PKG00265095-instructions.pdf

DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

Notice of Funding Opportunity for the Department of Transportation’s Infrastructure For

Rebuilding America (INFRA) Program for Fiscal Year 2021

AGENCY: Office of the Secretary of Transportation, U.S. Department of Transportation

(USDOT)

ACTION: Notice of Funding Opportunity

Infrastructure For Rebuilding America (INFRA) Program

FY 2021 Notice of Funding Opportunity

SUMMARY: The Infrastructure For Rebuilding America program (INFRA) provides Federal financial assistance to highway and freight projects of national or regional significance. This

Notice of Funding Opportunity (NOFO) solicits applications for awards under the program’s fiscal year (FY) 2021 funding, subject to the availability of appropriated funds.

DATES: Applications must be submitted by 11:59 p.m. EST on March 5, 2021. The

Grants.gov “Apply” function will open 30 days in advance of the application deadline.

ADDRESSES: Applications must be submitted through www.Grants.gov. Only applicants who comply with all submission requirements described in this NOFO and submit applications through www.Grants.gov will be eligible for award.

FOR FURTHER INFORMATION CONTACT: For further information regarding this

NOFO, please contact the Office of the Secretary via email at INFRAgrants@dot.gov, or call

Paul Baumer at (202) 366-1092. A TDD is available for individuals who are deaf or hard of hearing at 202-366-3993. In addition, up to the application deadline, the Department will post http://www.grants.gov/ http://www.grants.gov/ mailto:INFRAgrants@dot.gov answers to common questions and requests for clarifications on USDOT’s website at https://www.transportation.gov/buildamerica/INFRAgrants.

SUPPLEMENTARY INFORMATION:

The organization of this NOFO is based on an outline set in 2 CFR Part 200 to ensure consistency across Federal financial assistance programs. However, that format is designed for locating specific information, not for linear reading. For readers seeking to familiarize themselves with the INFRA program, the Department encourages them to begin with Section A

(Program Description), which describes the Department’s goals for the INFRA program and purpose in making awards, and Section E (Application Review Information), which describes how the Department will select among eligible applications. Those two sections will provide appropriate context for the remainder of the notice: Section B (Federal Award Information) describes information about the size and nature of awards; Section C (Eligibility Information) describes eligibility requirements for applicants and projects; Section D (Application and

Submission Information) describes in detail how to apply for an award; Section F (Federal

Award Administration Information) describes administrative requirements that will accompany awards; and Sections G (Federal Awarding Agency Contacts) and H (Other Information) provide additional administrative information.

Table of Contents

A. Program Description

1. Overview

2. Key Program Objectives

3. Changes from the FY 2020 NOFO

4. Additional Information https://www.transportation.gov/buildamerica/INFRAgrants

B. Federal Award Information

1. Amount Available

2. Restrictions on Award Portfolio

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

3. Other

D. Application and Submission Information

1. Address

2. Content and Form of Application

3. Unique entity identifier and System for Award Management (SAM)

4. Submission Dates and Timelines

E. Application Review Information

1. Criteria

2. Review and Selection Process

3. Additional Information

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Federal Awarding Agency Contacts

H. Other Information

1. Protection of Confidential Business Information

2. Publication of Application Information

3. Department Feedback on Applications

4. INFRA Extra Initiative

A. Program Description

1. Overview

The INFRA program provides Federal financial assistance to highway and freight projects of national or regional significance. To maximize the value of FY 2021 INFRA funds for all Americans, the Department is focusing the competition on transportation infrastructure projects that support four key objectives, each of which is discussed in greater detail in Section

A.2:

(1) Supporting economic vitality at the national and regional level;

(2) Leveraging Federal funding to attract non-Federal sources of infrastructure investment;

(3) Deploying innovative technology, encouraging innovative approaches to project delivery, and incentivizing the use of innovative financing; and

(4) Holding grant recipients accountable for their performance.

This NOFO’s focus on the four key objectives does not supplant the Department’s focus on safety as our top priority. Consistent with the R.O.U.T.E.S. initiative, the Department seeks rural projects that address deteriorating conditions and disproportionately high fatality rates on rural transportation infrastructure.

