[Federal Register Volume 86, Number 36 (Thursday, February 25, 2021)]
[Notices]
[Pages 11572-11590]
[FR Doc No: 2021-03885]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Notice of Funding Opportunity for the Department of
Transportation's Infrastructure for Rebuilding America (INFRA) Program
for Fiscal Year 2021

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

ACTION: Notice of funding opportunity.

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SUMMARY: The Infrastructure for Rebuilding America (INFRA) program
provides Federal financial assistance to highway and freight projects
of national or regional significance. This notice solicits applications
for awards under the program's fiscal year (FY) 2021 funding, subject
to the availability of appropriated funds.

DATES: Applications must be submitted by 11:59 p.m. EST on March 19,
2021. The Grants.gov ``Apply'' function will open by February 17, 2021.

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

FOR FURTHER INFORMATION CONTACT: For further information regarding this
notice, please contact the Office of the Secretary via email at
<EMAIL_ADDRESS>or call Paul Baumer at<PHONE_NUMBER>. A TDD is
available for individuals who are deaf or hard of hearing at 202-366-
3993. In addition, up to the application deadline, the Department will
post answers to common questions and requests for clarifications on
USDOT's website at https://www.transportation.gov/buildamerica/INFRAgrants.

SUPPLEMENTARY INFORMATION: The organization of this notice is based on
an outline set in 2 CFR part 200 to ensure consistency across Federal
financial assistance programs. However, that format is designed for
locating specific information, not for linear reading. For readers
seeking to familiarize themselves with the INFRA program, the
Department encourages them to begin with Section A (Program
Description), which describes the Department's goals for the INFRA
program and purpose in making awards, and Section E (Application Review
Information), which describes how the Department will select among
eligible applications. Those two sections will provide appropriate
context for the remainder of the notice: Section B (Federal Award
Information) describes information about the size and nature of awards;
Section C (Eligibility Information) describes eligibility requirements
for applicants and projects; Section D (Application and Submission
Information) describes in detail how to apply for an award; Section F
(Federal Award Administration Information) describes administrative
requirements that will accompany awards; and Sections G (Federal
Awarding Agency Contacts) and H (Other Information) provide additional
administrative information.

Table of Contents

A. Program Description
    1. Overview
    2. Key Program Objectives
    3. Changes From the FY 2020 NOFO
    4. Additional Information
B. Federal Award Information
    1. Amount Available
    2. Restrictions on Award Portfolio
C. Eligibility Information
    1. Eligible Applicants
    2. Cost Sharing or Matching
    3. Other
D. Application and Submission Information
    1. Address
    2. Content and Form of Application
    3. Unique Entity Identifier and System for Award Management
(SAM)
    4. Submission Dates and Timelines
E. Application Review Information
    1. Criteria
    2. Review and Selection Process
    3. Additional Information
F. Federal Award Administration Information
    1. Federal Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting
G. Federal Awarding Agency Contacts
H. Other Information
    1. Protection of Confidential Business Information
    2. Publication of Application Information
    3. Department Feedback on Applications
    4. INFRA Extra, Eligibility, and Designation

A. Program Description

1. Overview

    The INFRA program provides Federal financial assistance to highway
and freight projects of national or regional significance. To maximize
the value of FY 2021 INFRA funds for all Americans, the Department is
focusing the competition on transportation infrastructure projects that
support six key objectives, each of which is discussed in greater
detail in section A.2:
    (1) Supporting economic vitality at the national and regional
level;
    (2) Addressing climate change and environmental justice impacts;
    (3) Advancing racial equity and Reducing barriers to opportunity;
    (4) Leveraging Federal funding to attract non-Federal sources of
infrastructure investment;
    (5) Deploying innovative technology, encouraging innovative
approaches to project delivery, and incentivizing the use of innovative
financing; and
    (6) Holding grant recipients accountable for their performance.
    This notice's focus on the six key objectives does not supplant the
Department's focus on safety as our top priority. Consistent with the
R.O.U.T.E.S. initiative, the Department seeks rural projects that
address deteriorating conditions and

disproportionately high fatality rates on rural transportation
infrastructure.

2. Key Program Objectives

    This section of the notice describes the six key program objectives
that the Department intends to advance with FY 2021 INFRA funds.
Section E.1 describes how the Department will evaluate applications to
advance these objectives, and section D.2.b describes how applicants
should address the six objectives in their applications.
a. Key Program Objective #1: Supporting Economic Vitality
    A strong transportation network is critical to the functioning and
growth of the American economy. The nation's industry depends on the
transportation network to move the goods that it produces, and
facilitate the movements of the workers who are responsible for that
production. When the nation's highways, railways, and ports function
well, that infrastructure connects people to jobs, increases the
efficiency of delivering goods and thereby cuts the costs of doing
business, reduces the burden of commuting, and improves overall well-
being.
    Infrastructure investment also provides opportunities for workers
to find good-paying jobs with the choice to join a union and supports
American industry through the application of domestic preference
requirements. Projects that use project labor agreements and deploy
local hiring provisions also contribute to economic vitality.
    This objective aligns with the Department's strategic goals \1\ of
(1) investing in infrastructure to ensure mobility accessibility and to
stimulate economic growth, productivity, and competitiveness for
American workers and businesses and (2) reducing transportation-related
fatalities and serious injuries across the transportation system.
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    \1\ The U.S. Department of Transportation Strategic Plan for FY
2018-2022 (Feb. 2018) is available at https://www.transportation.gov/dot-strategic-plan.
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b. Key Program Objective #2: Climate Change and Environmental Justice
Impacts
    The Department seeks to select projects that have considered
climate change and environmental justice in the planning stage and were
designed with specific elements to address climate change impacts.
Projects should directly support Climate Action Plans or apply
environmental justice screening tools in the planning stage. Projects
should include components that reduce emissions, promote energy
efficiency, incorporate electrification or zero emission vehicle
infrastructure, increase resiliency, and recycle or redevelop existing
infrastructure. A list of planning activities and project components
that address this objective and the Department will consider during
application evaluations is in Section E.1.a (Criterion #2). This
objective aligns with the Department's Infrastructure Objective #1:
Project Delivery, Planning, Environment, Funding, and Finance
Partnerships and Infrastructure Objective #2: Life Cycle and
Preventative Maintenance.
c. Key Program Objective #3: Racial Equity and Barriers to Opportunity
    The Department seeks to use the INFRA program to encourage racial
equity in two areas: (1) Planning and policies related to racial equity
and barriers to opportunity; and (2) project investments that either
proactively address racial equity and barriers to opportunity,
including automobile dependence as a form of barrier, or redress prior
inequities and barriers to opportunity. This objective supports the
Department's strategic goal related to infrastructure, with the
potential for significantly enhancing environmental stewardship and
community partnerships, and reflects Executive Order 13985, Advancing
Racial Equity and Support for Underserved Communities Through the
Federal Government (86 FR 7009). See section E.1.a (Criterion #3) for
additional information. This objective aligns with the Department's
Infrastructure Objective #1: Project Delivery, Planning, Environment,
Funding, and Finance Partnerships and Innovation Strategic Objective
#2: Deployment of Innovation.
d. Key Program Objective #4: Leveraging of Federal Funding
    The Department is committed to supporting increased investment in
infrastructure from all levels of government. The Department recognizes
that the COVID-19 pandemic has exacerbated infrastructure funding
challenges faced by State and local governments. However, the
Department continues to seek to maximize all available Federal and non-
Federal funding for investment in infrastructure as a critical
contribution to the economy. This objective aligns with the
Department's Infrastructure Strategic Objective #1: Project Delivery,
Planning, Environment, Funding, and Finance.
e. Key Program Objective #5: Innovation
    The Department seeks to use the INFRA program to encourage
innovation in three areas, to build transformative projects: (1) The
deployment of innovative technology and expanded access to broadband;
(2) use of innovative permitting, contracting, and other project
delivery practices; and (3) innovative financing. This objective
supports the Department's strategic goal of innovation, with the
potential for significantly enhancing the safety, efficiency, and
performance of the transportation network. The USDOT anticipates INFRA
projects will support the integration of new technology and practices
and demonstrate how those technologies and practices will contribute to
the goals of the program as described in 23 U.S.C. 117. In section
E.1.a (Criterion #5), the Department provides many examples of
innovative technologies, practices, and financing. It encourages
applicants to identify those that are suitable for their projects and
local constraints. This objective aligns with the Department's
strategic goal to lead in the development and deployment of innovative
practices and technologies that improve the safety and performance of
the nation's transportation system.
f. Key Program Objective #6: Performance and Accountability
    The Department seeks to increase project sponsor accountability and
performance by evaluating each INFRA applicant's plans to address the
full lifecycle costs of their project and willingness to condition
award funding on achieving specific Departmental goals.
    To maximize public benefits from INFRA funds and promote local
activity that will provide benefits beyond the INFRA-funded projects,
the Department seeks projects that allow it to condition funding on
specific, measurable outcomes. For appropriate projects, the Department
may use one or more of the following types of events to trigger
availability of some or all INFRA funds: (1) Reaching construction and
project completion in a timely manner; or (2) achieving transportation
performance targets that support economic vitality or improve safety.
This objective aligns with the Department's Infrastructure Strategic
Objective #2: Life Cycle and Preventative Maintenance, and
Infrastructure Strategic Objective #3: System Operations and
Performance.
    In section E.1.d (Criterion #6), the Department provides a
framework for accountability measures and encourages applicants to
voluntarily identify those that are most appropriate for their projects
and local constraints.

