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Notice of Funding Opportunity for the Department of Transportation's Multimodal Project Discretionary Grant Opportunity Publication: Federal Register Agency: Office of the Secretary of Transportation Byline: Peter Paul Montgomery Buttigieg Date: 25 March 2022 Subjects: American Government  , Roads & Highways
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[Federal Register Volume 87, Number 58 (Friday, March 25, 2022)]
[Notices]
[Pages 17108-17136]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-06350]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
Notice of Funding Opportunity for the Department of
Transportation's Multimodal Project Discretionary Grant Opportunity
AGENCY: Office of the Secretary of Transportation, U.S. Department of
Transportation.
ACTION: Notice of Funding Opportunity (NOFO).
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Multimodal Project Discretionary Grant Opportunity (MPDG)
SUMMARY: The purpose of this notice is to solicit applications for
three funding opportunities: The National Infrastructure Project
Assistance grants program (Mega), the Nationally Significant Multimodal
Freight and Highways Projects grants program (INFRA), and the Rural
Surface Transportation Grant program (Rural). While applicants can
choose to apply for only one grant program, this combined solicitation
will allow applicants to apply for two, or all three of these funding
opportunities by submitting only one application. It also aims to
better enable the Department to proactively assist project sponsors in
matching projects with the most appropriate grant program(s) and
facilitate individual projects in potentially receiving funding from
multiple grant programs. Funds for the INFRA, Mega, and Rural funding
opportunities will be awarded on a competitive basis for surface
transportation infrastructure projects--including highway and bridge,
intercity passenger rail, railway-highway grade crossing or separation,
wildlife crossing, public transportation, marine highway, and freight
projects, or groups of such projects--with significant national or
regional impact, or to improve and expand the surface transportation
infrastructure in rural areas.
DATES: Applications must be submitted by 11:59 p.m. EDT on May 23,
2022. The Grants.gov ``Apply'' function will open by March 25, 2022.
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 on or before
the application deadline 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
MPDGrants@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 U.S. Department
of Transportation (Department) will post answers to common questions
and requests for clarifications on the Department's website at https://www.transportation.gov/grants/mpdg-frequently-asked-questions.
SUPPLEMENTARY INFORMATION: The organization of this notice is based on
an outline set forth in Appendix I to title 2 of the Code of Federal
Regulations (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 how the Multimodal Project
Discretionary Grant (MPDG) combined application process will work, the
Department recommends starting with Section A (Program Description),
which describes the Department's goals for the MPDG common application
and purpose in making awards, and Section E (Application Review
Information), which describes how the Department will select among
eligible applications for each of the three funding opportunities.
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 legal requirements that will
accompany awards; and Sections G (Federal
[[Page 17109]]
Awarding Agency Contacts) and H (Other Information) provide additional
administrative information.
Table of Contents
A. Program Description
1. Overview
2. Changes From the FY 2021 INFRA NOFO
3. Additional Information
B. Federal Award Information
1. Amount Available
C. Eligibility Information
1. Eligible Applicants
2. Cost Sharing or Matching
3. Eligible Projects
4. Eligible Project Costs
5. Project Requirements
6. Definition of Rural and Urban Areas
7. Areas of Persistent Poverty and Historically Disadvantaged
Communities
8. Project Components
9. Network of Projects
10. Application Limit
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
5. Funding Restrictions
6. Other Submission Requirements
E. Application Review Information
1. Criteria
i. Overall Application Rating
ii. Project Outcome Criteria
iii. Benefit-Cost Analysis Rating
iv. Project Readiness Rating
v. Additional Considerations
vi. Previous Awards
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
3. Department Feedback on Applications
4. MPDG Extra, Eligibility, and Designation
A. Program Description
1. Overview
The Multimodal Project Discretionary Grant common application
(MPDG) provides Federal financial assistance to highway and bridge,
intercity passenger rail, railway-highway grade and separation,
wildlife crossing, public transportation, marine highway, and freight
and multimodal projects, or groups of such projects, of national or
regional significance, as well as to projects to improve and expand the
surface transportation infrastructure in rural areas. Infrastructure
Investment and Jobs Act (Pub. L. 117-58, November 15, 2021) (Bipartisan
Infrastructure Law, or BIL) provided funds to the Department across
three programs to invest in projects of national or regional
significance--the National Infrastructure Project Assistance grants
program, found under 49 U.S.C. 6701 (Mega), the Nationally Significant
Multimodal Freight and Highways Projects grants program, found at 23
U.S.C. 117 (Infrastructure for Rebuilding America or INFRA), and the
Rural Surface Transportation Grant program, found at 23 U.S.C. 173
(Rural). To help streamline the process for applicants, the Department
has combined the applications for the Mega, INFRA, and Rural programs
into the MPDG common application. Applicants may choose to apply to
one, two, or all three of these grant programs.) The Fiscal Year (FY)
2022 MPDG awards will be made for each of the three grant programs as
appropriate and consistent with each grant program's statutory
language. The FY 2022 MPDG round will be implemented, as appropriate
and consistent with law, in alignment with the priorities in Executive
Order 14052, Implementation of the Infrastructure Investment and Jobs
Act (86 FR 64355),\1\ and will focus on supporting projects that
improve safety, economic strength and global competitiveness, equity,
and climate and sustainability consistent with the Department's
strategic goals.
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\1\ The priorities of Executive Order 14052, Implementation of
the Infrastructure Investments and Jobs Act are: To invest
efficiently and equitably, promote the competitiveness of the U.S.
economy, improve job opportunities by focusing on high labor
standards and equal employment opportunity, strengthen
infrastructure resilience to all hazards including climate change,
and to effectively coordinate with State, local, Tribal, and
territorial government partners.
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Applicants are encouraged to apply for multiple programs, to
maximize their potential of receiving Federal support. Applicants for
the MPDG will be considered across all three programs unless they opt
out. To support applicants through the application process, the
Department will provide technical assistance and resources.\2\
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\2\ For Technical Assistance for projects in rural areas, visit
https://www.transportation.gov/rural.
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The Department seeks to fund projects under the MPDG common
application that reduce greenhouse gas emissions and are designed with
specific elements to address climate change impacts. Section E provides
more information on the specific measures a project may undertake to
support these goals.
The Department also seeks to award projects under the MPDG common
application that address environmental justice, particularly for
communities (including rural communities) that may disproportionately
experience consequences from climate change and other pollutants.
Environmental justice, as defined by the Environmental Protection
Agency, is the fair treatment and meaningful involvement of all people
regardless of race, color, national origin, or income, with respect to
the development, implementation, and enforcement of environmental laws,
regulations, and policies. As part of the Department's implementation
of Executive Order 14008, Tackling the Climate Crisis at Home and
Abroad (86 FR 7619), the Department seeks to fund projects that, to the
extent possible, target at least 40 percent of resources and benefits
towards low-income communities, disadvantaged communities, communities
underserved by affordable transportation, or overburdened communities.
Projects that have not sufficiently considered climate change and
environmental justice in their planning, as determined by the
Department, will be required to do so before receiving funds for
construction. See Section F.2 of this Notice of Funding Opportunity
(NOFO) for program requirements.
The Department also seeks to award projects under the MPDG common
application that proactively address equity and barriers to
opportunity, including automobile dependence as a form of barrier, or
redress prior inequities and barriers to opportunity. Section E
describes equity considerations that an applicant can undertake and the
Department will consider during the review of applications. Projects
that have not sufficiently considered equity and barriers to
opportunity in their planning, as determined by the Department, will be
required to do so before receiving funds for construction. All projects
must comply with Federal civil rights requirements. See Section F.2 of
this NOFO for program requirements.
In addition, the Department intends to use the MPDG opportunity to
support the creation of good-paying jobs with the free and fair choice
to join a union and the incorporation of strong labor standards and
workforce programs, in particular registered apprenticeships, labor
management partnerships and Local Hire agreements,\3\ in project
planning stages and program delivery. Projects that incorporate such
planning considerations are expected to support a strong economy and
labor market. Section E describes job creation and labor considerations
an applicant can
[[Page 17110]]
undertake and that the Department will consider during the review of
applications. Projects that have not sufficiently considered job
creation and labor considerations in their planning, as determined by
the Department, will be required to do so to the full extent possible
under the law before receiving funds for construction. See Section F.2
of this NOFO for program requirements.
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\3\ Contracts awarded with geographic hiring preferences are
eligible for assistance under most Department financial assistance
programs.
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Section E of this NOFO describes the process for selecting projects
that further these goals under each of the three grant programs.
Section F.3 describes progress and performance reporting requirements
for selected projects, including the relationship between that
reporting and the program's selection criteria.
Consistent with the Department's Rural Opportunities to Use
Transportation for Economic Success (ROUTES) initiative, the Department
seeks to award funding to rural projects that address deteriorating
conditions and disproportionately high fatality rates and
transportation costs in rural communities.
2. Changes From the FY 2021 INFRA NOFO
Of the three programs in the MPDG opportunity, INFRA is the only
program that existed in FY2021, while the Rural and Mega are new
programs created by the Bipartisan Infrastructure Law. Applicants who
are planning to reapply using materials prepared for prior competitions
should ensure that their FY 2022 application fully addresses the
criteria and considerations described in this notice and that all
relevant information is up to date.
The FY 2022 INFRA program will be evaluated under common project
outcome criteria (formally labeled in FY 2021 as ``merit criteria'')
that apply to all three programs within the MPDG opportunity, as
described in Section E. The FY 2022 MPDG opportunity's common project
outcome criteria will not consider the Performance and Accountability
criterion from INFRA 2021. Instead, the Department will utilize
standard approaches to monitoring project performance and ensuring
projects are delivered efficiently. Leverage of non-Federal funds
contribution, or ``leverage,'' will now be assessed within the
Innovation criterion and for the separate INFRA FY 2022 Leverage pilot
set-aside. The Leverage pilot set-aside is described in further detail
in Section B.2.ii.
The BIL expanded INFRA eligibility to include wildlife crossing
projects; marine highway corridor projects; highway, bridge, or freight
projects carried out on the National Multimodal Freight Network; \4\
surface transportation projects located within or functionally
connected to an international border crossing; and transportation
facilities owned by a Federal, State, or local government entity.
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\4\ DOT has not yet designated an National Multimodal Freight
Network. Any project relying on being on the National Multimodal
Freight Network as their sole basis for eligibility may be
considered higher risk.
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3. Additional Information
This common application process will result in grants being awarded
under three funding programs. The Mega program is authorized at 49
U.S.C. 6701. The INFRA program is authorized at 23 U.S.C. 117. The
Rural program is authorized at 23 U.S.C. 173. They are described
respectively in the Federal Assistance Listings under the assistance
listing program titles ``National Infrastructure Project Assistance''
(assistance listing number 20.937), ``Nationally Significant Freight
and Highway Projects'' (assistance listing number 20.934), and ``Rural
Surface Transportation Grant Program'' (assistance listing number
20.938).
The Department is committed to considering project funding
decisions holistically among the various discretionary grant programs
available in BIL. The Department also recognizes that applicants may be
seeking funding from multiple discretionary grant programs and
opportunities. An applicant may seek the same award amounts from
multiple Department discretionary opportunities or seek a combination
of funding from multiple Department opportunities. The applicant should
identify describe from any other Department programs and opportunities
they intend to apply for (or utilize if the Federal funding is already
available to the applicant), and what award amounts they will be
seeking, in the appropriate sections including Sections D.2.i. and
D.2.ii.IV.
B. Federal Award Information
1. Amount Available
The BIL makes available up to $5 billion for the Mega program for
the period of FY 2022 through 2026; up to $8 billion to the INFRA
program for the period of FY 2022 through 2026; and up to $2 billion
for the Rural program for the period of FY 2022 through 2026, for a
combined total of up to $15 billion for FY 2022 through 2026. This
notice solicits applications for up to $2.85 billion in FY 2022 MPDG
opportunity funds. Up to $1 billion will be made available for the Mega
program, up to $1.55 billion will be made available for the INFRA
program, and up to $300 million will be made available for the Rural
funding opportunities program. In addition to the FY 2022 funding, the
Department may make award decisions in the MPDG FY 2022 round to fund
Mega project awards in future fiscal years, based on a potential
awarded project's schedule and availability of funding.\5\ In addition
to the FY 2022 funds, amounts from prior year INFRA authorizations,
presently estimated at up to $150 million, may be made available and
awarded under this solicitation. Any award under this notice will be
subject to the availability of funding. Mega, INFRA, and the Rural
program each have their own specific funding restrictions, including
award size and types of projects. Refer to Section D.5 for greater
detail on funding restrictions for each program.
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\5\ 49 U.S.C. 6701(j) authorizes the Department to enter
multiyear grant agreements for Mega projects. Those agreements may
include a commitment, contingent on amounts to be specified in law
in advance for such commitments, to provide future year funds.
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C. Eligibility Information
To be selected for a 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
Each of the three funding opportunities has slightly different
statutory rules for what kinds of applicants are eligible to apply.
Applicants should review this section in determining for which of the
three programs they are applying.
Eligible Applicants
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Mega INFRA Rural
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1. a State or a group of States; 1. a State or group of States; 1. a State;
[[Page 17111]]
2. a metropolitan planning organization; 2. a metropolitan planning organization 2. a regional
3. a unit of local government; that serves an Urbanized Area (as transportation planning
4. a political subdivision of a State; defined by the Bureau of the Census) organization;
5. a special purpose district or public with a population of more than 200,000 3. a unit of local
authority with a transportation individuals; government;
function, including a port authority; 3. a unit of local government or group 3. a unit of local
6. a Tribal government or a consortium of of local governments; government;
Tribal governments; 4. a political subdivision of a State or 4. a tribal government or a
7. a partnership between Amtrak and 1 or local government; consortium of tribal
more entities described in (1) through 5. a special purpose district or public governments; or
(6); and, authority with a transportation 5. a multijurisdictional
8. a group of entities described in any function, including a port authority; group of entities above.
of (1) through (7). 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;
8. a multistate corridor organization;
or
9. a multistate or multijurisdictional
group of entities described in this
paragraph.
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i. Mega
Eligible applicants for Mega grants are: (1) A State or a group of
States; (2) a metropolitan planning organization; (3) a unit of local
government; (4) a political subdivision of a State; (5) a special
purpose district or public authority with a transportation function,
including a port authority; (6) a Tribal government or a consortium of
Tribal governments; (7) a partnership between Amtrak and 1 or more
entities described in (1) through (6); and (8) a group of entities
described in any of (1) through (7).
ii. INFRA
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; (7) a tribal government or a
consortium of tribal governments; (8) a multistate corridor
organization; or (9) a multistate or multijurisdictional group of
entities described in this paragraph.
iii. Rural
Eligible applicants for Rural grants are: (1) A State; (2) a
regional transportation planning organization; (3) a unit of local
government; (4) a tribal government or a consortium of tribal
governments; or (5) a multijurisdictional group of entities above.
iv. Joint Applications for Any Program
Multiple States or entities 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
i. Mega
Mega grants may be used for up to 60 percent of future total
eligible project costs. Other Federal assistance may satisfy the non-
Mega share requirement for a Mega grant, but total Federal assistance
for a project receiving a Mega grant may not exceed 80 percent of
future total eligible project costs.
ii. INFRA
INFRA grants may be used for up to 60 percent of future eligible
project costs. Other Federal assistance may satisfy the non-INFRA share
requirement for an INFRA grant, but total Federal assistance for a
project receiving an INFRA grant may not exceed 80 percent of future
total eligible project costs, except that, for States with a population
density of not more than 80 persons per square mile of land area, based
on the 2010 census, the maximum share of the total Federal assistance
provided for a project receiving a grant under this section shall be
the applicable share under section 120(b) of title 23, U.S.C. The
following chart identifies the maximum total Federal cost share for
INFRA projects, under such section 120(b), for projects for FY 2022.