This NOFO also introduces a new initiative of the Department, INFRA Extra, which provides INFRA applicants additional flexibility to apply for credit assistance under the

Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) credit program for those projects which are competitive under the INFRA selection criteria. While this initiative will not impact how any project is evaluated for an INFRA award, nor how any application for

TIFIA credit assistance is evaluated (other than as further described in this NOFO), it is the

Department’s goal that sponsors of those projects that are designated to receive this flexibility will consider using TIFIA as a part of their financial plan.

2. Key Program Objectives

This section of the notice describes the four key program objectives that the Department intends to advance with FY 2021 INFRA funds. Section E describes how the Department will evaluate applications to advance these objectives, and Section D.2.b describes how applicants should address the four objectives in their applications.

a. Key Program Objective #1: Supporting Economic Vitality

A strong transportation network is critical to the functioning and growth of the American economy. The nation’s industry depends on the transportation network to move the goods that it produces, and facilitate the movements of the workers who are responsible for that production.

When the nation’s highways, railways, and ports function well, that infrastructure connects people to jobs, increases the efficiency of delivering goods and thereby cuts the costs of doing business, reduces the burden of commuting, and improves overall well-being. This objective aligns with the Department’s strategic goals2 of (1) investing in infrastructure to ensure mobility accessibility and to stimulate economic growth, productivity, and competitiveness for American

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

https://www.transportation.gov/dot-strategic-plan workers and businesses and (2) reducing transportation-related fatalities and serious injuries across the transportation system.

b. Key Program Objective #2: Leveraging of Federal Funding

The Department is committed to supporting increased investment in infrastructure from all levels of government. The Department recognizes that the COVID-19 pandemic has exacerbated infrastructure funding challenges faced by State and local governments. However, the Department continues to seek to optimize all available Federal and non-Federal funding for investment in infrastructure as a critical contribution to the economy. This objective aligns with the Department’s Infrastructure Strategic Objective #1: Project Delivery, Planning, Environment, Funding, and Finance.

c. Key Program Objective #3: Innovation

The Department seeks to use the INFRA program to encourage innovation in three areas:

(1) the deployment of innovative technology and expanded access to broadband; (2) use of innovative permitting, contracting, and other project delivery practices; and (3) innovative financing. This objective supports the Department’s strategic goal of innovation, with the potential for significantly enhancing the safety, efficiency, and performance of the transportation network. The Department anticipates INFRA projects will support the integration of new technology and facilitate increased public and private sector collaboration. In Section E.1.a

(Criterion #3), the Department provides many examples of innovative technologies, practices, and financing. This objective aligns with the Department’s strategic goal to lead in the development and deployment of innovative practices and technologies that improve the safety and performance of the nation’s transportation system.

d. Key Program Objective #4: Performance and Accountability

The Department seeks to increase project sponsor accountability and performance by evaluating each INFRA applicant’s plans to address the full lifecycle costs of their project and willingness to condition award funding on achieving specific, measurable outcomes.

To maximize public benefits from INFRA funds and promote local activity that will provide benefits beyond the INFRA-funded projects, the Department seeks projects that allow it to condition funding on specific, measurable outcomes. For appropriate projects, the Department may use one or more of the following types of events to trigger availability of some or all

INFRA funds: (1) reaching construction and project completion in a timely manner; or (2) achieving transportation performance targets that support economic vitality or improve safety.

This objective aligns with the Department’s Infrastructure Strategic Objective #2: Life Cycle and

Preventative Maintenance, and Infrastructure Strategic Objective #3: System Operations and

Performance.

In Section E.1.a (Criterion #4), the Department provides a framework for accountability measures and encourages applicants to voluntarily identify those that are most appropriate for their projects and local constraints.

3. Changes from the FY 2020 NOFO

The FY 2021 INFRA Notice provides additional information explaining how the

Department will evaluate applications. This includes a detailed rubric in Section E.2, and additional detail provided in Section E.1 related to the statutory Large Project Requirements and the freight rating. This NOFO also indicates that no less than 45 percent of FY 2021 funds will be awarded to projects in rural areas, and no less than 45 percent of FY 2021 funds will be awarded to projects in urban areas. After the conclusion of the evaluation and selection process, the Department intends to publish the evaluation ratings and scores for each eligible application.

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 NOFO and that all relevant information is up to date.

Section H of this NOFO provides additional detail on the INFRA Extra initiative. The

INFRA Extra initiative provides certain INFRA applicants the opportunity to apply for TIFIA credit assistance for up to 49 percent of eligible project costs. The INFRA Extra initiative does not impact how applications will be considered for an INFRA grant nor how applications for

TIFIA credit assistance will be evaluated (other than in respect of eligibility to apply for credit assistance for up to 49 percent of eligible project costs).

