FY2021RAISEGrantsNOFO(Final).pdf

G4910-9X

DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

Notice of Funding Opportunity for the Department of Transportation’s National

Infrastructure Investments (i.e., the Rebuilding American Infrastructure with

Sustainability and Equity (RAISE) Grant Program) under the Consolidated

Appropriations Act, 2021

AGENCY: Office of the Secretary of Transportation, DOT

ACTION: Notice of Funding Opportunity

SUMMARY: The purpose of this notice is to solicit applications for Rebuilding American

Infrastructure with Sustainability and Equity (RAISE) grants. Funds for the FY 2021 RAISE grant program are to be awarded on a competitive basis for surface transportation infrastructure projects that will have a significant local or regional impact. This program was formerly known as BUILD Transportation Grants

DATES: Applications must be submitted by 5:00 PM Eastern on July 12, 2021.

ADDRESSES: Applications must be submitted through Grants.gov.

FOR FURTHER INFORMATION CONTACT: For further information concerning this notice, please contact the RAISE grant program staff via e-mail at RAISEgrants@dot.gov, or call

Howard Hill at 202-366-0301. A TDD is available for individuals who are deaf or hard of hearing at 202-366-3993. In addition, DOT will regularly post answers to questions and requests for clarifications as well as information about webinars for further guidance on DOT’s website at www.transportation.gov/RAISEgrants.

mailto:BUILDgrants@dot.gov http://www.transportation.gov/BUILDgrants

SUPPLEMENTARY INFORMATION: Each section of this notice contains information and instructions relevant to the application process for these RAISE grants, and all applicants should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications.

Table of Contents

A. Program Description

B. Federal Award Information

C. Eligibility Information

D. Application and Submission Information

E. Application Review Information

F. Federal Award Administration Information

G. Federal Awarding Agency Contacts

H. Other Information

A. Program Description

1. Overview

The Consolidated Appropriations Act, 2021 (Pub. L. 116-260, December 27, 2020) (“FY

2021 Appropriations Act”) appropriated $1 billion to be awarded by the Department of

Transportation (“DOT”) for National Infrastructure Investments (now known as Rebuilding

American Infrastructure with Sustainability and Equity (RAISE) Grants.) RAISE Grants are for capital investments in surface transportation that will have a significant local or regional impact.

In addition to capital awards, DOT will award no more than $30 million for eligible planning, preparation or design of projects eligible for RAISE Grants that do not result in construction with

FY2021 RAISE funding, of which at least $10 million will be awarded to projects located in or to directly benefit areas of persistent poverty.

Since this program was created, $8.9 billion has been awarded for capital investments in surface transportation infrastructure over 12 rounds of competitive grants. Throughout the program, these discretionary grant awards have supported projects that have a significant local or regional impact consistent with DOT’s strategic infrastructure goal. 1 FY 2021 RAISE grants continue to align with DOT’s infrastructure goal by guiding strategic investments that enable more efficient movement of people and goods. The FY 2021 RAISE round also highlights this

Administration’s priorities to invest in national infrastructure projects that result in good-paying jobs, improve safety, apply transformative technology, and explicitly address climate change and racial equity.

Section E of this NOFO, which outlines FY 2021 RAISE Grant selection criteria, describes the process for selecting projects that further these goals. 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 DOT’s R.O.U.T.E.S. initiative, DOT seeks rural projects that address deteriorating conditions and disproportionately high fatality rates on rural transportation infrastructure. Please visit https://www.transportation.gov/rural to learn more about DOT’s efforts to address disparities in rural infrastructure.

2. Additional Information

The RAISE grant program is described in the Federal Assistance Listings under the assistance listing program title “National Infrastructure Investments” and assistance listing number 20.933.

1 See U.S. Department of Transportation Strategic Plan for FY 2018–2022 (Feb. 2018) at https://www.transportation.gov/dot-strategic-plan.

https://www.transportation.gov/rural https://www.transportation.gov/dot-strategic-plan

3. Changes from the FY 2020 NOFO

National Infrastructure Investments are now known as Rebuilding American Infrastructure with Sustainability and Equity (RAISE) grants, formerly TIGER and BUILD Transportation

Grants. This FY 2021 RAISE Notice updates the FY 2020 RAISE NOFO to reflect this

Administration’s priorities for creating good-paying jobs, improving safety, applying transformative technology, and explicitly addressing climate change and advancing racial equity.

