PROTECT NOFO 4-21-23.pdf

U.S. DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

Notice of Funding Opportunity for Fiscal Years 2022 and 2023 Promoting Resilient

Operations for Transformative, Efficient, and Cost-Saving Transportation (PROTECT)

Program

AGENCY: U.S. Department of Transportation (DOT), Federal Highway Administration

(FHWA).

ACTION: Notice of Funding Opportunity

SUMMARY:

The purpose of this Notice of Funding Opportunity (NOFO) is to solicit applications for

FHWA’s Promoting Resilient Operations for Transformative, Efficient, and Cost-Saving

Transportation (PROTECT) Discretionary Program Grants and will result in the distribution of up to $848 million.

Funds made available for Federal Fiscal Years (FY) 2022 and 2023 for the PROTECT

Discretionary Grant Program are to be awarded on a competitive basis to make transportation infrastructure and service more resilient to climate change and extreme weather events under 23

United States Code (U.S.C.) § 176. This notice describes the application requirements, selection and evaluation criteria, applicable program and Federal requirements, and available technical assistance during the grant solicitation period.

DATES:

Applications must be submitted electronically through grants.gov no later than 11:59 p.m., Eastern Standard Time, on Friday, August 18, 2023 (the “application deadline”). Applicants are encouraged to submit applications in advance of the application deadline; however, applications will not be evaluated, and awards will not be made, until after the application deadline.

FHWA plans to conduct outreach regarding PROTECT Discretionary Program Grants in the form of virtual meetings on May 8, 2023 and May 11, 2023, 1 PM Eastern Time. To join the

Webinar, follow the instructions posted on https://www.fhwa.dot.gov/environment/protect/discretionary. The Webinars will be recorded and posted on FHWA's PROTECT Discretionary Grant Program Website at https://www.fhwa.dot.gov/environment/protect/discretionary.

ADDRESSES:

Applications must be submitted electronically through grants.gov. Refer to Assistance Listing:

20.205 – Highway Planning and Construction.

https://www.fhwa.dot.gov/environment/protect/discretionary https://www.fhwa.dot.gov/environment/protect/discretionary

FOR FURTHER INFORMATION CONTACT:

Robert Miller

Agreement Officer

Office of Acquisition and Grants Management

Federal Highway Administration

U.S. Department of Transportation

1200 New Jersey Ave., SE.

Washington, DC 20590

Email: PROTECTdiscretionary@dot.gov (preferred)

Phone: (202) 366-9167

Alternate:

Robin Hobbs

Agreement Officer/Team Leader

Office of Acquisition and Grants Management

Federal Highway Administration

U.S. Department of Transportation

1200 New Jersey Ave., SE.

Washington, DC 20590

Phone: (202) 366-4004

Office hours are from 7:30 a.m. to 4:00 p.m., Eastern Time, Monday through Friday, except

Federal holidays.

FHWA will not review applications in advance, but FHWA staff are available for technical questions. In addition, FHWA will post answers to questions and requests for clarifications at

Grants.gov under this NOFO’s page. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact FHWA directly at

PROTECTdiscretionary@dot.gov, rather than through intermediaries or third parties, with questions.

mailto:BridgeInvestmentProgram@dot.gov mailto:PROTECTdiscretionary@dot.gov

SUPPLEMENTARY INFORMATION:

Each section of this notice contains information and instructions relevant to the application process for PROTECT Discretionary Grant Program grants. The applicant should read this notice in its entirety in order to submit all necessary information for complete and competitive applications.

Table of Contents

SECTION A – PROGRAM DESCRIPTION

SECTION B – FEDERAL AWARD INFORMATION

SECTION C – ELIGIBILITY INFORMATION

SECTION D – APPLICATION AND SUBMISSION INFORMATION

SECTION E – APPLICATION REVIEW INFORMATION

SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

SECTION H – OTHER INFORMATION

NOTE: FHWA uses www.grants.gov for receipt of all applications. Applicants must register and use the system to submit applications electronically. Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this Notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor for any updates to this Notice.

http://www.grants.gov/

SECTION A – PROGRAM DESCRIPTION

1. Overview

Section 11405 of the Bipartisan Infrastructure Law (BIL), enacted as the Infrastructure

Investment and Jobs Act (Pub. L. 117-58, Nov. 15, 2021), established the PROTECT Formula and Discretionary Grant programs, which are codified at 23 U.S.C. § 176. The purpose of the

PROTECT Formula and Discretionary Grant programs is to plan for and strengthen surface transportation to be more resilient to natural hazards, including climate change, sea level rise, flooding, extreme weather events, and other natural disasters through formula and competitive discretionary grants. FHWA issued guidance for the formula portion of PROTECT in July 2022.

This NOFO is for the discretionary portion of PROTECT. It will result in the distribution of up to $848 million for the PROTECT Discretionary Grant Program through a competitive discretionary grant process.1 FHWA intends to hold future solicitations for funding available in

FY 2024-2026.

