PKG00258612-instructions.pdf

How to Apply for the

Port Infrastructure Development Program 2020 Funding Opportunity

(This material is taken from the Notice of Funding Opportunity for the PIDP 2020 funding opportunity. The NOFO is available elsewhere on grants.gov and on the program website:

www.maritime.dot.gov/PIDPgrants

A. Application and Submission Information

Address

Applications must be submitted to Grants.gov. Instructions for submitting applications can be found at www.maritime.dot.gov/PIDPgrants 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. More detailed information about the Project Narrative follows.

The Department 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, and the narrative text in one column only). 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. Except for the benefit cost analysis, the

Department does not consider support documentation or websites an essential part of the http://www.maritime.dot.gov/PIDPgrants application and may not review supplemental materials as part of the application. If possible, website links to supporting documentation should be provided rather than copies of these supporting materials. Supporting documentation should be expressly dated. 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.

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

I. Project Description .................................................................... See D.2.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.VI.

a. Safety, Efficiency, or Reliability Improvements

b. Leveraging Non-Federal Funds

c. Net Benefits/Economic Vitality

V. Project Readiness...................................................................... See D.2.V.

a. Technical Capacity

b. Environmental Approvals

c. Risk Mitigation

VI. Domestic Preference .............................................................. See D.2.VI.

The project narrative should include the information necessary for the Department to determine that the project satisfies project requirements described in Sections B and C and to assess the criteria specified in Section E.1. 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. To the extent practicable, applicants should provide supporting data and documentation in a form that is directly verifiable by the Department. The Department may ask any applicant to supplement data in its application, but expects applications to be complete upon submission. The Department may seek clarifying or additional information from applicants according to circumstances described in Section E.2. The Department recommends applications include the following content:

I. Project Description

The first section of the application should provide a concise description of the project, the challenges that it is intended to address, and how it will address those challenges. The project description should provide both a high-level overview of the overall project and a clear itemization of its major components. This section may 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. This section should focus on eligibility and technical aspects of the project, but should not directly address the merit criteria.

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. This section should also clearly identify whether the project is:

a) located in a qualified opportunity zone1 designated pursuant to 26 U.S.C. § 1400Z-1, 1 See www.cdfifund.gov/Pages/Opportunity-Zones.aspx for more information on opportunity zones.

b) located in a rural area (as defined in Section C.3.e),

c) a Great Lakes port project (as defined in Section C.3.e),

d) a Coastal Port project (as defined in Section C.3.e), III. Grant Funds, Sources, and Uses of Project Funds

This section of the application should describe the project’s budget and leverage of non-

Federal funds. The budget should not include any previously incurred expenses. At a minimum, this section should include:

a) Project costs;

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

c) Documentation of funding commitments for non-Federal funds to be used for eligible project costs (documentation may be referenced and submitted as an appendix);

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. Applicants should also refer to the

Leverage of Federal Funding merit criterion in Section E.1.a.ii.

e) A budget showing how each source of funds will be spent. The budget should show how each funding source will share in each major construction activity, and present that data in dollars and percentages. Funding sources should be grouped into three categories: non-Federal; PIDP; 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 detail should sufficiently demonstrate that the project satisfies the statutory cost-sharing requirements described in Section C.2.

In addition to the information enumerated above, this section should provide complete information on how all project funds may be used. For example, if a particular source of funds is available only after a condition is satisfied, the application should identify that condition and describe the applicant’s control over whether it is satisfied. Similarly, if a particular source of funds is available for expenditure only during a fixed time period, the application should describe that restriction. Complete information about project funds will ensure that the

Department’s expectations for award execution align with any funding restrictions unrelated to the Department, even if an award differs from the applicant’s request. If a funding source is uncertain, the applicant should state that it is uncertain and describe the source of the uncertainty.

Failure to document funding sources, as described in paragraph c), or failure to address uncertainty may prevent the Department from making the determination at section C.3.ii.d necessary to select the project for an award.

Applicants that request exactly $10 million with an alternative request should expressly state the request amount alternative to $10 million, and clearly indicate the budget and source of funds for the alternative request.