Consistent with the FY 2021 Appropriations Act requirement that the Secretary shall consider and award projects based solely on the selection criteria from the FY 2017 Notice of Funding

Opportunity, the seven selection criteria remain the same as FY 2017. The primary selection criteria are safety, environmental sustainability, quality of life, economic competitiveness, and state of good repair. The secondary selection criteria are partnership and innovation. The

Department revised the descriptions of the criteria to clarify how they align with long-term project outcomes. A summary of these changes is provided below, but applicants should refer to

Section E for descriptions of the selection criteria.

Consistent with the environmental sustainability merit criterion, the Department seeks to fund projects under the RAISE Program that considered climate change and environmental justice in the planning stage and were designed with specific elements to address climate change impacts. Projects that incorporate such planning considerations are expected to better address climate change and advance long-term environmental sustainability. Projects should directly support Climate Action Plans or apply environmental justice screening tools in the planning stage. Projects should include components that reduce emissions, promote energy efficiency, increase resiliency, and recycle or redevelop existing infrastructure. This objective is consistent with Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619). As part of the Department’s implementation of that Executive Order, the Department seeks to fund projects that, to the extent possible, target at least 40% of resources and benefits towards low-income communities, disadvantaged communities, communities underserved by affordable transportation, or overburdened2 communities. Section E describes climate change and environmental justice considerations an applicant can undertake. Projects that have not sufficiently considered climate change and environmental justice in their planning, as determined by the Department, will be required to before receiving funds for construction. See Section F.2 of this NOFO for program requirements.

Consistent with the quality of life and partnership merit criteria, the Department seeks to use the RAISE program to encourage racial equity in two areas: (1) incorporating planning and adopting policies related to racial equity and reducing barriers to opportunity; and (2) investing in projects that either proactively address racial equity and barriers to opportunity, including automobile dependence as a form of barrier, or redress prior inequities and barriers to opportunity. This objective supports the Department’s strategic goal related to infrastructure, with the potential for significantly enhancing environmental stewardship and community partnerships, and reflects Executive Order 13985, Advancing Racial Equity and Support for

Underserved Communities Through the Federal Government (86 FR 7009). Section E describes racial equity considerations that an applicant can undertake to address these criteria. Projects that have not sufficiently considered racial equity in their planning, as determined by the Department, will be required to before receiving funds for construction. See Section F.4 of this NOFO for program requirements.

2 Overburdened Community: Minority, low-income, tribal, or indigenous populations or geographic locations in the United States that potentially experience disproportionate environmental harms and risks. This disproportionality can be as a result of greater vulnerability to environmental hazards, lack of opportunity for public participation, or other factors. Increased vulnerability may be attributable to an accumulation of negative or lack of positive environmental, health, economic, or social conditions within these populations or places. The term describes situations where multiple factors, including both environmental and socio-economic stressors, may act cumulatively to affect health and the environment and contribute to persistent environmental health disparities.

The FY 2021 Appropriations Act allows for up to $30 million to be awarded for the planning, preparation or design of projects eligible for RAISE Grants, of which at least $10 million will be awarded to projects located in or to directly benefit areas of persistent poverty planning projects. Areas of persistent poverty are defined in Section C.3.iii.

The Department published a FY 2021 RAISE NOFO on January 19, 2021 and withdrew that NOFO on January 22, 2021. This notice supersedes the withdrawn NOFO. Unless repeated here, the content of the withdrawn NOFO is ineffective.

Applicants who are planning to re-apply using materials prepared for prior competitions should ensure that their FY 2021 application fully addresses the criteria and considerations described in this Notice and that all relevant information is up to date.

B. Federal Award Information

1. Amount Available

The FY 2021 Appropriations Act appropriated $1 billion to be awarded by DOT for the

RAISE grant program. FY 2021 RAISE grants are for capital investments in surface transportation infrastructure and are to be awarded on a competitive basis for projects that will have a significant local or regional impact. DOT will award no more than $30 million (of the $1 billion) for the planning, preparation or design of eligible projects, of which at least $10 million will be awarded to projects located in or to directly benefit areas of persistent poverty (as defined in Section C.3.iii.). DOT refers to awards for the planning, preparation or design of eligible projects as RAISE planning grants. The FY 2021 Appropriations Act also allows DOT to retain up to $20 million of the $1 billion for award, oversight and administration of grants and credit assistance made under the program. In addition to the FY 2021 RAISE funds, unobligated program funds may be made available from prior rounds and awarded under this solicitation to projects that can be obligated before the obligation deadline associated with the respective prior year funds. The Department expects not more than $30 million of prior year funds may be awarded. If this solicitation does not result in the award and obligation of all available funds, DOT may publish additional solicitations.