The vision of the PROTECT Discretionary Grant Program is to fund projects that address the climate crisis by improving the resilience of the surface transportation system, including highways, public transportation, ports, and intercity passenger rail. Projects selected under this program should be grounded in the best available scientific understanding of climate change risks, impacts, and vulnerabilities. They should support the continued operation or rapid recovery of crucial local, regional, or national surface transportation facilities. Furthermore, selected projects should utilize innovative and collaborative approaches to risk reduction, including the use of natural infrastructure, which is explicitly eligible under the program. Also called nature-based solutions, these strategies include conservation, restoration, or construction of riparian and streambed treatments, marshes, wetlands, native vegetation, stormwater bioswales, breakwaters, reefs, dunes, parks, urban forests, and shade trees. They reduce flood risks, erosion, wave damage, and heat impacts while also creating habitat, filtering pollutants, and providing recreational benefits. Projects in the PROTECT Discretionary Grant Program have the potential to demonstrate innovation and best practices that State and local governments in other parts of the country can consider replicating.

By funding projects that improve resilience to natural hazards and climate change impacts, the

PROTECT Discretionary Grant Program aims to reduce damage and disruption to the transportation system, improve the safety of the traveling public, and improve equity by addressing the needs of disadvantaged communities that are often the most vulnerable to hazards.

FHWA will seek to award projects to communities that demonstrate a strong need for the funding; the program includes set asides for rural communities and Indian Tribes.

1 Funding for the PROTECT Discretionary Grants Program comes from two sources: 1) funding authorized as contract authority from the Highway Trust Fund, and 2) funding appropriated from the General Fund in annual appropriations acts. Funding authorized from the Highway Trust Fund is reduced based on the imposition of the obligation limitation contained in the annual appropriations acts. The BIL authorized $250 million annually from the Highway Trust Fund for FY 2022 and FY 2023. An additional $400 million was appropriated in FY 2022 and

FY 2023 as shown in detail in Section B. Currently, $300 million is authorized annually for FYs 2024, 2025, and

2026.

For the PROTECT Discretionary Grant Program, like the PROTECT Formula Program, grant funds can only be used for activities that are primarily for the purpose of resilience or inherently resilience related.

There are four categories of funding under the PROTECT Discretionary Grant Program. One category is for Planning Grants. The other three categories are for Resilience Improvement, Community Resilience and Evacuation Routes, and At-Risk Coastal Infrastructure projects, and throughout this NOFO are collectively referred to as Resilience Grants.

Planning Grants may be used to develop Resilience Improvement Plans in accordance with 23

U.S.C § 176(e)(2) for States and MPO; resilience planning, predesign, design, or the development of data tools to simulate transportation disruption scenarios, including vulnerability assessments; technical capacity building to facilitate the ability of the eligible entity to assess the vulnerabilities of its surface transportation assets and community response strategies under current conditions and a range of potential future conditions; or evacuation planning and preparation. (23 U.S.C. § 176(d)(3)).

Resilience Improvement Grants may be used to improve the ability of an existing surface transportation asset to withstand one or more elements of a weather event or natural disaster, or to increase the resilience of surface transportation infrastructure from the impacts of changing conditions, such as sea level rise, flooding, wildfires, extreme weather events, and other natural disasters. (23 U.S.C. § 176(d)(4)(A)).

Community Resilience and Evacuation Route Grants may be used for activities that strengthen and protect evacuation routes that are essential for providing and supporting evacuations caused by emergency events including activities that will improve evacuation routes, provide safe passage during an evacuation, and reduce the risk of damage to evacuation routes as a result of future emergency events. For routes that inadequately facilitate evacuations, including the transportation of emergency responders and recovery resources, activities include expanding capacity through installation of communication and intelligent transportation system equipment and infrastructure, counterflow measures, or shoulders, in addition to constructing new or redundant evacuation routes, acquiring evacuation route or traffic incident management equipment or signage, or ensuring access or service to critical destinations, including hospitals and other medical or emergency services facilities, major employers, critical manufacturing centers, ports and intermodal facilities, utilities, and Federal facilities. (23 U.S.C. §

176(d)(4)(B)).

At-Risk Coastal Infrastructure Grants may be used for activities to strengthen, stabilize, harden, elevate, relocate or otherwise enhance the resilience of highway and non-rail infrastructure, including: bridges, roads, pedestrian walkways, and bicycle lanes, and associated infrastructure, such as culverts and tide gates to protect highways that are subject to, or face increased long-term future risks of, a weather event, a natural disaster, or changing conditions, including coastal flooding, coastal erosion, wave action, storm surge, or sea level rise, in order to improve transportation and public safety and to reduce costs by avoiding larger future maintenance or rebuilding costs. (23 U.S.C. § 176(d)(4)(C)).

Together, these four funding categories will make surface transportation assets, communities, and coastal infrastructure more resilient to current and future weather events and natural disasters, such as severe storms, flooding, drought, levee and dam failures, wildfire, rockslides, mudslides or landslides, sea level rise, extreme weather, including extreme temperature, and earthquakes, as well as to allow for continued operation or rapid recovery of surface transportation systems.

Future NOFOs under the PROTECT Discretionary Grant Program may prioritize projects that are awarded planning grants funded under this NOFO for Resilience Grant awards.

Applicants may use one application to submit the same project for multiple funding categories if the project meets the eligibility criteria for multiple categories. For instance, a project to improve resilience of a coastal evacuation route could be eligible under all three Resilience Grant categories. Applicants would need to be sure to submit all the information needed for each category under which they are applying. Applicants should indicate which funding category or categories they are applying, however FHWA reserves the discretion to determine which funding category from which to make an award for a project, including a category for which the applicant did not apply.