IV. Merit Criteria

This section should be structured to clearly address each of the following merit criteria in accordance with the Application Review guidance in Section E. Applicants that request exactly

$10 million with an alternative request should describe the scope that would accompany that alternative request, and provide sufficient information for the Department to assess the selection criteria for the alternative request.

a) Effect on the Movement of Goods

The application should contain information to assess the project’s impact on safety, efficiency, or reliability of the movement of goods through a port or intermodal connection to a port. The application may, as part of this discussion, identify features the applicant will incorporate into the project and highlight specific benefits of the project (such as indicators of improved efficiency and reliability like reduced vessel and truck turn times; enhancements to or increases in system capacity; improved connectivity; decreases in the number, rate, and consequences of transportation-related accidents, serious injuries, and fatalities).

b) Leverage of Federal Funding

While the Leveraging Criterion will be assessed according to the methodology described in Section E.1.a.ii, this section of the application may be used to include additional information that may strengthen the Department’s understanding of the project sponsor’s effort to improve non-Federal leverage.

c) Net Benefits

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 benefit-cost analysis itself should be provided as an appendix to the project narrative, but the results of the analysis should also be summarized in the Project Narrative directly.

The appendix 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 (i.e., the discount rate net of the inflation rate) of 7 percent per year to the project’s streams of benefits and costs. The purpose of the BCA is to enable the Department to evaluate the project’s cost-effectiveness by estimating a benefit-cost ratio and calculating the magnitude of net benefits for the project. The primary economic benefits from projects eligible for PIDP grants are likely to include savings in travel time costs, vehicle and port operating costs, and safety costs for both existing users of the improved facility and new users who may be attracted to it because of the project. Savings in infrastructure maintenance costs may also be quantified. Applicants may describe other categories of benefits in the

BCA that are more difficult to quantify and value in economic terms, such as improving the reliability of travel times, while also providing numerical estimates of the magnitude and timing of each of these additional impacts wherever possible. Any benefits claimed for the project, both quantified and unquantified, should be clearly tied to the expected outcomes of the project.

The BCA should include the full costs of developing, constructing, operating, and maintaining the proposed project, as well as the expected timing or schedule for costs in each of these categories. The BCA may also consider the present discounted value of any remaining service life of the asset at the end of the analysis period. The costs and benefits that are compared in the BCA should also cover the same project scope, including the costs of other related projects on which the benefits of the PIDP project depend.

The BCA should carefully document the assumptions and methodology used to produce the analysis, including a description of the baseline, the sources of data used to project the outcomes of the project, and the values of key input parameters. Applicants should provide all relevant files used for their BCA, including any spreadsheet files (in their original format such as

Excel) 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 DOT evaluators.

Detailed guidance for estimating some types of quantitative benefits and costs, together with recommended economic values for converting them to dollar terms and discounting to their present values, are available in the Department’s guidance for conducting BCAs for projects seeking funding under the PIDP (www.maritime.dot.gov/PIDPgrants).

V. Project Readiness

During application evaluation, the Department may consider project readiness to assess the likelihood of a successful project. In that analysis, the Department will consider two evaluation ratings which include Technical Capacity and Environmental Risk. Technical

Capacity will be reviewed for all eligible applications and will assess the recipients experience working with Federal agencies, previous experience with Port Infrastructure Development Grant awards, BUILD or INFRA awards, and the technical experience and resources dedicated to the project. Environmental Risk assessment analyzes the project’s environmental approvals and likelihood of the necessary approval affecting project obligation. Risks do not disqualify projects from award, but competitive applications clearly and directly describe achievable risk mitigation strategies. A project with mitigated risks or with a risk mitigation plan is more competitive than a comparable project with unaddressed risks. 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.

a) Technical Capacity

The applicant should provide information demonstrating technical capacity to implement the project based on experience and understanding of Federal requirements. This section may include a description of the applicant’s history of delivering similar projects or experience completing a Federally supported project. The application should also demonstrate a project’s feasibility or constructability and schedule, and how the design will comply with applicable

Federal requirements.

b) Environmental Risk

(1) 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; 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 the project can begin construction quickly upon obligation of PIDP funds, and that the grant funds will be spent expeditiously once construction starts.

i. Information about the NEPA status of the project. The applicant should indicate the anticipated NEPA level of review for the project and describe any environmental analysis in progress or completed. This includes Categorical Exclusion, Environmental Assessment/Finding of No Significant Impact, or Environmental

Impact Statement/Record of Decision. The applicant should review Maritime

Administration Manual of Orders MAO 600-1 prior to submission. 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. If applicable, applicants should include a description of discussions with the appropriate Maritime Administration NEPA Coordinator in the

Maritime Administration Office of Environment regarding the project’s compliance with NEPA and other applicable Federal environmental reviews and approvals.

ii. Environmental Permits and Reviews. The application should demonstrate receipt (or reasonably anticipated receipt) of all environmental permits and approvals necessary, including Section 106 of the National Historical Preservation Act, 54 U.S.C. §

306108, and Section 7 of the Endangered Species Act, 16 U.S.C. § 1531, 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.

iii. 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. Additional support from relevant State and local officials is not required; however, an applicant should demonstrate that the project has broad public support.

iv. 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,2 indicate the status of such actions, and provide detailed information about the status of those reviews or approvals and should demonstrate compliance

2 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.