3. Changes From the FY 2020 NOFO

    The FY2021 INFRA Notice is updated to reflect priorities around
creating good-paying jobs, ensuring safety, advancing racial equity,
addressing climate change, and building innovative, transformative
projects. There are also two new program objectives that are
incorporated into the merit evaluation process as described in Section
E. These are Climate Change and Environmental Justice Impacts, and
Racial Equity and Barriers to Opportunity. The NOFO reflects the
importance of creating good-paying jobs. Innovative project delivery
contracting and procurement related to project labor agreements and
inclusive local participation goals will be considered to the extent
permitted by Federal law and DOT regulations.\2\
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    \2\ Contracts awarded with geographic hiring preferences are
eligible for assistance under DOT financial assistance programs only
if the recipient makes the certifications required under section
199B of division L of the Consolidated Appropriations Act, 2021,
Public Law 116-260.
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    Section D.2.b.vii of this notice provides additional information
explaining how the Department will evaluate whether applications meet
the statutory Large Project Requirements.
    Section H of this Notice provides additional detail on the INFRA
Extra initiative. The INFRA Extra initiative provides certain INFRA
applicants the opportunity to apply for TIFIA credit assistance for up
to 49% of eligible project costs. The INFRA Extra initiative does not
impact how applications will be considered for an INFRA grant nor how
applications for TIFIA credit assistance will be evaluated (other than
in respect of eligibility to apply for credit assistance for up to 49%
of eligible project costs).
    Applicants who are planning to re-apply using materials prepared
for prior competitions should ensure that their FY 2021 application
fully addresses the criteria and considerations described in this
Notice and that all relevant information is up to date.
    Section H of this NOFO provides additional detail on the INFRA
Extra initiative. The INFRA Extra initiative provides certain INFRA
applicants the opportunity to apply for TIFIA credit assistance for up
to 49% of eligible project costs. The INFRA Extra initiative does not
impact how applications will be considered for an INFRA grant nor how
applications for TIFIA credit assistance will be evaluated (other than
in respect of eligibility to apply for credit assistance for up to 49%
of eligible project costs).

4. Additional Information

    The INFRA program is authorized at 23 U.S.C. 117. It is described
in the Federal Assistance Listings under the assistance listing program
title ``Nationally Significant Freight and Highway Projects'' and
assistance listing number 20.934.

B. Federal Award Information

1. Amount Available

    The FAST Act authorizes the INFRA program at $4.5 billion for
fiscal years (FY) 2016 through 2020, and the Continuing Appropriations
Act, 2021 and Other Extensions Act authorizes $1 billion for FY 2021,
to be awarded by USDOT on a competitive basis to projects of national
or regional significance that meet statutory requirements. This notice
solicits applications for the $889 million in FY 2021 INFRA funds
available for awards. In addition to the FY 2021 INFRA funds, amounts
from prior year authorizations, presently estimated at up to $150
million, may be made available and awarded under this solicitation. Any
award under this notice will be subject to the availability of
appropriated funds.

2. Restrictions on Award Portfolio

    The Department will make awards under the INFRA program to both
large and small projects (refer to section C.3.c for a definition of
large and small projects). For a large project, the FAST Act specifies
that an INFRA grant must be at least $25 million. For a small project,
including both construction awards and project development awards, the
grant must be at least $5 million. For each fiscal year of INFRA funds,
10 percent of available funds are reserved for small projects, and 90
percent of funds are reserved for large projects.
    The program statute specifies that not more than $600 million in
aggregate of the $5.5 billion authorized for INFRA grants over fiscal
years 2016 to 2021 may be used for grants to freight rail, water
(including ports), or other freight intermodal projects that make
significant improvements to freight movement on the National Highway
Freight Network. After accounting for FY 2016-2020 INFRA selections, as
much as $146 million may be available within this constraint. Only the
non-highway portion(s) of multimodal projects count toward this limit.
Grade crossing and grade separation projects do not count toward the
limit for freight rail, port, and intermodal projects. The Department's
awards may not exhaust this limitation.
    The program statute requires that at least 25 percent of the funds
provided for INFRA grants must be used for projects located in rural
areas, as defined in Section C.3.e. The Department may elect to go
above that threshold. The USDOT must consider geographic diversity
among grant recipients, including the need for a balance in addressing
the needs of urban and rural areas.

C. Eligibility Information

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

1. Eligible Applicants

    Eligible applicants for INFRA grants are: (1) A State or group of
States; (2) a metropolitan planning organization that serves an
Urbanized Area (as defined by the Bureau of the Census) with a
population of more than 200,000 individuals; (3) a unit of local
government or group of local governments; (4) a political subdivision
of a State or local government; (5) a special purpose district or
public authority with a transportation function, including a port
authority; (6) a Federal land management agency that applies jointly
with a State or group of States; (7) a tribal government or a
consortium of tribal governments; or (8) a multi-State or
multijurisdictional group of public entities.
    Multiple States or jurisdictions that submit a joint application
should identify a lead applicant as the primary point of contact. Joint
applications should include a description of the roles and
responsibilities of each applicant and should be signed by each
applicant. The applicant that will be responsible for financial
administration of the project must be an eligible applicant.

2. Cost Sharing or Matching

    This section describes the statutory cost share requirements for an
INFRA award. Cost share will also be evaluated according to the
``Leveraging of Federal Funding'' evaluation criterion described in
Section E.1.a (Criterion #4). That section clarifies that the
Department seeks applications for projects that exceed the minimum non-
Federal cost share requirement described here.
    INFRA grants may be used for up to 60 percent of future eligible
project costs. Other Federal assistance may satisfy the non-Federal
share requirement for an INFRA grant, but total Federal assistance for
a project receiving an INFRA grant may not exceed 80 percent of future
eligible

project costs. Non-Federal sources include State funds originating from
programs funded by State revenue, local funds originating from State or
local revenue-funded programs, private funds or other funding sources
of non-Federal origins. If a Federal land management agency applies
jointly with a State or group of States, and that agency carries out
the project, then Federal funds that were not made available under
titles 23 or 49 of the United States Code may be used for the non-
Federal share. Unless otherwise authorized by statute, local cost-share
may not be counted as non-Federal share for both the INFRA and another
Federal program. For any project, the Department cannot consider
previously incurred costs or previously expended or encumbered funds
towards the matching requirement. Matching funds are subject to the
same Federal requirements described in Section F.2.b as awarded funds.
See Sections D.2.b.iv, D.2.b.vii.5a, and E.1.b.v.5 for information
about documenting cost sharing in the application.
    For the purpose of evaluating eligibility under the statutory limit
on total Federal assistance, funds from TIFIA and Railroad
Rehabilitation & Improvement Financing (RRIF) credit assistance
programs are considered Federal assistance and, combined with other
Federal assistance, may not exceed 80 percent of the future eligible
project costs.

3. Other

a. Eligible Projects
    Eligible projects for INFRA grants are: Highway freight projects
carried out on the National Highway Freight Network (23 U.S.C. 167);
highway or bridge projects carried out on the National Highway System
(NHS), including projects that add capacity on the Interstate System to
improve mobility or projects in a national scenic area; railway-highway
grade crossing or grade separation projects; or a freight project that
is (1) an intermodal or rail project, or (2) within the boundaries of a
public or private freight rail, water (including ports), or intermodal
facility. A project within the boundaries of a freight rail, water
(including ports), or intermodal facility must be a surface
transportation infrastructure project necessary to facilitate direct
intermodal interchange, transfer, or access into or out of the facility
and must significantly improve freight movement on the National Highway
Freight Network. Improving freight movement on the National Highway
Freight Network may include shifting freight transportation to other
modes, thereby reducing congestion and bottlenecks on the National
Highway Freight Network. For a freight project within the boundaries of
a freight rail, water (including ports), or intermodal facility,
Federal funds can only support project elements that provide public
benefits.
b. Eligible Project Costs
    INFRA grants may be used for the construction, reconstruction,
rehabilitation, acquisition of property (including land related to the
project and improvements to the land), environmental mitigation,
construction contingencies, equipment acquisition, and operational
improvements directly related to system performance. Statutorily, INFRA
grants may also fund development phase activities, including planning,
feasibility analysis, revenue forecasting, environmental review,
preliminary engineering, design, and other preconstruction activities,
provided the project meets statutory requirements. However, the
Department is seeking to use INFRA funding on projects that result in
construction meaning development phase activities are less competitive
by nature of the evaluation structure described in Section E. Public-
private partnership assessments for projects in the development phase
are also eligible costs.
    INFRA grant recipients may use INFRA funds to pay the subsidy and
administrative costs necessary to receive TIFIA credit assistance.
    All INFRA projects are subject to the Buy America requirement at 23
U.S.C. 313. The Department expects all INFRA applicants to comply with
that requirement without needing a waiver. To obtain a waiver, a
recipient must be prepared to demonstrate how they will maximize the
use of domestic goods, products, and materials in constructing their
project. If you anticipate requiring a waiver, you must state so in
your application.
c. Minimum Project Size Requirement
    For the purposes of determining whether a project meets the minimum
project size requirement, the Department will count all future eligible
project costs under the award and some related costs incurred before
selection for an INFRA grant. Previously incurred costs will be counted
toward the minimum project size requirement only if they were eligible
project costs under Section C.3.b. and were expended as part of the
project for which the applicant seeks funds. Although those previously
incurred costs may be used for meeting the minimum project size
thresholds described in this Section, they cannot be reimbursed with
INFRA grant funds, nor will they count toward the project's required
non-Federal share.
i. Large Projects
    The minimum project size for large projects is the lesser of $100
million; 30 percent of a State's FY 2020 Federal-aid apportionment if
the project is located in one State; or 50 percent of the larger
participating State's FY 2020 apportionment for projects located in
more than one State. The following chart identifies the minimum total
project cost, rounded up to the nearest million, for projects for FY
2021 for both single and multi-State projects.