4. Additional Information

The INFRA program is authorized at 23 U.S.C. 117. It is described in the Federal

Assistance Listings under the assistance listing program title “Nationally Significant Freight and

Highway Projects” and assistance listing number 20.934.

B. Federal Award Information

1. Amount Available

The FAST Act authorized the INFRA program at $4.5 billion for fiscal years (FY) 2016 through 2020, and the Continuing Appropriations Act, 2021 and Other Extensions Act authorizes

$1 billion for FY 2021, to be awarded by USDOT on a competitive basis to projects of national or regional significance that meet statutory requirements. This NOFO solicits applications for the $889 million in FY 2021 INFRA funds available for awards. In addition to the FY 2021

INFRA funds, amounts from prior year authorizations, presently estimated at up to $150 million, may be made available and awarded under this solicitation. Any award under this NOFO will be subject to the availability of appropriated funds.

2. Restrictions on Award Portfolio

The Department will make awards under the INFRA program to both large and small projects (refer to Section C.3.ii.for a definition of large and small projects). For a large project, the FAST Act specifies that an INFRA grant must be at least $25 million. For a small project, including both construction awards and project development awards, the grant must be at least

$5 million. For each fiscal year of INFRA funds, 10 percent of available funds are reserved for small projects, and 90 percent of funds are reserved for large projects.

The program statute specifies that not more than $600 million in aggregate of the $5.5 billion authorized for INFRA grants over fiscal years 2016 to 2021 may be used for grants to freight rail, water (including ports), or other freight intermodal projects that make significant improvements to freight movement on the National Highway Freight Network. After accounting for FY 2016-2020 INFRA selections, as much as $146 million may be available within this constraint. Only the non-highway portion(s) of multimodal projects count toward this limit.

Grade crossing and grade separation projects do not count toward the limit for freight rail, port, and intermodal projects. The Department’s awards may not exhaust this limitation.

The program statute requires that at least 25 percent of the funds provided for INFRA grants must be used for projects located in rural areas, as defined in Section C.3.e. The USDOT must consider geographic diversity among grant recipients, including the need for a balance in addressing the needs of urban and rural areas. The Department intends to award no less than 45 percent of FY2021 funds to projects in rural areas and no less than 45 percent of funds to projects in urban areas.

C. Eligibility Information

To be selected for an INFRA grant, an applicant must be an Eligible Applicant and the project must be an Eligible Project that meets the Minimum Project Size Requirement.

1. Eligible Applicants

Eligible applicants for INFRA grants are: (1) a State or group of States; (2) a metropolitan planning organization that serves an Urbanized Area (as defined by the Bureau of the Census) with a population of more than 200,000 individuals; (3) a unit of local government or group of local governments; (4) a political subdivision of a State or local government; (5) a special purpose district or public authority with a transportation function, including a port authority; (6) a Federal land management agency that applies jointly with a State or group of

States; (7) a tribal government or a consortium of tribal governments; or (8) a multi-State or multijurisdictional group of public entities.

Multiple States or jurisdictions that submit a joint application should identify a lead applicant as the primary point of contact. Joint applications should include a description of the roles and responsibilities of each applicant and should be signed by each applicant. The applicant that will be responsible for financial administration of the project must be an eligible applicant.

2. Cost Sharing or Matching

This section describes the statutory cost share requirements for an INFRA award. Cost share will also be evaluated according to the “Leveraging of Federal Funding” evaluation criterion described in Section E.1.a (Criterion #2). That section clarifies that the Department seeks applications for projects that exceed the minimum non-Federal cost share requirement described here.

INFRA grants may be used for up to 60 percent of future eligible project costs. Other

Federal assistance may satisfy the non-Federal share requirement for an INFRA grant, but total

Federal assistance for a project receiving an INFRA grant may not exceed 80 percent of future eligible project costs. Non-Federal sources include State funds originating from programs funded by State revenue, local funds originating from State or local revenue-funded programs, private funds or other funding sources of non-Federal origins. If a Federal land management agency applies jointly with a State or group of States, and that agency carries out the project, then Federal funds that were not made available under titles 23 or 49 of the United States Code may be used for the non-Federal share. Unless otherwise authorized by statute, local cost-share may not be counted as non-Federal share for both the INFRA and another Federal program. For any project, the Department cannot consider previously incurred costs or previously expended or encumbered funds towards the matching requirement. Matching funds are subject to the same

Federal requirements described in Section F.2.b as awarded funds. See Sections D.2.b.iv, D.2.b.vii.5a, and E.1.b.iv.5 for information about documenting cost sharing in the application.

