\7\ INFRA projects will be required to incorporate
appropriate elements that respond to priority areas identified in that
plan and are likely to yield safety benefits. Second, INFRA projects
will incorporate appropriate safety-related activities that the Federal
Highway Administration (FHWA) has identified as ``proven safety
countermeasures'' due to their history of demonstrated
effectiveness.\8\
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\7\ Information on State-specific strategic highway safety plans
is available at https://safety.fhwa.dot.gov/shsp/other_resources.cfm.
\8\ Information on FHWA proven safety countermeasures is
available at: https://safety.fhwa.dot.gov/provencountermeasures/.
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After selecting INFRA recipients, the Department will work with
those recipients on a project-by-project basis to determine the
specific safety requirements that are appropriate for each award.
b. Other Administrative and Policy Requirements
All INFRA 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 USDOT at 2 CFR
part 1201. A project carried out under the INFRA program will be
treated as if the project is located on a Federal-aid highway. All
INFRA projects are subject to the Buy America requirement at 23 U.S.C.
313. Additionally, applicable Federal laws, rules and regulations of
the relevant operating administration administering the project will
apply to the projects that receive INFRA grants, including planning
requirements, Stakeholder Agreements, and other requirements under the
Department's other highway, transit, rail, and port grant programs. For
an illustrative list of the applicable laws, rules, regulations,
executive orders, policies, guidelines, and requirements as they relate
to an INFRA grant, please see http://www.ops.fhwa.dot.gov/Freight/infrastructure/nsfhp/fy2016_gr_exhbt_c/index.htm.
The applicability of Federal requirements to a project may be
affected by the scope of the NEPA reviews for that project. For
example, under 23 U.S.C. 313(g), Buy America requirements apply to all
contracts that are eligible for assistance under title 23, United
States Code, and are carried out within the scope of the NEPA finding,
determination, or decision regardless of the funding source of such
contracts if at least one contract is funded with Title 23 funds.
3. Reporting
a. Progress Reporting on Grant Activity
Each applicant selected for an INFRA 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 INFRA program.
b. 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 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 INFRAgrants@dot.gov. For other
INFRA program questions, please contact Paul Baumer at (202) 366-1092.
A TDD is available for individuals who are deaf or hard of hearing at
202-366-3993. In addition, up to the application deadline, the
Department will post answers to common questions and requests for
clarifications on USDOT's website at https://www.transportation.gov/buildamerica/INFRAgrants. To ensure applicants receive accurate
information about eligibility or the program, the applicant is
encouraged to contact USDOT directly, rather than through
intermediaries or third parties, with questions.
H. Other Information
1. 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.
The Department protects such information from disclosure to the
extent allowed under applicable law. In the event the Department
receives a Freedom of Information Act (FOIA) request for the
information, USDOT 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.
2. Publication of Application Information
Following the completion of the selection process and announcement
of awards, the Department intends to publish a list of all applications
received along with the names of the applicant organizations and
funding amounts requested. Except for the information properly marked
as described in Section H.1., the Department may make application
narratives publicly available.
Issued in Washington, DC, on December 17, 2018.
Elaine L. Chao,
Secretary of Transportation.
[FR Doc. 2018-27695 Filed 12-20-18; 8:45 am]
BILLING CODE 4910-9X-P