------------------------------------------------------------------------
                                            FY21 NSFHP      FY21 NSFHP
                                           (30% of FY20    (50% of FY20
                                          apportionment)  apportionment)
                  State                      one-state      multi-state
                                              minimum        minimum *
                                            (millions)      (millions)
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Alabama.................................            $100            $100
Alaska..................................             100             100
Arizona.................................             100             100
Arkansas................................             100             100
California..............................             100             100
Colorado................................             100             100
Connecticut.............................             100             100
Delaware................................              56              94
Dist. of Col............................              53              88
Florida.................................             100             100
Georgia.................................             100             100
Hawaii..................................              56              94
Idaho...................................              95             100
Illinois................................             100             100
Indiana.................................             100             100
Iowa....................................             100             100
Kansas..................................             100             100
Kentucky................................             100             100
Louisiana...............................             100             100
Maine...................................              62             100
Maryland................................             100             100
Massachusetts...........................             100             100
Michigan................................             100             100
Minnesota...............................             100             100
Mississippi.............................             100             100
Missouri................................             100             100
Montana.................................             100             100
Nebraska................................              96             100
Nevada..................................             100             100
New Hampshire...........................              55              92
New Jersey..............................             100             100
New Mexico..............................             100             100
New York................................             100             100
North Carolina..........................             100             100
North Dakota............................              83             100
Ohio....................................             100             100
Oklahoma................................             100             100
Oregon..................................             100             100
Pennsylvania............................             100             100
Rhode Island............................              73             100
South Carolina..........................             100             100
South Dakota............................              94             100
Tennessee...............................             100             100
Texas...................................             100             100
Utah....................................             100             100
Vermont.................................              68             100
Virginia................................             100             100
Washington..............................             100             100
West Virginia...........................             100             100
Wisconsin...............................             100             100
Wyoming.................................              85             100
------------------------------------------------------------------------
* For multi-State projects, the minimum project size is the largest of
  the multi-State minimums from the participating States.

ii. Small Projects
    A small project is an eligible project that does not meet the
minimum project size described in Section C.3.c.i.
d. Large/Small Project Requirements
    For a large project to be selected, the Department must determine
that the project meets seven requirements described in 23 U.S.C. 117(g)
and below. If your project consists of multiple components with
independent utility, the Department must determine that each component
meets each requirement, to select it for an award. The requirements are
listed below and further described in Section E.1.b.v and Section
D.2.b.vii:
    Large Project Requirement #1: The project will generate national or
regional economic, mobility, or safety benefits.
    Large Project Requirement #2: The project will be cost effective.
    Large Project Requirement #3: The project will contribute to the
accomplishment of one or more of the goals described in 23 U.S.C. Sec.
150.
    Large Project Requirement #4: The project is based on the results
of preliminary engineering.
    Large Project Requirement #5: With respect to related non-Federal
financial commitments, one or more stable and dependable funding or
financing sources are available to construct, maintain, and operate the
project, and contingency amounts are available to cover unanticipated
cost increases.
    Large Project Requirement #6: The project cannot be easily and
efficiently completed without other Federal funding or financial
assistance available to the project sponsor.
    Large Project Requirement #7 The project is reasonably expected to
begin construction no later than 18 months after the date of obligation
of funds for the project.
    For a small project to be selected, the Department must consider
the cost-effectiveness of the proposed project and the effect of the
proposed project on mobility in the State and region in which the
project is carried out.
e. Rural/Urban Area
    This section describes the statutory definition of urban and rural
areas and the minimum statutory requirements for projects that meet
those definitions. For more information on how the Department consider
projects in urban, rural, and low population areas as part of the
selection process, see Section E.1.b.i.
    The INFRA statute defines a rural area as an area outside an
Urbanized Area \3\ with a population of over 200,000. In this notice,
urban area is defined as inside an Urbanized Area, as a designated by
the U.S. Census Bureau, with a population of 200,000 or more.\4\ Rural
and urban definitions differ in some other USDOT programs, including
TIFIA. Cost share requirements and minimum grant awards are the same
for projects located in rural and urban areas. The Department will
consider a project to be in a rural area if the majority of the project
(determined by geographic location(s) where the majority of the money
is to be spent) is located in a rural area. However, if a project
consists of multiple components, as described under section C.3.f or
C.3.g., then for each separate component the Department will determine
whether that component is rural or urban. In some circumstances,
including networks of projects under section C.3.g that cover wide
geographic regions, this component-by-component determination may
result in INFRA awards that include urban and rural funds.
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    \3\ For Census 2010, the Census Bureau defined an Urbanized Area
(UA) as an area that consists of densely settled territory that
contains 50,000 or more people. Updated lists of UAs are available
on the Census Bureau website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/. For the purposes of the INFRA program,
Urbanized Areas with populations fewer than 200,000 will be
considered rural.
    \4\ See www.transportation.gov/buildamerica/InFRAgrants for a
list of Urbanized Areas with a population of 200,000 or more.
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f. Project Components
    An application may describe a project that contains more than one
component. The USDOT may award funds for a component, instead of the
larger project, if that component (1) independently meets minimum award
amounts described in Section B and all eligibility requirements
described in Section C, including the requirements for large projects
described in Sections C.3.d and D.2.b.vii; (2) independently aligns
well with the selection criteria specified in Section E; and (3) meets
National Environmental Policy Act (NEPA) requirements with respect to
independent utility. Independent utility means that the component will
represent a transportation improvement that is usable and represents a
reasonable expenditure of USDOT funds even if no other improvements are
made in the area, and will be ready for intended use upon completion of
that component's construction. If an application describes multiple
components, the application should demonstrate how the components
collectively advance the purposes of the INFRA program. An applicant
should not add multiple components to a single application merely to
aggregate costs or avoid submitting multiple applications.
    Applicants should be aware that, depending upon applicable Federal
law and the relationship among project components, an award funding
only some project components may make other project components subject
to Federal requirements as described in Section F.2.b. For example,
under 40 CFR 1508.25, the NEPA review for the funded project component
may need to include evaluation of all project components as connected,
similar, or cumulative actions.
    The Department strongly encourages applicants to identify in their
applications the project components that meet independent utility
standards and separately detail the costs and INFRA funding requested
for each component. If the application identifies one or more
independent project components, the application should clearly identify
how each independent component addresses selection criteria and
produces benefits on its own, in addition to describing how the full
proposal of which the independent component is a part addresses
selection criteria.
g. Network of Projects
    An application may describe and request funding for a network of
projects. A network of projects is one INFRA award that consists of
multiple projects addressing the same transportation problem. For
example, if an applicant seeks to improve efficiency along a rail
corridor, then their application might propose one award for four grade
separation projects at four different railway-highway crossings. Each
of the four projects would independently reduce congestion but the
overall benefits would be greater if the projects were completed
together under a single award.
    The USDOT will evaluate applications that describe networks of
projects similar to how it evaluates projects with multiple components.
Because of their similarities, the guidance in Section C.3.f is
applicable to networks of projects, and applicants should follow that
guidance on how to present information in their application. As with
project components, depending upon applicable Federal law and the
relationship among projects within a network of projects, an award that
funds only some projects in a network may make other projects subject
to Federal

requirements as described in Section F.2.
h. Application Limit
    To encourage applicants to prioritize their INFRA submissions, each
eligible applicant may submit no more than three applications. The
three-application limit applies only to applications where the
applicant is the lead applicant. There is no limit on applications for
which an applicant can be listed as a partnering agency. If a lead
applicant submits more than three applications as the lead applicant,
only the first three received will be considered.