Different funding amounts are available for the different categories, as shown below.

Category Approximate Funding Available this

Round

Planning Grants Up to $45 million

Resilience Improvement Grants Up to $638 million

Community Resilience and Evacuation Route Grants Up to $45 million

At-Risk Coastal Infrastructure Grants Up to $120 million

For more information about the eligible activities under each grant category see Section C of this

NOFO.

FHWA will award FY 2022 and FY 2023 PROTECT Discretionary Grant Program grants to eligible applicants consistent with applicable statutory criteria and priorities, merit criteria, and the Administration priorities described within this NOFO.

Eligible Applicants

The PROTECT Discretionary Grant Program provides broad applicant eligibility for all levels of government to be direct recipients of funds. States, MPOs, local governments, and Indian Tribes can apply directly to FHWA. A Federal land management agency may be eligible if the agency applies jointly with a State or group of States. (See Section C for a complete list of eligible entities). FHWA encourages all eligible entities regardless of size, location, and experience administering Federal funding awards to apply for Federal assistance for Planning Grants and

Resilience Grants under this NOFO.

To assist applicants, FHWA has developed application checklists which applicants are encouraged to use. These checklists can be found under the related documents tab for this

NOFO on Grants.gov. The checklists are provided solely as a prompt for applicants and are not required for the grant application.

Alignment with Administration Priorities and Strategic Goals

The PROTECT Program (Formula and Discretionary) aligns with Biden-Harris Administration policies and priorities, including DOT’s Strategic Plan goals of Safety, Economic Strength and

Global Competitiveness, Equity, Climate and Sustainability, Transformation, and Organizational

Excellence. The program will be implemented in line with Administration and Departmental policies and orders including the America the Beautiful Initiative; the Interagency Memorandum of Understanding (MOU) on Promoting Equitable Access to Nature in Nature-Deprived

Communities signed by DOT; DOT Climate Action Plan; DOT Equity Action Plan; Executive

Order (E.O.) 13985, Advancing Racial Equity and Support for Underserved Communities

Through the Federal Government (86 FR 7009); E.O. 12898, Federal Actions to Address

Environmental Justice in Minority Populations and Low-Income Populations (59 FR 7629); E.O.

14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619); and E.O. 14030, Climate

Related Financial Risk (86 FR 27967). Also, consistent with E.O. 14030 and E.O. 13690, Establishing a Federal Flood Risk Management Standard and a Process for Further Soliciting and

Considering Stakeholder Input (80 FR 6425), project applicants should be aware that DOT is in the process of developing guidance and considering updates to its floodplain requirements, including redefining the appropriate flood hazard area to account for future climate conditions.

The Department is committed to advancing safe, efficient transportation, including in the

PROTECT Discretionary Grant Program. The National Roadway Safety Strategy (NRSS), issued January 27, 2022, commits DOT to respond to the current crisis in roadway fatalities by

“taking substantial, comprehensive action to significantly reduce serious and fatal injuries on the

Nation’s roadways” in pursuit of the goal of achieving zero roadway deaths through a Safe

System Approach. The outcomes that are anticipated from the projects funded by PROTECT

Discretionary Grant Program should align with the NRSS.

The Department seeks to fund projects under the PROTECT Discretionary Grant Program that reduce greenhouse gas emissions in the transportation sector, incorporate evidence-based climate resilience measures and features, reduce the lifecycle greenhouse gas emissions from the project materials, avoid adverse environmental impacts to air or water quality, wetlands, and endangered species, and address the disproportionate negative environmental impacts of transportation on disadvantaged communities, consistent with E.O. 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).

The Department seeks to award projects under the PROTECT Discretionary Grant Program that will create proportional impacts to all populations in a project area, remove transportation related disparities to all populations in a project area, and increase equitable access to project benefits, consistent with E.O. 13985, Advancing Racial Equity and Support for Underserved Communities

Through the Federal Government (86 FR 7009).

https://www.whitehouse.gov/ceq/news-updates/2022/09/23/fact-sheet-biden-%e2%81%a0harris-administration-advances-commitment-to-create-more-equitable-access-to-parks-and-nature-in-communities/ https://www.whitehouse.gov/ceq/news-updates/2022/09/23/fact-sheet-biden-%e2%81%a0harris-administration-advances-commitment-to-create-more-equitable-access-to-parks-and-nature-in-communities/ https://www.whitehouse.gov/ceq/news-updates/2022/09/23/fact-sheet-biden-%e2%81%a0harris-administration-advances-commitment-to-create-more-equitable-access-to-parks-and-nature-in-communities/

The Department also seeks to award projects that address equity and environmental justice, particularly for disadvantaged communities that are marginalized, underserved, and overburdened by pollution and climate-related risks, and lack access to nature’s benefits, consistent with E.O. 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).

The Department intends to use the PROTECT Discretionary Grant Program to support the creation of good-paying jobs with the free and fair choice to join a union and the incorporation of strong labor standards and training and placement programs, especially registered apprenticeships, in project planning stages, consistent with E.O. 14025, Worker Organizing and

Empowerment (86 FR 22829), and E.O. 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). FHWA also intends to use the PROTECT Discretionary Grant

Program to support wealth creation, consistent with the DOT’s Equity Action Plan through the inclusion of local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises (DBE), Minority-owned Businesses, Women-owned

Businesses, or 8(a) firms.