For evaluating eligibility under the statutory limit on total Federal assistance, funds from

TIFIA and Railroad Rehabilitation & Improvement Financing (RRIF) credit assistance programs are considered Federal assistance and, combined with other Federal assistance, may not exceed

80 percent of the future eligible project costs.

3. Other

a. Eligible Projects

Eligible projects for INFRA grants are: highway freight projects carried out on the

National Highway Freight Network (23 U.S.C. 167); highway or bridge projects carried out on the National Highway System (NHS), including projects that add capacity on the Interstate

System to improve mobility or projects in a national scenic area; railway-highway grade crossing or grade separation projects; or a freight project that is 1) an intermodal or rail project, or 2) within the boundaries of a public or private freight rail, water (including ports), or intermodal facility. A project within the boundaries of a freight rail, water (including ports), or intermodal facility must be a surface transportation infrastructure project necessary to facilitate direct intermodal interchange, transfer, or access into or out of the facility and must significantly improve freight movement on the National Highway Freight Network. Improving freight movement on the National Highway Freight Network may include shifting freight transportation to other modes, thereby reducing congestion and bottlenecks on the National Highway Freight

Network. For a freight project within the boundaries of a freight rail, water (including ports), or intermodal facility, Federal funds can only support project elements that provide public benefits.

b. Eligible Project Costs

INFRA grants may be used for the construction, reconstruction, rehabilitation, acquisition of property (including land related to the project and improvements to the land), environmental mitigation, construction contingencies, equipment acquisition, and operational improvements directly related to system performance. Statutorily, INFRA grants may also fund development phase activities, including planning, feasibility analysis, revenue forecasting, environmental review, preliminary engineering, design, and other preconstruction activities, provided the project meets statutory requirements. However, the Department is seeking to use INFRA funding on projects that result in construction, meaning development phase activities are less competitive 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 the subsidy and administrative costs necessary to receive TIFIA credit assistance.

All INFRA projects are subject to the Buy America requirement at 23 U.S.C. 313. The

Department expects all INFRA applicants to comply with that requirement without needing a waiver. 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. If you anticipate requiring a waiver, you must state so in your application.

c. Minimum Project Size Requirement

For the purposes of determining whether a project meets the minimum project size requirement, the Department will count all future eligible project costs under the award and some related costs incurred before selection for an INFRA grant. Previously incurred costs will be counted toward the minimum project size requirement only if they were eligible project costs under Section C.3.b. and were expended as part of the project for which the applicant seeks funds. Although those previously incurred costs may be used for meeting the minimum project size thresholds described in this section, they cannot be reimbursed with INFRA grant funds, nor will they count toward the project’s required non-Federal share.

i. Large Projects

The minimum project size for large projects is the lesser of $100 million; 30 percent of a

State’s FY 2020 Federal-aid apportionment if the project is located in one State; or 50 percent of the larger participating State’s FY 2020 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 2020 for both single and multi-State projects.

State

FY21 NSFHP

(30% of FY20 apportionment)

One-State

Minimum

(millions)

FY21 NSFHP

(50% of FY20 apportionment)

Multi-State

Minimum*

(millions)

Alabama $100 $100

Alaska $100 $100

Arizona $100 $100

Arkansas $100 $100

California $100 $100

Colorado $100 $100

Connecticut $100 $100

Delaware $56 $94

Dist. of Col. $53 $88

Florida $100 $100

Georgia $100 $100

Hawaii $56 $94

Idaho $95 $100

Illinois $100 $100

Indiana $100 $100

Iowa $100 $100

Kansas $100 $100

Kentucky $100 $100

Louisiana $100 $100

Maine $62 $100

Maryland $100 $100

Massachusetts $100 $100

Michigan $100 $100

Minnesota $100 $100

Mississippi $100 $100

Missouri $100 $100

Montana $100 $100

Nebraska $96 $100

Nevada $100 $100

New

Hampshire $55 $92

New Jersey $100 $100

New Mexico $100 $100

New York $100 $100

North Carolina $100 $100

North Dakota $83 $100

Ohio $100 $100

Oklahoma $100 $100

Oregon $100 $100

Pennsylvania $100 $100

Rhode Island $73 $100

South Carolina $100 $100

South Dakota $94 $100

Tennessee $100 $100

Texas $100 $100

Utah $100 $100

Vermont $68 $100

Virginia $100 $100

Washington $100 $100

West Virginia $100 $100

Wisconsin $100 $100

Wyoming $85 $100

* For multi-State projects, the minimum project size is the largest of the multi-State minimums from the participating States.