D. Application and Submission Information

1. Address

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

2. Content and Form of Application

    The application must include the Standard Form 424 (Application for
Federal Assistance), Standard Form 424C (Budget Information for
Construction Programs), cover page, and the Project Narrative. More
detailed information about the cover pages and Project Narrative
follows.
a. Cover Page
    Each application should contain a cover page with the following
chart:

------------------------------------------------------------------------

------------------------------------------------------------------------
Basic Project Information:
    What is the Project Name?
    Who is the Project Sponsor?
    Was an INFRA application for this
     project submitted previously? (If
     Yes, please include title)
Project Costs:
    INFRA Request Amount...............  Exact Amount in year-of-
                                          expenditure dollars.
    Estimated Federal funding (excl.     Estimate in year-of-expenditure
     INFRA), anticipated to be used in    dollars.
     INFRA funded future project.
    Estimated non-Federal funding        Estimate in year-of-expenditure
     anticipated to be used in INFRA      dollars.
     funded future project.
    Future Eligible Project Cost (Sum    Estimate in year-of-expenditure
     of previous three rows).             dollars.
    Previously incurred project costs    Estimate in year-of-expenditure
     (if applicable).                     dollars.
    Total Project Cost (Sum of           Estimate in year-of-expenditure
     `previous incurred' and `future      dollars.
     eligible').
    Are matching funds restricted to a
     specific project component? If so,
     which one?
Project Eligibility To be eligible, all
 future eligible project costs must
 fall into at least one of the
 following four categories:
    Approximately how much of the        Please provide an estimate, in
     estimated future eligible project    year-of-expenditure dollars,
     costs will be spent on components    of the costs that meet this
     of the project currently located     definition.
     on National Highway Freight
     Network (NHFN)?
    Approximately how much of the        Please provide an estimate, in
     estimated future eligible project    year-of-expenditure dollars,
     costs will be spent on components    of the costs that meet this
     of the project currently located     definition. Maps can be found
     on the National Highway System       here: https://www.fhwa.dot.gov/
     (NHS)?                               planning/
                                          national_highway_system/
                                          nhs_maps/.
    Approximately how much of the        Please provide an estimate, in
     estimated future eligible project    year-of-expenditure dollars,
     costs will be spent on components    of the costs that meet this
     constituting railway-highway grade   definition.
     crossing or grade separation
     projects?
    Approximately how much of the        Please provide an estimate, in
     estimated future eligible project    year-of-expenditure dollars,
     costs will be spent on components    of the costs that meet this
     constituting intermodal or freight   definition.
     rail projects, or freight projects
     within the boundaries of a public
     or private freight rail, water
     (including ports), or intermodal
     facility?
Project Location:
    State(s) in which project is
     located.
    Small or large project.............  Small/Large.
    Urbanized Area in which project is
     located, if applicable.
Population of Urbanized Area (According
 to 2010 Census):
    Is the project located (entirely or  Yes/No. If yes, please describe
     partially) in Federally designated   which of the four Federally
     community development zones.         designated community
                                          development zones in which
                                          your project is located.
                                         Opportunity Zones: (https://opportunityzones.hud.gov/).
                                         Empowerment Zones: (https://www.hud.gov/hudprograms/empowerment_zones).
                                         Promise Zones: (https://www.hud.gov/program_offices/field_policy_mgt/fieldpolicymgtpz fieldpolicymgtpz).
                                         Choice Neighborhoods: (https://www.hud.gov/program_offices/public_indian_housing/programs/ph/cn ph/cn).
    Is the project currently programmed  Yes/no (please specify in which
     in the:.                             plans the project is currently
                                          pro-
         TIP...................   grammed, and provide the
                                          identifying number if
                                          applicable).
         STIP..................
         MPO Long Range
         Transportation Plan.
         State Long Range
         Transportation Plan.
         State Freight Plan?...
------------------------------------------------------------------------

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

------------------------------------------------------------------------

------------------------------------------------------------------------
I. Project Description.....................  See D.2.b.i.
II. Project Location.......................  See D.2.b.ii.
III. Project Parties.......................  See D.2.b.iii.
IV. Grant Funds, Sources and Uses of all     See D.2.b.iv.
 Project Funding.
V. Merit Criteria..........................  See D.2.b.v.
VI. Project Readiness......................  See D.2.b.vi and E.1.c.ii.
VII. Large/Small Project Requirements......  See D.2.b.vii and C.3.d.
------------------------------------------------------------------------

    The project narrative should include the information necessary for
the Department to determine that the project satisfies project
requirements described in Sections B and C and to assess the selection
criteria specified in Section E.1. To the extent practicable,
applicants should provide supporting data and documentation in a form
that is directly verifiable by the Department. The Department may ask
any applicant to supplement data in its application, but expects
applications to be complete upon submission.
    In addition to a detailed statement of work, detailed project
schedule, and detailed project budget, the project narrative should
include a table of contents, maps, and graphics, as appropriate, to
make the information easier to review. The Department recommends that
the project narrative be prepared with standard formatting preferences
(i.e., a single-spaced document, using a standard 12-point font such as
Times New Roman, with 1-inch margins). The project narrative may not
exceed 25 pages in length, excluding cover pages and table of contents.
The only substantive portions that may exceed the 25-page limit are
documents supporting assertions or conclusions made in the 25-page
project narrative. If possible, website links to supporting
documentation should be provided rather than copies of these supporting
materials. If supporting documents are submitted, applicants should
clearly identify within the project narrative the relevant portion of
the project narrative that each supporting document supports. At the
applicant's discretion, relevant materials provided previously to a
modal administration in support of a different USDOT financial
assistance program may be referenced and described as unchanged. The
Department recommends using appropriately descriptive final names
(e.g., ``Project Narrative,'' ``Maps,'' ``Memoranda of Understanding
and Letters of Support,'' etc.) for all attachments. The USDOT
recommends applications include the following sections:
i. Project Summary
    The first section of the application should provide a concise
description of the project, the transportation challenges that it is
intended to address, and how it will address those challenges. This
section should discuss the project's history, including a description
of any previously incurred costs. The applicant may use this section to
place the project into a broader context of other infrastructure
investments being pursued by the project sponsor.
ii. Project Location
    This section of the application should describe the project
location, including a detailed geographical description of the proposed
project, a map of the project's location and connections to existing
transportation infrastructure, and geospatial data describing the
project location. If the project is located within the boundary of a
2010 Census-designated Urbanized Area, the application should identify
the Urbanized Area.\5\
---------------------------------------------------------------------------

    \5\ Lists of Urbanized Areas are available on the Census Bureau
website at http://www2.census.gov/geo/maps/dc10map/UAUC_RefMap/ua/
and maps are available at https://tigerweb.geo.census.gov/tigerweb/.
For the purposes of the INFRA program, Urbanized Areas with
populations fewer than 200,000 will be considered rural.
---------------------------------------------------------------------------

iii. Project Parties
    This section of the application should list all project parties,
including details about the proposed grant recipient and other public
and private parties who are involved in delivering the project, such as
port authorities, terminal operators, freight railroads, shippers,
carriers, freight-related associations, third-party logistics
providers, and freight industry workforce organizations.
iv. Grant Funds, Sources and Uses of Project Funds
    This section of the application should describe the project's
budget. At a minimum, it should include:
    (A) Previously incurred expenses, as defined in Section C.3.c.
    (B) Future eligible costs, as defined in Section C.3.c.
    (C) For all funds to be used for future eligible project costs, the
source and amount of those funds.
     For non-Federal funds to be used for future eligible
project costs, documentation of funding commitments should be
referenced here and included as an appendix to the application.
     For Federal funds to be used for future eligible project
costs, the amount, nature, and source of any required non-Federal match
for those funds.
    (D) A budget showing how each source of funds will be spent. The
budget should show how each funding source will share in each major
construction activity, and present that data in dollars and
percentages. Funding sources should be grouped into three categories:
Non-Federal; INFRA; and other Federal. If the project contains
components, the budget should separate the costs of each project
component. If the project will be completed in phases, the budget
should separate the costs of each phase. The budget should be detailed
enough to demonstrate that the project satisfies the statutory cost-
sharing requirements described in Section C.2.
    (E) Information showing that the applicant has budgeted sufficient
contingency amounts to cover unanticipated cost increases.
    (F) The amount of the requested INFRA funds that would be subject
to the limit on freight rail, port, and intermodal infrastructure
described in Section B.2.
    In addition to the information enumerated above, this section
should provide complete information on how all project funds may be
used. For example, if a source of funds is available only after a
condition is satisfied, the application should identify that condition
and describe the applicant's control over whether it is satisfied.
Similarly, if a source of funds is available for expenditure only
during a fixed period, the application should describe that
restriction. Complete