The FY 2021 Appropriations Act allows up to 20 percent of available funds (or $200 million) to be used by DOT to pay the subsidy and administrative costs of a project receiving credit assistance under the Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) or Railroad Rehabilitation and Improvement Financing (RRIF) programs, if that use of the FY

2021 RAISE funds would further the purposes of the RAISE grant program.

2. Award Size

The FY 2021 Appropriations Act specifies that RAISE grants may not be less than

$5 million, except that for projects located in rural areas (as defined in Section C.3.ii) the minimum award size is $1 million. Grants may not be greater than $25 million. There is no minimum award size for RAISE planning grants, regardless of location. Applicants are strongly encouraged to submit applications only for eligible award amounts.

3. Restrictions on Funding

Pursuant to the FY 2021 Appropriations Act, no more than 10 percent of the funds made available for RAISE grants (or $100 million) may be awarded to projects in a single State. The

Act also directs that not more than 50 percent of the funds provided for RAISE grants (or $500 million) shall be awarded to rural projects (as defined in section C.3.ii) and directs that not more than 50 percent of the funds provided for RAISE grants (or $500 million) shall be awarded to urban projects (as defined in section C.3.ii). Further, DOT must take measures to ensure an equitable geographic distribution of grant funds, an appropriate balance in addressing the needs of urban and rural areas including in tribal areas, and investment in a variety of transportation modes.

4. Availability of Funds

The FY 2021 Appropriations Act requires that FY 2021 RAISE grants funds are available for obligation only through September 30, 2024. Obligation occurs when a selected applicant and

DOT enter into a written grant agreement after the applicant has satisfied applicable administrative requirements, including transportation planning and environmental review requirements. Unless authorized by DOT in writing after DOT’s announcement of FY 2021

RAISE awards, any costs incurred prior to DOT’s obligation of funds for a project (“pre-award costs”) are ineligible for reimbursement.3 All FY 2021 RAISE funds must be expended (the grant obligation must be liquidated or actually paid out to the grant recipient) by September 30, 2029. After this date, unliquidated funds are no longer available to the project. As part of the review and selection process described in Section E.2., DOT will consider a project’s likelihood of being ready to proceed with an obligation of RAISE grant funds within the statutory timeline.

No waiver is possible for these deadlines.

5. Previous BUILD/TIGER Awards

Recipients of BUILD/TIGER grants may apply for funding to support additional phases of a project previously awarded funds in the BUILD/TIGER program. However, to be competitive, the applicant should demonstrate the extent to which the previously funded project phase has met estimated project schedules and budget, as well as the ability to realize the benefits expected for the project. A previous BUILD/TIGER award, or application, does not affect competitiveness under the FY 2021 RAISE competition.

3 Pre-award costs are only costs incurred directly pursuant to the negotiation and anticipation of the RAISE award where such costs are necessary for efficient and timely performance of the scope of work, as determined by DOT.

Costs incurred under an advance construction (23 U.S.C. 115) authorization before the DOT announces that a project is selected for a FY 2021 RAISE award cannot be charged to FY 2021 RAISE funds.

Likewise, costs incurred under an FTA Letter of No Prejudice under Chapter 53 of title 49 U.S.C. before the DOT announces that a project is selected for a FY 2021 RAISE award cannot be charged to FY 2021 RAISE funds.

C. Eligibility Information

To be selected for a RAISE grant, an applicant must be an Eligible Applicant and the project must be an Eligible Project.

1. Eligible Applicants

Eligible Applicants for RAISE grants are State, local, Tribal, and U.S. territories’ governments, including transit agencies, port authorities, metropolitan planning organizations

(MPOs), and other political subdivisions of State or local governments.

Multiple States or jurisdictions may submit a joint application and should identify a lead applicant as the primary point of contact and also identify the primary recipient of the award.

Joint applications should include a description of the roles and responsibilities of each applicant.

DOT expects that the eligible applicant that submits the application will administer and deliver the project. If the applicant seeks a transfer of the award to another agency, a letter of support from the designated entity must be included in the application.

2. Cost Sharing or Matching

Per the FY 2021 Appropriations Act, the Federal share of project costs for which an expenditure is made under the RAISE grant program may not exceed 80 percent for a project located in an urban area.4 The Secretary may increase the Federal share of costs above 80 percent for projects located in rural areas and for planning projects located in areas of persistent poverty.