ii. Small Projects

A small project is an eligible project that does not meet the minimum project size described in Section C.3.c.i.

d. Large/Small Project Requirements

For a large project to be selected, the Department must determine that the project meets seven requirements described in 23 U.S.C. 117(g) and below. 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. The requirements are listed below and further described in Section E.1.b.iv and Section D.2.b.vii:

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 and the effect of the proposed project on mobility in the State and region in which the project is carried out.

e. Rural/Urban Area

This section describes the statutory definition of urban and rural areas and the minimum statutory requirements for projects that meet those definitions. For more information on how the

Department consider projects in urban, rural, and low population areas as part of the selection process, see Section E.1.a. Criterion #2, and E.1.c.

The INFRA statute defines a rural area as an area outside an Urbanized Area3 with a population of over 200,000. In this NOFO, urban area is defined as inside an Urbanized Area, as a designated by the U.S. Census Bureau, with a population of 200,000 or more.4 Rural and urban definitions differ in some other USDOT programs, including TIFIA. Cost share requirements

3 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/ 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.

4 See www.transportation.gov/buildamerica/InFRAgrants for a list of Urbanized Areas with a population of 200,000 or more.

http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/ https://tigerweb.geo.census.gov/tigerweb/ and minimum grant awards are the same for projects located in rural and urban areas. The

Department will consider a project to be in a rural area if the majority of the project (determined by geographic location(s) where the majority of the money is to be spent) is located in a rural area. However, if a project consists of multiple components, as described under Section C.3.f or

C.3.g., then for each separate component the Department will determine whether that component is rural or urban. In some circumstances, including networks of projects under Section C.3.g that cover wide geographic regions, this component-by-component determination may result in

INFRA awards that include urban and rural funds.

f. Project Components

An application may describe a project that contains more than one component. The

USDOT may award funds for a component, instead of the larger project, if that component (1) independently meets minimum award amounts described in Section B and all eligibility requirements described in Section C, including the requirements for large projects described in

Sections C.3.d and D.2.b.vii; (2) independently aligns well with the selection criteria specified in

Section E; and (3) meets National Environmental Policy Act (NEPA) requirements with respect to independent utility. Independent utility means that the component will represent a transportation improvement that is usable and represents a reasonable expenditure of USDOT funds even if no other improvements are made in the area, and will be ready for intended use upon completion of that component’s construction. If an application describes multiple components, the application should demonstrate how the components collectively advance the purposes of the INFRA program. An applicant should not add multiple components to a single application merely to aggregate costs or avoid submitting multiple applications.

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

For example, under 40 CFR § 1508.25, the NEPA review for the funded project component may need to include evaluation of all project components as connected, similar, or cumulative actions.

The Department strongly encourages applicants to identify in their applications the project components that meet independent utility standards and separately detail the costs and

INFRA funding requested for each component. If the application identifies one or more independent project components, the application should clearly identify how each independent component addresses selection criteria and produces benefits on its own, in addition to describing how the full proposal of which the independent component is a part addresses selection criteria.

g. Network of Projects

An application may describe and request funding for a network of projects. A network of projects is one INFRA award that consists of multiple projects addressing the same transportation problem. For example, if an applicant seeks to improve efficiency along a rail corridor, then their application might propose one award for four grade separation projects at four different railway-highway crossings. Each of the four projects would independently reduce congestion but the overall benefits would be greater if the projects were completed together under a single award.

The USDOT will evaluate applications that describe networks of projects similar to how it evaluates projects with multiple components. Because of their similarities, the guidance in

Section C.3.f is applicable to networks of projects, and applicants should follow that guidance on how to present information in their application. As with project components, depending upon applicable Federal law and the relationship among projects within a network of projects, an award that funds only some projects in a network may make other projects subject to Federal requirements as described in Section F.2.

h. Application Limit

To encourage applicants to prioritize their INFRA submissions, each eligible applicant may submit no more than three applications. The three-application limit applies only to applications where the applicant is the lead applicant. There is no limit on applications for which an applicant can be listed as a partnering agency. If a lead applicant submits more than three applications as the lead applicant, only the first three received will be considered.