information about project funds will ensure that the Department's
expectations for award execution align with any funding restrictions
unrelated to the Department, even if an award differs from the
applicant's request.
v. Merit Criteria
    This section of the application should demonstrate how the project
aligns with the Merit Criteria described in Section E.1 of this notice.
The Department encourages applicants to address each criterion or
expressly state that the project does not address the criterion.
Applicants are not required to follow a specific format, but the
following organization, which addresses each criterion separately,
promotes a clear discussion that assists project evaluators. To
minimize redundant information in the application, the Department
encourages applicants to cross-reference from this section of their
application to relevant substantive information in other sections of
the application.
    The guidance here is about how the applicant should organize their
application. Guidance describing how the Department will evaluate
projects against the Merit Criteria is in Section E.1 of this notice.
Applicants also should review that section before considering how to
organize their application.
Criterion #1: Support for National or Regional Economic Vitality
    This section of the application should describe the anticipated
outcomes of the project that support the Economic Vitality criterion
(described in Section E.1.a of this notice). The applicant should
summarize the conclusions of the project's benefit-cost analysis,
including estimates of the project's benefit-cost ratio and net
benefits. The applicant should also describe economic impacts and other
data-supported benefits that are not included in the benefit-cost
analysis, such as how their project creates good-paying jobs with the
choice to join a union and will support American industry by complying
with domestic preference laws without need for a waiver. If you are
pursuing innovative project delivery strategies related to economic
vitality, such as using project labor agreements to local hiring
requirements, include that information in the Innovation section. For
the purposes of considering whether the project primarily serves
freight and goods movement, the application should include estimates of
the volume and share of freight (trucks, rail carloads, TEUs, tonnage,
or other relevant measure) that travels through the project area and
identify the sources for those estimates.
    Consistent with the Department's ROUTES Initiative, the Department
encourages applicants to describe how the project would address the
unique challenges of rural transportation networks in safety,
infrastructure condition, and passenger and freight usage, should the
project serve a rural location.
    The benefit-cost analysis calculation file(s) should be provided as
an appendix to the project narrative, as described in Section D.2.c. of
this notice.
Criterion #2: Climate Change and Environmental Justice Impacts
    This section of the application should demonstrate whether the
project has incorporated climate change and environmental justice in
terms of (a) planning and policy or (b) design components with outcomes
that address climate change. To address the planning and policies
element of this criterion, the application should describe what
specific climate change or environmental justice activities have been
completed for this project. The application should state whether a
project is incorporated in a climate action plan, whether an equitable
development plan has been prepared, and whether tools such as EPA's
EJSCREEN have been applied in project planning.\6\ To address the
design components element of this criterion, the application should
describe specific and direct ways that the project will mitigate or
reduce climate change impacts. This may include a description of how
the project encourages modal shift, temporal changes in asset
utilization to reduce congestion, or incorporates multimodal
infrastructure to reduce vehicle miles traveled, other ways that the
project reduces emissions or uses technology to increase energy
efficiency, incorporates resiliency measures for disaster preparedness,
or recycles and enhances existing idle or dilapidated infrastructure.
See Section E.1.a for additional information related to evaluation of
Climate Change and Environmental Justice.
---------------------------------------------------------------------------

    \6\ The EJSCREEN tool can be referenced on the EPA site: https://ejscreen.epa.gov/mapper/.
---------------------------------------------------------------------------

Criterion #3: Racial Equity and Barriers to Opportunity
    This section of the application should include sufficient
information to evaluate how the applicant will advance the Racial
Equity and Barriers to Opportunity program objective. The applicant
should indicate which (if any) planning and policies related to racial
equity and barriers to opportunity they are implementing or have
implemented, along with the specific project investment details
necessary for the Department to evaluate if the investments are being
made to either proactively advance racial equity and barriers to
opportunity or redress prior inequities and barriers to opportunity.
All project investment costs for the project that are related to racial
equity and barriers to opportunity should be summarized here, even if
those project costs are ineligible for the INFRA grant. See Section
E.1.a for additional information. Any relevant racial equity and
barriers to opportunity related policies, plans and outreach
documentation as described in Section E.1.a, should be provided as an
appendix to the project narrative.
Criterion #4: Leveraging of Federal Funding
    The Leveraging Criterion will be assessed according to the
methodology described in Section E.1.a., referencing information
provided in the application's Grant Funds, Sources and Uses of Project
Funds section. Please describe the source of all non-INFRA funds in the
project's financial plan. Please state the share of non-INFRA funds
coming from Federal funds, including Federal formula funds that may be
passed through a State entity. Please provide evidence that funding is
stable, dependable, and will be available to complete the project.
Criterion #5: Potential for Innovation
    This section of the application should contain sufficient
information to evaluate how the project can be transformative in
achieving program goals, and includes or enables innovation in: (1) The
accelerated deployment of innovative technology, including expanded
access to broadband; (2) use of innovative permitting, contracting, and
other project delivery practices; and (3) innovative financing. If the
project does not address a particular innovation area, the application
should state this fact. Please see Section E.1.a for additional
information.
Criterion #6: Performance and Accountability
    This section of the application should include sufficient
information to

evaluate how the applicant will advance the Performance and
Accountability program objective. In general, the applicant should
indicate which (if any) accountability measures they are willing to
implement or have implemented, along with the specific details
necessary for the Department to evaluate their accountability measure.
The applicant should also address the lifecycle cost component of this
criterion in this section. See Section E.1.a for additional
information.
vi. Project Readiness
    This section of the application should include information that,
when considered with the project budget information presented elsewhere
in the application, is sufficient for the Department to evaluate
whether the project is reasonably expected to begin construction in a
timely manner. To assist the Department's project readiness assessment,
the applicant should provide the information requested on technical
feasibility, project schedule, project approvals, and project risks,
each of which is described in greater detail in the following sections.
Applicants are not required to follow the specific format described
here, but this organization, which addresses each relevant aspect of
project readiness, promotes a clear discussion that assists project
evaluators. To minimize redundant information in the application, the
Department encourages applicants to cross-reference from this section
of their application to relevant substantive information in other
sections of the application.
    The guidance here is about what information applicants should
provide and how the applicant should organize their application.
Guidance describing how the Department will evaluate a project's
readiness is described in section E.1 of this notice. Applicants also
should review that section before considering how to organize their
application.
    (A) Technical Feasibility. The applicant should demonstrate the
technical feasibility of the project with engineering and design
studies and activities; the development of design criteria and/or a
basis of design; the basis for the cost estimate presented in the INFRA
application, including the identification of contingency levels
appropriate to its level of design; and any scope, schedule, and budget
risk-mitigation measures. Applicants should include a detailed
statement of work that focuses on the technical and engineering aspects
of the project and describes in detail the project to be constructed.
    (B) Project Schedule. The applicant should include a detailed
project schedule that identifies all major project milestones. Examples
of such milestones include State and local planning approvals
(programming on the Statewide Transportation Improvement Program),
start and completion of NEPA and other Federal environmental reviews
and approvals including permitting; design completion; right of way
acquisition; approval of plans, specifications and estimates (PS&E);
procurement; State and local approvals; project partnership and
implementation agreements including agreements with railroads; and
construction. The project schedule should be sufficiently detailed to
demonstrate that:
    (1) All necessary activities will be complete to allow INFRA funds
to be obligated sufficiently in advance of the statutory deadline
(September 30, 2024 for FY 2021 funds), and that any unexpected delays
will not put the funds at risk of expiring before they are obligated;
    (2) the project can begin construction quickly upon obligation of
INFRA funds, and that the grant funds will be spent expeditiously once
construction starts; and
    (3) all real property and right-of-way acquisition will be
completed in a timely manner in accordance with 49 CFR part 24, 23 CFR
part 710, and other applicable legal requirements or a statement that
no acquisition is necessary.
    (C) Required Approvals.
    (1) Environmental Permits and Reviews. The application should
demonstrate receipt (or reasonably anticipated receipt) of all
environmental approvals and permits necessary for the project to
proceed to construction on the timeline specified in the project
schedule and necessary to meet the statutory obligation deadline,
including satisfaction of all Federal, State, and local requirements
and completion of the NEPA process. Specifically, the application
should include:
    (a) Information about the NEPA status of the project. If the NEPA
process is complete, an applicant should indicate the date of
completion, and provide a website link or other reference to the final
Categorical Exclusion, Finding of No Significant Impact, Record of
Decision, and any other NEPA documents prepared. If the NEPA process is
underway, but not complete, the application should detail the type of
NEPA review underway, where the project is in the process, and indicate
the anticipated date of completion of all milestones and of the final
NEPA determination. If the last agency action with respect to NEPA
documents occurred more than three years before the application date,
the applicant should describe why the project has been delayed and
include a proposed approach for verifying and, if necessary, updating
this material in accordance with applicable NEPA requirements.
    (b) Information on reviews, approvals, and permits by other
agencies. An application should indicate whether the proposed project
requires reviews or approval actions by other agencies,\7\ indicate the
status of such actions, and provide detailed information about the
status of those reviews or approvals and should demonstrate compliance
with any other applicable Federal, State, or local requirements, and
when such approvals are expected. Applicants should provide a website
link or other reference to copies of any reviews, approvals, and
permits prepared.
---------------------------------------------------------------------------

    \7\ Projects that may impact protected resources such as
wetlands, species habitat, cultural or historic resources require
review and approval by Federal and State agencies with jurisdiction
over those resources.
---------------------------------------------------------------------------

    (c) Environmental studies or other documents--preferably through a
website link--that describe in detail known project impacts, and
possible mitigation for those impacts.
    (d) A description of discussions with the appropriate USDOT modal
administration field or headquarters office regarding the project's
compliance with NEPA and other applicable Federal environmental reviews
and approvals.
    (e) A description of public engagement about the project that has
occurred, including details on the degree to which public comments and
commitments have been integrated into project development and design.
    (2) State and Local Approvals. The applicant should demonstrate
receipt of State and local approvals on which the project depends, such
as State and local environmental and planning approvals and STIP or TIP
funding. Additional support from relevant State and local officials is
not required; however, an applicant should demonstrate that the project
has broad public support.
    (3) Federal Transportation Requirements Affecting State and Local
Planning. The planning requirements applicable to the Federal-aid
highway program apply to all INFRA projects, but for port, freight, and
rail projects, planning requirements of the operating administration
that will administer the INFRA project will also apply,\8\

including intermodal projects located at airport facilities.\9\
Applicants should demonstrate that a project that is required to be
included in the relevant State, metropolitan, and local planning
documents has been or will be included in such documents. If the
project is not included in a relevant planning document at the time the
application is submitted, the applicant should submit a statement from
the appropriate planning agency that actions are underway to include
the project in the relevant planning document.
---------------------------------------------------------------------------