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Maximum
Federal
share for
State INFRA
projects
(%)
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Alaska...................................................... 90.97
Arizona..................................................... 90.94
California.................................................. 83.57
Colorado.................................................... 82.79
Hawaii...................................................... 81.30
Idaho....................................................... 84.97
Montana..................................................... 82.75
Nevada...................................................... 94.89
New Mexico.................................................. 85.44
Oregon...................................................... 84.63
South Dakota................................................ 81.95
Utah........................................................ 89.52
Washington.................................................. 81.42
Wyoming..................................................... 86.77
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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 U.S.C.
may be used for the non-Federal share.
iii. Rural
Rural grants may be used for up to 80 percent of future eligible
project costs, except eligible projects that further the completion of
a designated segment of the Appalachian Development Highway System
under section 14501 of title 40 of the U.S.C., or address a surface
transportation infrastructure need identified for the Denali access
system program under section 309 of the Denali Commission Act of 1998
may apply for up to 100 percent of the project costs. Other Federal
assistance may satisfy the non-Rural share requirement for a Rural
grant up to 100 percent of project costs.
[[Page 17112]]
Please note that the Rural Program has a higher statutory maximum
Federal share than Mega and INFRA. Applications which seek funding
above the statutory maximum share for MEGA and INFRA will only be
eligible for an award from the Rural program.
iv. Universal Cost Sharing or Matching Guidance
Unless otherwise authorized by statute, non-Federal cost-share may
not be counted as non-Federal share for both the programs under MPDG
and another Federal program. For any project under MPDG, 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.iii
as awarded funds. See Section D.2 for information about documenting
cost sharing in the application.
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 origin.
For the purpose of evaluating eligibility under the statutory limit
on total Federal assistance in the Mega and INFRA programs, funds from
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, except as indicated
for the INFRA program (see Section C.2.ii).
3. Eligible Projects
Each of the three funding opportunities has different statutory
rules for what kinds of projects are eligible for funding. Applicants
should review this section in determining for which of the three
programs they are applying, given the type of project being proposed.
Projects may be eligible for funding under multiple MPDG programs and
applicants may apply for any program for which their project is
eligible.
Eligible Project Types
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Mega INFRA Rural
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1. A highway or bridge project on the 1. A highway freight project on the 1. A highway, bridge, or
National Multimodal Freight Network. National Highway Freight Network. tunnel project eligible
2. A highway or bridge project on the 2. A highway or bridge project on the under National Highway
National Highway Freight Network. National Highway System. Performance Program.
3. A highway or bridge project on the 3. A freight intermodal, freight rail, 2. A highway, bridge, or
National Highway System. or freight project within the tunnel project eligible
4. A freight intermodal (including public boundaries of a public or private under Surface
ports) or freight rail project that freight rail, water (including ports), Transportation Block
provides public benefit. or intermodal facility and that is a Grant.
5. A railway highway grade separation or surface transportation infrastructure 3. A highway, bridge, or
elimination project. project necessary to facilitate direct tunnel project eligible
6. An intercity passenger rail project. intermodal interchange, transfer, or under Tribal
7. A public transportation project that access into or out of the facility.* Transportation Program.
is eligible under assistance under 4. A highway-railway grade crossing or 4. A highway freight
Chapter 53 of title 49 or is a part of grade separation project. project eligible under
any of the project types described 5. A wildlife crossing project. National Highway Freight
above. 6. A surface transportation project Program.
within the boundaries or functionally 5. A highway safety
connected to an international border improvement project,
crossing that improves a facility owned including a project to
by Fed/State/local government and improve a high risk rural
increases throughput efficiency. road as defined by the
7. A project for a marine highway Highway Safety Improvement
corridor that is functionally connected Program.
to the NHFN and is likely to reduce 6. A project on a publicly-
road mobile source emissions. owned highway or bridge
that provides or increases
access to an agricultural,
commercial, energy, or
intermodal facility that
supports the economy of a
rural area.
7. A project to develop,
establish, or maintain an
integrated mobility
management system, a
transportation demand
management system, or on-
demand mobility services.
8. A highway, bridge, or freight project
on the National Multimodal Freight
Network.
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i. Mega
Eligible projects for Mega grants are: A highway or bridge project
on the National Multimodal Freight Network; a highway or bridge project
on the National Highway Freight Network; a highway or bridge project on
the National Highway System; a freight intermodal (including public
ports) or freight rail project that provides public benefit; a railway-
highway grade separation or elimination project; an intercity passenger
rail project; a public transportation project that is eligible under
assistance under Chapter 53 of title 49 U.S.C. and is a part of any of
the project types described above; or a grouping, combination, or
program of interrelated, connected, or dependent projects of any of the
projects described above.
ii. INFRA
Eligible projects for INFRA grants are: Highway freight projects
carried out on the National Highway Freight Network (NHFN) (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 wildlife crossing project;
a surface transportation project within the boundaries of, or
functionally connected to, an international border crossing that
improves a facility owned by a Federal, State, or local government and
increases throughput efficiency; a project for a marine highway
corridor that is functionally connected to NHFN and is likely to reduce
on-road mobile source emissions; or a highway, bridge, or freight
project on the National Multimodal Freight Network under section 70103
of title 49 of the United States Code. To be eligible under INFRA, a
project within the boundaries of a freight rail, water (including
ports), or intermodal facility must be a surface transportation
infrastructure project
[[Page 17113]]
necessary to facilitate direct intermodal interchange, transfer, or
access into or out of the facility and must significantly improve
freight movement on the NHFN. In this context, improving freight
movement on the NHFN may include shifting freight transportation to
other modes, thereby reducing congestion and bottlenecks on the NHFN.
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.
iii. Rural
Eligible projects for Rural grants are: A highway, bridge, or
tunnel project eligible under National Highway Performance Program (23
U.S.C. 119); a highway, bridge, or tunnel project eligible under
Surface Transportation Block Grant (23 U.S.C. 133); a highway, bridge,
or tunnel project eligible under Tribal Transportation Program (23
U.S.C. 202); a highway freight project eligible under National Highway
Freight Program (23 U.S.C. 167); a highway safety improvement project,
including a project to improve a high risk rural road as defined by the
Highway Safety Improvement Program (23 U.S.C. 148); a project on a
publicly-owned highway or bridge that provides or increases access to
an agricultural, commercial, energy, or intermodal facility that
supports the economy of a rural area; or a project to develop,
establish, or maintain an integrated mobility management system, a
transportation demand management system, or on-demand mobility
services.
An eligible entity may bundle two or more similar eligible projects
under the Rural program if projects are included as a bundled project
in a statewide transportation improvement program under 23 U.S.C. 135
and will be awarded to a single contractor or consultant pursuant to a
contract for engineering and design or construction between the
contractor and the eligible entity.
4. Eligible Project Costs
The table below defines eligible project costs for each program per
the program statutes:
Eligible Project Costs
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Mega INFRA Rural
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Development-phase activities and costs, Development phase activities, including Development phase
including planning, feasibility planning, feasibility analysis, revenue activities, including
analysis, revenue forecasting, forecasting, environmental review, planning, feasibility
alternatives analysis, data collection preliminary engineering, design, and analysis, revenue
and analysis, environmental review and other preconstruction activities, forecasting, environmental
activities to support environmental provided the project meets statutory review, preliminary
review, preliminary engineering and requirements. engineering and design
design work, and other preconstruction Construction, reconstruction, work, and other
activities, including the preparation of rehabilitation, or acquisition of preconstruction
a data collection and post-construction property (including land related to the activities; and,
analysis plan; and, project and improvements to the land), Construction,
Construction, reconstruction, environmental mitigation (including a reconstruction,
rehabilitation, acquisition of real project to replace or rehabilitate a rehabilitation,
property (including land relating to the culvert, or to reduce stormwater runoff acquisition of real
project and improvements to that land), for the purpose of improving habitat property (including land
environmental mitigation (including for aquatic species), construction related to the project and
projects to replace or rehabilitate contingencies, equipment acquisition, improvements to the land),
culverts or reduce stormwater runoff for and operational improvements directly environmental mitigation,
the purpose of improving habitat for related to system performance. construction
aquatic species), construction INFRA grant recipients may use INFRA contingencies, acquisition
contingencies, acquisition of equipment, funds to pay for the subsidy and of equipment, and
protection, and operational improvements administrative costs necessary to operational improvements.
directly relating to the project. receive TIFIA credit assistance.
----------------------------------------------------------------------------------------------------------------
v. Mega
Mega grants may be used for development-phase activities and costs,
including planning, feasibility analysis, revenue forecasting,
alternatives analysis, data collection and analysis, environmental
review and activities to support environmental review, preliminary
engineering and design work, and other preconstruction activities,
including the preparation of a data collection and post-construction
analysis plan; and construction, reconstruction, rehabilitation,
acquisition of real property (including land relating to the project
and improvements to that land), environmental mitigation (including
projects to replace or rehabilitate culverts or reduce stormwater
runoff for the purpose of improving habitat for aquatic species),
construction contingencies, acquisition of equipment, protection, and
operational improvements directly relating to the project.
vi. INFRA
INFRA grants may be used for the construction, reconstruction,
rehabilitation, or acquisition of property (including land related to
the project and improvements to the land), environmental mitigation
(including a project to replace or rehabilitate a culvert, or to reduce
stormwater runoff for the purpose of improving habitat for aquatic
species), 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 prioritize INFRA
funding for projects that result in construction; as a result,
development phase activities may be less competitive under INFRA by
nature of the evaluation structure described in Section E. Public-
private partnership assessments for projects in the development phase
are also eligible costs.
INFRA grant recipients may use INFRA funds to pay for the subsidy
and administrative costs necessary to receive TIFIA credit assistance.
vii. Rural
Rural grants may be used for development phase activities,
including planning, feasibility analysis, revenue forecasting,
environmental review, preliminary engineering and design
[[Page 17114]]
work, and other preconstruction activities; and construction,
reconstruction, rehabilitation, acquisition of real property (including
land related to the project and improvements to the land),
environmental mitigation, construction contingencies, acquisition of
equipment, and operational improvements.
5. Project Requirements for Each Funding Opportunity
Applicants only need to address the requirements for the program or
programs from which they are requesting funding in in their
application.
i. Mega
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 a Mega grant. Previously incurred costs will be counted
toward the minimum project size requirement only if they were eligible
project costs under Section C.4.i 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
Mega grant funds, nor will they count toward the project's required
non-Federal share.
(a) Mega Project Sizes
The Department will make awards under the Mega program both to
projects greater than $500 million in cost, and to projects greater
than $100 million but less than $500 million in cost. For each fiscal
year of Mega funds, 50 percent of available funds are reserved for
projects greater than $500 million in cost, and 50 percent to projects
between $100 million and $500 million in cost.
(b) Mega Project Requirements
For a Mega project to be selected, the Department must determine
that the project meets all five requirements described in 49 U.S.C.
6701(f)(1) and below and further described in Section E.1.b.v and
Section D.2.b.vii. If your project consists of multiple components with
independent utility, the Department must determine that each component
meets each requirement to select it for an award. See Section
D.2.ii.VIII.
Mega Project Requirement #1: The project is likely to generate
national or regional economic, mobility, or safety benefits.
Mega Project Requirement #2: The project is in significant need of
Federal funding.
Mega Project Requirement #3: The project will be cost-effective.
Mega Project Requirement #4: With respect to related non-Federal
financial commitments, one or more stable and dependable funding or
financing sources are available to construct, maintain, and operate the
project, and to cover cost increases.
Mega Project Requirement #5: The applicant has, or will have,
sufficient legal, financial, and technical capacity to carry out the
project.
(c) Mega Data Collection Requirements
In accordance with 49 U.S.C. 6701(g), an applicant wishing to
submit a project to be considered for a Mega grant award will be
required to submit, as an attachment to their application, a plan for
the collection and analysis of data to identify the impacts of the
project and the accuracy of any forecast prepared during the
development phase of the project and included in the grant application.
The contents of the plan shall include an approach to measuring
proposed project outcome criteria as described in Section E and an
approach for analyzing the consistency of predicted project
characteristics with actual outcomes.
Each applicant selected for Mega grant funding must collect and
report to the Department information on the project's performance based
on performance indicators related to program goals (e.g., travel time
savings, greenhouse gas emissions, passenger counts, or level of
service) among other information. Performance indicators should include
measurable goals or targets that Department will use internally to
determine whether the project meets program goals and grant funds
achieve the intended long-term outcomes of the Mega Grant Program. To
the extent possible, performance indicators used in the reporting
should align with the measures included in the application and should
relate to at least one of the selection criteria defined in Section
E.\6\ Before the start of construction of the Mega project, the project
sponsor must submit a report providing baseline data for the purpose of
analyzing the long-term impact of the project. Not later than six (6)
years after the date of substantial completion of a project, the
eligible entity carrying out the project shall submit a project
outcomes report that compares the baseline data to quarterly project
data for the duration of the fifth year of the project after
substantial completion.
---------------------------------------------------------------------------
\6\ The Department may in the future publish a more detailed
framework for performance measure data collection that will:
Indicate standardized measurement approaches; data storage system
requirements; and any other requirements the Secretary determines to
be necessary.
---------------------------------------------------------------------------
ii. INFRA
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.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
INFRA grant funds, nor will they count toward the project's required
non-Federal share.
For the INFRA Leverage Pilot, at least 50 percent of the project's
future eligible project costs must be funded by non-Federal
contributions.
(a) Large Projects
The minimum project size for large projects is the lesser of (1)
$100 million; (2) 30 percent of a State's FY 2021 Federal-aid
apportionment if the project is located in one State; or (3) 50 percent
of the larger participating State's FY 2021 apportionment for projects
located in more than one State. The following chart identifies the
minimum total project cost, rounded up to the nearest million, for
projects for FY 2022 for both single and multi-State projects.