D. Application and Submission Information

1. Address

Applications must be submitted through www.Grants.gov. Instructions for submitting applications can be found at https://www.transportation.gov/buildamerica/InFRAgrants.

2. Content and Form of Application

The application must include the Standard Form 424 (Application for Federal

Assistance), Standard Form 424C (Budget Information for Construction Programs), cover page, and the Project Narrative. More detailed information about the cover pages and Project

Narrative follows.

a. Cover Page

Each application should contain a cover page with the following chart:

Basic Project Information

What is the Project Name?

Who is the Project Sponsor?

Was an INFRA application for this project submitted previously? (If Yes, please include title)

Project Costs

INFRA Request Amount Exact Amount in year-of-expenditure dollars.

Estimated Federal funding (excl. INFRA), anticipated to be used in INFRA funded future project.

Estimate in year-of-expenditure dollars.

Estimated non-Federal funding anticipated to be used in INFRA funded future project.

Estimate in year-of-expenditure dollars.

Future Eligible Project Cost (Sum of previous three rows)

Estimate in year-of-expenditure dollars.

Previously incurred project costs (if applicable)

Estimate in year-of-expenditure dollars.

Total Project Cost (Sum of ‘previous incurred’ and ‘future eligible’)

Estimate in year-of-expenditure dollars.

Are matching funds restricted to a specific project component? If so, which one?

Project Eligibility

To be eligible, all future eligible project costs must fall into at least one of the following four categories:

Approximately how much of the estimated future eligible project costs will be spent on components of the project currently located on

National Highway Freight Network (NHFN)?

Please provide an estimate, in year-of-expenditure dollars, of the costs that meet this definition

Approximately how much of the estimated future eligible project costs will be spent on components of the project currently located on the National Highway System (NHS)?

Please provide an estimate, in year-of-expenditure dollars, of the costs that meet this definition. Maps can be found here:

https://www.fhwa.dot.gov/planning/ national_highway_system/nhs_maps/

Approximately how much of the estimated future eligible project costs will be spent on components constituting railway-highway grade crossing or grade separation projects?

Please provide an estimate, in year-of-expenditure dollars, of the costs that meet this definition

Approximately how much of the estimated future eligible project costs will be spent on components constituting intermodal or freight rail projects, or freight projects within the boundaries of a public or private freight rail, water (including ports), or intermodal facility?

Please provide an estimate, in year-of-expenditure dollars, of the costs that meet this definition

Project Location

State(s) in which project is located

Small or large project Small/Large https://www.fhwa.dot.gov/planning/national_highway_system/nhs_maps/ https://www.fhwa.dot.gov/planning/national_highway_system/nhs_maps/

Urbanized Area in which project is located, if applicable

Population of Urbanized Area (According to

2010 Census)

Is the project located (entirely or partially) in an Opportunity Zone?

Yes/No (Please reference https://www.cdfifund.gov/Pages/Opportunity-

Zones.aspx) Please identify the specific

2011-2015 Low-Income Community Census

Tract(s) (by number) that are Opportunity

Zones.

Is the project currently programmed in the:

• TIP

• STIP

• MPO Long Range Transportation Plan

• State Long Range Transportation Plan

• State Freight Plan?

Yes/no

(please specify in which plans the project is currently programmed, and provide the identifying number if applicable)

b. 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.2.b.i

II. Project Location See D.2.b.ii

III. Project Parties See D.2.b.iii.

https://www.cdfifund.gov/Pages/Opportunity-Zones.aspx https://www.cdfifund.gov/Pages/Opportunity-Zones.aspx

IV. Grant Funds, Sources and Uses of all Project

Funding

See D.2.b.iv

V. Merit Criteria See D.2.b.v and E.1.a

VI. Project Readiness See D.2.b.vi and E.1.b.ii

VII. Large/Small Project Requirements See D.2.b.vii, C.3.d., and E.1.b.iv.

The project narrative should include the information necessary for the Department to determine that the project satisfies project requirements described in Sections B and C and to assess the selection criteria specified in Section E.1. To the extent practicable, applicants should provide supporting data and documentation in a form that is directly verifiable by the

Department. The Department may ask any applicant to supplement data in its application, but expects applications to be complete upon submission.