    \8\ In accordance with 23 U.S.C. 134 and 135, all projects
requiring an action by the Federal Highway Administration (FHWA)
must be in the applicable plan and programming documents (e.g.,
metropolitan transportation plan, transportation improvement program
(TIP) and statewide transportation improvement program (STIP)).
Further, in air quality non-attainment and maintenance areas, all
regionally significant projects, regardless of the funding source,
must be included in the conforming metropolitan transportation plan
and TIP. Inclusion in the STIP is required under certain
circumstances. To the extent a project is required to be on a
metropolitan transportation plan, TIP, and/or STIP, it will not
receive an INFRA grant until it is included in such plans. Projects
not currently included in these plans can be amended by the State
and metropolitan planning organization (MPO). Projects that are not
required to be in long range transportation plans, STIPs, and TIPs
will not need to be included in such plans to receive an INFRA
grant. Port, freight rail, and intermodal projects are not required
to be on the State Rail Plans called for in the Passenger Rail
Investment and Improvement Act of 2008. However, applicants seeking
funding for freight projects are encouraged to demonstrate that they
have done sufficient planning to ensure that projects fit into a
prioritized list of capital needs and are consistent with long-range
goals. Means of demonstrating this consistency would include whether
the project is in a TIP or a State Freight Plan that conforms to the
requirements Section 70202 of Title 49 prior to the start of
construction. Port planning guidelines are available at
StrongPorts.gov.
    \9\ Projects at grant obligated airports must be compatible with
the FAA-approved Airport Layout Plan (ALP), as well as aeronautical
surfaces associated with the landing and takeoff of aircraft at the
airport. Additionally, projects at an airport: Must comply with
established Sponsor Grant Assurances, including (but not limited to)
requirements for non-exclusive use facilities, consultation with
users, consistency with local plans including development of the
area surrounding the airport, and consideration of the interest of
nearby communities, among others; and must not adversely affect the
continued and unhindered access of passengers to the terminal.
---------------------------------------------------------------------------

    To the extent possible, freight projects should be included in a
State Freight Plan and supported by a State Freight Advisory Committee
(49 U.S.C. 70201, 70202). Applicants should provide links or other
documentation supporting this consideration.
    Because projects have different schedules, the construction start
date for each INFRA grant will be specified in the project-specific
agreements signed by relevant modal administration and the grant
recipients, based on critical path items that applicants identify in
the application and will be consistent with relevant State and local
plans.
    (D) Assessment of Project Risks and Mitigation Strategies. Project
risks, such as procurement delays, environmental uncertainties,
increases in real estate acquisition costs, uncommitted local match, or
lack of legislative approval, affect the likelihood of successful
project start and completion. The applicant should identify all
material risks to the project and the strategies that the lead
applicant and any project partners have undertaken or will undertake to
mitigate those risks. The applicant should assess the greatest risks to
the project and identify how the project parties will mitigate those
risks.
    To the extent it is unfamiliar with the Federal program, the
applicant should contact USDOT modal field or headquarters offices as
found at www.transportation.gov/infragrants for information on what
steps are pre-requisite to the obligation of Federal funds to ensure
that their project schedule is reasonable and that there are no risks
of delays in satisfying Federal requirements.
vii. Large/Small Project Requirements
    To select a large project for award, the Department must determine
that the project--as a whole, as well as each independent component of
the project--satisfies several statutory requirements enumerated at 23
U.S.C. 117(g) and restated in the table below. The application must
include sufficient information for the Department to make these
determinations for both the project as a whole and for each independent
component of the project. Applicants should use this section of the
application to summarize how their project and, if present, each
independent project component, meets each of the following
requirements. Applicants are not required to reproduce the table below
in their application, but following this format will help evaluators
identify the relevant information that supports each large project
determination. Supporting information provided in appendices may be
referenced.

------------------------------------------------------------------------
      Large project determination                    Guidance
------------------------------------------------------------------------
1. Does the project generate national    Summarize the economic,
 or regional economic, mobility, or       mobility, and safety benefits
 safety benefits?                         of the project and independent
                                          project components, and
                                          describe the scale of their
                                          impact in national or regional
                                          terms. The Department will
                                          base its determination on the
                                          project's benefits as assessed
                                          according to the Economic
                                          Vitality criterion.
2. Is the project cost effective?        Highlight the results of the
                                          benefit cost analysis, as well
                                          as the analyses of independent
                                          project components if
                                          applicable. The Department
                                          will base its determination on
                                          the ratio of project benefits
                                          to project costs as assessed
                                          according to the Economic
                                          Vitality criterion.
3. Does the project contribute to one    Specify the Goal(s) and
 or more of the Goals listed under 23     summarize how the project and
 U.S.C. 150 (and shown below)?            independent project components
                                          contributes to that goal(s).
    (1) National Goals.--It is in the    The Department will base its
     interest of the United States to     determination on the project's
     focus the Federal-aid highway        benefits as assessed according
     program on the following national    to the Economic Vitality
     goals:                               criterion.
    (2) Safety.--To achieve a
     significant reduction in traffic
     fatalities and serious injuries on
     all public roads.
    (3) Infrastructure condition.--To
     maintain the highway
     infrastructure asset system in a
     state of good repair.
    (4) Congestion reduction.--To
     achieve a significant reduction in
     congestion on the National Highway
     System.
    (5) System reliability.--To improve
     the efficiency of the surface
     transportation system.

    (6) Freight movement and economic
     vitality.--To improve the national
     freight network, strengthen the
     ability of rural communities to
     access national and international
     trade markets, and support
     regional economic development.
    (7) Environmental sustainability.--
     To enhance the performance of the
     transportation system while
     protecting and enhancing the
     natural environment.
    (8) Reduced project delivery
     delays.--To reduce project costs,
     promote jobs and the economy, and
     expedite the movement of people
     and goods by accelerating project
     completion through eliminating
     delays in the project development
     and delivery process, including
     reducing regulatory burdens and
     improving agencies' work practices.
4. Is the project based on the results   For a project or independent
 of preliminary engineering?              project component to be based
                                          on the results of preliminary
                                          engineering, please indicate
                                          which of the following
                                          activities have been completed
                                          as of the date of application
                                          submission:
                                          Environmental
                                          Assessments.
                                          Topographic Surveys.
                                          Metes and Bounds
                                          Surveys.
                                          Geotechnical
                                          Investigations.
                                          Hydrologic Analysis.
                                          Utility Engineering.
                                          Traffic Studies.
                                          Financial Plans.
                                          Revenue Estimates.
                                          Hazardous Materials
                                          Assessments.
                                          General estimates of
                                          the types and quantities of
                                          materials.
                                          Other work needed to
                                          establish parameters for the
                                          final design.
                                         If one or more of these studies
                                          was included in a larger plan
                                          or document not described
                                          above, please explicitly state
                                          that and reference the
                                          document. The Department will
                                          base its determination on an
                                          assessment of this information
                                          by the INFRA program
                                          evaluators.
5a. With respect to non-Federal          Please indicate funding
 financial commitments, does the          source(s) and amounts that
 project have one or more stable and      will account for all project
 dependable funding or financing          costs, broken down by
 sources to construct, maintain, and      independent project component,
 operate the project?                     if applicable. Demonstrate
                                          that the funding is stable,
                                          dependable, and dedicated to
                                          this specific project by
                                          referencing the STIP/TIP, a
                                          letter of commitment, a local
                                          government resolution,
                                          memorandum of understanding,
                                          or similar documentation. The
                                          Department will base its
                                          determination on an assessment
                                          of this information by INFRA
                                          program evaluators.
5b. Are contingency amounts available    Please state the contingency
 to cover unanticipated cost increases?   amount available for the
                                          project. The Department will
                                          base its determination on an
                                          assessment of this information
                                          by INFRA program evaluators.
6. Is it the case that the project       Describe the potential negative
 cannot be easily and efficiently         impacts on the proposed
 completed without other Federal          project if the INFRA grant (or
 funding or financial assistance          other Federal funding) was not
 available to the project sponsor?        awarded. Respond to the
                                          following:
                                         1. How would the project scope
                                          be affected if INFRA (or other
                                          Federal funds) were not
                                          received?
                                         2. How would the project
                                          schedule be affected if INFRA
                                          (or other Federal funds) were
                                          not received?
                                         3. How would the project cost
                                          be affected if INFRA (or other
                                          Federal funds) were not
                                          received?
                                         If there are no negative
                                          impacts to the project scope,
                                          schedule, or budget if INFRA
                                          funds are not received, state
                                          that explicitly. Impacts to a
                                          portfolio of projects will not
                                          satisfy this requirement;
                                          please describe only project-
                                          specific impacts. Re-stating
                                          the project's importance for
                                          national or regional economic,
                                          mobility, or safety will not
                                          satisfy this requirement. The
                                          Department will base its
                                          determination on an assessment
                                          of this information by INFRA
                                          program evaluators.
7. Is the project reasonably expected    Please provide expected
 to begin construction not later than     obligation date \10\ and
 18 months after the date of obligation   construction start date,
 of funds for the project?                referencing project budget and
                                          schedule as needed. If the
                                          project has multiple
                                          independent components, or
                                          will be obligated and
                                          constructed in multiple
                                          phases, please provide
                                          sufficient information to show
                                          that each component meets this
                                          requirement.
                                         The Department will base its
                                          determination on the project
                                          risk rating as assessed
                                          according to the Project
                                          Readiness consideration. The
                                          Department will base its
                                          determination on the project
                                          risk rating as assessed
                                          according to the Project
                                          Readiness consideration.
------------------------------------------------------------------------

