Notice2023-12774
Rural and Tribal Assistance Pilot 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
June 15, 2023
Issuing agencies
Transportation Department
Abstract
The Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law or BIL, created the Rural and Tribal Assistance Pilot Program (the Program) to provide early-stage development assistance for rural and tribal infrastructure projects. The Program will award grants for either the hiring of staff or the procurement of expert firms to provide financial, technical, and legal assistance; assistance with development-phase activities; and information regarding innovative financing best practices and case studies. Entities eligible for award include rural local governments or political subdivisions, states, Tribes, and the Department of Hawaiian Home Lands. The Build America Bureau (Bureau) will administer the Program. This Notice of Funding Opportunity (NOFO) makes $3.4 million available for awards under the Program. Assistance will be provided in the form of direct monetary grants for recipients to hire staff or procure advisory assistance. Procurements for and contracts with grantee-contracted advisors procured for this award must comply with the requirements set forth in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as further described below.
Full Text
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<title>Federal Register, Volume 88 Issue 115 (Thursday, June 15, 2023)</title>
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[Federal Register Volume 88, Number 115 (Thursday, June 15, 2023)]
[Notices]
[Pages 39327-39334]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-12774]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket Number: DOT-OST-2023-0097]
Rural and Tribal Assistance Pilot Program
AGENCY: Build America Bureau, Department of Transportation.
ACTION: Notice of funding opportunity (NOFO), assistance listing
#20.943.
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SUMMARY: The Infrastructure Investment and Jobs Act, also known as the
Bipartisan Infrastructure Law or BIL, created the Rural and Tribal
Assistance Pilot Program (the Program) to provide early-stage
development assistance for rural and tribal infrastructure projects.
The Program will award grants for either the hiring of staff or the
procurement of expert firms to provide financial, technical, and legal
assistance; assistance with development-phase activities; and
information regarding innovative financing best practices and case
studies. Entities eligible for award include rural local governments or
political subdivisions, states, Tribes, and the Department of Hawaiian
Home Lands. The Build America Bureau (Bureau) will administer the
Program. This Notice of Funding Opportunity (NOFO) makes $3.4 million
available for awards under the Program. Assistance will be provided in
the form of direct monetary grants for recipients to hire staff or
procure advisory assistance. Procurements for and contracts with
grantee-contracted advisors procured for this award must comply with
the requirements set forth in the Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards, as further
described below.
SUPPLEMENTARY INFORMATION: Each section of this notice contains
information and instructions relevant to the application process for
the Program. All applicants should read this notice in its entirety so
that they have the information they need to submit eligible
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
The Infrastructure Investment and Jobs Act (Pub. L. 117-58) is a
generational investment in the nation's transportation system. Section
21205 of Division B of the BIL (Rural and Tribal Infrastructure
Advancement) creates a pilot program to provide grants to fund
financial, technical, and legal assistance to states and rural and
tribal communities. The grants are intended to augment organizational
capacity in communities that may not have resources available to
evaluate and develop projects that qualify for federal funding and
financing programs.
This notice makes available a total of $3.4 million of funding for
the first round of the Program, which is composed of funding
appropriated for both Fiscal Years 2022 and 2023. Individual awards are
expected to range from $150,000 up to the statutory limit of either
$320,000 for FY 2022 funds or $360,000 for FY 2023 funds.\1\ There is
no local funding match required to participate in this Program.
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\1\ The BIL limits awards to any individual state to 20% of
available funds for a single fiscal year. Therefore, the Department
may make awards of up to $320,000 with FY 2022 funds and up to
$360,000 with FY 2023 funds. See additional information in Section B
below regarding the maximum award amount.
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The following is a sample list of tasks that would be eligible to
be funded through the Program. This list is intended to serve as an
example, and is not all-inclusive:
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Financial services Technical services Legal services
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Revenue forecasting Project planning Statutory and regulatory framework
analysis
Economic assessments and cost- Feasibility studies Drafting and negotiation of
benefit analyses concession agreements
Value for money analysis and Environmental review and permitting Drafting and negotiation of
procurement options interagency agreements
[[Page 39328]]
Evaluating opportunities for private Preliminary engineering and design Procurement support
financing and project bundling Funding application assistance
Financial feasibility analysis; Public engagement
funding and financing options Property development and land use
analysis feasibility analysis
Evaluation of costs to sustain the Public Benefit Studies
project (such as operations and Cost estimation
maintenance costs)
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The intent of this Program is to advance transportation
infrastructure projects in rural and tribal communities by supporting
development-phase activities for projects reasonably expected to be
eligible for certain USDOT credit and grant programs. However, there is
no requirement for grantees to apply for other funding programs in the
future.
