Notice2021-28552
Regional Infrastructure Accelerator Demonstration Program
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
January 6, 2022
Issuing agencies
Transportation Department
Abstract
The Fixing America's Surface Transportation (FAST) Act, enacted in December 2015, authorized the establishment of a Regional Infrastructure Accelerators Demonstration Program (the Program) to assist entities in developing improved infrastructure priorities and financing strategies for the accelerated development of a project that is eligible for funding under the Transportation Infrastructure Finance and Innovation Act (TIFIA) Credit Program. The Consolidated Appropriations Act, 2021, enacted on December 27, 2020, appropriated $5 million for this Program. A NOFO was issued in December 2020 and five accelerators were selected from the initial round of applicants. The Build America Bureau (the Bureau) is issuing a second NOFO to further expand the Program and solicit applications for designating and funding Regional Infrastructure Accelerators (RIA) that: (1) Serve a defined geographic area; (2) act as a resource to qualified entities in the geographic area in accordance with the FAST Act; and (3) demonstrate the effectiveness of an RIA to expedite the delivery of projects eligible for the TIFIA credit program. Projects are not required to apply for or receive TIFIA credit assistance to be eligible; however, applicants who are considering the appropriateness of innovative financing methods such as TIFIA, the Railroad Rehabilitation and Improvement Financing (RRIF) credit program, Private Activity Bonds (PABs), project bundling, private investment, and other innovative financing methods to accelerate the delivery of eligible projects are strongly encouraged to apply.
Full Text
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<title>Federal Register, Volume 87 Issue 4 (Thursday, January 6, 2022)</title>
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[Federal Register Volume 87, Number 4 (Thursday, January 6, 2022)]
[Notices]
[Pages 793-801]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-28552]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
Regional Infrastructure Accelerator Demonstration Program
AGENCY: Build America Bureau, Department of Transportation (DOT).
ACTION: Notice of funding opportunity.
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SUMMARY: The Fixing America's Surface Transportation (FAST) Act,
enacted in December 2015, authorized the establishment of a Regional
Infrastructure Accelerators Demonstration Program (the Program) to
assist entities in developing improved infrastructure priorities and
financing strategies for the accelerated development of a project that
is eligible for funding under the Transportation Infrastructure Finance
and Innovation Act (TIFIA) Credit Program. The Consolidated
Appropriations Act, 2021,
[[Page 794]]
enacted on December 27, 2020, appropriated $5 million for this Program.
A NOFO was issued in December 2020 and five accelerators were selected
from the initial round of applicants. The Build America Bureau (the
Bureau) is issuing a second NOFO to further expand the Program and
solicit applications for designating and funding Regional
Infrastructure Accelerators (RIA) that: (1) Serve a defined geographic
area; (2) act as a resource to qualified entities in the geographic
area in accordance with the FAST Act; and (3) demonstrate the
effectiveness of an RIA to expedite the delivery of projects eligible
for the TIFIA credit program. Projects are not required to apply for or
receive TIFIA credit assistance to be eligible; however, applicants who
are considering the appropriateness of innovative financing methods
such as TIFIA, the Railroad Rehabilitation and Improvement Financing
(RRIF) credit program, Private Activity Bonds (PABs), project bundling,
private investment, and other innovative financing methods to
accelerate the delivery of eligible projects are strongly encouraged to
apply.
SUPPLEMENTARY INFORMATION: Each section of this notice contains
information and instructions relevant to the application process for
the RIA grants. All applicants should read this notice in its entirety
so that they have the information they need to submit eligible and
competitive applications.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information
A. Program Description
1. Background: The Bureau is responsible for driving transportation
infrastructure development projects in the United States through
innovative financing programs. Its mission is to provide access to the
Bureau's credit programs in a streamlined, expedient, and transparent
manner. In accomplishing its mission, the Bureau also provides
technical assistance and encourages innovative best practices in
project planning, financing, delivery, and monitoring. The Bureau draws
upon the full resources of DOT to best utilize the expertise of DOT's
Operating Administrations while promoting a culture of innovation and
customer service.
Section 1441 of the FAST Act \1\ authorized the Program. On
December 31, 2020, the Bureau issued a NOFO (85 FR 86983) following the
Further Consolidated Appropriations Act, 2020.\2\ The Consolidated
Appropriations Act, 2021,\3\ appropriated $5 million to continue the
Program, which is the source of this funding opportunity.
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\1\ Public Law 114-94, 129 Stat. 1312, 1435 (Dec. 4, 2015).
\2\ Public Law 116-94, div. H, tit. I, 133 Stat. 2946 (Dec. 20,
2019).
\3\ Public Law 116-260, div. L, tit. I (as enrolled Dec. 27,
2020).
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The intent of this Program is to demonstrate and evaluate the
viability and effectiveness of a small number of accelerators in
expediting the development and delivery of specific transportation
projects within the geographic area of each RIA designated by the
Bureau. It is the intent of the Bureau to expand the Program coverage
building on the earlier designation of five RIAs in Cleveland, Chicago,
Fresno, San Diego, and Seattle as result of the NOFO issued in December
31, 2020. Therefore, the Bureau continues to be keenly interested in
testing several RIA models to address needs based on common
transportation infrastructure make-up and challenges within regions,
particularly those with less capacity or experience in using innovative
financing and project delivery methods, and those supporting eligible
entities that are likely to be first time users of the Bureau's credit
programs, such as the TIFIA credit program. The Bureau plans to select
between one and five RIAs for awards under this program based on
proposals submitted by eligible applicants in response to this notice.