    For a small project to be selected, the Department must consider
the cost effectiveness of the proposed project and the effect of the
proposed project on mobility in the State and region in which the
project is carried out. If an applicant seeks an award for a small
project, it should use this section to provide information on the
project's cost effectiveness and the project's effect on the mobility
in its State and region, or refer to where else the information can be
found in the application.
---------------------------------------------------------------------------

    \10\ Obligation occurs when a selected applicant enters a
written, project-specific agreement with the Department and is
generally after the applicant has satisfied applicable
administrative requirements, including transportation planning and
environmental review requirements.
---------------------------------------------------------------------------

c. Guidance for Benefit-Cost Analysis
    This section describes the recommended approach for the completion
and submission of a benefit-cost analysis (BCA) as an appendix to the
Project Narrative. The results of the analysis should be summarized in
the Project Narrative directly, as described in Section D.2.b.v.
    Applicants should delineate each of their project's expected
outcomes in the form of a complete BCA to enable the Department to
consider cost-effectiveness (small projects), determine whether the
project will be cost effective (large projects), estimate a benefit-
cost ratio and calculate the magnitude of net benefits and costs for
the project. In support of each project for which an applicant seeks
funding, the applicant should submit a BCA that quantifies the expected
benefits and costs of the project against a no-build baseline.
Applicants should use a real discount rate (i.e., the discount rate net
of the inflation rate) of 7 percent per year to discount streams of
benefits and costs to their present value in their BCA.
    The primary economic benefits from projects eligible for INFRA
grants are likely to include savings in travel time costs, vehicle
operating costs, and safety costs for both existing users of the
improved facility and new users who may be attracted to it as a result
of the project. Reduced damages from vehicle emissions and savings in
maintenance costs to public agencies may also be quantified. Applicants
may describe other categories of benefits in the BCA that are more
difficult to quantify and value in economic terms, such as improving
the reliability of travel times or improvements to the existing human
and natural environments (such as increased connectivity, improved
public health, storm water runoff mitigation, and noise reduction),
while also providing numerical estimates of the magnitude and timing of
each of these additional impacts wherever possible. Any benefits
claimed for the project, both quantified and unquantified, should be
clearly tied to the expected outcomes of the project.
    The BCA should include the full costs of developing, constructing,
operating, and maintaining the proposed project (including both
previously incurred and future costs), as well as the expected timing
or schedule for costs in each of these categories. The BCA may also
consider the present discounted value of any remaining service life of
the asset at the end of the analysis period (net of future maintenance
and rehabilitation costs) as a deduction from the estimated costs. The
costs and benefits that are compared in the BCA should also cover the
same project scope.
    The BCA should carefully document the assumptions and methodology
used to produce the analysis, including a description of the baseline,
the sources of data used to project the outcomes of the project, and
the values of key input parameters. Applicants should provide all
relevant files used for their BCA, including any spreadsheet files and
technical memos describing the analysis (whether created in-house or by
a contractor). The spreadsheets and technical memos should present the
calculations in sufficient detail and transparency to allow the
analysis to be reproduced by USDOT evaluators. Detailed guidance for
estimating some types of quantitative benefits and costs, together with
recommended economic values for converting them to dollar terms and
discounting to their present values, are available in the Department's
guidance for conducting BCAs for projects seeking funding under the
INFRA program (see https://www.transportation.gov/office-policy/transportation-policy/benefit-cost-analysis-guidance).
    Applicants for freight projects within the boundaries of a freight
rail, water (including ports), or intermodal facility should also
quantify the benefits of their proposed projects for freight movements
on the National Highway Freight Network, and should demonstrate that
the Federal share of the project funds only elements of the project
that provide public benefits.

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 INFRA 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 an INFRA grant, the Department may determine that the
applicant is not qualified to receive an INFRA grant and use that
determination as a basis for making an INFRA grant to another
applicant.

4. Submission Dates and Timelines

a. Deadline
    Applications must be submitted by 11:59 p.m. EST March 19, 2021.
The Grants.gov ``Apply'' function will open by February 17, 2021.
    To submit an application through Grants.gov, applicants must:
    (1) Obtain a Data Universal Numbering System (DUNS) number:
    (2) Register with the System Award for Management (SAM) at
www.sam.gov; and
    (3) Create a Grants.gov username and password;
    (4) The E-business Point of Contact (POC) at the applicant's
organization must also respond to the registration email from
Grants.gov and login at Grants.gov 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 Grants.gov registration process usually takes
2-4 weeks to complete and that the Department will not consider late
applications that are the result of failure to register or comply with
Grants.gov applicant requirements in a timely manner. For information
and instruction on each of these processes, please see instructions at
http://www.grants.gov/web/grants/applicants/applicant-faqs.html. If
interested parties experience difficulties at any point during the
registration or application process, please call the Grants.gov
Customer Service Support Hotline at 1(800) 518-4726, Monday-Friday from
7:00 a.m. to 9:00 p.m. EST.
b. Consideration of Application
    Only applicants who comply with all submission deadlines described
in this notice and submit applications through Grants.gov will be
eligible for award. Applicants are strongly encouraged to make
submissions in advance of the deadline.

c. Late Applications
    Applications received after the deadline will not be considered
except in the case of unforeseen technical difficulties outlined in
Section D.4.d.
d. Late Application Policy
    Applicants experiencing technical issues with Grants.gov that are
beyond the applicant's control must contact<EMAIL_ADDRESS>prior
to the application deadline with the user name of the registrant and
details of the technical issue experienced. The applicant must provide:
    (1) Details of the technical issue experienced;
    (2) Screen capture(s) of the technical issues experienced along
with corresponding Grants.gov ``Grant tracking number'';
    (3) The ``Legal Business Name'' for the applicant that was provided
in the SF-424;
    (4) The AOR name submitted in the SF-424;
    (5) The DUNS number associated with the application; and
    (6) The Grants.gov Help Desk Tracking Number.
    To ensure a fair competition 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 Grants.gov 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 Grants.gov 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 Grants.gov. If
the reported technical issues cannot be validated, late applications
will be rejected as untimely.

E. Application Review Information

1. Criteria

a. Merit Criteria
    The Department will consider the extent to which the project
addresses the following criteria, which are explained in greater detail
below and reflect the key program objectives described in Section A.2:
(1) Support for national or regional economic vitality; (2) climate
change and environmental justice impacts; (3) racial equity and
barriers to opportunity; (4) leveraging of Federal funding; (5)
potential for innovation; and (6) performance and accountability. The
Department is neither weighting these criteria nor requiring that each
application address every criterion, but the Department expects that
competitive applications will substantively address all six criteria.
Criterion #1: Support for National or Regional Economic Vitality
    The Department will consider the extent to which a project would
support the economic vitality of either the nation or a region. For
2021, the Department is relying on the Benefit Cost Analysis to assess
this criterion. Other factors important to economic vitality, including
how a project contributes to the creation of jobs with a choice to join
a union, support for American industry through compliance with domestic
preference laws, the use of project labor agreements and local hiring
requirements, will be considered in other ways. To the extent possible,
the Department will rely on quantitative, data-supported analysis to
assess how well a project addresses this criterion, including an
assessment of the applicant-supplied benefit-cost analysis described in
Section D.2.c., The Department will consider estimates of the project's
benefit-cost ratio.
    Based on the Department's assessment, the Department will group
projects into ranges based on their estimated benefit costs ratio (BCR)
and assign a level of confidence associated with each project's
assigned BCR. The Department will use these ranges for BCR: Less than
1; 1-1.5; 1.5-3; and greater than 3. The confidence levels are high,
medium, and low.
Criterion #2: Climate Change and Environmental Justice Impacts
    The Department encourages applicants to (1) consider climate change
and environmental justice in project planning efforts and (2) to
incorporate project elements dedicated to mitigating or reducing
impacts of climate change, as described in Section A.2.b of this NOFO.
The project will be assigned a Climate Change and Environmental Justice
rating based on how it addresses these areas. Applications that
incorporate climate change or environmental justice in both planning
activities and specific project elements will receive a high rating.
Applications that incorporate climate change or environmental justice
in planning activities or project elements, but not both, will receive
a medium rating. Applications that address this criterion in neither
planning activities nor project elements will receive a low rating.
    Applicants intending to address the planning portion of the climate
change and environmental justice criterion should describe in detail,
provide supporting documentation, or otherwise demonstrate how they
meet at least one of the options below:
    (1) A Local/Regional/State Climate Action Plan which results in
lower greenhouse gas emissions has been prepared and the project
directly supports that Climate Action Plan;
    (2) A Local/Regional/State Equitable Development Plan has been
prepared and the project directly supports that Equitable Development
Plan;
    (3) The project sponsor has used environmental justice tools such
as the EJSCREEN to minimize impacts to environmental justice
communities (https://ejscreen.epa.gov/mapper/); or
    (4) A Local/Regional/State Energy Baseline Study has been prepared
and the project directly supports that study.
    Applicants intending to address the project components portion of
the climate change and environmental justice criterion should describe
how they meet at least one of the options below:
    (1) The project supports a modal shift in freight or passenger
movement to reduce vehicle miles traveled;
    (2) The project incorporates electrification infrastructure, zero-
emission vehicle infrastructure, or both;
    (3) The project utilizes one or more demand management strategies
to reduce congestion and greenhouse gas emissions,
    (4) The project supports the installation of electric vehicle
charging stations along the NHS;
    (5) The project promotes energy efficiency, for example through
reduction in vessel dwell time or use of cold ironing technology at
ports;
    (6) The project serves the renewable energy supply chain;
    (7) The project improves disaster preparedness and resiliency;
    (8) The project supports bringing existing idle or dilapidated
infrastructure that is currently causing environmental harm into a
state of good repair (e.g. brownfield redevelopment);
    (9) The project supports or incorporates the construction of
energy- and location-efficient buildings;
    (10) The project includes new or improved pedestrian/cycling
connections or multi-modalism as part of a highway or grade separation
project; or
    (11) The project proposes recycling of materials, use of materials
known to reduce or reverse carbon emissions, or both.