------------------------------------------------------------------------
FY 22 INFRA FY 22 INFRA
(30% of FY 21 (50% of FY 21
apportionment) apportionment)
State one-state multi-state
minimum minimum *
(millions) (millions)
------------------------------------------------------------------------
Alabama................................. $100 $100
Alaska.................................. 100 100
Arizona................................. 100 100
Arkansas................................ 100 100
California.............................. 100 100
Colorado................................ 100 100
Connecticut............................. 100 100
Delaware................................ 56 93
Dist. Of Col............................ 52 87
Florida................................. 100 100
Georgia................................. 100 100
Hawaii.................................. 56 93
Idaho................................... 94 100
Illinois................................ 100 100
Indiana................................. 100 100
Iowa.................................... 100 100
Kansas.................................. 100 100
Kentucky................................ 100 100
Louisiana............................... 100 100
Maine................................... 61 100
Maryland................................ 100 100
Massachusetts........................... 100 100
Michigan................................ 100 100
Minnesota............................... 100 100
[[Page 17115]]
Mississippi............................. 100 100
Missouri................................ 100 100
Montana................................. 100 100
Nebraska................................ 95 100
Nevada.................................. 100 100
New Hampshire........................... 54 90
New Jersey.............................. 100 100
New Mexico.............................. 100 100
New York................................ 100 100
North Carolina.......................... 100 100
North Dakota............................ 82 100
Ohio.................................... 100 100
Oklahoma................................ 100 100
Oregon.................................. 100 100
Pennsylvania............................ 100 100
Rhode Island............................ 72 100
South Carolina.......................... 100 100
South Dakota............................ 93 100
Tennessee............................... 100 100
Texas................................... 100 100
Utah.................................... 100 100
Vermont................................. 67 100
Virginia................................ 100 100
Washington.............................. 100 100
West Virginia........................... 100 100
Wisconsin............................... 100 100
Wyoming................................. 84 100
------------------------------------------------------------------------
* For multi-State projects, the minimum project size is the 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.5.ii.
(c) Large/Small Project Requirements
For a large project to be selected, the Department must determine
that the project meets seven requirements described in 23 U.S.C. 117(g)
and below and further described in Section E.1.v.b. and Section
D.2.b.vii. If your project consists of multiple components with
independent utility, the Department must determine that each component
meets each requirement to select it for an award. See Section E.1.v.b.:
Large Project Requirement #1: The project will generate national or
regional economic, mobility, or safety benefits.
Large Project Requirement #2: The project will be cost-effective.
Large Project Requirement #3: The project will contribute to the
accomplishment of one or more of the goals described in 23 U.S.C. 150.
Large Project Requirement #4: The project is based on the results
of preliminary engineering.
Large Project Requirement #5: With respect to related non-Federal
financial commitments, one or more stable and dependable funding or
financing sources are available to construct, maintain, and operate the
project, and contingency amounts are available to cover unanticipated
cost increases.
Large Project Requirement #6: The project cannot be easily and
efficiently completed without other Federal funding or financial
assistance available to the project sponsor.
Large Project Requirement #7: The project is reasonably expected to
begin construction no later than 18 months after the date of obligation
of funds for the project.
For a small project to be selected, the Department must consider
the cost-effectiveness of the proposed project, the effect of the
proposed project on mobility in the State and region in which the
project is carried out, and the effect of the proposed project on
safety on freight corridors with significant hazards, such as high
winds, heavy snowfall, flooding, rockslides, mudslides, wildfire,
wildlife crossing onto the roadway, or steep grades.
iii. Rural
For a Rural project to be selected, the Department must determine
that the project meets five requirements described in 23 U.S.C. 173(g)
and below and further described in Section E.1.v.b and Section
D.2.b.vii. If your project consists of multiple components with
independent utility, the Department must determine that each component
meets each requirement, to select it for an award. See Section
D.2.VIII.
Rural Project Requirement #1: Will generate regional economic,
mobility, or safety benefits.
Rural Project Requirement #2: The project will be cost-effective.
Rural Project Requirement #3: The project will contribute to the
accomplishment of 1 or more of the national goals under 23 U.S.C. 150.
Rural Project Requirement #4: The project is based on the results
of preliminary engineering.
Rural Project Requirement #5: The project is reasonably expected to
begin construction not later than 18 months after the date of
obligation of funds for the project.
6. Definition of Rural and Urban Areas
This section describes the definition of urban and rural areas and
the minimum statutory requirements for projects that meet those
definitions. The INFRA and Rural program statutes define a rural area
as an area outside an Urbanized Area \7\ with a population of over
200,000. In this notice, urban area is defined as inside an Urbanized
Area, as designated by the U.S. Census Bureau, with a population of
200,000 or more.\8\ Rural and urban definitions differ in some other
Department programs, including TIFIA. 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.8 or C.9, 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.9
that cover wide geographic regions, this component-by-component
determination may result in awards that include urban and rural funds.
---------------------------------------------------------------------------
\7\ 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.
\8\ See www.transportation.gov/buildamerica/INFRAgrants for a
list of Urbanized Areas with a population of 200,000 or more.
---------------------------------------------------------------------------
7. Areas of Persistent Poverty and Historically Disadvantaged
Communities
BIL specifies that the Secretary consider, as an additional
consideration for the Mega program, whether a project may benefit an
Area of Persistent Poverty or a Historically Disadvantaged Community.
In this context, an Area of Persistent Poverty means: (1) Any
county that has consistently had greater than or equal to 20 percent of
the population living in poverty during the 30-year period preceding
November 15, 2021, as measured by the 1990 and 2000 decennial census
and the most recent annual Small Area Income Poverty Estimates as
estimated by the Bureau of the Census; (2) any census tract with a
poverty rate of at least 20 percent as measured by the 2014-2018 5-year
data series available from the American Community Survey of the Bureau
of the Census; or (3) any territory or possession of the United States.
A county satisfies this definition only if 20 percent of its population
was living in poverty in all three of the listed datasets: (1) The 1990
decennial census; (2) the 2000 decennial census; and (3) the 2020 Small
Area Income Poverty Estimates. The Department lists all counties and
census tracts that meet this definition for Areas of Persistent Poverty
at https://datahub.transportation.gov/stories/s/tsyd-k6ij.
Historically Disadvantaged Communities--The Department has
[[Page 17116]]
been developing a definition of Historically Disadvantaged Communities
as part of its implementation of the Justice40 Initiative and will use
that definition for the purpose of this NOFO. Consistent with the
Office of Management and Budget's (OMB) Interim Guidance for the
Justice40 Initiative, Historically Disadvantaged Communities include
(1) certain qualifying census tracts, (2) any Tribal land, or (3) any
territory or possession of the United States. The Department is
providing a list of census tracts that meet the definition of
Historically Disadvantaged Communities, as well as a mapping tool to
assist applicants in identifying whether a project is located in a
Historically Disadvantaged Community, available at https://datahub.transportation.gov/stories/s/tsyd-k6ij.
8. Project Components
An application may describe a project that contains more than one
component. The Department 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 project requirements of the
program(s) being applied for described in Sections C and D.2; (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. In this context,
independent utility means that the component will represent a
transportation improvement that is usable and represents a reasonable
expenditure of the Department 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 funding program or programs
for which the applicant is applying. An applicant should not add
multiple components to a single application merely to aggregate costs
or to 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.ii. For example,
under 40 CFR 1509(e), 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 the independent utility
definition above and separately detail the costs and program funding
(Mega, INFRA, and/or Rural) 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.
9. Network of Projects
An application may describe and request funding for a network of
projects. A network of projects is a single grant award that funds
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 increase rail safety and
reduce roadway congestion but the overall benefits would be greater if
the projects were completed together under a single award.
The Department 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.8. is
applicable to networks of projects, and applicants should follow that
guidance on how to 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.
10. Application Limit
To encourage applicants to prioritize their MPDG opportunity
submissions, each eligible applicant may submit three unique
applications per grant program (Mega, INFRA, and Rural), for a total
application limit of nine. The three-unique-applications-per-grant
program 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 unique applications to a particular grant program 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/grants/mpdg-how-apply.
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.
i. 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 application for (If Yes, please include project title and
USDOT discretionary applicable grant programs).
grant funding for this
project submitted
previously?
A project will be _Opt-out of Mega?
evaluated for _Opt-out of INFRA?
eligibility for _Opt-out of Rural?
consideration for all
three programs, unless
the applicant wishes to
opt-out of being
evaluated for one or
more of the grant
programs.
Project Costs:
MPDG Request Amount...... Exact Amount in year-of-expenditure
dollars: $__
[[Page 17117]]
Estimated Other Federal Estimate in year-of-expenditure dollars:
funding (excl. MPDG). $__
Estimated Other Federal Other Federal funding from Federal
funding (excl. MPDG) Formula dollars: $__
further detail. Other Federal funding being requested
from other USDOT grant opportunities?:
$__From What Program(s)?: __
Estimated non-Federal Estimate in year-of-expenditure dollars:
funding. $__
Future Eligible Project Estimate in year-of-expenditure dollars:
Cost (Sum of previous $__
three rows).
Previously incurred Estimate in year-of-expenditure dollars:
project costs (if $__
applicable).
Total Project Cost (Sum Estimate in year-of-expenditure dollars:
of `previous incurred' $__
and `future eligible').
INFRA: Amount of Future (1) A highway freight project on the
Eligible Costs by National Highway Freight Network: $__
Project Type. (2) A highway or bridge project on the
National Highway System: $__
(3) A freight intermodal, freight rail,
or freight project within the boundaries
of a public or private freight rail,
water (including ports), or intermodal
facility and that is a surface
transportation infrastructure project
necessary to facilitate direct
intermodal interchange, transfer, or
access into or out of the facility: $__
(4) A highway-railway grade crossing or
grade separation project: $__
(5) A wildlife crossing project: $__
(6) A surface transportation project
within the boundaries or functionally
connected to an international border
crossing that improves a facility owned
by fed/state/local government and
increases throughput efficiency: $__
(7) A project for a marine highway
corridor that is functionally connected
to the NHFN and is likely to reduce road
mobile source emissions: $__
(8) A highway, bridge, or freight project
on the National Multimodal Freight
Network: $__
Mega: Amount of Future (1) A highway or bridge project on the
Eligible Costs by National Multimodal Freight Network: $__
Project Type. (2) A highway or bridge project on the
National Highway Freight Network: $__
(3) A highway or bridge project on the
National Highway System: $__
(4) A freight intermodal (including
public ports) or freight rail project
that provides public benefit: $__
(5) A railway highway grade separation or
elimination project: $__
(6) An intercity passenger rail project:
$__
(7) A public transportation project that
is eligible under assistance under
Chapter 53 of title 49 and is a part of
any of the project types described
above: $__
(8) A grouping, combination, or program
of interrelated, connected, or dependent
projects of any of the projects
described above.
Rural: Amount of Future (1) A highway, bridge, or tunnel project
Eligible Costs by eligible under National Highway
Project Type. Performance Program: $__
(2) A highway, bridge, or tunnel project
eligible under Surface Transportation
Block Grant: $__
(3) A highway, bridge, or tunnel project
eligible under Tribal Transportation
Program: $__
(4) A highway freight project eligible
under National Highway Freight Program:
$__
(5) A highway safety improvement project,
including a project to improve a high
risk rural road as defined by the
Highway Safety Improvement Program: $__
(6) A project on a publicly-owned highway
or bridge that provides or increases
access to an agricultural, commercial,
energy, or intermodal facility that
supports the economy of a rural area:
$__
(7) A project to develop, establish, or
maintain an integrated mobility
management system, a transportation
demand management system, or on-demand
mobility services: $__
Project Location:
State(s) in which project
is located.
INFRA: Small or Large Small/Large.
project.
Urbanized Area in which .........................................
project is located, if
applicable.
Population of Urbanized .........................................
Area (According to 2010
Census).
Is the project located List census tracts that qualify as within
(entirely or partially) these areas. (https://
in Area of Persistent datahub.transportation.gov/stories/s/
Poverty or Historically tsyd-k6ij).
Disadvantaged Community?
Is the project located Yes/No. If yes, please describe which of
(entirely or partially) the four Federally designated community
in Federal or USDOT development zones in which your project
designated areas? is located.
Opportunity Zones: (https://opportunityzones.hud.gov/).
Empowerment Zones: (https://www.hud.gov/hudprograms/empowerment_zones) Promise
Zones: (https://www.hud.gov/program_offices/field_policy_mgt/fieldpolicymgtpz fieldpolicymgtpz).
Choice Neighborhoods: (https://www.hud.gov/program_offices/public_indian_housing/program s/ph/cn).
Is the project currently Yes/No.
programmed in the:. (Please specify in which plans the
TIP............. project is currently programmed, and
STIP............ provide the identifying number if
MPO Long Range applicable).
Transportation Plan..
State Long Range
Transportation Plan..
State Freight
Plan..
------------------------------------------------------------------------
[[Page 17118]]
ii. Project Narrative
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.ii.I.
II. Project Location....................... See D.2.ii.II.
III. Project Parties....................... See D.2.ii.III.
IV. Grant Funds, Sources and Uses of all See D.2.ii.IV.
Project Funding.
V. Project Outcome Criteria................ See D.2.ii.V.
VI. Benefit-Cost Analysis.
VII. Project Readiness and Environmental See D.2.ii.VII and
Risk. E.1.c.ii.
VIII. Project Requirements................. See D.2.ii.VIII and C.5.
------------------------------------------------------------------------
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 for each of the grant
programs from which the applicant is seeking funding and to assess the
selection criteria specified in Section E.1 that are applicable to the
grant programs from which the applicant is seeking funding. 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 it 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.
Appendices may include documents supporting assertions or conclusions
made in the 25-page project narrative and do not count towards the 25-
page limit. 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 Description
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. The application should also identify:
(a) Whether the project is located in an Area of Persistent
Poverty, including the relevant County and/or census tract(s);
(b) whether the project is located in a Historically Disadvantaged
Community, including the relevant census tract(s);
(c) If the project is located within the boundary of a 2010 Census-
designated Urbanized Area, the application should identify the
Urbanized Area; \9\ and
---------------------------------------------------------------------------
\9\ Lists of Urbanized Areas are available on the Census Bureau
website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/
and maps are available at https://tigerweb.geo.census.gov/tigerweb/.
For the purposes of the INFRA program, Urbanized Areas with
populations fewer than 200,000 will be considered rural.
---------------------------------------------------------------------------
(d) whether the project is located in one of four Federally
designated community development zones (Opportunity Zones, Empowerment
Zones, Promise Zones, or Choice Neighborhoods).
Information under (d) may be used for the Department's internal
data tracking.
III. Project Parties
This section of the application should provide details about the
lead applicant, including the lead applicant's experience with receipt
and expenditure of Federal transportation funds. This section of the
application should also list and briefly describe all of the 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 and the plans for covering the full cost of the project from all
sources. At a minimum, it should include:
Previously incurred expenses, as defined in Section C.
Future eligible costs, as defined in Section C.5.
For all funds to be used for future eligible project
costs, the source and amount of those funds.
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.
All Federal funds to be used for future eligible project
costs, including grant programs covered by this MPDG application (Mega,
INFRA, and/or Rural), other Federal grants that have been awarded to
the project or for which the project intends to apply in the future
(e.g., Bridge Investment Program, FTA Capital Investment Grant, etc.)
and any Federal formula funds that have already been programmed for the
project or are planned to be programmed for the project.
For each category of Federal funds to be used for future
eligible project
[[Page 17119]]
costs, the amount, nature, and source of any required non-Federal match
for those funds.