Ideally, when considering both the first and the second rounds of
awards under this program, there will be a diversity of RIAs selected
for awards based on geography (e.g., rural, urban, disadvantaged
community), organizational structure (e.g., within a State or
Metropolitan Planning Organization), operational business model and
focus.
2. Regional Designation: For the purpose of this Program, the
Bureau will consider regional designation as broadly defined in the
following categories:
a. State or Multi-State: An RIA that serves one State or a group of
State entities with common interest in transportation projects being
delivered.
b. Urban or Metropolitan Planning Organization (MPO): An RIA that
serves a local government or group of local jurisdictions with
transportation functions within a metropolitan area. For this Program,
if the RIA serves MPOs sharing State boundaries, it would be considered
under this category.
c. Rural: An RIA that serves a region of rural communities as
defined in this notice. An RIA serving multiple rural communities
across state lines would be considered under this category. To be
considered a rural RIA, most of the projects listed in the proposal
must meet the definition of rural in Section C.5 of this notice.
d. Other: Any proposal that includes multiple jurisdictions with
shared priorities and interest, such as a river basin, transportation
corridor, etc.
3. Program Goals: The primary intent for the Program is to
establish regional infrastructure accelerators to assist entities in
accelerating TIFIA-eligible projects through innovative financing
strategies. This assistance can be in the form of any of the following,
based on the needs of the project(s) that the applicant proposes to
assist:
a. Project planning;
b. Studies and analysis, including feasibility, market analysis,
project costs, cost-benefit analysis, value for money, public benefit,
economic assessments, and environmental reviews;
c. Revenue forecasting, funding and financing options analyses,
application of best practices, innovative financing/procurement, and
public-private partnerships, where appropriate:
d. Preliminary engineering and design work;
e. Statutory and regulatory compliance analyses;
f. Evaluation of opportunities for private financing, project
bundling and/or phasing;
g. Enhancement of rural project sponsors' capacity to use the TIFIA
credit program and to the extent applicable, the RRIF credit program,
PABs, and other innovative financing methods, helping to bundle
projects across multiple smaller jurisdictions to create a project at a
scale that is more appropriate for the Bureau's credit assistance, and
pool the jurisdictions' resources to apply for TIFIA credit assistance
and, to the extent applicable, RRIF credit assistance and PABs, as well
as leveraging DOT's Rural Opportunities to Use Transportation for
Economic Success (ROUTES) Initiatives' \4\ products and offerings; and
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\4\ <a href="https://www.transportation.gov/rural">https://www.transportation.gov/rural</a>.
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h. Other direct, project-specific support as appropriate.
Funding, in the form of and pursuant to a cooperative agreement,
will be provided for a single year, with an
[[Page 795]]
option for a second year for an RIA that meets or exceeds agreed-upon
performance targets. Competitive proposals that demonstrate long-term
self-sustainability will be given greater consideration. The Bureau
intends to work closely with grant recipients in developing and, as
applicable, financing projects within the RIA's geographic area.
4. Changes from the FY 2020 NOFO: This FY 2021 Regional
Infrastructure Accelerator Demonstration Program NOFO updates the FY
2020 NOFO to reflect this Administration's priorities for creating
good-paying jobs, improving safety, applying transformative technology,
and explicitly addressing climate change and advancing racial equity.
Therefore, the Bureau added the Transformative Projects criterion to
clarify how the long-term project outcomes should align with the
Administration's priorities in a competitive application. Applicants
should refer to Section E of this NOFO for descriptions of the
selection criteria, including the new Transformative Projects
criterion. Additionally, this NOFO clarifies what would be required of
the Applicant to receive a STRONG rating for evaluation Criteria, where
applicable, as further described in Section E.1.
B. Federal Award Information
The Bureau hereby requests applications from all interested parties
to result in the award of between one and five cooperative
agreement(s), each containing substantial involvement on the part of
the Federal government in accordance with Section 6305 of title 31,
United States Code. The Bureau anticipates substantial Federal
involvement between it and the recipient during this Program will
include among others:
a. Technical assistance and guidance to the recipients;
b. Close monitoring of performance;
c. Involvement in technical decisions; and
d. Participation in status meetings including kick off meeting and
annual technical and budget reviews.
1. Program Funding and Awards:
a. Number of Awards: The Bureau intends to select between one and
five RIAs, based on the number and viability of applications.
b. Size of Award: A total of $5 million is available for this
Program. The size of individual awards will be determined by the number
of RIAs selected and the funding needed for each to meet the Program
objectives.
2. Funding Period: The Bureau intends to award funds on a yearly
basis for a period of two years under a cooperative agreement with the
second year as an option year. A third option year of funding may be
provided if the selected RIA is achieving agreed-upon performance
objectives, subject to the availability of funds.
C. Eligibility Information
1. Eligible Applicants: To be selected as an RIA, an applicant must
be an eligible applicant. An eligible applicant is: A U.S. public
entity, including a state, multi-state or multi-jurisdictional group,
municipality, county, a special purpose district or public authority
with a transportation function including a port authority, a tribal
government or consortium of tribal governments, MPO, regional
transportation planning organization (RTPO), Regional Transportation
Commission, or a political subdivision of a State or local government,
or combination of two or more of the foregoing.
If more than one public entity is applying in a single proposal,
one of the entities must be designated as the lead applicant. Such
applicant will be authorized to negotiate and enter into a cooperative
agreement with the Government on behalf of the entities, will be
responsible for performance, and will be accountable for Federal funds.