The Department's Strategic Goals are Safety, Economic Strength and
Global Competitiveness, Equity, Climate and Sustainability,
Transformation, and Organizational Excellence.\2\ The Bureau strongly
encourages applicants to reflect these values in work funded under this
Program and include consideration of the extent to which the proposed
project may address the unique challenges rural and tribal communities
face relative to these goals. Many projects may later be candidates for
USDOT discretionary grants, which place considerable emphasis on these
strategic goals. Considering the Strategic Goals early in project
development will be very helpful in preparing for future discretionary
grant applications.
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\2\ FY 2022-26 USDOT Strategic Plan: <a href="https://www.transportation.gov/dot-strategic-plan">https://www.transportation.gov/dot-strategic-plan</a>.
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B. Federal Award Information
This notice makes available a total of $3.4 million of funding for
the first two years of the five-year Program (Fiscal Years 2022 and
2023). Individual awards are expected to range from $150,000 up to the
program limit of $360,000. Actual amounts awarded will be based on the
needs of each grantee and available funding. No more than twenty
percent of available funds for a single fiscal year may be awarded for
projects in a single state in this round of funding, capping the total
award amount within any state--and, therefore, any single grant--at
$320,000 for FY 2022 funds and $360,000 for FY 2023 funds. Therefore,
grant requests greater than $320,000 will be considered only for FY
2023 funds; they will not be eligible to compete for FY 2022 funds. In
order to be considered under the full funding amount available of $3.4
million, the grant request may not exceed $320,000.
Eligible applications will be reviewed, and grants will be
provided, on a first-come, first-served basis as described in Section
E. Application reviews will conclude once the full $3.4 million has
been awarded. A non-Federal match is not required to participate in
this Program.
Under this Program, it is anticipated that there will be a round of
funding each fiscal year until FY 2026, with progressively more funding
available each year. Each round of funding will be announced in a
separate Notice of Funding Opportunity. Information about future
funding opportunities will be available on the Bureau's website:
<a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>.
The Department intends to issue grants to enable recipients to: (1)
acquire the services of independent financial, technical, and legal
advisors,\3\ or (2) hire staff, in each case to provide development-
phase assistance. A table providing examples of services for which
recipients can hire staff or procure expert firms using awards under
the Program is shown in Section A above.
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\3\ The procurement of, and contract for, advisors procured to
provide services funded by this award must meet the requirements set
forth in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part
200 appendix II.
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Participation in this Program does not commit the recipient to
apply for federal financial assistance programs in the future, nor does
it confer extra consideration if the recipient applies in the future
for additional funds for the same project.
Information on how to apply for the Program is found in Section D
of this notice.
C. Eligibility Information
Applicants wishing to receive grants through this Program should
submit applications to demonstrate:
<bullet> They are an eligible applicant under this Program, as
described in Section C.1;
<bullet> The project(s) for which grant funding is being requested
are otherwise eligible for funding or financing through the other USDOT
programs described in Section C.3; and
<bullet> The proposed tasks are appropriate and stated cost(s) are
adequate for the project(s) identified.
1. Eligible Applicants
Applicants for the Program must be one of the following:
i. a unit of local government or political subdivision that is
located outside of an urbanized area \4\ with a population of more than
150,000 residents as determined by the Bureau of the Census;
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\4\ Urbanized area listing should be drawn from the 2020 Census
results. For 2020 Census results, visit: <a href="https://www.census.gov/programs-surveys/geography/guidance/geo-areas/urban-rural.html">https://www.census.gov/programs-surveys/geography/guidance/geo-areas/urban-rural.html</a>.
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ii. a state seeking to advance a project in an area located outside
of an urbanized area with a population of more than 150,000 residents
as determined by the Bureau of the Census;
iii. a federally recognized Indian Tribe; or
iv. the Department of Hawaiian Home Lands.
2. Cost Sharing or Matching
There is no requirement for cost sharing or matching the grant
funds in this Program.