The Department is committed to considering project funding
decisions holistically among the various discretionary grant programs
available in BIL. The Department also recognizes that applicants may be
seeking discretionary grant funding from multiple discretionary grant
programs and opportunities. An applicant may seek the same award
amounts from multiple Department discretionary opportunities or seek a
combination of funding from multiple Department opportunities. The
applicant should indicate, within the Federal funding description,
details as to what other potential Department programs and
opportunities they intend to solicit funds, and what award amounts they
will be seeking.
(A) 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 those data in dollars and
percentages. Funding sources should be grouped into three categories:
Non-Federal; MPDG; 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 and those associated with
each category of Federal funding.
(B) Information showing that the applicant has budgeted sufficient
contingency amounts to cover unanticipated cost increases.
(C) The amount of the requested MPDG funds that would be subject to
the limit on freight rail, port, and intermodal infrastructure
described in Section B.2.ii., if being considered for INFRA funding.
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 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 source of funds is available for expenditure only
during a fixed 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. Project Outcome Criteria
This section of the application should demonstrate how the project
aligns with the Project Outcome Criteria described in Section E.2 of
this notice. The Department encourages applicants to address each
criterion as it applies to the funding programs to which they are
applying or else to expressly state that the project does not address
the criterion. Insufficient information to assess any criterion will
negatively impact the project rating. 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 Project Outcome Criteria is in Section E.2 of this
notice. Applicants also should review that section before considering
how to organize their application.
Criterion #1: Safety
This section of the application should describe the anticipated
outcomes of the project that support the Safety criterion (described in
Section E.2 of this notice). The applicant should include information
on, and to the extent possible, quantify, how the project will target
known, documented safety problems within the project area or wider
transportation network, and demonstrate how the project will protect
all users of the transportation system and/or communities from health
and safety risks. The application should provide evidence to support
the claimed level of effectiveness of the project in protecting all
travelers, including vulnerable users, from health and safety risks,
such as the number and rate of reduced crashes, serious injuries, and/
or fatalities. If the project is providing increased access to
commercial motor vehicle parking, the application should provide
information demonstrating the lack of parking in the area and evidence
estimating the number of vehicles that will use the new parking.
Criterion #2: State of Good Repair
This section of the application should describe how the project
will contribute to a state of good repair by restoring and modernizing
core infrastructure assets and/or addressing current or projected
system vulnerabilities (described in Section E.2 of this notice). The
application should include information on the current condition of all
assets that will be affected by the project, how the proposed project
will improve asset condition, plans to ensure the ongoing state of good
repair of new assets constructed as part of the project, and any
estimates of impacts on long-term cost structures or overall life-cycle
costs.
Criterion #3: Economic Impacts, Freight Movement, and Job Creation
This section of the application should describe how the project
will contribute to at least one of the following outcomes: (1) Improve
system operations to increase travel time reliability and manage travel
demand for goods movement, especially for supply chain bottlenecks,
thereby reducing the cost of doing business and improving local and
regional freight connectivity to the national and global economy; (2)
improve multimodal transportation systems that incorporate affordable
transportation options such as public transit to improve mobility of
people and goods; (3) decrease transportation costs and provide
reliable and timely access to employment centers and job opportunities;
(4) significantly improve the economic strength of regions and cities
by increasing the economic productivity of land, capital, or labor, and
linkages between distinct rural areas and rural and urban areas; (5)
enhance recreational and tourism opportunities by providing access to
Federal lands (including national parks, national forests, national
recreation areas, national wildlife refuges, and wilderness areas) or
State parks; (6) result in high-quality job creation by supporting
good-paying jobs with a free and fair choice to join a union in project
construction and in on-going operations and maintenance, and
incorporate strong labor standards, such as through the use of project
labor agreements, registered apprenticeship programs, and other joint
labor-management training programs; \10\ (7) result in workforce
opportunities for historically underrepresented groups, such as through
the use of local hire provisions or other workforce strategies targeted
at or jointly developed with historically underrepresented groups, to
support project development; (8) foster economic growth and development
[[Page 17120]]
while creating long-term high-quality jobs, while addressing acute
challenges, such as energy sector job losses in energy communities as
identified in the report released in April 2021 by the interagency
working group established by section 218 of Executive Order 14008; \11\
(9) support integrated land use, economic development and
transportation planning to improve the movement of people and goods and
local fiscal health, facilitate greater public and private investments
and strategies in land-use productivity, including rural main street
revitalization or increase in the production or preservation of
location-efficient housing; or (10) help the United States compete in a
global economy by encouraging the location of important industries and
future innovations and technology in the U.S., and facilitating
efficient and reliable freight movement.
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\10\ https://www.apprenticeship.gov/https://www.apprenticeship.gov.
\11\ https://netl.doe.gov/sites/default/files/2021-04/Initial%20Report%20on%20Energy%20Communities_Apr2021.pdf.
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Criterion #4: Climate Change, Resiliency, and the Environment
This section of the application should describe how the project
will incorporate considerations of climate change and environmental
justice in the planning stage and in project delivery, such as through
incorporation of specific design elements that address climate change
impacts. The application should describe the degree to which the
project is expected to reduce transportation-related pollution such as
air pollution and greenhouse gas emissions, increase use of lower-
carbon travel modes such as transit and active transportation, improve
the resiliency of at-risk \12\ infrastructure, incorporate lower-carbon
pavement and construction materials, or address the disproportionate
negative environmental impacts of transportation on disadvantaged
communities. The application should explain to what extent the project
will prevent stormwater runoff that would be a detriment to aquatic
species. The application should describe whether the project will
promote energy efficiencies, support fiscally responsible land use and
transportation efficient design that reduces greenhouse gas emissions,
improve public health and increase use of lower-carbon travel modes
such as transit, active transportation and multimodal freight,
incorporate electrification or zero emission vehicle infrastructure,
increase resilience to all hazards, and recycle or redevelop brownfield
sites, particularly in communities that disproportionally experience
climate-change-related consequences. The application should describe if
projects in floodplains are upgraded consistent with the Federal Flood
Risk Management Standard in Executive Order 14030, Climate-Related
Financial Risk (86 FR 27967) and 13690, Establishing a Federal Flood
Risk Management Standard and a Process for Further Soliciting and
Considering Stakeholder Input (80 FR 6425.)
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\12\ For the MPDG opportunity, at-risk infrastructure is defined
as infrastructure that is subject to, or faces increased long-term
future risks of, a weather event, a natural disaster, or changing
conditions, such as coastal flooding, coastal erosion, wave action,
storm surge, or sea level rise, in order to improve transportation
and public safety and to reduce costs by avoiding larger future
maintenance or rebuilding costs.
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Criterion #5: Equity, Multimodal Options, and Quality of Life
This section of the application should describe how the project
will proactively address equity and barriers to opportunity, improve
quality of life in rural areas or urbanized areas, and benefit
Historically Disadvantaged Communities or populations, or Areas of
Persistent Poverty. This may include increasing affordable
transportation choices, especially for transportation disadvantaged
communities. It should also describe how the project has or will
meaningfully engage communities affected by the project, with effective
public participation that is accessible to all persons regardless of
race, color, national origin, disability, age, and sex. Equity
considerations should be integrated into planning, development, and
implementation of transportation investments, including utilization of
Disadvantaged Business Enterprises (DBEs). The application should
describe any public involvement plan or targeted outreach,
demonstrating engagement of diverse input such as community-based
organizations during project planning and consideration of such input
in the decision-making. The project application should describe
planning and engagement in the project design phase to mitigate and, to
the greatest extent possible, prevent, physical and economic
displacement.
Criterion #6: Innovation Areas: Technology, Project Delivery, and
Financing
This section of the application should contain sufficient
information to evaluate how the project can be transformative in
achieving program goals, and includes or enables innovation in: (1) The
accelerated deployment of innovative and secure-by-design technology,
including 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.
VI. 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 purpose of the BCA is to enable Department to
evaluate the project's cost effectiveness by comparing its expected
benefits to its expected costs. The results of the analysis should be
summarized in the Project Narrative directly, as described in Section
D.2. Applicants should also 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 Department evaluators.
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. The analysis should provide present
value estimates of a project's benefits and costs relative to a no-
build baseline. To calculate present values, applicants should apply a
real discount rate of 7 percent per year to the project's streams of
benefits and costs, which should be stated in constant-dollar terms.
The costs and benefits that are compared in the BCA must cover the same
project scope.
Any benefits claimed for the project, both quantified and
unquantified, should be clearly tied to the expected outcomes of the
project. Projected benefits may accrue to both users of the facility
and those who are affected by its use (such as through changes in
emissions of greenhouse gases and other pollutants, or availability of
affordable housing or more affordable transportation choices). Usage
forecasts applied in estimating future benefits should account for any
additional demand induced by the improvements to the facility. While
benefits should be quantified wherever possible, applicants may also
describe other categories of benefits in the BCA that are more
difficult to quantify and/or value in economic terms.
The BCA should include the full costs of developing, constructing,
operating,
[[Page 17121]]
and maintaining the proposed project, as well as the expected timing or
schedule for costs in each of these categories. The BCA may also
include the present discounted value of any remaining service life of
the asset at the end of the analysis period.
Detailed guidance from the Department on estimating benefits and
costs, together with recommended economic values for converting them to
dollar terms and discounting to their present values, is available on
the program website (see www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance-discretionary-grant-programs-0).
VII. Project Readiness and Environmental Risk
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.4 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
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.
The applicant must demonstrate compliance with Title VI/Civil Rights
requirements, to ensure that no person is excluded from participation,
denied benefits, or otherwise subjected to discrimination under any
program or activity, on the basis of race, color, national origin, sex,
age, or disability.
(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:
All necessary activities will be complete to allow MPDG
funds to be obligated \13\ sufficiently in advance of the statutory
deadline for applicable programs (For INFRA and Rural, the statutory
obligation deadline is September 30, 2025 for FY 2022 funds. For Mega,
there is no statutory obligation deadline; however, the Department
seeks projects that will begin construction before September 30, 2025)
and that any unexpected delays will not put the funds at risk of
expiring before they are obligated;
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\13\ 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.
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the project can begin construction quickly upon obligation
of grant funds, and that the grant funds will be spent expeditiously
once construction starts; and
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. A plan for securing any required Right-of-
Way agreements should be included. If applicable, this section should
describe a right-of-way acquisition plan that minimally disrupts
communities and maintains community cohesion.
(c) Required Approvals.
i. Environmental Permits and Reviews. The application should
demonstrate receipt (or the schedule for 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:
Information about the NEPA status of the project,
including whether the project may qualify for a Categorical Exclusion
under current regulations. 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 NEPA class of action, where the project
is in the NEPA process, and indicate the anticipated date of completion
of all milestones and of the final NEPA determination. If the final
agency action with respect to NEPA occurred more than three years
before the application date, the applicant should describe a proposed
approach for updating this material in accordance with applicable NEPA
reconsideration requirements.
Information on reviews, approvals, and permits by other
Federal and State agencies. An application should indicate whether the
proposed project requires reviews or approval actions by other
agencies,\14\ 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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\14\ 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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Environmental studies or other documents--preferably
through a website link--that describe in detail known project impacts,
and possible mitigation for those impacts.
[[Page 17122]]
A description of discussions with the appropriate
Department modal administration field or headquarters office regarding
the project's compliance with NEPA and other applicable Federal
environmental reviews and approvals.
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.
ii. State and Local Approvals. The applicant should demonstrate
receipt (or the schedule for anticipated receipt) of State and local
approvals on which the project depends, such as State and local
environmental and planning approvals, and statewide transportation
improvement program (STIP) or transportation improvement program (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.
iii. Federal Transportation Requirements Affecting State and Local
Planning. The planning requirements applicable to the Federal-aid
highway program apply to all projects, but for port, freight, and rail
projects, planning requirements of the operating administration that
will administer the project will also apply,\15\ including intermodal
projects located at airport facilities.\16\ 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. 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.
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\15\ 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 a 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 to receive a 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 of Section 70202 of Title70202Title 49 U.S.C. prior to
the start of construction. Port planning guidelines are available at
StrongPorts.gov.
\16\ Projects at grant obligated airports must be compatible
with the Federal Aviation Administration (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 grant will be specified in the project-specific
agreements signed by relevant modal administration and the grant
recipients, will be based on critical path items that applicants
identify in the application, and will be consistent with relevant State
and local 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,
pushback from stakeholders or impacted communities, 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 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 the Department modal field or headquarters
offices as found at https://www.transportation.gov/grants/mega-additional-guidance for information on what steps are prerequisite to
the obligation of Federal funds to ensure that their project schedule
is reasonable and that there are no risks of delays in satisfying
Federal requirements.
VIII. Statutory Project Requirements
To select a project for award, the Department must determine that
the project--as a whole, as well as each independent component of the
project--satisfies statutory requirements relevant to the program from
which it will receive an award. The application should include
sufficient information for the Department to make these determinations
for both the project as a whole and for each independent component of
the project. Applicants should use this section of the application to
summarize how their project meets applicable statutory requirements
and, if present, how each independent project component 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. Supporting information provided in
appendices may be referenced.
Statutory Selection Requirements
----------------------------------------------------------------------------------------------------------------
23 U.S.C. 117 INFRA 49 U.S.C. 6701 Mega 23 U.S.C. 173 Rural Guidance
----------------------------------------------------------------------------------------------------------------
(1) The project will generate (1) The project is (1) The project will Summarize the economic,
national, or regional economic, likely to generate generate regional mobility, and safety
mobility, or safety benefits. national or regional economic, mobility, benefits of the project
economic, mobility, or safety benefits. and independent project
safety benefits. components, and describe
the scale of their impact
in national or regional
terms. The Department will
base its determination on
the assessment of this
information by Project
Outcome evaluators.
(2) The project will be cost (3) The project will (2) The project will Highlight the results of
effective. be cost effective. be cost effective. the Benefit-Cost analysis,
as well as the analyses of
independent project
components if applicable.
The Department will base
its determination on the
ratio of project benefits
to project costs as
assessed by the Economic
Analysis Team.
[[Page 17123]]
(3) The project will contribute to No statutory (3) The project will Specify the Goal(s) and
1 or more of the national goals requirement. contribute to 1 or summarize how the project
described under Section 150. more of the national and independent project
goals described under components contribute to
Section 150. that goal(s).
The Department will base
its determination on the
assessment of this
information by Project
Outcome evaluators.
(4) The project is based on the No statutory (4) The project is For a project or
results of preliminary engineering. requirement. based on the results independent project
of preliminary component to be based on
engineering. the results of preliminary
engineering, please
indicate which of the
following activities have
been completed as of the
date of application
submission:
Environmental
Assessments.
Topographic
Surveys.
Metes and
Bounds Surveys.
Geotechnical
Investigations.
Hydrologic
Analysis.
Utility
Engineering.
Traffic
Studies.
Financial
Plans.
Revenue
Estimates.
Hazardous
Materials Assessments.
General
estimates of the types
and quantities of
materials.
Other work
needed to establish
parameters for the
final design.
If one or more of these
studies was included in a
larger plan or document
not described above,
please explicitly state
that and reference the
document. The Department
will base its
determination on the
assessment by technical
capacity evaluators.