Applications will be accepted from a partnership between one or more
eligible applicants and another U.S. party, such as a private entity,
consulting or engineering firms, etc., as long as one of the eligible
public entities is designated as the lead applicant and that entity
will enter into the cooperative agreement, with the shared goal of
establishing and operating the RIA. The location of all RIA application
parties, their entire jurisdictions and all proposed projects must be
located solely in the United States and its territories. Proposed
projects and project sponsors must meet the eligibility requirements
for TIFIA credit assistance as further defined in Chapter 3 of the
Bureau's Credit Program Guide (<a href="https://www.transportation.gov/sites/buildamerica.dot.gov/files/2019-08/Bureau%20Credit%20Programs%20Guide_March_2017.pdf#page=29">https://www.transportation.gov/sites/buildamerica.dot.gov/files/2019-08/Bureau%20Credit%20Programs%20Guide_March_2017.pdf#page=29</a>). In
addition, the Bureau will consider the extent to which an applicant
demonstrates the capacity to accelerate projects eligible for the TIFIA
credit program through the use of innovative financing strategies,
including but not limited to the TIFIA and RRIF credit programs, PABs,
project bundling, and private investment. Further, the Bureau will
consider applications from any RIA that was designated pursuant to the
prior NOFO to the extent that funding is available, and only after
giving primary consideration to applicants who have not received any
funding under this Program.
2. Cost sharing or Matching: There is no requirement for cost
sharing or matching the grant funds.
3. Other: For the purposes of this Program, the following terms
apply:
a. Rural Infrastructure Project: Consistent with the definition of
``rural infrastructure project'' for the TIFIA credit program,
``rural'' for the purposes of this notice is defined as a surface
transportation infrastructure project located outside of an urbanized
area with a population greater than 150,000 individuals, as determined
by the Bureau of the Census.
b. A proposed region whose geographic authority is in both an urban
and a rural area will be designated as urban if the majority of the
projects listed in the proposal are located in urban areas. Conversely,
a proposed region located in both an urban area and a rural area will
be designated as rural if the majority of the projects listed in the
proposal are in rural areas.
c. Urban/Rural Project determination: A project located in both an
urban and a rural area will be designated as urban if less than \1/2\
of the project's costs are spent in a rural area. If \2/3\ or more of a
project's costs are spent in a rural area, the project will be
designated as rural. For projects where between \1/2\ and \2/3\ of
their costs are in a rural area, the project will be designated as
rural if the applicant demonstrates that \2/3\ or more of the project's
benefits accrue to users in rural areas; if the applicant does not make
such demonstration, the project will be designated as urban.
D. Application and Submission Information
1. The Application Package: Applicants must submit all applications
through <a href="http://www.Grants.gov">www.Grants.gov</a>. Instructions for submitting applications can be
found at <a href="https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program">https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program</a>.
2. Content and Form of Application Submission: The application must
include the Standard Form 424 (Application for Federal Assistance),
cover page, and the application narrative.
a. Cover Page: Each application should include a cover page that
contains, at minimum, name of the applicant and sponsor, if applicable,
the location; the region of designation; category of designation for
which the applicant is to be considered; and RIA budget amount.
[[Page 796]]
b. Application Narrative: The application narrative should follow
the basic outline below to address the Program requirements and assist
evaluators in locating relevant information.
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Section Section explained
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I. Applicant............................. See D.2.I.
II. Description of Proposed Geographic/ See D.2.II.
Jurisdictional Region.
III. Accelerator Proposal................ See D.2.III.
IV. Budget, Sources and Uses for Full See D.2.IV.
Accelerator Funds.
V. Selection Criteria.................... See D.2.V.
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The application narrative should include the information necessary
for the Bureau to determine that the applicant(s) proposed regional
focus, the overall accelerator proposal, list of intended projects,
budget, and other information satisfy the eligibility requirements set
forth in this notice as described in Section 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 Bureau. The Bureau may ask any
applicant to supplement data in its application but expects
applications to be complete upon submission.
In addition to the information requested elsewhere in this notice,
the proposal should include a table of contents, maps, and graphics, as
appropriate, to make the information easier to review. The Bureau
recommends that the proposal be prepared with standard formatting
preferences (a single-spaced document, using a standard 12-point font
such as Times New Roman, with 1-inch margins). The proposal narrative
may not exceed 30 pages in length, excluding cover pages and table of
contents. The only substantive portions that may exceed the 30-page
limit are documents supporting assertions or conclusions made in the
30-page project narrative. If possible, applicants should provide
website links to supporting documentation 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. The Bureau recommends using appropriately descriptive file
names (e.g., ``Project Narrative,'' ``Maps,'' ``Memoranda of
Understanding'' and ``Letters of Support,'' etc.) for all attachments.
I. Applicant: This section of the narrative should include
information describing the organizational structure and formal/informal
relationships between parties associated with the RIA application. It
should directly address the eligibility requirements discussed in
section C.1 of this notice. The applicant should use this section to
explain the organization's history, qualifications, and experience of
key individuals who will be working in the proposed RIA. This section
should also include descriptions of previous projects relevant to the
RIA's activities envisioned in this notice that the organization or its
individuals completed. The narrative should place the projects into a
broader context of transportation infrastructure investments being
pursued by the proposed RIA and its sponsors, and how it will benefit
communities within the region.
II. Description of Proposed Geographic/Jurisdictional Region: This
portion of the narrative should precisely identify the geographic
region, the jurisdictions, and the agencies the RIA would serve and
identify which of the four categories of RIA identified in Section A.2
that this proposal falls under, and explain why. The narrative should
explain the commonalities and shared interests of parties in the
proposed region as the rationale for establishing a region of this
construct, along with the affiliations within the proposed region.