Please see Section E of this NOFO for more information on the FY 2022 and FY 2023

PROTECT Discretionary Grant Program selection criteria, the process for selecting projects, and how FHWA will evaluate applications in regard to these Administration priorities and goals. In addition, Section F.3 describes progress and performance reporting requirements for selected projects and the Administration’s goals as appropriate.

2. Additional Information

The PROTECT Discretionary Grant Program is described in the Federal Assistance Listings under the assistance listing program title “Highway Planning and Construction’’ and assistance listing number 20.205.

FHWA is committed to considering project funding decisions holistically among the various discretionary grant programs available in BIL. FHWA also recognizes that applicants may be seeking funding from multiple discretionary grant programs and opportunities. An applicant may seek the same award amounts from multiple FHWA discretionary opportunities or seek a combination of funding from multiple DOT opportunities.

The applicant should identify any other DOT programs and opportunities they intend to apply for

(or utilize if the Federal funding is already available to the applicant), and what award amounts they will be seeking, in the appropriate sections of this NOFO, including Section D.2.b.II. .

SECTION B – FEDERAL AWARD INFORMATION

1. Award Amount Available

For FY 2022 and FY 2023, up to $848 million2 is available for PROTECT Discretionary Grant

Program awards under this notice. Of this amount, up to $45 million is available for Planning

Grants; up to $638 million is available for Resilience Improvement Grants; up to $45 million is available for Community Resilience and Evacuation Route Grants; and up to $120 million is available for At-Risk Coastal Infrastructure Grants. Subject to the availability of funds, an eligible entity may request, and the Secretary may distribute funds for a grant under this subsection on a multiyear basis, as the Secretary determines to be necessary. Any award under this NOFO will be subject to the availability of funding.

2. Award Size

For FY 2022 and FY 2023 PROTECT Discretionary Grant Program Planning Grants, FHWA requests applications for a minimum award size of $100,000 and no maximum award size.

For FY 2022 and FY 2023 PROTECT Discretionary Grant Program Resilience Improvement, Community Resilience and Evacuation Routes, and At-Risk Coast Infrastructure grants FHWA requests applications for a minimum award size of $500,000 and no maximum award size.

FHWA anticipates awarding between 30 to 40 Resilience Improvement, Community Resilience and Evacuation Routes, and At-Risk Coast Infrastructure grants.

If an applicant seeks an award amount that is less than the minimum, the application should include a justification for the requested amount. FHWA reserves the discretion to consider award sizes below the minimum award size listed above. Consideration will include the total amount of eligible PROTECT Discretionary Grant Program grant funds requested and consideration of the evaluation and selection criteria described in Section E.

2 PROTECT Discretionary Grant Program funds from the Highway Account of the Highway Trust Fund are contract authority, which is reduced based on the imposition of the Federal-aid obligation limitation contained in the annual appropriations acts. Accordingly, the amount of $250,000,000 authorized for each of FYs 2022 and 2023 is reduced to $228,250,000 and $219,500,000, respectively. Additional funds were appropriated from the General Fund in the

FY 2022 and FY 2023 annual appropriations acts to the PROTECT Discretionary Grant Program, which are not subject to the obligation limitation (Consolidated Appropriations Act, 2023 (Public Law 117-103) and Consolidated

Appropriations Act, 2023 (Public Law 117-328)).

3. Statutory Funding Provisions

a. Rural Set-Aside

Of the amounts made available for each fiscal year, the Secretary shall use not less than 25 percent for grants to projects located in areas that are outside an urban area with a population over 200,000. (23 U.S.C. § 176(d)(5)(H)(ii)).

b. Tribal Set-Aside

Of the amounts made available for each fiscal year, the Secretary shall use not less than 2 percent for grants to Indian Tribes (as defined in section 23 U.S.C. § 207(m)(1)) for eligible PROTECT

Discretionary Grant Program Planning Grants, Resilience Improvement Grants, Community

Resilience and Evacuate Routes Grants, and At-Risk Coastal Grants. (23 U.S.C. §

176(d)(5)(H)(iii)).

c. Unutilized Amounts

For any fiscal year, if the Secretary determines that the amount of the Rural Set-Aside or Tribal

Set-Aside will not be fully utilized for PROTECT Discretionary Grant Program grants, the

Secretary may reallocate the unutilized funds to provide grants to other PROTECT Discretionary

Grant Program eligible entities. (23 U.S.C. § 176(d)(5)(H)(iv)).

d. Limitation on Intercity Rail Passenger Transportation

Limit on certain activities: not more than 25 percent will be used for a facility or service for intercity rail passenger transportation (as defined in 49 U.S.C. § 24102). (23 U.S.C.

§ 176(d)(5)(G)(ii)).

4. Availability of Funds

Selected projects will be funded with either FY 2022 or FY 2023 funds. Awards funded with

FY 2022 funds must be obligated, via a signed grant agreement between FHWA and the recipient, by September 30, 2025. Awards funded with FY 2023 funds must be obligated via a signed grant agreement by September 30, 2026. Funding expenditure deadlines for FY 2022 and

2023 funds will be documented in the grant agreement depending on the fund source. To determine whether a project selected to receive a PROTECT Discretionary Grant Program award will be funded with FY 2022 or FY 2023 funds, FHWA will consider the estimated project start date provided in the application. Funds will be assigned after announcement of award during the grant agreement process.