Urban area and rural area are defined in Section C.3.ii of this notice. Areas of persistent poverty are defined in Section C.3.iii. DOT shall give priority to projects that require a contribution of

Federal funds to complete an overall financing package.

4 To meet match requirements, the minimum total project cost for a project located in an urban area must be $6.25 million.

Non-Federal sources include State funds originating from programs funded by State revenue, local funds originating from State or local revenue-funded programs, or private funds. Toll credits under 23 U.S.C. 120(i) are considered a Federal source under the RAISE program and, therefore, cannot be used to satisfy the statutory cost sharing requirement of a RAISE award.

Unless otherwise authorized by statute, non-Federal cost-share may not be counted as the non-

Federal share for both the RAISE grant and another Federal grant program. DOT will not consider previously incurred costs or previously expended or encumbered funds towards the matching requirement for any project. Matching funds are subject to the same Federal requirements described in Section F.2. as awarded funds. If repaid from non-Federal sources, Federal credit assistance is considered non-Federal share.

See Section D.2.iii for information about documenting cost sharing in the application.

For each project that receives a RAISE grant award, the terms of the award will require the recipient to complete the project using at least the level of non-Federal funding that was specified in the application. If the actual costs of the project are greater than the costs estimated in the application, the recipient will be responsible for increasing the non-Federal contribution. If the actual costs of the project are less than the costs estimated in the application, DOT will generally reduce the Federal contribution.

3. Other

i. Eligible Projects

(a) Capital Projects

Eligible projects for RAISE grants are surface transportation capital projects within the

United States or any territory or possession of the United States that include, but are not limited to: (1) highway, bridge, or other road projects eligible under title 23, United States Code; (2) public transportation projects eligible under chapter 53 of title 49, United States Code; (3) passenger and freight rail transportation projects; (4) port infrastructure investments (including inland port infrastructure and land ports of entry); (5) intermodal projects; and (6) projects investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government.5

Other than projects described in this section, improvements to Federally owned facilities are ineligible under the FY 2021 RAISE program. Research, demonstration, or pilot projects are eligible only if they will result in long-term, permanent surface transportation infrastructure that has independent utility as defined in Section C.3.iv.

(b) Planning Projects

Activities eligible for funding under RAISE planning grants are related to the planning, preparation, or design— for example environmental analysis, feasibility studies, and other pre-construction activities—of eligible surface transportation capital projects described in Section

C.3.i.(a).

In addition, eligible activities related to multidisciplinary projects or regional planning may include: (1) Development of master plans, comprehensive plans, or corridor plans; (2) Planning activities related to the development of a multimodal freight corridor, including those that seek to reduce conflicts with residential areas and with passenger and non-motorized traffic; (3)

Development of port and regional port planning grants, including State-wide or multi-port planning within a single jurisdiction or region; (4) Risk assessments and planning to identify vulnerabilities and address the transportation system’s ability to withstand probable occurrence or recurrence of an emergency or major disaster.

5 Please note that DOT may award a RAISE grant to pay for the surface transportation components of a broader project that has non-surface transportation components, and applicants are encouraged to apply for RAISE grants to pay for the surface transportation components of these projects.

ii. Rural/Urban Definition

For purposes of this notice, a project is designated as urban if it is located within (or on the boundary of) a Census-designated urbanized area6 that had a population greater than 200,000 in the 2010 Census.7 If a project is located outside a Census-designated urbanized area with a population greater than 200,000, it is designated as a rural project. Rural and urban definitions differ in some other DOT programs, including TIFIA.

A project located in both an urban and a rural area will be designated as urban if the majority of the project’s costs will be spent in urban areas. Conversely, a project located in both an urban area and a rural area will be designated as rural if the majority of the project’s costs will be spent in rural areas. For RAISE planning grants, the location of the project being planned, prepared, or designed will be used for the urban or rural designation.

This definition affects four aspects of the program: (1) not more than $500 million of the funds provided for RAISE grants are to be used for projects in rural areas; (2) not more than

$500 million of the funds provided for RAISE grants are to be used for projects in urban areas;

(3) for a project in a rural area the minimum award is $1 million; and (4) the Secretary may increase the Federal share above 80 percent to pay for the costs of a project in a rural area.

iii. Areas of Persistent Poverty

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 during the 30-year period preceding

December 27, 2020, as measured by the 1990 and 20008 decennial census and the most recent

6 Lists of UAs as defined by the Census Bureau are available on the Census Bureau website at https://www.census.gov/geographies/reference-maps/2010/geo/2010-census-urban-areas.html.