In addition to a detailed statement of work, detailed project schedule, and detailed project budget, the project narrative should include a table of contents, maps, and graphics, as appropriate, to make the information easier to review. The Department recommends that the project narrative be prepared with standard formatting preferences (i.e., a single-spaced document, using a standard 12-point font such as Times New Roman, with 1-inch margins). The project narrative may not exceed 25 pages in length, excluding cover pages and table of contents.

The only substantive portions that may exceed the 25-page limit are documents supporting assertions or conclusions made in the 25-page project narrative. If possible, website links to supporting documentation should be provided rather than copies of these supporting materials. If supporting documents are submitted, applicants should clearly identify within the project narrative the relevant portion of the project narrative that each supporting document supports. At the applicant’s discretion, relevant materials provided previously to a modal administration in support of a different USDOT financial assistance program may be referenced and described as unchanged. The Department recommends using appropriately descriptive final names (e.g., “Project Narrative,” “Maps,” “Memoranda of Understanding and Letters of Support,” etc.) for all attachments. The USDOT recommends applications include the following sections:

i. Project Summary

The first section of the application should provide a concise description of the project, the transportation challenges that it is intended to address, and how it will address those challenges.

This section should discuss the project’s history, including a description of any previously incurred costs. The applicant may use this section to place the project into a broader context of other infrastructure investments being pursued by the project sponsor.

ii. Project Location

This section of the application should describe the project location, including a detailed geographical description of the proposed project and a map of the project’s location and connections to existing transportation infrastructure. If the project is located within the boundary of a 2010 Census-designated Urbanized Area, the application should identify the Urbanized

Area.5

iii. Project Parties

This section of the application should list all project parties, including details about the proposed grant recipient and other public and private parties who are involved in delivering the project, such as port authorities, terminal operators, freight railroads, shippers, carriers, freight-related associations, third-party logistics providers, and freight industry workforce organizations.

5 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.

http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/ https://tigerweb.geo.census.gov/tigerweb/

iv. Grant Funds, Sources and Uses of Project Funds

This section of the application should describe the project’s budget. The budget should show how each funding source will share in each major construction activity, and present that data in dollars and percentages. Funding sources should be grouped into three categories: non-

Federal; INFRA; and other Federal. If the project contains components, the budget should separate the costs of each project component. If the project will be completed in phases, the budget should separate the costs of each phase. The budget should be detailed enough to demonstrate that the project satisfies the statutory cost-sharing requirements described in Section

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

(A) Previously incurred expenses, as defined in Section C.3.b.

(B) Future eligible costs, as defined in Section C.3.b.

(C) For all funds to be used for future eligible project costs, the source and amount of those funds.

o 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.

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

(D) Information showing that the applicant has budgeted sufficient contingency amounts to cover unanticipated cost increases.

(E) The amount of the requested INFRA funds that would be subject to the limit on freight rail, port, and intermodal infrastructure described in Section B.2.

In addition to the information enumerated above, this section should provide complete information on how all project funds may be used. For example, if a 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. Merit Criteria

This section of the application should demonstrate how the project aligns with the Merit

Criteria described in Section E.1 of this NOFO. The Department encourages applicants to address each criterion or expressly state that the project does not address the criterion.

Applicants are not required to follow a specific format, but the following organization, which addresses each criterion separately, promotes a clear discussion that assists project evaluators.

To minimize redundant information in the application, the Department encourages applicants to cross-reference from this section of their application to relevant substantive information in other sections of the application.

The guidance here is about how the applicant should organize their application.

Guidance describing how the Department will evaluate projects against the Merit Criteria is in

Section E.1 of this NOFO. Applicants also should review that section before considering how to organize their application.

Criterion #1: Support for National or Regional Economic Vitality

This section of the application should describe the anticipated outcomes of the project that support the Economic Vitality criterion (described in Section E.1.a of this NOFO). The applicant should summarize the conclusions of the project’s benefit-cost analysis, including estimates of the project’s benefit-cost ratio and net benefits. The applicant should also describe economic impacts and other data-supported benefits that are not included in the benefit-cost analysis. For the purposes of considering whether the project primarily serves freight and goods movement, the application should include estimates of the volume and share of freight (trucks, rail carloads, TEUs, tonnage, or other relevant measure) that travels through the project area and identify the sources for those estimates.