Obligation for a PROTECT Discretionary Grant Program grant occurs when a selected applicant enters a project agreement with FHWA, and FHWA authorizes the project to proceed. For construction, this is generally after the applicant has satisfied applicable administrative requirements, including transportation planning and environmental review requirements and compliance with 23 Code of Federal Regulations (CFR) 635 subpart C “Physical Construction

Authorization” for State department of transportation (State DOT) applicants or 2 CFR 200.318

– 327 for non-State DOT applicants.

5. Type of Award

If the successful applicant is a State DOT or a State DOT will serve as a pass-through entity to a non-State DOT entity, PROTECT Discretionary Grant Program funds will be awarded upon the execution of a project agreement, which is a type of grant agreement for administration of funds to a State DOT in the Fiscal Management Information System (FMIS).

If the successful applicant is a non-State DOT, funds will be awarded upon the execution of a grant agreement with FHWA. A determination will be made if the successful applicant will administer the project or if the successful applicant included a request for an applicable State

DOT, or FHWA Federal Lands Highway Division for Indian Tribe projects, to administer the project.

6. Period of Performance

If a grant recipient will be a State DOT or if a State DOT will serve as a pass-through to a non-

State DOT entity awarded a grant, the DOT Payment System will be “Current Bill” in FMIS and the start of the period of performance will begin on the date PROTECT Discretionary Grant

Program funds are obligated in FMIS and end on the project end date in FMIS.

If a grant recipient will be a non-State DOT entity, the DOT Payment System will be “DELPHI eInvoicing” and the start of the period of performance will begin on the date the grant agreement is executed by FHWA, which will obligate the PROTECT Discretionary Grant Program funds, and end according to the period of performance listed in the grant agreement.

SECTION C – ELIGIBILITY INFORMATION

To be selected for a PROTECT Discretionary Grant Program grant, an applicant must meet the eligibility requirements under this section including Eligible Entity; Eligible Project; Statutory

Cost Sharing or Match requirements; and Statutory Applicant Requirements. Applications that do not meet these threshold eligibility requirements will not be evaluated under the criteria in

Section E.1.

1. Eligible Applicants

a. Planning Grants, Resilience Improvement Grants, and Community Resilience and

Evacuation Route Grants have the same statutory rules for all applicants eligible to apply.

At-Risk Coastal Grants have different statutory rules for applicant eligibility.

Planning Grants, Resilience Improvement Grants, and

Community Resilience and Evacuation Route Grants

(23 U.S.C. § 176(d)(2))

1. A State or political subdivision of a State. (State includes the District of Columbia and

Puerto Rico)

2. An MPO.

3. A unit of local government.

4. A special purpose district or public authority with a transportation function, including a port authority.

5. An Indian Tribe (as defined in 23 U.S.C. § 207(m)(1)).

6. A Federal land management agency that applies jointly with a State or group of States.

7. A multi-State or multijurisdictional group of entities described in (1) through (6).

At-Risk Coastal Infrastructure Grants

23 U.S.C. § 176(d)(4)(C)(i)(I-VIII)

1. A State (including the U.S. Territories Virgin Islands, Guam, American Samoa, and the

Commonwealth of the Northern Mariana Islands) in, or bordering on, the Atlantic, Pacific, or

Arctic Ocean, the Gulf of Mexico, Long Island Sound, or one or more of the Great Lakes.

2. A political subdivision of a State described in (1.) above.

3. An MPO in a State described in (1.) above.

4. A unit of local government in a State described in (1.) above.

5. A special purpose district or public authority with a transportation function, including a port authority, in a State described in (1.) above.

6. An Indian Tribe in a State described in (1.) above.

7. A Federal land management agency that applies jointly with a State or group of States described in (1.) above.

8. A multi-State or multijurisdictional group of entities described in (1.) through (7.) above.

b. Joint Applications for Any PROTECT Discretionary Grant Program Funding

Category

Multiple States or a multijurisdictional group that submits 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 or include a letter of support by each applicant. The applicant that will be responsible for financial administration of the project and the recipient of a PROTECT Discretionary Grant Program award must be an eligible applicant.

2. Cost Sharing or Matching

For PROTECT Discretionary Grant Program Planning Grants, the Federal share of an eligible planning activity shall be 100 percent. (23 U.S.C. § 176(d)(5)(E)(i)).

For PROTECT Discretionary Grant Program Resilience Grants, the Federal share of an eligible project shall not exceed 80 percent of the total cost of the project. (23 U.S.C. §

176(d)(5)(E)(ii)(I)). If an Indian Tribe (as defined in 23 U.S.C. § 207(m)(1)) receives a

Resilience Improvement Grant and Community Resilience and Evacuation Route Grant or At-

Risk Coastal Infrastructure Grants, on the determination of the Secretary of DOT, the Federal share of an eligible project may be up to 100 percent. (23 U.S.C. § 176(d)(5)(E)(ii)(II)).