(5) With respect to related non- (4) With respect to No statutory Please indicate funding
federal financial commitments, 1 non-federal financial requirement. source(s) and amounts that
or more stable and dependable commitments, 1 or will account for all
sources of funding and financing more stable and project costs, broken down
are available to construct, dependable sources by independent project
maintain, and operate the project, are available to component, if applicable.
and contingency amounts are construct, operate, Demonstrate that the
available to cover unanticipated and maintain the funding is stable,
cost increases. project, and to cover dependable, and dedicated
cost increases. to this specific project
by referencing the STIP/
TIP, a letter of
commitment, a local
government resolution,
memorandum of
understanding, or similar
documentation. Please
state the contingency
amount available for the
project. The Department
will base its
determination on an
assessment of this
information by financial
completeness evaluators.
The Department will base
its determination on an
assessment of this
information by financial
completeness evaluators.
(6) The project cannot be easily (2) The project is in No statutory Describe the potential
and efficiently completed without significant need of requirement. negative impacts on the
other Federal funding or financing Federal funding. proposed project if the
available to the project sponsor. MPDG grant (or other
Federal funding) was not
awarded. Respond to the
following:
1. How would the project
scope be affected if MPDG
(or other Federal funds)
were not received?
2. How would the project
schedule be affected if
MPDG (or other Federal
funds) were not received?
3. How would the project
cost be affected if MPDG
(or other Federal funds)
were not received?
If there are no negative
impacts to the project
scope, schedule, or budget
if MPDG funds are not
received, state that
explicitly. Impacts to a
portfolio of projects will
not satisfy this
requirement; please
describe only project-
specific impacts. Re-
stating the project's
importance for national or
regional economic,
mobility, or safety will
not satisfy this
requirement. The
Department will base its
determination on an
assessment of this
information by program
evaluators.
(7) The project is reasonably (5) The applicant (5) The project is Please provide expected
expected to begin not later than have, or will have, reasonably expected obligation date and
18 months after the date of sufficient legal, to begin not later construction start date,
obligation of funds for the financial, and than 18 months after referencing project budget
project. technical capacity to the date of and schedule as needed. If
carry out the project. obligation of funds the project has multiple
for the project. independent components, or
will be obligated and
constructed in multiple
phases, please provide
sufficient information to
show that each component
meets this requirement.
The Department will base
its determination on the
project risk rating as
assessed according to the
Project Readiness
consideration. The
Department will base its
determination on the
project risk as assessed
by the Environmental Risk,
Financial Completeness,
and Technical Capacity
evaluators.
----------------------------------------------------------------------------------------------------------------
For an INFRA small project to be selected, the Department must
consider the cost effectiveness of the proposed project, the effect of
the proposed project on mobility in the State and region in which the
project is carried out, and the effect of the proposed project on
safety on freight corridors with significant hazards such as high
winds, heavy snowfall, flooding, rockslides, mudslides, wildfire,
wildlife crossing onto the roadway, or steep grades. If an applicant
seeks an award for an INFRA small project, it should use this section
to provide information on the project's cost effectiveness, including
by summarizing the results of the benefit-cost analysis for the
project, and the project's effect on the mobility in its State and
region, and the effect of the proposed project on safety of freight
corridors with significant hazards, or refer to where else the
information can be found in the application.
[[Page 17124]]
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 MPDG 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 MPDG grant, the Department may determine that the
applicant is not qualified to receive an MPDG grant and use that
determination as a basis for making an MPDG grant to another applicant.
4. Submission Dates and Times
Applications must be submitted by 11:59 p.m. EDT May 23, 2022. The
Grants.gov ``Apply'' function will open by March 25, 2022. To submit an
application through Grants.gov, applicants must:
(1) Obtain a Unique Entity Identifier (UEI) number; \17\
---------------------------------------------------------------------------
\17\ On April 4, 2022 the Federal government will stop using the
Data Universal Numbering System (DUNS) number to uniquely identify
entities. At that point, entities doing business with the Federal
government will use a Unique Entity Identifier (UEI) created in
SAM.gov. If your entity is currently registered in SAM.gov, your UEI
has already been assigned and is viewable in SAM.gov. This includes
inactive registrations.
---------------------------------------------------------------------------
(2) Register with the System for Award Management (SAM) at
www.sam.gov;
(3) Create a Grants.gov username and password; and
(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
applicants 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.
5. Funding Restrictions
i. Mega
BIL specifies that 50 percent of available Mega funds are set aside
for projects between $100 million and $500 million in cost. The
remaining available Mega funds, less 2 percent for program
administration, are for projects greater than $500 million in cost.
ii. INFRA
The Department will make awards under the INFRA program to both
large and small projects (refer to section C.5.ii for a definition of
large and small projects). For a large project, BIL 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,
a minimum of 15 percent of available funds are reserved for small
projects, and a maximum of 85 percent of funds are reserved for large
projects.
The program statute specifies that not more than 30 percent of
INFRA grants for each of the fiscal years 2022 to 2026 may be used for
grants to freight rail, water (including ports and marine highway
corridors), other freight intermodal projects that make significant
improvements to freight movement on the National Highway Freight
Network or National Multimodal Freight Network, wildlife crossing
projects, projects located within or functionally connected to an
international border crossing area in the United States, improves a
transportation facility owned by a Federal, State, or local government
entity, and projects that increase the throughput efficiency of border
crossings. As much as $482 million may be available within this
provision. Only the nonhighway 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
Department may award less than the full amount available under this
provision.
The program statute requires that at least 25 percent of the funds
provided for INFRA large project grants must be used for projects
located in rural areas, as defined in Section C.6 The program statute
requires that at least 30 percent of the funds provided for INFRA small
project grants must be used for projects located in rural areas, as
defined in Section C.6. 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.
BIL specifies that $150 million in available INFRA funding for each
of the fiscal years 2022 to 2026 be set aside for an INFRA Leverage
Pilot program. The INFRA Leverage Pilot program will fund projects with
a Federal share of less than 50 percent. Not less than 10 percent of
the INFRA Leverage Pilot funds will be awarded to small INFRA projects,
as defined in Section C.5.ii.(b), and not less than 25 percent of the
INFRA Leverage Pilot funds will be awarded to rural projects, as
defined in Section C.6.
iii. Rural
The Department will make awards under the Rural program. All
funding under this program will be awarded to projects defined as rural
projects, as defined in Section C.6. BIL specifies that at least 90
percent of Rural grant amounts must be at least $25 million, and up to
10 percent of Rural grants may be for grant amounts of less than $25
million. BIL specifies that 15 percent of the Rural program funds shall
be reserved for eligible projects located in States that have rural
roadway fatalities as a result of lane departures that are greater than
the average of rural roadway fatalities as a result of lane departures
in the United States.\18\ This is defined based on five-year rolling
average of rural roadway departure fatality rate per 100 million VMT.
BIL specifies that 25 percent of the Rural program funds shall be
reserved for eligible projects that further the completion of
designated routes of the Appalachian Development Highway System under
section 14501 of title 40 U.S.C.
---------------------------------------------------------------------------
\18\ States with above average rural roadway departure
fatalities (based on five-year rolling average of rural roadway
departure fatality rate per 100 million VMT) include: Alabama;
Alaska; Arkansas; Idaho; Iowa; Kansas; Kentucky; Louisiana; Maine;
Mississippi; Missouri; Montana; Nebraska; New Mexico; North
Carolina; North Dakota; Oklahoma; Oregon; South Carolina; South
Dakota; Tennessee; Vermont; West Virginia; Wyoming.
---------------------------------------------------------------------------
6. Other Submission Requirements
a. 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.
[[Page 17125]]
b. Late Applications
Applications received after the deadline will not be considered
except in the case of unforeseen technical difficulties outlined below.
c. Late Application Policy
Applicants experiencing technical issues with Grants.gov that are
beyond the applicant's control must contact MPDGrants@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 UEI number associated with the application; and
6. The Grants.gov Help Desk Tracking Number.
To ensure a fair competition of limited competitive 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 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, the Department 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
i. Overall Application Rating
The Department will assign each eligible project a rating of highly
recommended, recommended, or not recommended for each of the grant
programs for which the applicant is applying. The rating will be
assigned by the Department on the following basis:
A rating of ``Not Recommended'' will be assigned to projects that:
The Department determines do not meet one or more
statutory requirements for award, or additional information is required
for one or more statutory requirements; or
Receive a low rating in one or more of project outcome,
economic analysis, or project readiness; or
Are otherwise identified by the Senior Review Team to not
be suitable for a grant award based on its weakness within a Project
Outcome Area.
A rating of ``Highly Recommended'' will be assigned to projects
that:
The Department determines meet all statutory requirements
for award and receive high ratings in all of project outcomes, economic
analysis, and project readiness; or
Meet all statutory requirements for award and are
otherwise determined by the Senior Review Team to be an exemplary
project of national or regional significance that generates significant
benefits in one of the project outcome areas.
A rating of ``Recommended'' will be assigned to projects that:
The Department determines meet all statutory requirements
for award; and
Are not otherwise assigned a ``Highly Recommended or ``Not
Recommended'' rating.
ii. Project Outcome Criteria
The Department will consider the extent to which the project
addresses the following project outcome criteria, which are explained
in greater detail below and reflect the key program objectives
described in Section D.V: (1) Safety; (2) state of good repair; (3)
economic impacts, freight movement, and job creation; (4) climate
change, resiliency, and the environment; (5) equity, multimodal
options, and quality of life; and (6) innovation areas: technology,
project delivery, and financing. For each project outcome area, the
Project Outcome Analysis team will assign a 0, 1, 2, or 3 according to
the guidelines below.
----------------------------------------------------------------------------------------------------------------
0 1 2 3
----------------------------------------------------------------------------------------------------------------
Rating Scale............. The project The project's The project has The project has
negatively affects claimed benefits in clear and direct clear and direct,
this outcome area this outcome area benefits in this data-driven, and
OR the application are plausible but outcome area significant
contains minimal OR the stemming from benefits in this
insufficient project's claimed adopting common outcome area, that
information to benefits in this practices for are well supported
assess this outcome area are not planning, designing by the evidence in
area. plausible. or building the application
infrastructure.
----------------------------------------------------------------------------------------------------------------
The Department is neither weighting these criteria nor is a project
required to score highly in each criterion, but project sponsors are
encouraged to propose projects that score highly in as many areas as
possible. The Department will assign a high, medium-high, medium,
medium-low, and low project outcome rating on the following basis:
------------------------------------------------------------------------
Score Rating
------------------------------------------------------------------------
At least three 3's, no 0's................ High.
At least one 3, no 0's.................... Medium-High.
No 3's, no 0's............................ Medium.
No more than one 0........................ Medium-Low.
Two or more 0's........................... Low.
------------------------------------------------------------------------
Criterion #1: Safety
The Department will assess how the project targets a known safety
problem and seeks to protect motorized and non-motorized travelers and
communities, including vulnerable users, from health and safety risks.
The Department will consider the project's estimated impacts on the
number, rate, and consequences of crashes, fatalities and serious
injuries among transportation users; the degree to which the project
addresses vulnerable roadway users; and the degree to which the project
addresses inequities in crash victims; the project's incorporation of
roadway design and technology that is proven to improve safety.
Applicants are encouraged to support actions and activities identified
in the National Roadway Safety Strategy (National Roadway Safety
Strategy [verbar] US Department of Transportation).\19\
---------------------------------------------------------------------------
\19\ https://www.transportation.gov/NRSS https://www.transportation.gov/NRSS.
---------------------------------------------------------------------------
The Department is also focused on the national priority of
addressing the shortage of long-term parking for commercial motor
vehicles on the
[[Page 17126]]
National Highway System. Projects which increase access to truck
parking generate safety benefits for motorized and non-motorized users
as well as commercial vehicle operators.
------------------------------------------------------------------------
Score Safety criterion Example
------------------------------------------------------------------------
0....................... The project negatively ......................
impacts this project
outcome area.
1....................... The project's claimed Example: The project
benefits in this will result in
outcome area are minimal improvements
plausible but minimal to safety, with
OR the project's little impact on the
claimed benefits in number of crashes,
this area are not fatalities, or
plausible. serious injuries to
the traveling public.
2....................... The project produces Example: The project
nontrivial, positive results in measurable
benefits in this reductions in
outcome area that are crashes, fatalities,
well supported by the or serious injuries
evidence in the to the traveling
application. public, including
vulnerable roadway
users, by adopting
actions and
activities identified
in the National
Roadway Safety
Strategy.
3....................... The project produces Example: The project
significant, targets a well-known
transformative safety problem;
benefits in this results in a
outcome area, that significant reduction
are well supported by in fatalities or
the evidence in the serious injuries to
application. motorized and
nonmotorized users.
The project
incorporates
innovative roadway
design or technology
aimed at protecting
the health and safety
of vulnerable roadway
users.
------------------------------------------------------------------------
Criterion #2: State of Good Repair
DOT will assess whether and to what extent the project: (1) Is
consistent with relevant plans to maintain transportation facilities or
systems in a state of good repair, including Department-required asset
management plans; and (2) addresses current and projected
vulnerabilities that, if left unimproved, will threaten future
transportation network efficiency, mobility of goods or accessibility
and mobility of people, or economic growth. The Department will also
consider whether the project includes a plan to maintain the
transportation infrastructure built with grant funds in a state of good
repair. The Department will prioritize projects that ensure the good
condition of transportation infrastructure, including rural
transportation infrastructure, and support commerce and economic
growth. Projects that represent routine or deferred maintenance will be
less competitive in this criterion. Per FHWA's published Policy on
Using Bipartisan Infrastructure Law Resources to Build a Better
America,\20\ the Department encourages applicants to improve the
condition and safety of existing State and locally-owned transportation
infrastructure within the right-of-way.
---------------------------------------------------------------------------
\20\ https://www.fhwa.dot.gov/bipartisan-infrastructure-law/docs/building_a_better_america-policy_framework.pdf.
------------------------------------------------------------------------
State of good repair
Score criterion Example
------------------------------------------------------------------------
0....................... The project negatively ......................
impacts this project
outcome area.
1....................... The project's claimed Example: The project
benefits in this is identified in the
outcome area are sponsor's Asset
plausible but minimal Management Plan, but
OR the project's it is difficult to
claimed benefits in verify that the
this area are not infrastructure asset
plausible. will operate at a
full level of
performance after the
project improvements.
2....................... The project produces Example: The project
nontrivial, positive is identified in the
benefits in this sponsor's Asset
outcome area that are Management Plan and
well supported by the will repair or
evidence in the rebuild an
application. infrastructure asset
so that will operate
at a full level of
performance.
3....................... The project produces Example: The project
significant, is identified in the
transformative sponsor's Asset
benefits in this Management Plan, will
outcome area, that repair or rebuild an
are well supported by infrastructure asset
the evidence in the so that will operate
application. at a full level of
performance, and is
designed to
significantly reduce
future operation and
maintenance costs
throughout the asset
life, beyond the
costs saved from the
initial project
expenditure, and/or
that will
significantly
lengthen the standard
useful life of the
asset.