Consistent with the Department's ROUTES Initiative (<a href="https://www.transportation.gov/rural">https://www.transportation.gov/rural</a>), the Department encourages applicants to
describe how activities proposed in their application would address the
unique challenges facing rural transportation networks, regardless of
the geographic location of those activities.
III. Accelerator Proposal: This section of the narrative should
explain how the applicant(s) propose to establish the RIA and the
concept of how it would operate, and provide the project-specific
services identified in Section A of this notice, along with a proposed
timeline for establishing the RIA, with key milestones and suggested
performance targets during its operational phase. The applicant should
describe, in sufficient detail, the applicant's approach to identifying
and building the pipeline of projects to be undertaken and how they
will develop such projects utilizing their experience and expertise,
and identify an initial pipeline of projects that are eligible for
TIFIA credit assistance and, to the extent applicable, RRIF credit
assistance, PABs, and other innovative financing methods. The narrative
should also contain a list of projects that the applicant(s) propose to
assist under the RIA. This list, to the extent possible, should
include, at a minimum:
a. Project name and location;
b. Project sponsor;
c. Description;
d. Bureau program most likely to apply (TIFIA, RRIF, PABs);
e. Support activities the applicant envisions the RIA would provide
f. Project costs; and
g. Project timeline.
IV. Budget, Sources, and Uses for Full Accelerator Funds: The
applicant should include a proposed financial plan and budget including
the Federal grant amount requested, non-Federal matching funds, in-kind
contributions, and other sources. The proposed plan should also include
a list of activities and projects as well as all associated costs of
the proposed RIA. For non-Federal matching funds, the application
should identify the sources as well as supporting documentation
indicating the degree to which those funds are committed and dates of
their availability. If the applicant proposes that the RIA will reach a
point of long-term self-sustainability, the narrative should include a
description of how this would happen, and where the long-term funds
would be generated.
V. Selection Criteria: This section of the application should
demonstrate how the application aligns with the criteria described in
Section E.1 of this notice. The Bureau intends to select and designate
RIA that demonstrate in their proposal the ability to effectively
assist entities in developing improved infrastructure priorities and
financing strategies for the accelerated development of one or more
projects eligible for funding under the TIFIA program. DOT will
consider the extent to which an RIA is likely to effectively promote
investment in eligible projects, develop a pipeline of regional
transportation projects, and result in the implementation of projects
with innovative financing methods.
The Bureau encourages applicants to either address each criterion
or expressly state that the project does not address the criterion.
Applicants are not required to follow a specific format, but the
outline suggested addresses each criterion separately and promotes a
clear discussion that assists project evaluators. To minimize redundant
information in the application, the Bureau encourages applicants to
cross-reference from this section of their application to relevant
substantive information in other sections of the application. The
guidance in this section is about how the applicant should organize
their application.
[[Page 797]]
Guidance describing how the Bureau will evaluate projects against the
Selection Criteria is in Section E.1 of this notice. Applicants also
should review that section before considering how to organize their
application.
3. Unique Entity Identifier and System for Award Management (SAM):
Each applicant must: (1) Be registered in SAM before submitting its
application; (2) provide a valid unique entity identifier in its
application; and (3) continue to maintain an active SAM registration
with current information at all times during which it has an active
Federal award or an application or plan under consideration by a
Federal awarding agency. The Department may not make an RIA grant to an
applicant until the applicant has complied with all applicable unique
entity identifier and SAM requirements and, if an applicant has not
fully complied with the requirements by the time the Department is
ready to make a grant, the Department may determine that the applicant
is not qualified to receive a grant and use that determination as a
basis for making a grant to another applicant.
4. Submission Dates and Timelines:
a. Deadline: Applications in response to this NOFO must be
submitted through <a href="http://Grants.gov">Grants.gov</a> by 11:59 p.m. EST 90 days after
publication of this notice. The <a href="http://Grants.gov">Grants.gov</a> ``Apply'' function will open
on the date of publication. The Bureau may hold NOFO information
session(s) before the due date.
To apply through <a href="http://Grants.gov">Grants.gov</a>, applicants must:
(1) Obtain a Data Universal Numbering System (DUNS) number;
(2) Register with the System Award for Management (SAM) at
<a href="http://www.sam.gov">www.sam.gov</a>; and
(3) Create a <a href="http://Grants.gov">Grants.gov</a> username and password; and
(4) The E-business Point of Contact (POC) at the applicant's
organization must also respond to the registration email from
<a href="http://Grants.gov">Grants.gov</a> and login at <a href="http://Grants.gov">Grants.gov</a> to authorize the POC as an
Authorized Organization Representative (AOR). Please note that there
can only be one AOR per organization.
Please note that the <a href="http://Grants.gov">Grants.gov</a> registration process usually takes
2-4 weeks to complete and that the Department will not consider late
applications that are the result of failure to register or comply with
<a href="http://Grants.gov">Grants.gov</a> applicant requirements in a timely manner. For information
and instruction on each of these processes, please see instructions at
<a href="http://www.grants.gov/web/grants/applicants/applicant-faqs.html">http://www.grants.gov/web/grants/applicants/applicant-faqs.html</a>. If
interested parties experience difficulties at any point during the
registration or application process, please call the <a href="http://Grants.gov">Grants.gov</a>
Customer Service Support Hotline at 1(800) 518-4726, Monday-Friday from
7:00 a.m. to 9:00 p.m. EST.
5. Other Submission Requirements:
(a) Submission Location: Application must be submitted to
<a href="http://Grants.gov">Grants.gov</a>.