Per 23 U.S.C. § 176(d)(5)(E)(iii), an eligible entity may use Federal funds other than a grant under the PROTECT Discretionary Grant Program to meet the non-Federal cost share requirement. However, the non-Federal share requirements for those other Federal funds must still be met. In addition to applicable Federal share requirements, eligibility requirements must also be met for all funds involved on the PROTECT Discretionary Grant Program project.

Matching funds are subject to the same Federal requirements as PROTECT Discretionary Grant

Program funds described in Section F.2. Unless otherwise authorized by statute, the cost-share may not be counted as non-Federal share for both a PROTECT Discretionary Grant Program project and another Federal program.

resilience related. As such, only the incremental cost of making assets more resilient are eligible for PROTECT funding. (For more information, see “Promoting Resilient Operations for

Transformative, Efficient, and Cost Saving Transportation (PROTECT) Formula Program

Implementation Guidance” July 29, 2022, p.14 available at

(https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_f ormula.pdf). The PROTECT Discretionary Grant Program project cost cannot include any previously incurred costs.

Applicants should use the following equation when determining the cost share for their

Resilience grant project:

https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf

(PROTECT Grant + Other Funds for the Project) = Total PROTECT Discretionary Grant

Program Project Cost

PROTECT Grant must be <= 0.80 X Total PROTECT Discretionary Grant Program Project Cost

However, the non-Federal share shall be reduced as provided under 23 U.S.C. § 176(e)(1)(B)(i) and (ii) to a maximum reduction of 10 percent3 under 23 U.S.C. § 176(e)(1)(B)(iii)(I).

The non-Federal share of the cost of a project carried out using PROTECT Formula Program funds may be reduced by seven percentage points if the State has developed a Resilience

Improvement Plan and prioritized the project on that Resilience Improvement Plan (23 U.S.C.

176(e)(1)(B)(i)); and three percentage points if a State Resilience Improvement Plan developed in accordance with Section 176(e) is incorporated (directly or by reference) into the metropolitan transportation plan under 23 U.S.C. 134 or the statewide long-range transportation plan under 23

U.S.C. 135, as applicable. (23 U.S.C.176(e)(1)(B)(ii)).

For example, a State may have a resilience project eligible under PROTECT that is prioritized in its Resilience Improvement Plan developed under Section 176(e). Provided the State meets all procedural requirements for the Resilience Improvement Plan, the scenario may result in a split of 87 percent PROTECT Formula Program funds and 13 percent non-Federal funds. In a variation of the same scenario, if the State also incorporates the Resilience Improvement Plan into the long-range statewide transportation plan, it may result in a split of 90 percent of

PROTECT Formula Program funds and a non-Federal share of 10 percent.

Reduction of Non-Federal Share for Resilience Grants

Project is Prioritized in a Resilience

Improvement Plan

(23 U.S.C. § 176(e)(1)(B)(i))

Resilience Improvement Plan is

Incorporated in Other Planning

(23 U.S.C. § 176(e)(1)(B)(ii))

7% Reduction 3% Reduction

Eligible Entity

(Applicant)

Requirements Eligible Entity

(Applicant)

Requirements

State or MPO 1. Developed a

Resilience

Improvement Plan in accordance with

23 U.S.C. § 176(e)(2); and

State or MPO The Resilience

Improvement Plan developed in accordance with 23 U.S.C. §

176(e)(2) has been incorporated into the

3 A reduction of the non-Federal share under 23 U.S.C. § 176(e)(1)(B) shall not reduce the non-Federal share of the costs of a PROTECT Discretionary Grant Program Resilience Grant funded project to an amount that is less than zero. (23 U.S.C. § 176(e)(1)(E)(B)(iii)(II)).

2. The project is prioritized on the

Resilience

Improvement Plan developed in (1.)

above.

metropolitan transportation plan under

23 U.S.C. § 134 or the long-range statewide transportation plan under

23 U.S.C. § 135, as applicable.

Non-State or Non-

MPO

Non-State or Non-

MPO is located in a

State or area served by a MPO that has:

a. Developed a

Resilience

Improvement Plan in accordance with

23 U.S.C. §

176(e)(2); and

b. The project is prioritized on the

Resilience

Improvement Plan developed in (1.)

above.

Non-State or Non-

MPO

Non-State or Non-MPO is located in a State or area served by a MPO that has incorporated the

Resilience Improvement

Plan developed in accordance with 23

U.S.C. § 176(e)(2) into the metropolitan transportation plan under

23 U.S.C. § 134 or the long-range statewide transportation plan under

23 U.S.C. § 135, as applicable.

For each project that receives a grant under this notice, FHWA expects the project to be completed using at least the amount of matching funds that was specified in the application.