------------------------------------------------------------------------
Criterion #3: Economic Impacts, Freight Movement, and Job Creation
The Department will assess the degree to which the project
contributes to one or more of the following outcomes (1) improve system
operations to increase travel time reliability and manage travel demand
for goods movement, especially strengthening the resilience and
expanding the capacity of critical supply chain bottlenecks, to promote
economic security and improve local and regional freight connectivity
to the national and global economy; (2) improve multimodal
transportation systems that incorporate affordable transportation
options such as public transit to improve mobility of people and goods;
(3) decrease transportation costs and improve access, through reliable
and timely access, to employment centers and job opportunities; (4)
offer significant regional and national improvements in economic
strength by increasing the economic productivity of land, capital, or
labor, and improving the economic strength of regions and cities; (5)
enhance recreational and tourism opportunities by providing access to
Federal land, national parks, national forests, national recreation
areas, national wildlife refuges, wilderness areas, or State parks;
(6)) result in high quality job creation by supporting good-paying jobs
with a free and fair choice to join a union, in project construction
and in on-going operations and maintenance, and incorporate strong
[[Page 17127]]
labor standards, such as through the use of project labor agreements,
registered apprenticeship programs, and other joint labor-management
training programs; \21\ (7) result in workforce opportunities for
historically underrepresented groups, such as through the use of local
hire provisions or other workforce strategies targeted at or jointly
developed with historically underrepresented groups, to support project
development; (8) foster economic growth and development while creating
long-term high quality jobs, while addressing acute challenges, such as
energy sector job losses in energy communities as identified in the
report released in April 2021 by the interagency working group
established by section 218 of Executive Order 14008; (9) Support
integrated land use, economic development, and transportation planning
to improve the movement of people and goods and local fiscal health,
and facilitate greater public and private investments and strategies in
land-use productivity, including rural main street revitalization or
increase in the production or preservation of location-efficient
housing or (10) help the United States compete in a global economy by
encouraging the location of important industries and future innovations
and technology in the U.S. and facilitating efficient and reliable
freight movement.
---------------------------------------------------------------------------
\21\ https://www.apprenticeship.gov/.
------------------------------------------------------------------------
Economic impacts,
Score freight movement, and Example
job creation criterion
------------------------------------------------------------------------
0....................... The project negatively ......................
impacts this project
outcome area.
1....................... The project's claimed Example 1: The project
benefits in this sponsor provides some
outcome area are justification, but
plausible but minimal with minimal
OR the project's evidence, that the
claimed benefits in project will help to
this area are not positively impact
plausible. regional economic
development in the
area or help to
offset job losses in
the area.
Example 2: The project
sponsor provides
minimal evidence that
the project will
create high quality
jobs with a free
choice to join a
union or the
incorporation of
strong labor standard
and practice, such as
project labor
agreements, use of
registered
apprenticeships or
other joint labor-
management training
programs, and the use
of an appropriately
credentialed
workforce.
2....................... The project produces Example 1: The project
nontrivial, positive sponsor demonstrates
benefits in this some or limited new
outcome area that are short-term or long-
well supported by the term job creation as
evidence in the a result of the
application. project and it is
documented by a
signed letter from a
business(es) stating
the amount of new
jobs to be created,
and how the project
is vital to the
creation of those
jobs.
Example 2: The project
opens additional new
tourism or
recreational access
and is aligned with a
plan that
demonstrates that
intention.
Example: 3: The
project sponsor
demonstrates some
evidence that the
project will create
high quality jobs
with a free choice to
join a union or the
incorporation of
strong labor standard
and practice, such as
project labor
agreements, use of
registered
apprenticeships or
other joint labor-
management training
programs, and the use
of an appropriately
credentialed
workforce.
3....................... The project produces Example 1: The project
significant, sponsor demonstrates
transformative that the project
benefits in this addresses a national
outcome area, that supply chain
are well supported by bottleneck, the main
the evidence in the goal of the project
application. is to positively
impact that
bottleneck, and ample
evidence is provided
that shows
significant national
supply chain benefits
from the project.
Example 2: The project
sponsor demonstrates
significant creation
of good-paying jobs
with a free and fair
choice to join a
union and the
incorporation of
strong labor
standards and
practices, such as
project labor
agreements, use of
registered
apprenticeships or
other joint labor-
management training
programs, and the use
of an appropriately
credentialed
workforce. This can
be documented by a
signed letter for a
labor union, or
worker organization
that describes the
number and
characteristics of
high-quality jobs on
the project.
------------------------------------------------------------------------
Criterion #4: Climate Change, Resiliency, and the Environment
The Department will consider the extent to which the project
incorporates considerations of climate change and environmental justice
in the planning stage and in project delivery, such as through
incorporation of specific design elements that address climate change
impacts. The Department will evaluate the degree to which the project
is expected to reduce transportation-related pollution such as air
pollution and greenhouse gas emissions, increase use of lower-carbon
travel modes such as transit and active transportation, improve the
resilience of at-risk infrastructure to climate change and other
natural hazards, incorporate lower-carbon pavement and construction
materials, or address the disproportionate negative environmental
impacts of transportation on disadvantaged communities. DOT will
evaluate the extent which the project prevents stormwater runoff that
would be a detriment to aquatic species. The Department will also
consider whether the project will promote energy efficiency, support
fiscally responsible land use and transportation efficient design,
facilitate the production or preservation of location-efficient
[[Page 17128]]
affordable housing, incorporate electrification or zero emission
vehicle infrastructure, increase resiliency and recycle or redevelop
brownfield sites, particularly in communities that disproportionally
experience climate-change-related consequences. The Department will
consider whether projects in floodplains are upgraded consistent with
the Federal Flood Risk Management Standard, to the extent consistent
with current law, in Executive Order 14030 Climate-Related Financial
Risk (86 FR 27967,) and Executive Order 13690, Establishing a Federal
Flood Risk Management Standard and a Process for Further Soliciting and
Considering Stakeholder Input (80 FR 6425.)
The Department will assess whether the project has addressed
environmental sustainability, including but not limited to
consideration of the following examples:
(1) The project results in greenhouse gas emissions reductions
relative to a no-action baseline;
(2) A Local/Regional/State Climate Action Plan that results in
lower greenhouse gas emissions has been prepared and the project
directly supports that Climate Action Plan;
(3) The regional transportation improvement program (TIP) or
statewide transportation improvement program (STIP) is based on
integrated land use and transportation planning and design that
increases low-carbon mode travel, reduction of greenhouse gases and
vehicle miles traveled or multimodal transportation choices and/or
incorporates electrification or zero emission vehicle
infrastructure.
(4) The project sponsor has used environmental justice tools
such as the EJSCREEN to minimize adverse impacts to environmental
justice communities (https://ejscreen.epa.gov/mapper/);
(5) A Local/Regional/State Energy Baseline Study has been
prepared and the project directly supports that study;
(6) The project supports a modal shift in freight (e.g., from
highway to rail) or passenger movement (e.g., from driving to
transit, walking, and/or cycling) to reduce emissions. The project
utilizes demand management strategies to reduce congestion, induced
travel demand, and greenhouse gas emissions;
(7) The project incorporates electrification infrastructure
(e.g., installation of electric vehicle charging stations, zero-
emission vehicle infrastructure, or both);
(8) The project promotes energy efficiency;
(9) The project serves the renewable energy supply chains;
(10) The project improves disaster preparedness and resilience
to all hazards;
(11) The project avoids adverse environmental impacts to air or
water quality, wetlands, and endangered species, such as through
reduction in Clean Air Act criteria pollutants and greenhouse gases,
improved stormwater management, or improved habitat connectivity;
(12) The project repairs existing dilapidated or idle
infrastructure that is currently causing environmental harm (e.g.,
brownfield redevelopment);
(13) The project supports or incorporates the construction of
energy- and location-efficient buildings, including residential or
mixed-use development; or
(14) The project proposes recycling of materials, use of
materials known to reduce or reverse carbon emissions, or both.
------------------------------------------------------------------------
Climate change,
Score resiliency, and the Example
environment criterion
------------------------------------------------------------------------
0....................... The project negatively
impacts this project
outcome area.
1....................... The project's claimed Example: A Local/
benefits in this Regional/State
outcome area are Climate Action Plan
plausible but minimal has been prepared but
OR the project's it is difficult to
claimed benefits in verify with the
this area are not information provided
plausible. how the actual
project would
directly positively
impact climate or
resiliency.
2....................... The project produces Example 1: The project
nontrivial, positive demonstrates some
benefits in this greenhouse gas
outcome area that are emission reduction.
well supported by the Example 2: The project
evidence in the sponsor demonstrates
application. that one of the goals
of the project is to
improve or enhance
resiliency of at-risk
infrastructure.
3....................... The project produces Example 1: The project
significant, significantly reduces
transformative transportation-
benefits in this related air pollution
outcome area, that and greenhouse gas
are well supported by emissions from
the evidence in the uncoordinated land-
application. use decisions.
Example 2: The project
sponsor demonstrates
that the main goal of
the project is to
improve or enhance
resiliency of at-risk
infrastructure and
the sponsor has
provided ample
evidence of increased
climate impacts to
the project area.
Example 3: The project
incorporates
electrification or
zero emission vehicle
infrastructure.
------------------------------------------------------------------------
Criterion #5: Equity, Multimodal Options, and Quality of Life
The Department will consider the extent to which the project
improves quality of life in rural areas or urbanized areas. This may
include projects that:
(1) Increase affordable and accessible transportation choices
and equity for individuals, including disadvantaged communities;
(2) improve access to emergency care, essential services,
healthcare providers, or drug and alcohol treatment and
rehabilitation centers;
(3) reduce transportation and housing cost burdens, including
through public and private investments to support greater commercial
and mixed-income residential development near public transportation,
along rural main streets or in walkable neighborhoods;
(4) increase the walkability and accessibility for pedestrians
and encourage thriving communities for individuals to work, live,
and play by creating transportation choices for individuals to move
freely with or without a car;
(5) enhance the unique characteristics of the community;
(6) proactively address equity \22\ or other disparities and
barriers to opportunity, through the planning process or through
incorporation of design elements;
---------------------------------------------------------------------------
\22\ Definitions for ``equity'' and ``underserved communities''
are found in Executive Order 13985, Advancing Racial Equity and
Support for Underserved Communities Through the Federal Government,
Sections 2(a) and (b).
---------------------------------------------------------------------------
(7) have engaged, or will engage, diverse people and communities
and demonstrate that equity considerations and community input and
ownership, particularly among disadvantaged communities, are
meaningfully integrated into planning, development, and
implementation of transportation investments. Competitive
applications should demonstrate strong collaboration and support
among a broad range of stakeholders, including community-based
organizations, other public or private entities, and labor unions;
or
(8) support a Local/Regional/State Equitable Development Plan.
The Department will consider the extent to which the project
benefits a historically disadvantaged community or population, or
areas of persistent poverty.
(a) In this context, Areas of Persistent Poverty means: (1) Any
county that has consistently had greater than or equal to 20 percent
of the population living in poverty
[[Page 17129]]
during the 30-year period preceding November 15, 2021, as measured
by the 1990 and 2000 \23\ decennial census and the most recent
annual Small Area Income Poverty Estimates as estimated by the
Bureau of the census; \24\ (2) any census tract with a poverty rate
of at least 20 percent as measured by the 2014-2018 5-year data
series available from the American Community Survey of the Bureau of
the Census; \25\ or (3) any territory or possession of the United
States. A county satisfies this definition only if 20 percent of its
population was living in poverty in all three of the listed
datasets: (a) The 1990 decennial census; (b) the 2000 decennial
census; and (c) the 2020 Small Area Income Poverty Estimates. This
definition is the same as the definition used for the RAISE program.
The Department lists all counties and census tracts that meet this
definition for Areas of Persistent Poverty at https://datahub.transportation.gov/stories/s/tsyd-k6ij.
---------------------------------------------------------------------------
\23\ See https://www.census.gov/data/tables/time-series/dec/census-poverty.html for county dataset.
\24\ See https://www.census.gov/data/datasets/2020/demo/saipe/2020-state-and-county.html for December 2020 Small Area Income
Poverty Dataset.
\25\ See https://data.census.gov/cedsci/table?q=ACSST1Y2018.S1701&tid=ACSST5Y2018.S1701&hidePreview=false
for 2014-2018 five year data series from the American Community
Survey.
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(b) Historically Disadvantaged Communities--The Department has
developed a definition of Historically Disadvantaged Communities as
part of its implementation of the Justice40 Initiative and will use
that definition for the purpose of this Notice of Funding
Opportunity. Consistent with OMB's Interim Guidance for the
Justice40 Initiative,\26\ Historically Disadvantaged Communities
include (a) certain qualifying census tracts, (b) any Tribal land,
or (c) any territory or possession of the United States. This
definition is the same as the definition used for the RAISE program.
The Department is providing a list of census tracts that meet the
definition of Historically Disadvantaged Communities, as well as a
mapping tool to assist applicants in identifying whether a project
is located in a Historically Disadvantaged Community, available at
https://datahub.transportation.gov/stories/s/tsyd-k6ij.
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\26\ https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf.
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The Department will assess whether the project proactively
addresses equity and barriers to opportunity, including but not limited
to the following examples:
(1) An equity impact analysis has been completed for the
project;
(2) The project sponsor has adopted an equity and inclusion
program/plan or has otherwise instituted equity-focused policies
related to project procurement, material sourcing, construction,
inspection, hiring, or other activities designed to ensure equity in
the overall project delivery and implementation;
(3) The project includes comprehensive planning and policies to
promote hiring of underrepresented populations including local and
economic hiring preferences and investments in high-quality
workforce development programs with supportive services, including
labor-management programs, to help train, place, and retain people
in good-paying jobs or registered apprenticeship.
(4) The project includes physical-barrier-mitigating land
bridges, caps, lids, linear parks, and multimodal mobility
investments that either redress past barriers to opportunity or that
proactively create new connections and opportunities for underserved
communities that are underserved by transportation;
(5) The project includes new or improved walking and bicycling
infrastructure, reduces automobile dependence, and improves access
for people with disabilities and proactively incorporates Universal
Design; \27\
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\27\ ``Universal design'' is a concept in which products and
environments are designed to be usable by all people, to the
greatest extent possible, without the need for adaptation or
specialized design. For more information: https://www.section508.gov/develop/universal-design/.
---------------------------------------------------------------------------
(6) The project includes new or improved freight access to
underserved communities to increase access to goods and job
opportunities for those underserved communities; or
(7) The project addresses automobile dependence as a form of
barrier to opportunity.
The Department will also consider the extent to which the project
benefits a Historically Disadvantaged Community or population, or Areas
of Persistent Poverty, as defined in Section C of this Notice.
------------------------------------------------------------------------
Equity, multimodal
Score options, and quality Example
of life criterion
------------------------------------------------------------------------
0....................... The project negatively
impacts this project
outcome area.
1....................... The project's claimed Example 1: The project
benefits in this sponsor has developed
outcome area are and published a
plausible but minimal general equity policy
OR the project's statement for their
claimed benefits in agency but have not
this area are not demonstrated any
plausible. other equity
considerations for
the actual project.