3. Eligible Projects
Per the Program's requirements, projects receiving assistance under
this Program must be reasonably expected to be eligible for any one or
more of the Department's lending or grant programs described below.
Because this Program provides assistance for development-phase
activities, we anticipate that many projects may be in such early
development phases that project costs, funding streams, delivery
methods, and even the project descriptions themselves may not be fully
formed. The Bureau will determine whether the project(s) proposed can
reasonably be eligible for any of the programs discussed below to meet
this funding Program's requirements. These applicable programs are
TIFIA, RRIF, INFRA, RAISE, Mega, and the National Culvert Removal,
Replacement, and Restoration Grant Program. Brief program descriptions,
program links, and examples of projects eligible under each of these
programs are shown below:
[[Page 39329]]
TIFIA Credit Program: <a href="http://www.transportation.gov/buildamerica/financing/tifia">http://www.transportation.gov/buildamerica/financing/tifia</a>.
The Transportation Infrastructure Finance and Innovation Act
(TIFIA) Program provides credit assistance to finance up to 49 percent
of eligible project costs for qualified projects, including:
<bullet> Highway and bridge projects;
<bullet> Public transportation projects;
<bullet> International bridges and tunnels;
<bullet> Intercity passenger bus or rail facilities and vehicles;
<bullet> Freight rail projects and intermodal freight transfer
facilities;
<bullet> Certain projects located within the boundaries of a port
terminal;
<bullet> Transit-oriented development projects; and
<bullet> Airport projects.
Minimum Anticipated Project Costs
<bullet> $10 million for transit-oriented development, local, and
rural projects;
<bullet> $15 million for intelligent transportation system
projects; and
<bullet> $50 million for all other eligible surface transportation
projects.
RRIF Credit Program: <a href="http://www.transportation.gov/buildamerica/financing/rrif">http://www.transportation.gov/buildamerica/financing/rrif</a>.
The Railroad Rehabilitation & Improvement Financing (RRIF) Program
provides credit assistance to finance development of railroad
infrastructure up to 100 percent of eligible project costs, including:
<bullet> Intermodal or railroad equipment or facilities;
<bullet> Landside port infrastructure for seaports serviced by
rail;
<bullet> Refinancing of outstanding debt incurred for the above
eligible projects;
<bullet> Planning, permitting, and design expenses relating to the
above eligible projects; and
<bullet> Transit-oriented development projects.
Minimum Anticipated Project Costs
<bullet> There is no minimum project cost for the RRIF Program.
INFRA Grant Program: <a href="http://www.transportation.gov/grants/infra-grants-program">www.transportation.gov/grants/infra-grants-program</a>.
INFRA (known statutorily as the Nationally Significant Freight &
Highway Projects Program) awards competitive grants for multimodal
freight and highway projects of national or regional significance to
improve the safety, efficiency, and reliability of the movement of
freight and people in and across rural and urban areas, including:
<bullet> Highway freight projects on the National Highway Freight
Network (NHFN);
<bullet> Highway or bridge projects on the National Highway System;
<bullet> Freight intermodal project or freight rail projects;
<bullet> Freight projects that are within the boundaries of a
public or private freight rail, water (including ports), or intermodal
facility and are surface transportation infrastructure projects
necessary to facilitate direct intermodal interchange, transfer, or
access into or out of the facility;
<bullet> Highway-railway grade crossing or grade separation
projects;
<bullet> Wildlife crossing projects;
<bullet> Surface transportation projects within the boundaries or
functionally connected to an international border crossing that
improves a facility owned by federal/state/local government and
increases throughput efficiency; and
<bullet> Projects for a marine highway corridor that is
functionally connected to the NHFN and is likely to reduce road mobile
source emissions.
Minimum Anticipated Project Costs
<bullet> Small projects must have a total project cost of at least
$6.25 million.
Mega Grant Program: <a href="http://www.transportation.gov/grants/mega-grant-program">http://www.transportation.gov/grants/mega-grant-program</a>.
The Mega Program (known statutorily as the National Infrastructure
Project Assistance Program) supports large, complex projects that are
difficult to fund by other means and likely to generate national or
regional economic, mobility, or safety benefits, including:
<bullet> Highway or bridge projects on the National Multimodal
Freight Network;
<bullet> Highway or bridge projects on the NHFN;
<bullet> Highway or bridge projects on the National Highway System;
<bullet> Freight intermodal (including public ports) or freight
rail projects that provide public benefit;
<bullet> Railway highway grade separation or elimination projects;
<bullet> Intercity passenger rail projects; and
<bullet> Public transportation projects that are eligible for
assistance under 49 U.S.C. Chapter 53 and are a part of any of the
project types described above.