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

3. Other

a. Eligible Projects

Eligible activities are different for each of the four types of grants under the PROTECT

Discretionary Grant Program. Example projects can be found in the PROTECT Formula

Program Implementation Guidance.

https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf

Eligible Projects

PROTECT Discretionary

Grant Program Funding

Category

Project Activities

Planning Grant

23 U.S.C. § 176(d)(3)

1. In the case of a State or MPO, developing a Resilience

Improvement Plan under 23 U.S.C. § 176(e)(2);

2. Resilience planning, predesign, design, or the development of data tools to simulate transportation disruption scenarios, including vulnerability assessments;

3. Technical capacity building by the eligible entity to facilitate the ability of the eligible entity to assess the vulnerabilities of the surface transportation assets and community response strategies of the eligible entity under current conditions and a range of potential future conditions; or

4. Evacuation planning and preparation.

Resilience Improvement Grant

23 U.S.C. § 176(d)(4)(A)(ii)

One or more construction activities to improve the ability of an existing surface transportation asset to withstand one or more elements of a weather event or natural disaster, or to increase the resilience of surface transportation infrastructure from the impacts of changing conditions, such as sea level rise, flooding, wildfires, extreme weather events, and other natural disasters including:

1. Resurfacing, restoration, rehabilitation, reconstruction, replacement, improvement, or realignment of an existing surface transportation facility eligible for assistance under this title;

2. The incorporation of natural infrastructure;

3. The upgrade of an existing surface transportation facility to meet or exceed a design standard adopted by FHWA;

4. The installation of mitigation measures that prevent the intrusion of floodwaters into surface transportation systems;

5. Strengthening systems that remove rainwater from surface transportation facilities;

6. Upgrades to and installation of structural stormwater controls;

7. A resilience project that addresses identified vulnerabilities described in the Resilience Improvement

Plan of the eligible entity, if applicable;

8. Relocating roadways in a base floodplain to higher ground above projected flood elevation levels, or away from slide prone areas;

9. Stabilizing slide areas or slopes;

10. Installing riprap;

11. Lengthening or raising bridges to increase waterway openings, including to respond to extreme weather;

12. Increasing the size or number of drainage structures;

13. Installing seismic retrofits on bridges;

14. Adding scour protection at bridges;

15. Adding scour, stream stability, coastal, and other hydraulic countermeasures, including spur dikes;

16. Vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, facilitate wildfire control, and provide erosion control; and

17. Any other protective features, including natural infrastructure, as determined by the Secretary.

Community Resilience and

Evacuation Route Grant

23 U.S.C. § 176(d)(4)(B)(ii)

One or more projects that strengthen and protect evacuation routes that are essential for providing and supporting evacuations caused by emergency events, including a project that-

1. Is a Resilience Improvement Project under 23 U.S.C. §

176(d)(4)(A)(ii), if that eligible activity will improve an evacuation route;

2. Ensures the ability of the evacuation route to provide safe passage during an evacuation and reduces the risk of damage to evacuation routes as a result of future emergency events, including restoring or replacing existing evacuation routes that are in poor condition or not designed to meet the anticipated demand during an emergency event, and including steps to protect routes from mud, rock, or other debris slides;

3. If the eligible entity notifies4 the Secretary that existing evacuation routes are not sufficient to adequately facilitate evacuations, including the transportation of emergency responders and recovery resources, expands the capacity of evacuation routes to swiftly and safely accommodate evacuations, including installation of-

(a) Communications and intelligent transportation system equipment and infrastructure;

(b) Counterflow measures; or

(c) Shoulders;

4 See PROTECT Formula Program Implementation Guidance

(https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf).

https://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf http://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf) http://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf) http://www.fhwa.dot.gov/environment/sustainability/resilience/policy_and_guidance/protect_formula.pdf)

4. Is for the construction of new or redundant evacuation routes, if the eligible entity notifies the Secretary that existing evacuation routes are not sufficient to adequately facilitate evacuations, including the transportation of emergency responders and recovery resources;

5. Is for the acquisition of evacuation route or traffic incident management equipment or signage; or

6. Will ensure access or service to critical destinations, including hospitals and other medical or emergency service facilities, major employers, critical manufacturing centers, ports and intermodal facilities, utilities, and Federal facilities.

b. Statutory Eligibility Criteria for At-Risk Coastal Infrastructure Grants

1. Eligible Project. The Secretary shall provide At-Risk Coastal Infrastructure grants for projects (I) that address the risks from a current or future weather event or natural disaster, including coastal flooding, coastal erosion, wave action, storm surge, or sea level change;

and (II) that reduce long-term infrastructure costs by avoiding larger future maintenance or rebuilding costs. (23 U.S.C. 23 U.S.C. § 176(d)(4)(C)(iv)).

FHWA will determine whether an application for an At-Risk Coastal Infrastructure grant meets the project eligibility projects by (1) addressing how the project will use data or evidence (qualitative or quantitative) that the proposed project will effectively improve resilience to current and future weather events and natural disasters and changing conditions, and (2) validating the documentation provided by the applicant demonstrating that the proposed project to be carried out by the eligible entity will reduce long-term infrastructure costs by avoiding larger future maintenance or rebuilding costs.