(b) Consideration of Application: Only applicants who comply with
all submission deadlines described in this notice and submit
applications through <a href="http://Grants.gov">Grants.gov</a> will be eligible for award. Applicants
are strongly encouraged to make submissions in advance of the deadline.
(c) Late Applications: Applicants experiencing technical issues
with <a href="http://Grants.gov">Grants.gov</a> that are beyond the applicant's control must contact
<a href="/cdn-cgi/l/email-protection#693b2028290d061d470e061f"><span class="__cf_email__" data-cfemail="6a38232b2a0e051e440d051c">[email protected]</span></a> prior to the application deadline with the username of the
registrant and details of the technical issue experienced. The
applicant must provide:
(1) Details of the technical issue experienced;
(2) Screen capture(s) of the technical issues experienced along
with corresponding <a href="http://Grants.gov">Grants.gov</a> ``Grant tracking number'';
(3) The ``Legal Business Name'' for the applicant that was provided
in the SF-424;
(4) The AOR name submitted in the SF-424;
(5) The DUNS number associated with the application; and
(6) The <a href="http://Grants.gov">Grants.gov</a> Help Desk Tracking Number.
To ensure a fair competition of limited discretionary funds, the
following conditions are not valid reasons to permit late submissions:
(1) Failure to complete the registration process before the deadline;
(2) failure to follow <a href="http://Grants.gov">Grants.gov</a> instructions on how to register and
apply as posted on its website; (3) failure to follow all the
instructions in this notice of funding opportunity; and (4) technical
issues experienced with the applicant's computer or information
technology environment. After the Department reviews all information
submitted and contacts the <a href="http://Grants.gov">Grants.gov</a> Help Desk to validate reported
technical issues, USDOT staff will contact late applicants to approve
or deny a request to submit a late application through <a href="http://Grants.gov">Grants.gov</a>. If
the reported technical issues cannot be validated, late applications
will be rejected as untimely.
6. Applications under this NOFO are not subject to the State review
under E.O. 12372.
7. Funding Restrictions: The DOT will not reimburse any pre-award
costs or application preparation costs under this proposed agreement.
Construction of any project being contemplated or aided by the proposed
RIA is not an allowable activity under this grant. All non-domestic
travel must be approved in writing by the DOT designated agreement
officer prior to incurring costs. Travel requirements under the
cooperative agreement will be met using the most economical form of
transportation available. If economy class transportation is not
available, the request for payment vouchers must be submitted with
justification for use of higher-class travel indicating dates, times,
and flight numbers.
E. Application Review Information
1. Criteria: This section specifies the criteria that the Bureau
will use to evaluate and award applications for Program grants. The
criteria incorporate statutory eligibility requirements. For each
proposed RIA, the Bureau will review the application for the criteria
described in this section. The Bureau does not consider any criterion
more important than the others.
A. Experience/Qualifications: The Bureau will assess whether and to
what extent the applicant(s):
(1) Possess the ability to evaluate and promote innovative
financing methods for local projects including the use of TIFIA and
RRIF and other Federal assistance programs where applicable;
(2) Possess the ability to provide technical assistance on best
practices with respect to financing projects;
(3) Have experience in increasing transparency with respect to
infrastructure project analysis and using innovative financing for
public infrastructure projects;
(4) Have experience in deploying predevelopment capital programs
designed to facilitate the creation of a pipeline of infrastructure
projects available for investment;
(5) Have a history of successfully bundling smaller-scale and rural
projects into larger proposals that may be more attractive for private
investment;
(6) Have demonstrated success in reducing transaction costs for
public project sponsors;
(7) Demonstrate the capacity to accelerate projects eligible for
the TIFIA credit program through the use of innovative financing
strategies such as the TIFIA and RRIF credit programs, and PABs, but
also other strategies such as project bundling, grant anticipation
revenue vehicles, and incorporating private capital;
(8) Have experience in the development of project financial plans,
including developing capital structures
[[Page 798]]
and identifying funding and financing sources, as well as a
demonstrated track record for achieving financial close and
(9) Have experience in working with private sector project sponsors
disadvantaged communities, including but not limited to rural and low
resources communities as well as working on revitalization projects.
An applicant that demonstrates substantial experience of 10 years
or more in the development and delivery of projects, including the use
of alternative delivery methods such as design-build and/or public
private partnerships (P3) as related to items (1) through (9) above,
and innovative financing particularly the use of TIFIA and RRIF or PABs
will receive a STRONG rating in this criterion.
B. Partnerships: The Bureau will consider the extent to which
applicant(s) demonstrate strong collaboration among a broad range of
stakeholders in the proposed geographic area of the RIA. Applications
with strong partnerships typically involve multiple partners in project
development, funding, and finance. The Bureau will consider applicants
that partner with State, local, and private entities for the
development, funding, financing, and delivery of transportation
projects to have strong partnerships. Evaluators will also consider the
relationship of the RIA with its constituencies and authorities granted
by them. The Bureau will assess the ability of the proposed RIA to
develop projects quickly and effectively by having the support of its
members and working across jurisdictions.
An applicant that can demonstrate effective partnerships with
public, private sector and/or academic entities will receive a STRONG
rating in this criterion.
C. Regional Viability: The Bureau will evaluate the proposed
region, geographically, organizationally, and functionally, as well as
its jurisdictional relevance. In evaluating this criterion, the Bureau
will consider the geographic make-up of the proposed RIA and the
transportation needs of the region.