Example 2: The project
sponsor has created
additional multimodal
access in conjunction
with the project, but
only as a minimum
project requirement,
and not as a result
of intentional
planning efforts.
2....................... The project produces Example: The project
nontrivial, positive sponsor is supporting
benefits in this workforce development
outcome area that are programs, including
well supported by the labor-management
evidence in the programs, local hire
application. provisions and
incorporating
workforce strategy
into project
development in a
manner that produces
non-trivial benefits.
3....................... The project produces Example: The project
significant, sponsor includes new
transformative and/or greatly
benefits in this improved multimodal
outcome area, that and transit access
are well supported by across previously
the evidence in the bifurcated
application. disadvantaged
neighborhoods, and
demonstrates how
specifically the
disadvantaged
neighborhoods will be
positively impacted,
and how those
improvements were as
a result of
intentional planning
and public input.
------------------------------------------------------------------------
Criterion #6: Innovation Areas: Technology, Project Delivery, and
Financing
Consistent with the Department's Innovation Principles \28\ to
support workers, to allow for experimentation and learn from failure,
to provide opportunities to collaborate, and to be flexible and adapt
as technology changes, the Department will assess the extent to which
the applicant uses innovative and secure-by-design strategies,
including: (1) Innovative technologies, (2) innovative project
delivery, or (3) innovative financing.
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\28\ https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles.
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Innovative Technology: Consistent with the Department's Innovation
Principles, the Department will assess innovative and secure-by-design
technological approaches to transportation, particularly in relation to
automated, connected, and electric vehicles and the detection,
mitigation, and documentation of safety risks. When making grant award
decisions, the Department will consider any
[[Page 17130]]
innovative technological approaches proposed by the applicant,
particularly projects that incorporate innovative technological design
solutions, enhance the environment for connected, electric, and
automated vehicles, or use technology to improve the detection,
mitigation, and documentation of safety risks.
Innovative technological approaches may include, but are not
limited to:
Conflict detection and mitigation technologies (e.g.,
intersection alerts and signal prioritization);
Dynamic signaling, smart traffic signals, or pricing
systems to reduce congestion;
Traveler information systems, to include work zone data
exchanges;
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);
Vehicle-to-Everything (V2X) Technologies (e.g., technology
that facilitates passing of information between a vehicle and any
entity that may affect the vehicle);
Vehicle-to-Infrastructure (V2I) Technologies (e.g.,
digital, physical, coordination, and other infrastructure technologies
and systems that allow vehicles to interact with transportation
infrastructure in ways that improve their mutual performance);
Vehicle-to-Grid Technologies (e.g., technologies and
infrastructure that encourage electric vehicle charging, and broader
sustainability of the power grid);
Cybersecurity elements to protect safety-critical systems;
Broadband deployment and the installation of high-speed
networks concurrent with the transportation project construction;
Technology at land and seaports of entry that reduces
congestion, wait times, and delays, while maintaining or enhancing the
integrity of our border;
Work Zone data exchanges or related data exchanges; or
Other Intelligent Transportation Systems (ITS) that
directly benefit the project's users or workers, such as a project to
develop, establish, or maintain an integrated mobility management
system, a transportation demand management system, or on-demand
mobility services.
For innovative safety proposals, the Department will evaluate
safety benefits that those approaches could produce and the broader
applicability of the potential results. The Department will also assess
the extent to which the project uses innovative technology that
supports surface transportation to significantly enhance the
operational performance of the transportation system. Please note that
all innovative technology must be in compliance with 2 CFR 200.216.\29\
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\29\ https://ecfr.federalregister.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.216.
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Innovative Project Delivery: The Department will consider the
extent to which the project utilizes innovative practices in
contracting (such as public-private partnerships and single contractor
design-build arrangements), congestion management, asset management, or
long-term operations and maintenance.
The Department also seeks projects that employ innovative
approaches to improve the efficiency and effectiveness of the
environmental permitting and review to accelerate project delivery and
achieve improved outcomes for communities and the environment. The
Department's objective is to achieve timely and consistent
environmental review and permit decisions. Participation in innovative
project delivery approaches will not remove any statutory requirements
affecting project delivery.
Innovative Financing: The Department will assess the extent to
which the project incorporates innovations in transportation funding
and finance through both traditional and innovative means, including by
using private sector funding or financing or using congestion pricing
or other demand management strategies to address congestion. This
includes the use of non-traditional sources of transportation funding
to leverage traditional federal sources of funding to expand the
overall investment in transportation infrastructure.
------------------------------------------------------------------------
Score Innovation criterion Example
------------------------------------------------------------------------
0................. The project negatively
impacts this project
outcome area.
1................. The project's claimed Example: The project
benefits in this outcome references the
area are plausible but incorporation of
minimal OR the project's innovative technologies
claimed benefits in this but does not elaborate
area are not plausible. on the benefits of those
technologies or
demonstrate how those
technologies align with
USDOT's innovation
principles.
2................. The project produces Example 1: The project
nontrivial, positive incorporates some or
benefits in this outcome limited amount of
area that are well materials or
supported by the construction processes
evidence in the that reduce greenhouse
application. gas emissions.
Example 2: The project
incorporates innovative
technology that advances
USDOT innovation goals
and employs innovative
project delivery methods
that will accelerate
delivery and achieved
improved outcomes.
3................. The project produces Example 1: The project
significant, incorporates a
transformative benefits significant amount of
in this outcome area, materials or
that are well supported construction processes
by the evidence in the that reduce greenhouse
application. gas emissions.
Example 2: The project
will generate
significant benefits as
a direct result of
innovative technology,
project delivery
approaches, or
innovative financing.
------------------------------------------------------------------------
iii. Economic Analysis Rating
The Department will consider a project's benefits as compared to
its costs to determine whether a project is cost effective and assign
an economic analysis rating. To the extent possible, the Department
will rely on quantitative, evidence-based and data-supported analysis,
in this assessment. Based on the Department's assessment, the
Department will assign an economic analysis rating of high, medium-
high, medium, medium-low, or low according to the following table:
[[Page 17131]]
------------------------------------------------------------------------
Rating Description
------------------------------------------------------------------------
High................................... The project's benefits will
exceed its costs, with a
benefit-cost ratio of at least
1.5.
Medium-High............................ The project's benefits will
exceed its costs.
Medium................................. The project's benefits are
likely to exceed its costs.
Medium-Low............................. The project's costs are likely
to exceed its benefits.
Low.................................... The project's costs will exceed
its benefits.
------------------------------------------------------------------------
iv. Project Readiness Rating
The Department will consider project readiness to assess the
likelihood of a successful project. In that project readiness analysis,
the Department will consider three evaluation ratings: Environmental
Risk, Technical Assessment, and Financial Completeness Assessment. The
application should contain a section that explicitly addresses
Environmental Risk, but the Technical Assessment and Financial
Completeness Assessment will be based on information contained
throughout the application.
Environmental Risk assessment analyzes the project's environmental
approvals and likelihood of the necessary approval affecting project
obligation, and results in a rating of ``high risk,'' ``moderate
risk,'' or ``low risk.''
The Technical Assessment will be reviewed for all eligible
applications and will assess the applicant's capacity to successfully
deliver the project in compliance with applicable Federal requirements
based on factors including the recipient's experience working with
Federal agencies, civil rights compliance (including compliance with
Title VI of the Civil Rights Act of 1964 and accompanying DOT
regulations, the Americans with Disability Act, and Section 504 of the
Rehabilitation Act), previous experience with Department discretionary
grant awards and the technical experience and resources dedicated to
the project. Technical Assessment ratings will be one of the following:
``certain,'' ``somewhat certain,'' ``uncertain,'' or ``unknown.'' Lack
of previous project delivery according to Federal requirements is not
sufficient justification for a rating of ``uncertain,'' but may result
in a rating of ``unknown.''
The Financial Completeness Assessment reviews the availability of
matching funds and whether the applicant presented a complete funding
package, and will receive a rating of ``complete, ``partially
complete,'' or ``incomplete.'' For projects that receive a rating of
``complete'' and include funding estimates that are based on early
stages of design (e.g., less than 30 percent design) or outdated cost
estimates, without specified contingency, evaluators may add a comment
to note the potential for uncertainty in the estimated project costs.
All applicants should describe a plan to address potential cost
overruns.
The Project Readiness Ratings described above will be translated to
a high, medium-high, medium, medium-low, or low rating, using the table
below:
----------------------------------------------------------------------------------------------------------------
Rating 1 2 3
----------------------------------------------------------------------------------------------------------------
Technical Assessment............. Uncertain: The team is Somewhat Certain/ Certain: The team is
not confident in the Unknown: The team is confident in the
applicant's capacity to moderately confident in applicant's capacity to
deliver this project in the applicant's deliver the project in
a manner that satisfies capacity to deliver the a manner that satisfies
Federal requirements. project in a manner Federal requirements.
that satisfies Federal
requirements.
Financial Completeness........... Incomplete Funding: The Partially Complete/ Complete, Stable and
project lacks full Appear Stable and Committed: The
funding, or one or more Highly Likely to be Project's Federal and
Federal or non-Federal Available: Project non-Federal sources are
match sources are still funding is not fully fully committed--and
uncertain as to whether committed but appears there is demonstrated
they will be secured in highly likely to be funding available to
time to meet the secured in time to meet cover contingency/cost
project's construction the project's increases.
schedule. construction schedule.
Environmental Review and High Risk: The project Moderate Risk: The Low Risk: The Project
Permitting Risk. has not completed or project has not has completed NEPA or
begun NEPA and there are completed NEPA or it is highly likely
known environmental or secured necessary that they will be able
litigation concerns Federal permits, and it to complete NEPA and
associated with the is uncertain whether other environmental
project. they will be able to reviews in the time
complete NEPA or secure necessary to meet their
necessary Federal project schedule.
permits in the time
necessary to meet their
project schedule.
----------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------
Score Rating
------------------------------------------------------------------------
All 3's.................................. High.
Two 3's, one 2........................... Medium-High.
One 3, two 2's........................... Medium.
All 2's.................................. Medium-Low.
Any 1's.................................. Low.
------------------------------------------------------------------------
v. Additional Considerations
a. Geographic Diversity
By statute, when selecting MPDG 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. The Department will consider whether the project is
located in an Area of Persistent Poverty or a Historically
Disadvantaged Community, as defined in Section C of this Notice.
The Department will also consider whether the project is located in
the Department or Federally designated area such as a qualified
opportunity zone, Empowerment Zone, Promise Zone, or Choice
Neighborhood. Applicants can find additional information about each of
the designated zones at the sites below:
Opportunity Zones: (https://opportunityzones.hud.gov/)
Empowerment Zones: (https://www.hud.gov/hudprograms/empowerment_zones)
Promise Zones: (https://www.hud.gov/program_offices/field_policy_mgt/fieldpolicymgtpz)
Choice Neighborhoods: (https://www.hud.gov/program_offices/public_indian_housing/programs/ph/cn)
A project located in a Federally designated community development
zone is more competitive than a similar project that is not located in
a Federally designated community development zone. The Department will
rely on applicant-supplied information to make
[[Page 17132]]
this determination and will only consider this if the applicant
expressly identifies the designation in their application.
b. Evaluation of Project Requirements
The following describes how the Department will evaluate the
statutory Project requirements for the MPDG opportunity.
1. The project will generate (or for Mega, ``is likely to
generate'') national or regional economic, mobility, or safety benefits
(applicable for Mega, INFRA, and Rural).
A project meets this determination if the Project Outcome Analysis
documents national or regional economic, mobility, or safety benefits.
2. The project will be cost effective (applicable for Mega, INFRA,
and Rural).
The Department's determination will be based on its estimate of the
project's benefits and costs: A project is determined to be cost
effective if the Department estimates that the project's benefits will
or are likely to exceed its costs.
3. The project will contribute to the accomplishment of one or more
of the goals described in 23 U.S.C. 150 (applicable for INFRA and
Rural).
A project meets this requirement if the Project Outcome Analysis
documents benefits related to one of the following:
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.
(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. The project is based on the results of preliminary engineering
(applicable for INFRA and Rural).
A project meets this requirement if the application provides
evidence that at least one of the following activities has been
completed at the time of application submission: Environmental
assessments, topographic surveys, metes and bounds surveys,
geotechnical investigations, hydrologic analysis, hydraulic analysis,
utility engineering, traffic studies, financial plans, revenue
estimates, hazardous materials assessments, general estimates of the
types and quantities of materials, or other work needed to establish
parameters for the final design.
5. With respect to related non-Federal financial commitments, one
or more stable and dependable funding or financing sources are
available to construct, maintain, and operate the project, and
contingency amounts are available to cover unanticipated cost increases
(applicable for Mega and INFRA).
A project meets this requirement if the application demonstrates
that financing sources are dedicated to the proposed project and are
highly likely to be available within the proposed project schedule, and
if it provides evidence of contingency funding in the project budget.
6. The project cannot be easily and efficiently completed without
other Federal funding or financial assistance available to the project
sponsor (applicable to INFRA) --or-- The project is in significant need
of Federal funding (applicable to Mega).
A project meets this requirement if the application demonstrates
one or more of the following:
(1) The project scope would be negatively affected if MPDG or
other Federal funds were not received.
(2) The project schedule would be negatively affected if MPDG or
other Federal funds were not received.
(3) The project cost would materially increase if MPDG or other
Federal funds were not received.
7. The project is reasonably expected to begin construction no
later than 18 months after the date of obligation of funds for the
project (applicable to INFRA and Rural).
A project meets this requirement if the proposed project schedule
and the evaluation of the project readiness evaluation team indicate
that it is reasonably expected to begin construction not later than 18
months after obligation.
8. The applicant has, or will have, sufficient legal, financial,
and technical capacity to carry out the project (applicable to Mega).
A project meets this requirement if the EMO team determines, based
on the assessment of project readiness evaluation teams, that the
applicant has sufficient legal, financial, and technical capacity to
carry out the project, as described in Section E.
9. Small INFRA Projects (applicable to Small INFRA projects).
For Small INFRA projects to be selected, the Department must
consider the cost effectiveness of the proposed project, the effect of
the proposed project on mobility in the State and region in which the
project is carried out, and the effect of the proposed project on
safety on freight corridors with significant hazards, such as high
winds, heavy snowfall, flooding, rockslides, mudslides, wildfire,
wildlife crossing onto the roadway, or steep grades. The Department
will consider a small INFRA project's cost effectiveness based on the
results of the benefit-cost analysis submitted with the application.
The Department will consider the effect of the proposed project on
mobility as part of the Economic Impacts and Equity Project Outcome
Areas. The Department will consider the effect on safety on freight
corridors with significant hazards as part of the Climate, Safety, and
Economic Impact Project Outcome areas.
vi. Previous Awards
The Department may consider whether the project has previously
received an award from the RAISE, INFRA, or other departmental
discretionary grant programs.
2. Review and Selection Process
Section E addresses the statutory requirement that the Department
describe the methodology that will be used to determine if projects
satisfy statutory project requirements, how they will be rated
according to selection criteria and considerations, and how those
criteria and considerations will be used to assign an overall rating.