Consistent with the Department’s ROUTES Initiative, the Department encourages applicants to describe how the project would address the unique challenges of rural transportation networks in safety, infrastructure condition, and passenger and freight usage, should the project serve a rural location.

The benefit-cost analysis calculation file(s) should be provided as an appendix to the project narrative, as described in Section D.2.d. of this NOFO.

Criterion #2: Leveraging of Federal Funding

The Leveraging Criterion will be assessed according to the methodology described in

Section E.1.a., referencing information provided in the application’s Grant Funds, Sources and

Uses of Project Funds section. Please describe the source of all non-INFRA funds in the project’s budget. Please state the share of non-INFRA funds coming from Federal funds, including Federal formula funds that may be passed through a State entity. Please provide evidence that funding is stable, dependable, and will be available to complete the project.

Criterion #3: Potential for Innovation

This section of the application should contain sufficient information to evaluate how the project includes or enables innovation in: (1) the accelerated deployment of innovative technology, 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.

Criterion #4: Performance and Accountability

This section of the application should include sufficient information to evaluate how the applicant will advance the Performance and Accountability program objective. In general, the applicant should indicate which (if any) accountability measures they are willing to implement or have implemented, along with the specific details necessary for the Department to evaluate their accountability measure. The applicant should also address the lifecycle cost component of this criterion in this section. See Section E.1.a for additional information.

vi. Project Readiness

This section of the application should include information that, when considered with the project budget information presented elsewhere in the application, is sufficient for the

Department to evaluate whether the project is reasonably expected to begin construction in a timely manner. To assist the Department’s project readiness assessment, the applicant should provide the information requested on technical feasibility, project schedule, project approvals, and project risks, each of which is described in greater detail in the following sections.

Applicants are not required to follow the specific format described here, but this organization, which addresses each relevant aspect of project readiness, promotes a clear discussion that assists project evaluators. To minimize redundant information in the application, the Department encourages applicants to cross-reference from this section of their application to relevant substantive information in other sections of the application.

The guidance here is about what information applicants should provide and how the applicant should organize their application. Guidance describing how the Department will evaluate a project’s readiness is described in section E.1 of this NOFO. Applicants also should review that section before considering how to organize their application.

(A) Technical Feasibility. The applicant should demonstrate the technical feasibility of the project with engineering and design studies and activities; the development of design criteria and/or a basis of design; the basis for the cost estimate presented in the INFRA application, including the identification of contingency levels appropriate to its level of design;

and any scope, schedule, and budget risk-mitigation measures. Applicants should include a detailed statement of work that focuses on the technical and engineering aspects of the project and describes in detail the project to be constructed.

(B) Project Schedule. The applicant should include a detailed project schedule that identifies all major project milestones. Examples of such milestones include State and local planning approvals (programming on the Statewide Transportation Improvement Program), start and completion of NEPA and other Federal environmental reviews and approvals including permitting; design completion; right of way acquisition; approval of plans, specifications and estimates (PS&E); procurement; State and local approvals; project partnership and implementation agreements including agreements with railroads; and construction. The project schedule should be sufficiently detailed to demonstrate that:

(1) all necessary activities will be complete to allow INFRA funds to be obligated sufficiently in advance of the statutory deadline (September 30, 2024 for FY 2021 funds), and that any unexpected delays will not put the funds at risk of expiring before they are obligated;

(2) the project can begin construction quickly upon obligation of

INFRA funds, and that the grant funds will be spent expeditiously once construction starts; and

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

(C) Required Approvals.

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

(a) Information about the NEPA status of the project. If the

NEPA process is complete, an applicant should indicate the date of completion, and provide a website link or other reference to the final

Categorical Exclusion, Finding of No Significant Impact, Record of

Decision, and any other NEPA documents prepared. If the NEPA process is underway, but not complete, the application should detail the type of

NEPA review underway, where the project is in the process, and indicate the anticipated date of completion of all milestones and of the final NEPA determination. If the last agency action with respect to NEPA documents occurred more than three years before the application date, the applicant should describe why the project has been delayed and include a proposed approach for verifying and, if necessary, updating this material in accordance with applicable NEPA requirements.

(b) Information on reviews, approvals, and permits by other agencies. An application should indicate whether the proposed project requires reviews or approval actions by other agencies6, indicate the status of such actions, and provide…