7 See www.transportation.gov/RAISEBUILDgrants for a list of UAs.

8 See https://www.census.gov/data/tables/time-series/dec/census-poverty.html for county dataset.

http://www.transportation.gov/RAISEgrants https://www.census.gov/data/tables/time-series/dec/census-poverty.html annual Small Area Income Poverty Estimates as estimated by the Bureau of the census9; (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 Census10; 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 2019 Small Area Income Poverty Estimates.

DOT will list all counties and census tracts that meet this definition for Areas of Persistent

Poverty on the RAISE website at https://www.transportation.gov/RAISEgrants.

The FY 2021 definition for Area of Persistent Poverty may differ from other DOT programs, including the FY 2020 FTA Hope Discretionary Grant program.

This definition for Areas of Persistent Poverty affects two aspects of the program: (1) there is no minimum grant size for a planning projects that are located in or are to directly benefit an area of persistent poverty, and (2) the Secretary may increase the Federal share above 80 percent to pay for the costs of a planning project that is located in or is to directly benefit an area of persistent poverty.

The Department will only consider direct benefits to Areas of Persistent Poverty that are clearly and explicitly described in the application narrative. Unless the application addresses the direct benefits to an Areas of Persistent Poverty consistent with the definition in this section, the

Department will not assume the project benefits an Area of Persistent Poverty.

9 See https://www.census.gov/data/datasets/2019/demo/saipe/2019-state-and-county.html for December 2019 Small Area Income Poverty Dataset 10 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 https://www.transportation.gov/BUILDgrants https://www.census.gov/data/datasets/2019/demo/saipe/2019-state-and-county.html https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fdata.census.gov%2Fcedsci%2Ftable%3Fq%3DACSST1Y2018.S1701%26tid%3DACSST5Y2018.S1701%26hidePreview%3Dfalse&data=04%7C01%7Ckim.bathrick%40dot.gov%7C596452e5274e4da5eab308d8ee042260%7Cc4cd245b44f04395a1aa3848d258f78b%7C0%7C0%7C637521048857210852%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=4JSzu%2BbHGqSNnf8jB1LjZM6dvqgXmktppYyIQ2ONrUc%3D&reserved=0

iv. Project Components

An application may describe a project that contains more than one component, and may describe components that may be carried out by parties other than the applicant. DOT expects, and will impose requirements on fund recipients to ensure, that all components included in an application will be delivered as part of the RAISE project, regardless of whether a component includes Federal funding. The status of each component should be clearly described (for example, in the project schedule). DOT may award funds for a component, instead of the larger project, if that component (1) independently meets minimum award amounts described in

Section B and all eligibility requirements described in Section C; (2) independently aligns well with the selection criteria specified in Section E.1; and (3) meets National Environmental Policy

Act (NEPA) requirements with respect to independent utility. Independent utility means that the component will represent a transportation improvement that is usable and represents a reasonable expenditure of DOT funds even if no other improvements are made in the area, and will be ready for intended use upon completion of that component's construction. All project components that are presented together in a single application must demonstrate a relationship or connection between them. (See Section D.2. for Required Approvals).

Applicants should be aware that, depending upon the relationship between project components and applicable Federal law, DOT funding of only some project components may make other project components subject to Federal requirements as described in Section F.2.

DOT strongly encourages applicants to identify in their applications the project components that have independent utility and separately detail costs and requested RAISE grant funding for those components. 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.

v. Application Limit

Each lead applicant may submit no more than three applications. Unrelated project components should not be bundled in a single application for the purpose of adhering to the limit. If a lead applicant submits more than three applications as the lead applicant, only the first three received will be considered.

D. Application and Submission Information

1. Address to Request Application Package

Instructions for submitting applications can be found at www.transportation.gov/RAISEgrants along with specific instructions for the forms and attachments required for submission.

2. Content and Form of Application Submission

The application must include the Standard Form 424 (Application for Federal Assistance), cover page, and the Project Narrative. Applicants are encouraged to also complete SF-424C and attach to their application the “RAISE 2021 Project Information” form available at www.transportation.gov/RAISEgrants.

DOT recommends that the project narrative follow the basic outline below to address the program requirements and assist evaluators in locating relevant information.