Minimum Anticipated Project Costs
<bullet> $100 million.
RAISE Grant Program: <a href="http://www.transportation.gov/RAISEgrants">www.transportation.gov/RAISEgrants</a>.
The Rebuilding American Infrastructure with Sustainability and
Equity, or RAISE, Discretionary Grant Program awards investments in
surface transportation infrastructure that will have a significant
local or regional impact. Eligible projects include:
<bullet> Capital projects including but not limited to:
[cir] Highway, bridge, or other road projects eligible under title
23, United States Code;
[cir] Public transportation projects eligible under chapter 53 of
title 49, United States Code;
[cir] Passenger and freight rail transportation projects;
[cir] Port infrastructure investments (including inland port
infrastructure and land ports of entry);
[cir] Surface transportation components of an airport;
[cir] Intermodal projects;
[cir] A project to replace or rehabilitate a culvert or prevent
stormwater runoff for the purpose of improving habitat for aquatic
species while advancing the goals of the RAISE program;
[cir] Projects investing in surface transportation facilities that
are located on tribal land and for which title or maintenance
responsibility is vested in the federal government; and
[cir] Any other surface transportation infrastructure project that
the Secretary considers to be necessary to advance the goals of the
program.
<bullet> Planning projects which include planning, preparation, or
design (for example--environmental analysis, feasibility studies, and
other pre-construction activities) of eligible surface transportation
capital projects.
National Culvert Removal, Replacement, and Restoration Grant
Program: <a href="https://www.fhwa.dot.gov/engineering/hydraulics/culverthyd/aquatic/culvertaop.cfm">https://www.fhwa.dot.gov/engineering/hydraulics/culverthyd/aquatic/culvertaop.cfm</a>.
This program awards grants for the replacement, removal, and repair
of culverts or weirs that meaningfully improve or restore fish passage
for anadromous fish. Anadromous fish migrate upstream for breeding.
Eligible project types include:
<bullet> Replacement, removal, or repair of culverts that would
meaningfully improve or restore fish passage for anadromous fish.
<bullet> Replacement, removal, or repair of weirs that would
meaningfully improve or restore fish passage for anadromous fish. With
respect to weirs, the project may include--
<bullet> infrastructure to facilitate fish passage around or over
the weir; and weir improvements
D. Application and Submission Information
1. Address To Request Application Package
Grant application materials, including the web-based application,
can be accessed at <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>. Applicants must use the web-based application
form to submit their applications. Potential applicants may also
request paper copies of materials for review at:
[[Page 39330]]
Telephone: (202) 366-4114.
Mail: U.S. Department of Transportation, 1200 New Jersey Avenue SE,
W84-322, Washington, DC 20590.
General information for submitting applications can be found at
<a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>.
2. Content and Form of Application Submission
i. Proposal Submission
Email, mail, and fax submissions will not be accepted. The web-
based application form available at <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a> must be submitted electronically for grant funding
consideration. Applicants should contact the Bureau in advance of the
application deadline if they are experiencing issues submitting their
application due to internet connectivity. Failure to submit the
information as requested can disqualify the application.
The Rural and Tribal Assistance Pilot Program web-based application
form includes guidance and provides a consistent format for applicants
to respond to the criteria outlined in this notice. One web-based form
must be submitted for each project being proposed under the Program.
The maximum number of applications an applicant can submit is three.
Unless indicated as optional, the application must include responses to
all sections of the application form. The application will be used to
determine applicant and project eligibility for the Program and the
appropriateness of the proposed tasks and grant amount being requested
by the applicant.
Applicants must fill in all fields unless stated otherwise on the
form. Applicants should not place ``N/A'' in lieu of typing in
responses in the field sections--except on questions where ``N/A'' is
stated as an acceptable response. If information is copied into the
web-based application form from another source, applicants should
verify that the pasted text is fully captured and has not been
truncated by the character limits built into the form. Complete
instructions on the application process along with contact information
for assistance with application submission and clarification on
application questions can be found at <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>. Compliance with all applicable federal laws and
regulations must be accounted for.
ii. Application Content
The web-based application form will prompt applicants for required
information, including, but not limited to, the following:
(a) Name of the applicant and type of applicant.