D. Business Model: The Bureau will assess the thoroughness,
viability, and efficiency that the applicant(s) can establish the RIA,
commence operations, and deliver project-specific outcomes. In
conducting this assessment, evaluators will consider:
(1) The effort, cost, and actions necessary to initially establish
the proposed RIA, including workspaces, fixed and variable costs,
staffing, and the development of relationships necessary to function
effectively in the proposed region.
(2) How the proposed RIA will operate once established, including
costs, organization, efficiency, availability of the technical
expertise and resources needed to accelerate project delivery, work
plan, and time required to achieve operational status.
An applicant that can demonstrate the ability to stand up the RIA
and achieve operations status within 6 months of executing a
cooperative agreement will receive a STRONG rating in this criterion.
E. Pipeline: The Bureau will consider the proposed pipeline of
projects and assess whether and to what extent they are likely to be
eligible projects and appropriate for development activities as set
forth in this notice. The proposed pipeline must include one or more
projects likely to be eligible for TIFIA credit assistance. In
evaluating this criterion, the Bureau will consider the number of
eligible projects in the pipeline, the degree of local/regional support
of the projects, and the project status and timeline as they relate to
the likelihood the RIA can impact the project during the performance
period of the cooperative agreement. Evaluators will also assess the
degree to which the skills/experience of the applicant(s) are
appropriate for the proposed projects. The Bureau will also evaluate
the viability and proposed approach the applicant(s) have developed for
attracting new projects into the RIA's pipeline of projects and how
they propose to assist and monitor the development of those projects.
F. Readiness: The Bureau will consider the extent to which the
proposed RIA is prepared to commence operations and begin achieving
project-specific results. Evaluators will also assess the viability of
the proposed budget as it relates to the establishment and successful
operations of the RIA as proposed. In considering this criterion,
evaluators will also determine the likelihood that proposed milestones
will be subject to delay and/or cost overruns and the risk that key
milestones might be missed due to internal or external factors.
Evaluators will also consider the readiness of the proposed RIA to
commence operations, including but not limited to:
(1) Availability of facilities and equipment necessary to function;
(2) Existing governance structure as compared to proposed future
structure; and
(3) Ability of existing relationships to rapidly deliver results.
G. Value: The Bureau will evaluate the relative value of the
proposal to individual projects and the taxpayer, including but not
limited to: The number of projects likely to measurably be accelerated
as a result of the proposed technical assistance of the RIA, the number
of projects reasonably expected to utilize innovative financing, and
the asset class(es) most prevalent in the proposed project portfolio.
In considering this criterion, evaluators will also consider the
applicant's proposed performance targets (Section III of the
application) and how they compare to the overall proposed cost of the
RIA (Section IV of the application).
H. Rural Assistance: In support of Executive Order 13985, Advancing
Racial Equity and Support for Underserved Communities Through the
Federal Government (86 FR 7009), the Department encourages applicants
to consider how the project will address the challenges faced by
individuals and underserved communities in rural areas.
Where applicable, the Bureau will evaluate the degree to which the
proposal can support individual rural project sponsors. The Bureau will
consider opportunities proposed to overcome common barriers to using
TIFIA and RRIF credit assistance and other innovative financing methods
for rural project sponsors, such as project size or type, financial or
institutional capabilities, and other issues. Consistent with the
Department's ROUTES Initiative (<a href="https://www.transportation.gov/rural">https://www.transportation.gov/rural</a>),
the Department recognizes that rural transportation networks face
unique challenges. To the extent that those challenges are reflected in
the merit criteria listed in this section, the Department will consider
how the activities proposed in the application will address those
challenges, regardless of the geographic location of those activities.
This can include delivering innovative technical assistance and
leveraging the DOT ROUTES Initiative to provide user-friendly
information and other assistance to rural project sponsors.
I. Self-Sustainability: The Bureau will consider whether and to
what extent the proposed RIA will achieve self-sustainability during
the Program's effective period of receipt of Federal funding. In the
event that a proposed RIA will not achieve self-sustainability, the
Bureau will evaluate the extent to which the termination of the RIA
might deliver long-term benefits as the result of projects delivered
during the funding period.
An applicant that can demonstrate a model of self-sustainability
and continued benefits beyond the effective period of Federal funding
will receive a STRONG rating in this criterion.
[[Page 799]]
J. Risk: The Bureau will assess the risks to successful
implementation and operation of the proposed RIA, and the degree to
which proposed mitigation activities might address/offset those risks.
Evaluators will also assess the practicality of proposed mitigation
activities in terms of cost, complexity, and time required to implement
the actions.
An applicant that can demonstrate the development of, at minimum,
qualitative risk assessments of proposed projects in meeting Federal
eligibility requirements (see Chapter 3 of the Bureau Credit Programs
Guide: <a href="https://www.transportation.gov/sites/buildamerica.dot.gov/files/2019-08/Bureau%20Credit%20Programs%20Guide_March_2017.pdf#page=29">https://www.transportation.gov/sites/buildamerica.dot.gov/files/2019-08/Bureau%20Credit%20Programs%20Guide_March_2017.pdf#page=29</a>) will
receive a STRONG rating in this criterion.
K. Transformative Projects: The Bureau will consider the extent to
which the proposed project to be aided by the RIA will address the
following Department priorities:
(1) Safety: DOT will assess the project's ability to foster a safe
transportation system for the movement of goods and people, consistent
with the Department's strategic goal to reduce transportation-related
fatalities and serious injuries across the transportation system.
(2) Environmental Sustainability: DOT will consider the extent to
which the project incorporates considerations of climate change,
resilience, and environmental justice in the planning stage and in
project delivery, such as through incorporation of specific design
elements that address climate change impacts.