Documentation for (II) above should detail projected costs associated with build and no-build case scenarios. Applicants are encouraged to establish a clear baseline from which the incremental cost reduction of a proposed project can be derived. Maintenance and rebuilding costs associated with existing and future hazard risk and those that would accrue apart from hazard risks, altogether, should be provided. The build case should account for the non-hazard maintenance costs associated with the project as well as the expected reduction in maintenance or rebuilding costs. For projects involving the construction of new infrastructure, total non-hazard maintenance costs would be zero in the base case, so net non-hazard maintenance costs would typically be positive, reflecting the ongoing expenditures needed to maintain the new asset over its lifecycle. For projects intended to replace, reconstruct, or rehabilitate existing infrastructure, however, the net change in non-hazard maintenance costs under the proposed project will often be negative, as newer infrastructure requires less frequent and less costly maintenance to keep it in service than would an aging, deteriorating asset.

ii. Eligible Activities. Eligible activities for eligible At-Risk Coastal Infrastructure projects are: strengthening, stabilizing, hardening, elevating, relocating, or otherwise enhancing the resilience of highway and non-rail infrastructure, including bridges, roads, pedestrian walkways, and bicycle lanes, and associated infrastructure, such as culverts and tide gates to protect highways, that are subject to, or face increased long-term future risks of, a weather event, a natural disaster, or changing conditions, including coastal flooding, coastal erosion, wave action, storm surge, or sea level rise, in order to improve transportation and public safety and to reduce costs by avoiding larger future maintenance or rebuilding costs. (23

U.S.C. § 176(d)(4)(C)(iii)).

c. System Resilience for Resilience Grants

A PROTECT Discretionary Grant may include the use of natural infrastructure or the construction or modification of storm surge, flood protection, or aquatic ecosystem restoration elements functionally connected to a transportation improvement, such as:

1. Increasing marsh health and total area adjacent to a highway right-of-way to promote additional flood storage;

2. Upgrades to and installing of culverts designed to withstand 100-year flood events;

3. Upgrades to and installation of tide gates to protect highways; and

4. Upgrades to and installation of flood gates to protect tunnel entrances.

d. Eligible Facilities

A PROTECT Discretionary Grant Program Planning Grant or Resilience Grant may be awarded only for the following facilities:

1. a highway5 project eligible for assistance under this title;

2. a public transportation facility or service eligible for assistance under chapter 53 of title 49;

3. a facility or service for intercity rail passenger transportation (as defined in section 24102 of title 49); or

4. a port facility, including a facility that:

a. connects a port to other modes of transportation;

b. improves the efficiency of evacuations and disaster relief; or

c. aids transportation. (23 U.S.C. § 176(d)(5)(C)).

e. Statutory Requirements for Resilience Projects in Floodplains

If a PROTECT Discretionary Grant Program project is proposed to be carried out, in whole or in part, within a base floodplain, under 23 U.S.C. § 176(d)(5)(B)(ii) the application must include the following:

1. Identification of the floodplain in which the project is to be located and disclose that information to the Secretary in the application; and

2. Indication, whether, if selected, the eligible entity will implement one or more components of the risk mitigation plan under section 322 of the Robert T. Stafford Disaster Relief and

Emergency Assistance Act (42 U.S.C. § 5165) with respect to the area.

Transportation infrastructure should not be built in floodplain areas if it can be avoided. If it cannot be avoided then the transportation infrastructure should be built to minimize impacts to floodplain function (to reduce risk to others) as well as built to protect transportation safety.

5 The term “highway” includes a road, street, and parkway; a right-of-way, bridge, railroad-highway crossing, tunnel, drainage structure including public roads on dams, sign, guardrail, and protective structure, in connection with a highway; and a portion of any interstate or international bridge or tunnel and the approaches thereto, the cost of which is assumed by a State transportation department, including such facilities as may be required by the U.S.

Customs and Immigration Services in connection with the operation of an international bridge or tunnel. 23 U.S.C. §

101(a)(11) https://www.fema.gov/sites/default/files/documents/fema_stafford_act_2021_vol1.pdf https://www.fema.gov/sites/default/files/documents/fema_stafford_act_2021_vol1.pdf https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=23-USC-915501581-293024776&term_occur=999&term_src https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=23-USC-915501581-293024776&term_occur=999&term_src https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=23-USC-1138305417-293024743&term_occur=999&term_src=title%3A23%3Achapter%3A1%3Asection%3A101 https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=23-USC-915501581-293024776&term_occur=999&term_src=title%3A23%3Achapter%3A1%3Asection%3A101 https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=23-USC-1526040471-293024714&term_occur=999&term_src

Nature-based solutions may be one option for reducing impacts to the floodplain while protecting infrastructure.

f. Eligible Project Costs resilience related. The focus should be on the incremental cost of making transportation assets more resilient. However, to the extent that the primary purpose of a project is to address resilience, it could be eligible to be fully funded (up to the applicable Federal share). Final determinations regarding whether an improvement is eligible for PROTECT Discretionary Grant

Program funding are made by FHWA. Other project components that are not inherently resilience-focused should generally be funded from other sources, including other Title 23 programs.

Eligible project costs are different for planning grants vs. resilience grants.

Eligible Project Costs

Planning Grants

(23 U.S.C. § 176(d)(5)(F)(ii))

Resilience Grants

(23 U.S.C. § 176(d)(5)(F)(i))

Development phase activities, including planning, feasibility analysis, revenue forecasting, environmental review, preliminary engineering and design work, other preconstruction activities, and other activities consistent with carrying out an eligible PROTECT Discretionary

Grant Program Planning project.

1. Development phase activities, including planning, feasibility analysis, revenue forecasting, environmental review, preliminary engineering and design work, and other preconstruction activities; and

2. Construction, reconstruction, rehabilitation, and acquisition of real property (including land related to the project and improvements to land), environmental mitigation, construction contingencies, acquisition of equipment directly related to…