(b) Contact information including: Contact name, title, address,
phone number, and email address.
(c) UEI (Unique Entity Identifier). If the applicant is not yet
registered in <a href="http://SAM.gov">SAM.gov</a>, the applicant must be registered prior to
submitting an application. A UEI will be issued free of charge upon
registration. If the applicant is already registered in <a href="http://SAM.gov">SAM.gov</a> but has
not received a UEI, the applicant can request one in <a href="http://SAM.gov">SAM.gov</a>.
(d) Project Title: Provide a brief, descriptive title of the
project; e.g., ``Widening of X Street from Avenue 1 to Avenue 7 in Y
Community in Z State.''
(e) Project Location: Provide a description of the location of the
project with enough identifiers that the Application Review Team can
locate the project area using publicly-available map services.
(f) Project Description: Describe the overall project, including
project type, features to be constructed, an estimate of the overall
project cost, and a project schedule. If applicable, applicants should
describe any anticipated overall project benefits such as increasing
affordable transportation options, improving safety, connecting
Americans to good-paying jobs, fighting climate change, or improving
access to resources and quality of life.
(g) Appropriateness of Requested Services: (1) Describe in detail
the task(s) to be completed with this Program funding, stating how
these task(s)/services will materially advance the overall project.
Include the estimated cost of the task(s) and the amount of Program
funding requested. (2) Describe the project-related development
activities already completed, and list data or information collected or
activities conducted that are necessary for completing the task(s)
funded through this Program.
(h) Viability of Requested Services: (1) If procuring advisory
services, describe relevant experience procuring such services. For
both the hiring of staff and procurement of advisory services, note if
there will be additional funding committed to the project. Cite the
source of the local funding commitment and the amount of local funding.
(2) Confirm if a bid, quote, or estimate has been obtained for the
proposed task(s).
3. Unique Entity Identifier and System for Award Management (SAM)
Each applicant must have completed the registration process on
<a href="http://SAM.gov">SAM.gov</a> to establish its registration and obtain a valid Unique Entity
Identifier (UEI) prior to submitting their application.
In addition, each applicant must continue to maintain an active SAM
registration with current information at all times during which it has
an active federal award or an application or plan under consideration
by a federal awarding agency. The Department may not make a 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
After the application window opens, applications will be reviewed
on a rolling (first-come, first-served) basis until available funding
is expended or this notice is superseded by another notice. The
application window will open on August 14, 2023, 60 days after
publication of this notice. The link to the web-based application form
on <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a> will open on
August 14, 2023 and will remain open until July 31, 2023, a period of
45 days. As progress of completing the web-based application form
cannot be saved and must be completed in a single session, a pdf
version of the application form will be available at
<a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a> when this funding
announcement is published. Funding may be fully committed before the
application open period concludes. The Bureau will hold NOFO
information session(s) before the application window opens. Information
on these information sessions and other program updates will be
available on <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>.
5. Intergovernmental Review
Applications under this NOFO are not subject to the state review
under E.O. 12372.
6. Funding Restrictions
Up to $3.4 million of funding is being made available during this
round of funding. Funding for this Program come from funds made
available to provide
[[Page 39331]]
credit assistance under the TIFIA program, but are limited to $1.6m for
fiscal year 2022 and $1.8m for fiscal year 2023. No more than 20
percent of available funds may be awarded to projects in a single state
in any one fiscal year. This requirement results in a capping of the
total award amount within any state--and therefore, any single grant--
at $320,000 for awards made from Fiscal Year 2022 funds and $360,000
for awards made from Fiscal Year 2023 funds. Therefore, grant requests
greater than $320,000 will be considered only for FY 2023 funds; they
will not be eligible to compete for FY 2022 funds. In order to be
considered under the full funding amount available of $3.4 million, the
grant request may not exceed $320,000.
$1.6 million of Program funds ($800,000 from each Fiscal Year) will
be set aside for grants to tribal entities. Any of the funds set aside
for this purpose that are not allocated within one month of the
application close date will be allocated to any type of qualified
applicant based on the order in which applications were received.
Expenses incurred prior to signature of the grant agreement are not
eligible for reimbursement under this Program unless prior
authorization is obtained from the Bureau in writing.