(3) Equity and Accessibility: DOT will consider the extent to which
the project: (i) Increases transportation choices and equity for
individuals; (ii) expands access to essential services for communities
across the United States, particularly for underserved or disadvantaged
communities; (iii) improves connectivity for citizens to jobs, health
care, and other critical destinations, or (iv) proactively addresses
racial equity \5\ and barriers to opportunity, through the planning
process or through incorporation of design elements.
---------------------------------------------------------------------------
\5\ Definitions for ``racial equity'' and ``underserved
communities'' are found in Executive Order 13985, Advancing Racial
Equity and Support for Underserved Communities Through the Federal
Government, Sections 2 (a) and (b).
---------------------------------------------------------------------------
(4) Innovative Technology: Consistent with DOT's objectives to
encourage transformative projects that take the lead in deploying
innovative technologies and practices that drive outcomes in terms of
safety, environmental sustainability, quality of life, and state of
good repair, DOT will assess the extent to which the applicant uses
innovative strategies, including: (i) Innovative technologies, (ii)
innovative project delivery, or (iii) innovative financing.
(5) State of Good Repair: Consistent with the Department's
strategic objective to maintain and upgrade existing transportation
systems, DOT will assess whether and to what extent: (i) The project is
consistent with relevant plans to maintain transportation facilities or
systems in a state of good repair and address current and projected
vulnerabilities; (ii) if left unimproved, the poor condition of the
asset will threaten future transportation network efficiency, mobility
of goods or accessibility and mobility of people, or economic growth;
(iii) the project is appropriately capitalized, including whether
project sponsor has conducted scenario planning and/or fiscal impact
analysis to understand the future impact on public finances; (iv) a
sustainable source of revenue is available for operations and
maintenance of the project and the project will reduce overall life-
cycle costs; (v) the project will maintain or improve transportation
infrastructure that supports border security functions; and (vi) the
project includes a plan to maintain the transportation infrastructure
in a state of good repair. DOT will prioritize projects that ensure the
good condition of transportation infrastructure, including rural
transportation infrastructure, that support commerce and economic
growth.
An applicant that can demonstrate a pipeline of viable projects
that address at least four of the above listed Department priorities
(in this Section E.1.K(1) through (5)) will receive a STRONG rating in
this criterion.
2. Review and Selection Process: A Review Team will review all
eligible applications received by the deadline. This Review Team will
consist of Modal Liaisons from the Federal Highway Administration
(FHWA), Federal Railroad Administration (FRA) and Federal Transit
Administration (FTA) and Bureau employees designated by the Executive
Director. The Program grants review and selection process consists of
two steps: (1) The Review Team will evaluate each proposal and make a
determination of eligibility based on criteria outlined in Section C.1
of this notice and, if deemed eligible; and (2) the Review Team will
evaluate the proposal based on the Selection Criteria in Section E.1 of
this notice. In reviewing the application, each criterion will be given
one of the following qualitative ratings: STRONG, MODERATE, or
MARGINAL. These ratings are based on the proposal's alignment with the
criteria. No one criterion is weighted higher or lower than the others.
A collective overall assessment rating will be assigned to each
application based on the qualitative ratings assigned for each
evaluation criterion. The collective overall assessment will ultimately
reflect how well the proposal meets the goals of the Program as stated
in Section A.3. of the NOFO. Each application will be given an overall
assessment rating of ``high'' if it receives a rating of STRONG in at
least 6 of the evaluation criteria; an overall assessment rating of
``medium'' if it receives a rating of MODERATE or a combination of
STRONG and MODERATE in at least 6 of the evaluation criteria; and an
overall assessment rating of ``low'' if it does not meet the
requirements for a ``medium'' or ``high''. The Review Team will present
its findings to the Senior Review Team, which consists of Bureau
Leadership, including the Executive Director. The Executive Director
will finalize recommendations and present them to the Secretary. The
final award decisions will be made by the Secretary of Transportation.
3. Additional Information: Prior to award, each selected applicant
will be subject to a risk assessment as required by 2 CFR 200.205. The
Department must review and consider any information about the applicant
that is in the designated integrity and performance system accessible
through SAM (currently the Federal Awardee Performance and Integrity
Information System (FAPIIS)). An applicant may review information in
FAPIIS and comment on any information about itself. The Department will
consider comments by the applicant, in addition to the other
information in FAPIIS, in making a judgment about the applicant's
integrity, business ethics, and record of performance under Federal
awards when completing the review of risk posed by applicants.
F. Federal Award Administration Information
1. Federal Award Notice
Following the evaluation process outlined in Section E.2, the
Secretary will announce awarded projects by posting a list of selected
RIA at <a href="https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program">https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program</a>. Notice of selection is
not authorization to begin performance or to incur costs for the
[[Page 800]]
proposed RIA. Following that announcement, the Bureau will contact the
point of contact listed in the SF 424 to initiate negotiation of the
cooperative agreement.
2. Administration and National Policy Requirements
Performance under the cooperative agreement will be governed by and
in compliance with the following requirements as applicable to the type
of organization of the recipient and any applicable sub-recipients:
All awards will be administered pursuant to the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards found in 2 CFR part 200, as adopted by DOT at 2 CFR part
1201.
Other terms and condition as well as performance requirements will
be addressed in the cooperative agreement with the recipient. The full
terms and conditions of the resulting cooperative agreements may vary
and are subject to discussions and negotiations.