The MPDG evaluation process consists of a Analysis Phase and Senior
Review Phase. In the Analysis Phase, teams will, for each project,
determine whether the project satisfies statutory requirements and rate
how well it addresses the selection criteria using the rating system
described in section E.1. If an applicant opts out of a specific
program, then the Department will not consider whether the proposed
project meets that program's requirements.
The Senior Review Team will consider the applications and the
technical evaluations, assign an overall
[[Page 17133]]
rating according to the methodology described above. Once every project
has been assigned an overall rating for each program, The SRT will
review if the list of Highly Recommended projects under each program is
sufficient to satisfy program set-asides and geographic diversity
requirements. If not, `Recommended' projects may be added to each
program's proposed list of Projects for Consideration until each
program's list can satisfy necessary program set asides and geographic
diversity requirements. The SRT can add a Recommended project only if
that project directly addresses an identified insufficiency related to
the program set-asides, geographic diversity requirements, or to ensure
there are sufficient projects to distribute all available funds, and
the SRT treats all similarly situated Recommended projects the same.
For each program, the SRT will present the list of Projects for
Consideration to the Secretary, either collectively or through a
representative. The SRT may advise the Secretary on any project on the
list of Projects for Consideration, including options for reduced
awards, but the Secretary makes final project selections. The Secretary
must prioritize selections from among the projects assigned a ``Highly
Recommended'' Rating. The Secretary's selections identify the
applications that best address program requirements and are most worthy
of funding.
3. Additional Information
Prior to award, each selected applicant will be subject to a risk
assessment as required by 2 CFR 200.206. 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 that a Federal awarding agency previously
entered. 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/grants/mpdg-announcement. 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
i. Safety Requirements
The Department will require MPDG projects to meet two general
requirements related to safety. First, MPDG projects must be part of a
thoughtful, data-driven approach to safety. Each State maintains a
strategic highway safety plan.\30\ MPDG 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, MPDG 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.\31\
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\30\ Information on State-specific strategic highway safety
plans is available at https://safety.fhwa.dot.gov/shsp/other_resources.cfm.
\31\ Information on FHWA proven safety countermeasures is
available at: https://safety.fhwa.dot.gov/provencountermeasures/.
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After selecting MPDG 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.
ii. Program Requirements
(a) Climate Change and Environmental Justice Impact Consideration
Each applicant selected for MPDG grant funding must demonstrate
effort to consider climate change and environmental justice impacts as
described in Section A. Projects that have not sufficiently considered
climate change and environmental justice in their planning, as
determined by the Department, will be required to do so before
receiving funds for construction, consistent with Executive Order
14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).\32\
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\32\ An illustrative example of how these requirements are
applied to recipients can be found here: https://cms.buildamerica.dot.gov/buildamerica/financing/infra-grants/infra-fy21-fhwa-general-terms-and-conditions.
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(b) Equity and Barriers to Opportunity
Each applicant selected for MPDG grant funding must demonstrate
effort to improve equity and reduce barriers to opportunity as
described in Section A. Projects that have not sufficiently considered
equity and barriers to opportunity in their planning, as determined by
the Department, will be required to do so before receiving funds for
construction, consistent with Executive Order 13985, Advancing Racial
Equity and Support for Underserved Communities Through the Federal
Government (86 FR 7009).\33\
---------------------------------------------------------------------------
\33\ An illustrative example of how these requirements are
applied to recipients can be found here: https://cms.buildamerica.dot.gov/buildamerica/financing/infra-grants/infra-fy21-fhwa-general-terms-and-conditions.
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(c) Labor and Work
Each applicant selected for MPDG grant funding must demonstrate, to
the full extent possible consistent with the law, an effort to create
good-paying jobs with the free and fair choice to join a union and
incorporation of high labor standards as described in Section A. To the
extent that applicants have not sufficiently considered job quality and
labor rights in their planning, as determined by the Department of
Labor, the applicants will be required to do so before receiving funds
for construction, consistent with Executive Order 14025, Worker
Organizing and Empowerment (86 FR 22829), and Executive Order 14052,
Implementation of the Infrastructure Investment and Jobs Act (86 FR
64335).
As expressed in section A, equal employment opportunity is an
important priority. The Department wants to ensure that project
sponsors have the support they need to meet requirements under E.O.
11246, Equal Employment Opportunity (30 FR 12319, and as amended). All
federally assisted contractors are required to make good faith efforts
to meet the goals of 6.9% of construction project hours being performed
by women and goals that vary based on geography for construction work
hours and for work being performed by people of color.\34\ The U.S.
Department of Labor's Office of Federal Contract Compliance Programs
(OFCCP) has a Mega Construction Project Program through which it
engages with project sponsors as early as the design phase to help
promote compliance with non-discrimination and affirmative action
obligations. Through the program, OFCCP offers contractors and
subcontractors extensive compliance assistance, conducts compliance
evaluations, and helps to build partnerships between the project
sponsor, prime contractor, subcontractors, and relevant stakeholders.
OFCCP will identify
[[Page 17134]]
projects that receive an award under this notice and are required to
participate in OFCCP's Mega Construction Project Program from a wide
range of federally assisted projects over which OFCCP has jurisdiction
and that have a project cost above $35 million. DOT will require
project sponsors with costs above $35 million that receive awards under
this funding opportunity to partner with OFCCP, if selected by OFCCP,
as a condition of their DOT award. Under that partnership, OFCCP will
ask these project sponsors to make clear to prime contractors in the
pre-bid phase that project sponsor's award terms will require their
participation in the Mega Construction Project Program. Additional
information on how OFCCP makes their selections for participation in
the Mega Construction Project Program is outlined under ``Scheduling''
on the Department of Labor website: https://www.dol.gov/agencies/ofccp/faqs/construction-compliance.
---------------------------------------------------------------------------
\34\ https://www.dol.gov/sites/dolgov/files/ofccp/ParticipationGoals.pdf.
---------------------------------------------------------------------------
(d) Critical Infrastructure Security and Resilience
It is the policy of the United States to strengthen the security
and resilience of its critical infrastructure against both physical and
cyber threats. Each applicant selected for MPDG grant funding must
demonstrate, prior to the signing of the grant agreement, effort to
consider and address physical and cyber security risks relevant to the
transportation mode and type and scale of the project. Projects that
have not appropriately considered and addressed physical and cyber
security and resilience in their planning, design, and project
oversight, as determined by the Department and the Department of
Homeland Security, will be required to do so before receiving funds for
construction, consistent with Presidential Policy Directive 21--
Critical Infrastructure Security and Resilience and the National
Security Presidential Memorandum on Improving Cybersecurity for
Critical Infrastructure Control Systems.
iii. Other Administrative and 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 the Department at
2 CFR part 1201. INFRA and Rural grant funds are made available under
title 23 of the United States Code and generally subject to the
requirements of that title. Consistent with 23 U.S.C. 117(l) and
173(o), for freight projects awarded INFRA grant funds and all projects
award Rural grant funds, the project will be treated as if it is
located on a Federal-aid highway. The Department will also treat non-
Freight projects eligible for INFRA funding under 23 U.S.C.
117(c)(l)(A)(iv-vii) as though they are federal-aid highway projects
for the purposes of applying federal requirements. For projects awarded
Mega grant funds, the project will be treated in relation to project's
modal nature: The requirements of title 23 shall apply to a highway,
road or bridge project; the requirements of chapter 53 of title 49 of
the United States Code shall apply to a transit project; the
requirements of 49 U.S.C. 22905 shall apply to a rail project or
component; and, the requirements of 49 U.S.C. 5333 shall apply to any
public transportation component of a project. Additionally, as
permitted under the requirements described above, applicable Federal
laws, rules, and regulations of the relevant operating administration
administering the project will apply to the projects that receive MPDG
grants, including planning requirements, Stakeholder Agreements, and
other requirements under the Department's other highway, transit, rail,
and port grant programs.
As expressed in Executive Order 14005, Ensuring the Future Is Made
in All of America by All of America's Workers (86 FR 7475), it is the
policy of the executive branch to maximize, consistent with law, the
use of goods, products, and materials produced in, and services offered
in, the United States. The Mega, INFRA, and Rural programs are
infrastructure programs subject to the Build America, Buy America Act
(Pub. L. No 117-58, div. G Sec. Sec. 70901-70927). All INFRA and Rural
projects are subject to the Buy America requirement at 23 U.S.C. 313,
as are Mega projects administered by the Federal Highway
Administration. Mega projects administered by other OAs will be subject
to the Buy America regime applicable to that OA. The Department expects
all recipients to be able to complete their project without needing a
waiver. However, to obtain a waiver, a recipient must be prepared to
demonstrate how they will maximize the use of domestic goods, products,
and materials in constructing their project.
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. As
another example, Americans with Disabilities Act (ADA) regulations
apply to all projects funded under this Notice.
Recipients of Federal transportation funding will be required to
comply fully with the ADA, Title VI of the Civil Rights Act of 1964,
and all other civil rights requirements. The Department's and the
applicable Operating Administrations' Office of Civil Rights may work
with awarded projects to ensure full compliance with Federal civil
rights requirements.
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, recipients of funds
must comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States; the
conditions of performance, nondiscrimination requirements, and other
assurances made applicable to the award of funds in accordance with
regulations of the Department of Transportation; and applicable Federal
financial assistance and contracting principles promulgated by the
Office of Management and Budget. In complying with these requirements,
recipients, in particular, must ensure that no concession agreements
are denied or other contracting decisions made on the basis of speech
or other activities protected by the First Amendment. If the Department
determines that a recipient has failed to comply with applicable
Federal requirements, the Department may terminate the award of funds
and disallow previously incurred costs, requiring the recipient to
reimburse any expended award funds.
MPDG projects involving vehicle acquisition must involve only
vehicles that comply with applicable Federal Motor Vehicle Safety
Standards and Federal Motor Vehicle Safety Regulations, or vehicles
that are exempt from Federal Motor Carrier Safety Standards or Federal
Motor Carrier Safety Regulations in a manner that allows for the legal
acquisition and deployment of the vehicle or vehicles.
3. Reporting
i. Progress Reporting on Grant Activity
Each applicant selected for an MPDG opportunity 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
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transparency in the MPDG opportunity. In addition, Mega grant
recipients will be required to submit a data collection baseline and a
Project Outcomes report, as described in Section C.5.i.(c).
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 time must maintain the currency of
information reported 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.
iii. Program Evaluation
As a condition of grant award, grant recipients may be required to
participate in an evaluation undertaken by DOT or another agency or
partner. The evaluation may take different forms such as an
implementation assessment across grant recipients, an impact and/or
outcomes analysis of all or selected sites within or across grant
recipients, or a benefit/cost analysis or assessment of return on
investment. We may require applicants to collect data elements to aid
the evaluation. As a part of the evaluation, as a condition of award,
grant recipients must agree to: (1) Make records available to the
evaluation contractor; (2) provide access to program records, and any
other relevant documents to calculate costs and benefits; (3) in the
case of an impact analysis, facilitate the access to relevant
information as requested; and (4) follow evaluation procedures as
specified by the evaluation contractor or DOT staff.
Recipients and subrecipients are also encouraged to incorporate
program evaluation including associated data collection activities from
the outset of their program design and implementation to meaningfully
document and measure their progress towards meeting an agency priority
goal(s). Title I of the Foundations for Evidence-Based Policymaking Act
of 2018 (Evidence Act), Public Law 115-435 (2019) urges federal
awarding agencies and federal assistance recipients and subrecipients
to use program evaluation as a critical tool to learn, to improve
equitable delivery, and to elevate program service and delivery across
the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency.'' Evidence Act Sec. 101 (codified at 5 U.S.C. 311).
Credible program evaluation activities are implemented with relevance
and utility, rigor, independence and objectivity, transparency, and
ethics (OMB Circular A-11, Part 6 Section 290).
For grant recipients receiving an award, evaluation costs are
allowable costs (either as direct or indirect), unless prohibited by
statute or regulation, and such costs may include the personnel and
equipment needed for data infrastructure and expertise in data
analysis, performance, and evaluation. (2 CFR part 200).
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
Office of the Secretary via email at MPDGrants@dot.gov. In addition, up
to the application deadline, the Department will post answers to common
questions and requests for clarifications on the Department's website
at https://www.transportation.gov/grants/mpdg-frequently-asked-questions. To ensure applicants receive accurate information about
eligibility or the program, the applicant is encouraged to contact the
Department directly, rather than through intermediaries or third
parties, with questions. Department staff may also conduct briefings on
the MPDG Transportation grant selection and award process upon request.
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, the Department 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. Except for the information properly marked as
described in Section H, the Department may make application narratives
publicly available or share application information within the
Department or with other Federal agencies if the Department determines
that sharing is relevant to the respective program's objectives.
As required by statute the Department will also publish the overall
rating for each project seeking Mega Project funds.
3. Department Feedback on Applications
The Department strives to provide as much information as possible
to assist applicants with the application process. The Department will
not review applications in advance, but Department staff are available
for technical questions and assistance. To efficiently use Department
resources, the Department will prioritize interactions with applicants
who have not already received a debrief on their FY 2021 INFRA
application. Program staff will address questions to MPDGrants@dot.gov
throughout the application period.
4. Prohibition on Use of Funds To Support or Oppose Union Organizing
MPDG funds may not be used to support or oppose union organizing,
whether directly or as an offset for other funds.
5. MPDG Extra, Eligibility and Designation
The MPDG Extra initiative is aimed at encouraging sponsors with
competitive projects that do not receive an MPDG
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award to consider applying for TIFIA credit assistance.
Projects for which a MPDG application receives a Highly Recommended
rating, as described in Section E, but that are not awarded, are
automatically designated MPDG Extra Projects, unless the Department
determines that they are not reasonably likely to satisfy the TIFIA
project type (23 U.S.C. 601(a)(12)) and project size (23 U.S.C.
602(a)(5)) eligibilities. This designation provides the sponsors of
these projects the opportunity to apply for TIFIA credit assistance for
up to 49% of eligible project costs. Under current policy, TIFIA credit
assistance is limited to 33% of eligible project costs unless the
applicant provides strong rationale for requiring additional
assistance.
Projects designated as MPDG Extra Projects will be announced by the
Secretary after MPDG award announcements are made.
For further information about the TIFIA program in general,
including details about the types of credit assistance available,
eligibility requirements and the creditworthiness review process,
please refer to the Build America Bureau Credit Programs Guide,
available on the Build America Bureau website: https://www.transportation.gov/buildamerica/financing/program-guide.
Disclaimer: A MPDG Extra Project designation does not guarantee
that an applicant will receive TIFIA credit assistance, nor does it
guarantee that any award of TIFIA credit assistance will be equal to
49% of eligible project costs. Receipt of TIFIA credit assistance is
contingent on the applicant's ability to satisfy applicable
creditworthiness standards and other Federal requirements.
Issued in Washington, DC, on March 22, 2022.
Peter Paul Montgomery Buttigieg,
Secretary of Transportation.
[FR Doc. 2022-06350 Filed 3-24-22; 8:45 am]
BILLING CODE 4910-9X-P