I. Project Description See D.2.i II. Project Location See D.2.ii III. Grant Funds, Sources and Uses of all Project

Funding See D.2.iii

IV. Selection Criteria See D.2. iv. and E.1 V. Environmental Risk Review See D.2. v. and E.1.ii VI. Benefit Cost Analysis See D.2.vi. and E.1. iii.

The project narrative should include the information necessary for DOT to determine that the project satisfies project requirements described in Sections B and C and to assess the selection criteria specified in Section E.1. To the extent practicable, applicants should provide supporting data and documentation in a form that is directly verifiable by DOT. DOT expects applications to be complete upon submission. DOT may ask any applicant to supplement data in its application but is not required to do so. Lack of supporting information provided with the application negatively affects competitiveness of the application, as described in Section E.2.

In addition to a detailed statement of work, detailed project schedule, and detailed project budget, the project narrative should include a table of contents, maps and graphics, as appropriate, to make the information easier to review. DOT recommends that the project narrative be prepared with standard formatting preferences (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 30 pages in length, excluding cover pages and table of contents. The only substantive portions that may exceed the 30-page limit are documents supporting assertions or conclusions made in the 30-page project narrative, but evaluators are not required to review supporting documents as part of the merit review described in Section E. 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 reference these in the respective section of the project narrative. DOT recommends using appropriately descriptive file names (e.g., “Project Narrative,” “Maps,” “Memoranda of Understanding and Letters of

Support,”) for all attachments. DOT recommends applications include the following sections:

i. Project Description

The first section of the application should provide a 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 completed components. The applicant may use this section to place the project into a broader context of other transportation infrastructure investments being pursued by the project sponsor.

Applicants may also include a detailed statement of work that focuses on the technical and engineering aspects of the project and describes in detail the project to be constructed.

ii. Project 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 description of connections to existing transportation infrastructure. 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; and

(b) the Census-designated urbanized area in which the project is located, if relevant.

If the project is not located in an Area of Persistent Poverty but is a project to directly benefit such an area, the application should clearly and explicitly describe those benefits and the affected county or census tract(s). For a project to directly benefit an Area of Persistent Poverty, measurable and non-trivial outcomes, consistent with the selection criteria describe in Section E of this NOFO, must be located in that Area of Persistent Poverty.

iii. Grant Funds, Sources and Uses of Project Funds

This section of the application should describe the budget for the RAISE project (i.e. the project scope that includes RAISE funding). This budget should not include any previously incurred expenses. The budget should show how each source of funds will be spent. The budget should also show how each funding source will share in each major construction activity, and present that data in dollars and percentages. If applicable, the budget should identify Federal funds that have been previously authorized by a Federal agency. Funding sources should be grouped into three categories: non-Federal, RAISE, and other Federal. If the project contains individual 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 clearly identify any expenses expected to be incurred between time of award and obligation because these expenses are not eligible for reimbursement, as described in Section

B.4, or for cost sharing, as described in Section C.2. The budget details should sufficiently demonstrate that the project satisfies the statutory cost-sharing requirements described in Section

C.2. At a minimum, it should include:

(a) Costs for the FY2021 RAISE project;

(b) For all funds to be used for eligible project costs, the source and amount of those funds;

(c) For non-Federal funds to be used for eligible project costs, documentation of funding commitments. Documentation should also be included as an appendix to the application. If the applicant is not a State DOT and matching contributions from a State DOT are included as non-Federal match, a supporting letter from the

State indicating the source of the funds; and

(d) For Federal funds to be used for eligible project costs, the amount, nature, and source of any required non-Federal match for those funds.

In addition to the information enumerated above, this section should provide complete information on how all project funds may be used. For example, if a particular source of funds is available only after a condition is satisfied, the application should identify that condition and describe the applicant’s control over whether it is satisfied. Similarly, if a particular source of funds is available for expenditure only during a fixed time period, the application should describe that restriction. Complete information about project funds will ensure that DOT’s expectations for award execution align with any funding restrictions unrelated to DOT, even if an award differs from the applicant’s request.

iv. Selection Criteria

This section of the application should demonstrate how the project aligns with the criteria described in Section E.1 of this notice. DOT encourages applicants to either address each criterion or expressly state that the project does not address the criterion. Applicants are not required to follow a specific format, but the outline suggested addresses each criterion separately and promotes a clear discussion that assists project evaluators. To minimize redundant information in the application, DOT encourages applicants to cross-reference from this section of their application to relevant substantive information in other sections of the application. The guidance in this section is about how the applicant should organize their application. Guidance describing how DOT will evaluate projects against the Selection Criteria is in Section E.1 of this notice. Applicants also should review that section before considering how to organize their application.