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, recipients of funds
must comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States, statutory,
regulatory, and public policy requirements, including without
limitation, those protecting free speech, religious liberty, public
welfare, the environment, and prohibiting discrimination; the
conditions of performance, non-discrimination requirements, and other
assurances made applicable to the award of funds in accordance with
regulations of the Department of Transportation; and applicable Federal
financial assistance and contracting principles promulgated by the
Office of Management and Budget. In complying with these requirements,
recipients must ensure that no concession agreements are denied, or
other contracting decisions made based on speech or other activities
protected by the First Amendment. If the Bureau determines that a
recipient has failed to comply with applicable Federal requirements,
the Bureau may terminate the award of funds and disallow previously
incurred costs, requiring the recipient to reimburse any expended award
funds. Additionally, Executive Order 13858 directs the Executive Branch
Departments and agencies to maximize the use of goods, products, and
materials produced in the United States through the terms and
conditions of Federal financial assistance awards. If selected for an
award, grant recipients must be prepared to demonstrate how they will
maximize the use of domestic goods, products, and materials, as
applicable, in establishing and operating the RIA.
3. Reporting
a. Progress Reporting on Grant Activities
Each applicant selected for RIA grant funding must submit semi-
annual progress reports as agreed to in the cooperative agreement to
monitor RIA progress and ensure accountability and financial
transparency in the RIA grant program.
b. Performance Reporting
Each applicant selected for RIA grant funding must collect and
report to the Bureau information on the RIA's performance. The specific
performance information and reporting period will be determined on an
individual basis. It is anticipated that the Bureau and the grant
recipient will hold monthly progress meetings or calls during which the
Bureau will review project activities, schedule, and progress toward
mutually agreed upon performance targets in the cooperative agreement.
If the award is greater than $500,000 over the period of performance,
applicants must adhere to the post award reporting requirements
reflected in 2 CFR part 200 Appendix XII--Award Term and Condition for
Recipient Integrity and Performance Matters.
c. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of a selected applicant's currently active
grants, cooperative agreements, and procurement contracts from all
Federal awarding agencies exceeds $10,000,000 for any period of time
during the period of performance of this Federal award, then the
applicant during that period of time must maintain the currency of
information reported to the SAM that is made available in the
designated integrity and performance system (currently FAPIIS) about
civil, criminal, or administrative proceedings described in paragraph 2
of this award term and condition. This is a statutory requirement under
section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As
required by section 3010 of Public Law 111-212, all information posted
in the designated integrity and performance system on or after April
15, 2011, except past performance reviews required for Federal
procurement contracts, will be publicly available.
G. Federal Awarding Agency Contacts
For further information concerning this notice please contact the
Bureau via email at <a href="/cdn-cgi/l/email-protection#f8aab1b9b89c978cd69f978e"><span class="__cf_email__" data-cfemail="de8c979f9ebab1aaf0b9b1a8">[email protected]</span></a>, or call Carl Ringgold at 202-366-2750.
A TDD is available for individuals who are deaf or hard of hearing at
202-366-3993. In addition, the Bureau will post answers to questions
and requests for clarifications on the Bureau's website at <a href="https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program">https://www.transportation.gov/buildamerica/financing/tifia/regional-infrastructure-accelerators-program</a>. To ensure applicants receive
accurate information about eligibility or the Program, the applicant is
encouraged to contact the Bureau directly, rather than through
intermediaries or third parties, with questions. Bureau staff may also
conduct briefings on the Program grant selection and award process upon
request.
H. Other Information
1. Protection of Confidential Business Information: All information
submitted as part of or in support of any application shall use
publicly available data or data that can be made public and
methodologies that are accepted by industry practice and standards, to
the extent possible. If the applicant submits information that the
applicant considers to be a trade secret or confidential commercial or
financial information, the applicant must provide that information in a
separate document, which the applicant may cross-reference from the
application narrative or other portions of the application. For the
separate document containing confidential information, the applicant
must do the following: (1) State on the cover of that document that it
``Contains Confidential Business Information (CBI)''; (2) mark each
page that contains confidential information with ``CBI''; (3) highlight
or otherwise denote the confidential content on each page; and (4) at
the end of the document, indicate whether the CBI is information the
applicant keeps private and is of the type of information the applicant
regularly keeps private. The Bureau/DOT will protect confidential
information complying with these requirements to the extent required
under applicable law. If the Bureau receives a Freedom of Information
Act (FOIA) request for the information that the applicant has marked in
accordance with this section, the Bureau will follow the procedures
described in its FOIA regulations at 49 CFR 7.29.
2. Publication/Sharing of Application Information: Following the
completion of the selection process and announcement of awards, the
Bureau intends to publish a list of all applications received along
with the names of the applicant organizations and funding amounts
requested. Except for the information properly marked as
[[Page 801]]
described in Section H.1, the Bureau may make application narratives
publicly available or share application information within DOT or with
other Federal agencies if DOT determines that sharing is relevant to
the respective program's objectives.
3. Department Feedback on Application: The Bureau strives to
provide as much information as possible to assist applicants with the
application process. The Bureau will not review applications in
advance, but Bureau staff are available for technical questions and
assistance.
4. Rural Opportunities: User-friendly information and resources
regarding DOT's discretionary grant programs relevant to rural
applicants can be found on the Rural Opportunities to Use
Transportation for Economic Success (ROUTES) website at
<a href="http://transportation.gov/rural">transportation.gov/rural</a>.
Issued in Washington, DC, on December 27, 2021.
Peter Paul Montgomery Buttigieg,
Secretary of Transportation.
[FR Doc. 2021-28552 Filed 1-5-22; 8:45 am]
BILLING CODE 4910-9X-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.