All procurements for, and contracts with, grantee-contracted
advisors procured under this award must comply with the requirements
set forth in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part
200 appendix II.
7. Other Submission Requirements
To prepare for proposal submission, applicants should begin the
process of registering with the System Award for Management (SAM) at
<a href="http://www.sam.gov">www.sam.gov</a> to obtain a valid Unique Entity Identifier (UEI). All
registrations are free of charge. Please note that <a href="http://SAM.gov">SAM.gov</a>'s
registration process can take multiple weeks to complete.
8. Consideration of Application
The Bureau will perform a compliance check of all received
applications to ensure the application is complete and submitted in
accordance with the NOFO instructions. Only eligible applicants who
comply with all submission instructions described in this notice and
submit applications through <a href="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a> will be considered for award.
E. Application Review Information
The application review and selection process is outlined below.
After the application window opens, grants will be made on a first-
come, first-served basis. Eligible applicants are encouraged to submit
applications as early as possible once the application period opens as
applications will be reviewed in the order in which they are received.
1. Criteria
Applications deemed complete and eligible will be evaluated based
on the two below criteria to determine the likelihood that the
requested service(s) will materially advance the project and that the
funds requested are likely to be sufficient to complete the task(s) and
deliverable(s) identified in the application. Applications that are
rated ``Meets'' in both criteria below will be recommended to the Under
Secretary of Transportation for Policy for funding in the order they
are received.
i. Criterion (1): Appropriateness of services requested: The
Application Review Team will assess whether and to what extent the
proposed tasks will materially advance the overall project identified
in the application. The Application Review Team will consider:
<bullet> the current state of the project's development,
<bullet> whether the proposed tasks are appropriate for the current
state of the project's development, and
<bullet> the likelihood that the requested services will materially
advance the project's development.
The goal of this assessment is to ensure that the proposed tasks
are appropriate for the project's current state of development and will
have a material impact on the project's overall development. The rating
categories are outlined in the table below.
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Appropriateness
Rating criterion Example
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Does Not Meet................. Requested The services
services are requested are not
either not necessary or
helpful in appropriate for the
advancing the project's ultimate
project(s) or funding, financing,
not appropriate and delivery;
for the project The project
in its current description does not
state of provide information
development. on the overall
project's need or
specific challenges
it will address; or
The services
requested would
require information
or data that is not
yet available
because other
activities, such as
cost estimating,
design, or market
studies would be
needed prior to
procuring the
requested services,
and the applicant
has not described a
reasonable plan to
complete those
activities before
receiving services.
Meets......................... Likely to advance It is reasonably
the project(s). likely that the
services requested
will demonstrably
advance the project;
or
It is probable that
the necessary
information or data
needed for this task
is available at this
point in the
project(s)
development.
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ii. Criterion (2): Viability of grant funds requested: The
Application Review Team will assess whether and to what extent the
funding package (made up of funding requested through this Program and
local funding commitment, if any) is likely to result in fully funding
and completing the specified task(s) while also providing the
deliverable(s) necessary to materially advance the project(s). The Team
will consider:
<bullet> for applicants seeking to procure advisory services:
whether the applicant has obtained bids or quotes for the requested
services, and the applicant's experience procuring advisory services in
the past,
<bullet> for applicants seeking to hire staff for this task: their
organization's hiring process (i.e. do they have a defined job
description for this task, process for recruitment), and
<bullet> the source and amount of funding the applicant intends to
commit (if any) as a contribution to the overall cost of the services
being proposed. (The addition of local funding will not influence the
rating of this criterion).
The goal of this assessment is to ensure that the funding plan,
including the funding requested in the application, and the staffs'
experience in procuring advisory services or efficiency in hiring staff
are adequate to complete the task(s) proposed and to achieve the
deliverable(s) necessary to advance the project.
[[Page 39332]]
------------------------------------------------------------------------
Viability
Rating criterion Example
------------------------------------------------------------------------
Does Not Meet................. It is either There is little or no
unclear or evidence that the
unlikely that applicant has (a)
the funding either previous
package \5\ is procurement
appropriate for experience or an
completing the efficient process
task(s) and for hiring staff,
deliverable(s) (b) the capacity to
identified in estimate the cost
the application. for the services
identified in the
application, or (c)
obtained a
reasonable estimate
or quote for the
services identified;
or
The funding package,
to include any local
funding
contribution, will
not produce a
completed task(s) or
deliverable(s)
identified in the
application.