(1) Primary Selection Criteria

(a) Safety

This section of the application should describe the anticipated outcomes of the project that support the Safety criterion (described in Section E.1.i.(a) of this notice). The applicant should include information on, and to the extent possible, quantify, how the project would improve safety outcomes within the project area or wider transportation network, to include how the project will reduce the number, rate, and consequences of transportation-related accidents, serious injuries, and fatalities. The application should provide evidence to support the claimed level of effectiveness of the project in reducing accidents, serious injuries, and/or fatalities. If applicable, the applicant should also include information on how the project will improve safety at highway-rail grade crossings and/or contribute to preventing unintended releases of hazardous materials.

(b) Environmental Sustainability

This section of the application should describe how the project addresses the environmental sustainability criterion (described in Section E.1.i.(b) of this notice). Applicants are encouraged to provide information demonstrating that they have considered climate change and environmental justice in the planning stage, in addition to a description of specific project elements that address climate change impacts. Applicants are encouraged to include information demonstrating how the project will reduce emissions, promote energy efficiency, incorporate electrification or zero emission vehicle infrastructure, increase resiliency, improve stormwater management, and recycle or redevelop existing infrastructure. Additional information for how this criterion will be evaluated is in Section E.1.i. of this notice.

(c) Quality of Life

This section should describe how the project increases or improves transportation choices for individuals, expands access to essential services, improves connectivity for citizens to jobs, health care, and other critical destinations; proactively addresses racial equity and barriers to opportunity; or otherwise addresses the quality of life criterion (described in Section E.1.i.(c) of this notice).

(d) Economic Competitiveness

This section of the application should describe how the project will support the Economic

Competitiveness criterion (described in Section E.1.i.(d) of this notice). The applicant should include information about expected impacts of the project on the movement of goods and people, including how the project increases the efficiency of movement and thereby reduces costs of doing business, improves local and regional freight connectivity to the national and global economy, reduces burdens of commuting, and improves overall well-being. Applicants could also describe whether project delivery and implementation provides opportunities for workers to find good-paying jobs directly related to the project, including opportunities through unions, project labor agreements11, local hiring provisions, or other targeted preferential hiring provisions12 The applicant should describe the extent to which the project contributes to the functioning and growth of the economy, including the extent to which the project addresses congestion or freight connectivity, bridges service gaps in rural areas, or promotes the expansion of private economic development.

(e) State of Good Repair

This section of the application should describe how the project will contribute to a state of good repair by improving the condition or resilience of existing transportation facilities and systems (described in Section E.1.i.(e) of this notice), including the project’s current condition, how the proposed project will improve it, and any estimates of impacts on long-term cost structures or overall life-cycle costs.

(2) Secondary Selection Criteria

(a) Partnership

This section of the application should include information to assess the partnership criterion

(described in Section E.1.ii.(a) of this notice) including a list of all project parties and details about the proposed grant recipient and other public and private parties who are involved in delivering the project. This section should also describe efforts to collaborate among stakeholders, including with the private sector.

11 Project labor agreement must be consistent with Executive Order 13502.

12 Preferential hiring provisions must be authorized and comply with Sec. 199B of the FY2021 Appropriations Act.

Applications for projects involving other Federal agencies, or requiring action from other

Federal agencies, should demonstrate commitment and involvement of those agencies. For example, relevant port projects should demonstrate alignment with U.S. Army Corps of

Engineers investment strategies.

(b) Innovation

This section of the application should describe innovative strategies used and the anticipated benefits of using those strategies, including those corresponding to three categories

(described in Section E.1.ii.(b) of this notice): (i) Innovative Technologies, (ii) Innovative

Project Delivery, or (iii) Innovative Financing.

(i) Innovative Technologies

If an applicant is proposing to adopt innovative technology, the application should demonstrate the applicant’s capacity to implement those innovations, the applicant’s understanding of applicable Federal requirements and whether the innovations may require extraordinary permitting, approvals, exemptions, waivers, or other procedural actions, and the effects of those innovations on the project delivery timeline.

If an applicant is proposing to deploy autonomous vehicles or other innovative motor vehicle technology, the application should demonstrate that all vehicles will comply with applicable safety requirements, including those administered by the National Highway Traffic

Safety Administration (NHTSA) and Federal Motor Carrier Safety Administration (FMCSA).