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.

v. A description of whether the project is dependent on, or affected by, U.S. Army

Corps of Engineers investment and the U.S. Army Corps of Engineers planned activities as it relates to the project.

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

This could include State NEPA analysis information as applicable.

(2) Assessment of Project Readiness Risks and Mitigation Strategies

The applicant should identify project risks, such as approval or permit delays, procurement delays, environmental uncertainties, increases in real estate acquisition costs, or lack of legislative approval, that affect the likelihood of successful project start and completion.

The applicant should assess the greatest risks to the project and identify how the project parties will mitigate those risks.

VI. Domestic Preference

This section should include a description of whether materials and manufactured products to be used in the project are produced or manufactured domestically. This section should also include an assessment of what, if any, materials or manufactured products would require an exception or waiver of the Buy American provisions described in section F.2 of this notice and the applicant’s current efforts and planned future efforts to maximize domestic content. The content of this section of the application is particularly important for projects that propose the acquisition of heavy equipment (such as cranes) or bollard and fendering systems, which are often procured from foreign manufacturers. As described in Section E.1.c, failure to address Buy

American compliance can affect whether an application is considered competitive for award and may prevent an award.

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 a PIDP Grant award 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 Department is ready to make a PIDP grant award, the Department may determine that the applicant is not qualified to receive a PIDP grant award and use that determination as a basis for making a PIDP grant award to another applicant.

Submission Dates and Times

i. Deadline

Applications must be submitted by 8:00 p.m. E.D.T. on May 18, 2020. The funding opportunity on Grants.gov will open by February 18, 2020.

To submit an application through Grants.gov, applicants must:

(1) Obtain a Data Universal Numbering System (DUNS) number;

(2) Register with the System for Award Management (SAM) at www.SAM.gov;

(3) Create a Grants.gov username and password; and

(4) Complete Authorized Organization Representative (AOR) registration in Grants.gov. The E-

Business Point of Contact (POC) at the applicant’s organization must respond to the registration email from Grants.gov and login at Grants.gov to authorize the applicant as the AOR. Please note that there can be more than one AOR for an 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/applicantfaqs.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, Monday–Friday from 7:00 a.m. to 9:00 p.m. EST.

Consideration of Applications

Only applicants who comply with all submission deadlines described in this notice and electronically submit valid applications through Grants.gov will be eligible for award.

Applicants are strongly encouraged to make submissions in advance of the deadline.

Late Applications

Applicants experiencing technical issues with Grants.gov that are beyond the applicant’s control must contact Ports@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(s) experienced;

(2) Screen capture(s) of the technical issues(s) experienced along with corresponding Grants.gov

‘‘Grant tracking number’’;

(3) The ‘‘Legal Business Name’’ for the applicant that was provided in the SF–424;

(4) The AOR name submitted in the SF–424;

(5) The DUNS number associated with the application; and

(6) The Grants.gov Help Desk Tracking Number.

To ensure a fair competition for limited discretionary funds, the following conditions are not valid reasons to permit late submissions: (1) Failure to complete the various registration processes 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 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, DOT staff will contact late applicants to approve or deny a request to submit a late application through Grants.gov. If the reported technical issues cannot be validated, late applications will be rejected as untimely.

B. Federal Awarding Agency Contacts

For further information concerning this notice please contact the Maritime Administration staff via email at Ports@dot.gov, or call Bob Bouchard, Director, Office of Port Infrastructure

Development, at 202–366–5076. A TDD is available for individuals who are deaf or hard of hearing at 202–366–3993. In addition, the Department will post answers to questions and requests for clarifications at www.maritime.dot.gov/PIDPgrants. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact DOT directly, rather than through intermediaries or third parties, with questions. DOT may also conduct briefings on the PIDP Grants selection and award process upon request.

B. Federal Awarding Agency Contacts