Meets......................... It is likely that The applicant has
the funding provided evidence
package\5\ is sufficient to
appropriate for determine that it is
completing the likely that it has
task(s) and the experience or
deliverable(s) capacity to
identified in accurately estimate
the application. the services
identified in the
application; or
The applicant has
provided sufficient
cost estimates or
quotes to conclude
that it is likely
the funding
requested will
result in a
completed task(s) or
deliverable(s)
identified in the
application.
------------------------------------------------------------------------
2. Review and Selection Process
---------------------------------------------------------------------------
\5\ The funding package is made up of the funding requested
through this Program and the local funding commitment, if any.
---------------------------------------------------------------------------
An Application Review Team composed of Department staff will screen
applications in the order they are received. This initial review will
cover completeness (see Section D for more information), eligibility of
the applicant (see Section C.1), and the eligibility of the project(s)
being proposed (see Section C.3).
For those applications deemed complete and eligible, the
Application Review Team will review them based on criteria shown in
Section E.1 above. Applications that receive ``Meets'' for both scoring
criteria will be recommended for award to the Under Secretary of
Transportation for Policy, along with the recommended grant amount,
which may be less than the requested grant amount. Recommended grant
amounts could differ from the requested grant amount due to the
availability of grant funding remaining. Among recommended
applications, awards will be made on a first-come, first-served basis
(implemented based on the day and time the application is received by
USDOT) until available funding is exhausted. If multiple recommended
applications are received on the same day, they will be reviewed in the
order they were received, as noted by the timestamp given to
applications when they are submitted.
3. Integrity and Performance System Reporting
USDOT, prior to making an award under this Program with a total
amount of federal share greater than the simplified acquisition
threshold of $250,000, is required to review and consider any
information about the applicant that is in the designated integrity and
performance system accessible through SAM (currently FAPIIS) (see 41
U.S.C. 2313).
An applicant, at its option, may review information in the
designated integrity and performance systems accessible through SAM and
comment on any information about itself that a federal awarding agency
previously entered and is currently in the designated integrity and
performance system accessible through SAM.
USDOT will consider any comments by the applicant, in addition to
the other information in the designated integrity and performance
system, 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 as described in 2 CFR 200.206.
F. Federal Award Administration Information
1. Federal Award Notices
The Bureau will provide applicants that submitted a complete
application for a grant under this Program with a notice describing
whether the application is approved or disapproved no later than 60
days after the date on which a complete application was received.
Not later than 30 days after the above notification, if the
application is disapproved, the Bureau will offer a written or
telephonic debrief to provide an explanation of, and guidance
regarding, the reasons why the application was not approved.
The Bureau will publish an online report, updated monthly, that
includes information on applications received, entity type, location of
the potential project, a brief description of the assistance requested,
the date on which the application was received, and the date on which
the applicant was provided the notice of approval or disapproval.
Applicants to the Program must agree to publication of this information
as a condition of applying.
Selected applications will be formalized through the development of
a grant agreement between the grantee and the Bureau. Grants are
reimbursable, meaning that the recipient will be reimbursed after-the-
fact for agreed-upon eligible expenses as set forth in the grant
agreement. The recipient may request reimbursement from the Government
on a monthly basis for eligible expenses incurred. Expenses incurred
prior to signature of the grant agreement are not eligible for
reimbursement under this Program, unless prior authorization is
obtained from the Bureau in writing.
2. Administration and National Policy Requirements
Performance under this Program 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.
It is the policy of USDOT to reflect Administration priorities and
incorporate criteria related to climate change and sustainability,
racial equity including environmental justice, critical infrastructure
security and resilience, Title VI and other federal Civil Rights laws,
and barriers to opportunity, labor, and workforce in its grant
programs, to the extent possible and consistent with law. Considering
the Strategic Goals early in project development will be very helpful
in preparing for future discretionary grant applications. As such, in
developing grant agreements with grantees, the Bureau will work to
incorporate these Strategic Goals in project development activities
under this Program.
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 USDOT at 2 CFR
part 1201.
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
[[Page 39333]]
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 on the basis of 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.