Specifically, the application should show that vehicles acquired for the proposed project will comply with applicable Federal Motor Vehicle Safety Standards (FMVSS) and Federal Motor

Carrier Safety Regulations (FMCSR). If the vehicles may not comply, the application should either (1) show that the vehicles and their proposed operations are within the scope of an exemption or waiver that has already been granted by NHTSA, FMCSA, or both agencies or (2) directly address whether the project will require exemptions or waivers from the FMVSS, FMCSR, or any other regulation and, if the project will require exemptions or waivers, present a plan for obtaining them.

(ii) Innovative Project Delivery

If an applicant plans to use innovative approaches to project delivery or is located in a

State with NEPA delegation authority, applicants should describe those project delivery methods and how they are expected to improve the efficiency of the project development or expedite project delivery.

(iii) Innovative Financing

If an applicant plans to incorporate innovative funding or financing, the applicant should describe the funding or financing approach, including a description of all activities undertaken to pursue private funding or financing for the project and the outcomes of those activities.

v. Environmental Risk

This section of the application should include sufficient information for DOT to evaluate whether the project is reasonably expected to begin construction in a timely manner. To assist

DOT’s project environmental risk review, the applicant should provide the information requested on project schedule, required approvals and permits, NEPA, risk and mitigation strategies, 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 environmental risk, promotes a clear discussion that assists project evaluators. To minimize redundant information in the application, DOT 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 DOT will evaluate environmental risk is described in Section E.1.ii of this notice. Applicants should review that section when considering how to organize their application.

(a) 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 (e.g., 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; procurement; State and local approvals; project partnership and implementation agreements, including agreements with railroads; and construction. The project schedule should be sufficiently detailed to demonstrate that:

(1.) all necessary activities will be complete to allow RAISE grant funds to be obligated sufficiently in advance of the statutory deadline (June 30, 202413), and that any unexpected delays will not put the funds at risk of expiring before they are obligated;

(2.) the project can begin construction upon obligation of grant funds and that those funds will be spent expeditiously once construction starts, with all funds expended by September 30, 2029; and

13 The statutory obligation deadline is September 30, 2024. The Department assesses risk against an earlier deadline of June 30, 2024 to allow time to complete administrative processing and address challenges before the statutory deadline.

(3.) all real property and right-of-way acquisition will be completed in a timely manner in accordance with 49 CFR part 24, 23 CFR part 710, and other applicable legal requirements or a statement that no right-of-way acquisition is necessary.

(b) Required Approvals

1. Environmental Permits and Reviews. The application should demonstrate receipt

(or reasonably anticipated receipt) of all environmental approvals and permits necessary for the project to proceed to construction on the timeline specified in the project schedule and necessary to meet the statutory obligation deadline, including satisfaction of all Federal, State and local requirements and completion of the NEPA process. Specifically, the application should include:

i. Information about the NEPA status of the project. If the NEPA process is complete, an applicant should indicate the date of completion, and provide a website link or other reference to the final Categorical Exclusion, Finding of

No Significant Impact, Record of Decision, and any other NEPA documents prepared. If the NEPA process is underway, but not complete, the application should detail the type of NEPA review underway, where the project is in the process, and indicate the anticipated date of completion of all milestones and of the final NEPA determination. If the last agency action with respect to NEPA documents occurred more than three years before the application date, the applicant should describe why the project has been delayed and include a proposed approach for verifying and, if necessary, updating this material in accordance with applicable NEPA requirements.

ii. Information on reviews, approvals, and permits by other agencies. An application should indicate whether the proposed project requires reviews or approval actions by other agencies,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.

iii. Environmental studies or other documents, preferably through a website link, that describe in detail known project impacts, and possible mitigation for those impacts.

iv. A description of discussions with the appropriate DOT operating administration field or headquarters office regarding the project’s compliance with NEPA and other applicable Federal environmental reviews and approvals.

v. A description of public engagement about the project that has occurred, including details on the degree to which public comments and commitments have been integrated into project development and design.

2. State and Local Approvals. The applicant should demonstrate receipt of State and local approvals on which the project depends, such as State and local environmental and planning approvals and Statewide Transportation

Improvement Program (STIP) or (Transportation Improvement Program) TIP

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.

funding. For projects acquiring State DOT-owned right of way, applicants should demonstrate they have coordinated the project with the State DOT or transportation facility owner.