As a condition of grant award, grant recipients may be required to
participate in an evaluation undertaken by DOT or another agency or
partner. The evaluation may take different forms such as an
implementation assessment across grant recipients, an impact and/or
outcomes analysis of all or selected sites within or across grant
recipients, or a benefit/cost analysis or assessment of return on
investment. DOT may require applicants to collect data elements to aid
the evaluation and/or use information available through other
reporting. As a part of the evaluation, as a condition of award, grant
recipients must agree to: (1) make records available to the evaluation
contractor or DOT staff; (2) provide access to program records, and any
other relevant documents to calculate costs and benefits; (3) in the
case of an impact analysis, facilitate the access to relevant
information as requested; and (4) follow evaluation procedures as
specified by the evaluation contractor or DOT staff.
Recipients and subrecipients are also encouraged to incorporate
program evaluation including associated data collection activities from
the outset of their program design and implementation to meaningfully
document and measure their progress towards meeting an agency priority
goal(s). Title I of the Foundations for Evidence-Based Policymaking Act
of 2018 (Evidence Act), Public Law 115-435 (2019) urges Federal
awarding agencies and Federal assistance recipients and subrecipients
to use program evaluation as a critical tool to learn, to improve
equitable delivery, and to elevate program service and delivery across
the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency.'' 5 U.S.C. 311. Credible program evaluation activities are
implemented with relevance and utility, rigor, independence and
objectivity, transparency, and ethics (OMB Circular A-11, Part 6
Section 290).
For grant recipients receiving an award, evaluation costs are
allowable costs (either as direct or indirect), unless prohibited by
statute or regulation, and such costs may include the personnel and
equipment needed for data infrastructure and expertise in data
analysis, performance, and evaluation. (2 CFR part 200).
3. Reporting
Accepting an award commits the recipient to participation in
reporting and oversight of the project. This section discusses
reporting requirements of the Program.
i. Periodic Reporting
Grantees will be required to make regular reports to the Bureau
contracting officer and technical representatives. Exact reporting
requirements will be articulated in the grant agreement. Monthly
progress meetings or calls are expected to be held, during which the
Bureau will review project activities, schedule, and progress toward
mutually agreed upon performance targets. Written reports are also
expected, likely on a quarterly basis.
In addition to regular reporting, each grant recipient Program must
submit a grant closeout report as set forth in the grant agreement to
ensure accountability and financial transparency in the Program.
ii. Performance Reporting of Advisor Performance
Each applicant selected for grant funding must collect and report
to the Bureau information on the status of the services funded with
this grant award. The specific performance information and reporting
period will be determined on an individual basis and will be reflected
in each grant agreement.
iii. Advisor Approval
All procurements and contracts for grantee-contracted advisors
procured for this award to must comply with the requirements set forth
in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part 200
appendix II. Failure to comply with the part 200 requirements regarding
contractors and failure to obtain written approval prior to
subcontracting may result in costs being deemed ineligible for
reimbursement.
iv. 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. 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 review 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#6f3d1a1d0e030e010b3b1d060d0e033b2e2f0b001b41080019"><span class="__cf_email__" data-cfemail="26745354474a47484272544f44474a72676642495208414950">[email protected]</span></a> or call Susan Wilson at
202-366-0765. 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="http://Transportation.gov/BuildAmerica/RuralandTribalGrants">Transportation.gov/BuildAmerica/RuralandTribalGrants</a>. To ensure
applicants receive accurate information about eligibility or the
Program in general, the applicant is encouraged to contact the Bureau
directly, rather than through intermediaries or third parties, with
questions. Bureau staff will 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.
2. Publication/Sharing of Application Information
As noted previously, and required by statute, the Bureau will
publish an online monthly report that includes, for
[[Page 39334]]
each application received, entity type, location of the potential
project, a brief description of the assistance requested, the date on
which the application was received, and the date on which the applicant
was provided the notice of approval or disapproval.
Except for the information properly marked as described in Section
H.1, the Bureau may make application information publicly available or
share it within USDOT or with other federal agencies if USDOT
determines that sharing is relevant to the respective Program's
objectives.
Issued in Washington, DC on June 9th, 2023.
Morteza Farajian,
Executive Director.
[FR Doc. 2023-12774 Filed 6-14-23; 8:45 am]
BILLING CODE P
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</html>Indexed from Federal Register on June 15, 2023.
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.