Criterion #3: Racial Equity and Barriers to Opportunity
    The Department encourages applicants to describe credible planning
and actions to address potential inequities and barriers to equal
opportunity in the project as reflected in Executive Order 13985,
Advancing Racial Equity and Support for Underserved Communities Through
the Federal Government, and Section A.2.c of this NOFO.
    The application will be assigned a Racial Equity and Barriers to
Opportunity rating based on how it addresses racial equity and barriers
to equal opportunity in (1) planning and policies and (2) project
investments. Applications that address both planning and policies and
project investments will receive a high rating. Applications that
address either planning and policies or project investment receive a
medium rating. Applications that do not address racial equity and
barriers to opportunity in either their sponsors' planning and policies
or project investment will receive a low rating.
    In Racial Equity and Barriers to Opportunity #1: Planning and
Policies, the application will be determined to have addressed this
area if the INFRA application incorporates any of the following, but
these are not the only bases that the Department may use to determine
an application addresses this area:
     A racial equity impact analysis for the project;
     Documentation of equity-focused community outreach and
public engagement in the project's planning in underserved communities;
     The project's sponsor has adopted an equity and inclusion
program/plan or has otherwise instituted equity-focused policies
related to project procurement, material sourcing, construction,
inspection, or other activities designed to ensure racial equity in the
overall project delivery and implementation.
    In Racial Equity and Barriers to Opportunity #2: Project
Investment, the Department will assess if the project investments
either proactively address racial equity and barriers to opportunity or
redress prior inequities and barriers to opportunity, and whether those
investments are documented by previously incurred and/or future costs
of the project. Examples of Racial Equity and Barriers to Opportunity
Project Investment include, but are not limited to:
     Project investments that improve or newly connect
underserved communities to proactively address barriers to opportunity
or redress past inequities and barriers to opportunity. For example:
    [cir] Physical-barrier-mitigating land bridges, caps, lids, linear
parks, and multimodal mobility investments that are directly related to
the project and either redress past barriers to opportunity or that
proactively create new connections and opportunities for underserved
communities;
    [cir] New or improved walking, biking, and rolling access for the
disabled to reverse the disproportional impacts of crashes on people of
color, and mitigate neighborhood bifurcation; and
    [cir] New or improved freight access to underserved communities to
increase access to goods and job opportunities for those underserved
communities.
     Project investments that directly partner with underserved
communities to proactively address barriers to opportunity or redress
past inequities and barriers to opportunity. For example:
    [cir] Project sponsor partnerships with land banks or land trusts
for equitable and fair transfer of excess right-of-way, and other
properties directly related to the project;
    [cir] Project sponsor partnerships with, or investments in,
multimodal mobility providers to proactively address potential racial
equity and barriers to opportunity or redress past inequities and
barriers to opportunity directly related to the project;
    [cir] Project that result in hiring from local communities.
    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).
Criterion #4: Leveraging of Federal Funding
    To maximize the impact of INFRA awards, the Department seeks to
leverage INFRA funding with non-Federal contributions. To evaluate this
criterion, the Department will assign a rating to each project based on
how the calculated non-Federal share of the project's future eligible
project costs compares with other projects proposed for INFRA funding.
The Department will sort large and small project applications' non-
Federal leverage percentage from high to low, and the assigned ratings
will be based on quintile: projects in the 80th percentile and above
receive the highest rating; the 60th -79th percentile receive the
second highest rating; 40th-59th, the third highest; 20th-39th, the
fourth highest; and 0-19th, the lowest rating.
    USDOT recognizes that applicants have varying abilities and
resources to contribute non-Federal contributions. To help applicants
gauge competitiveness of proposed non-Federal contributions, the
Department has published information about the non-Federal leverage
proposed in applications from the prior INFRA round at this link:
https://www.transportation.gov/buildamerica/financing/infra-grants/additional-resources.
    This evaluation criterion is separate from the statutory cost share
requirements for INFRA grants, which are described in Section C.2.
Those statutory requirements establish the minimum permissible non-
Federal share; they do not define a competitive INFRA project. For the
purposes of evaluating leverage as a competitive selection criterion,
the Department will consider the proceeds of Federal assistance under
chapter 6 of Title 23, United States Code or sections 501 through 504
of the Railroad and Revitalization and Regulatory Reform Act of 1976
(Pub. L. 94-210), as amended, to be part of the Federal share of
project costs. Applications that require other discretionary funding
from the Department to complete the project's funding package will be
considered less competitive.
Criterion #5: Potential for Innovation
    The Department seeks to use the INFRA program to encourage
innovation and be transformative in achieving program goals in three
areas: (1) The accelerated deployment of innovative technology and
expanded access to broadband; (2) use of innovative permitting,
contracting, and other project delivery practices; and (3) innovative
financing. The Department expects these innovations to contribute to
the goals for the program established in 23 U.S.C. 117 Sec.  (a)(2) or
align with one of the key objectives of (1) Supporting economic
vitality, (5) Addressing climate change and environmental justice
impacts, or (6) Advancing racial equity and reducing barriers to
opportunity:
     Improve the safety, efficiency and reliability of the
movement of freight and people
     Generate national or regional economic benefits and an
increase in the global economic competitiveness of the United States
     Reduce highway congestion and bottlenecks
     Improve connectivity between modes of transportation

     Enhance the resiliency critical highway infrastructure and
help protect the environment
     Improve roadways vital to national energy security
     Address the impact of population growth on the movement of
people and freight

    The project will be assigned an innovation rating based on how it
cumulatively addresses these areas. For an application to receive
credit for addressing an Innovation area, it must demonstrate both that
the project incorporates an innovative technology or approach and that
said technology or approach addresses one of the goals above.
Applications that satisfy at least two of these three areas will be
assigned a high rating. Applications that address one of these areas
will be assigned a medium rating. Applications that address none of
these areas will be assigned a low rating.
    In Innovation Area #1: Technology, the application will be
determined to have addressed the Technology Innovation Area if the
INFRA project incorporates any of the following technologies and
demonstrates how such technologies will improve transportation outcomes
described above:
     Conflict detection and mitigation technologies (e.g.,
intersection alerts, signal prioritization, or smart traffic signals),
     Automated enforcement;
     Dynamic signaling or pricing systems to reduce congestion;
     Signage and design features that facilitate autonomous or
semi-autonomous vehicle technologies, provided users outside of
autonomous vehicles have also been considered;
     Applications to automatically capture and report safety-
related issues (e.g., identifying and documenting near-miss incidents);
     Vehicle-to-Everything V2X Technologies (e.g. technology
that facilitates passing of information between a vehicle and any
entity that may affect the vehicle);
     Vehicle-to-Infrastructure (V2I) Technologies (e.g.,
digital, physical, coordination, and other infrastructure technologies
and systems that allow vehicles to interact with transportation
infrastructure in ways that improve their mutual performance);
     Vehicle-to-Grid Technologies (e.g., technologies and
infrastructure that encourage electric vehicle charging, and broader
sustainability of the power grid);
     Cybersecurity elements to protect safety-critical systems;
     Technology at land and sea ports of entry that reduces
congestion, wait times, and delays, while maintaining or enhancing the
integrity of our border;
     Work Zone data exchanges or related data exchanges
     Other Intelligent Transportation Systems (ITS) that
directly benefit the project's users.
    The application will also address the Technology Innovation Area if
the project facilitates broadband deployment and the installation of
high-speed networks concurrent with project construction, including
broadband deployment in rural areas, per Executive Order 13821
Streamlining and Expediting Requests to Locate Broadband Facilities in
Rural America.
    In Innovation Area #2: Project Delivery, the Department will assess
whether the applicant intends to pursue an innovative strategy to
improve project design and delivery and demonstrates how such strategy
will improve transportation outcomes described above and will result in
more efficient project implementation. Innovative project delivery
contracting and procurement will be considered to the extent permitted
by DOT regulations. Some of these strategies may require the use of a
SEP-14 or SEP-15 waiver, but many do not: an application can address
this innovation area without requiring a waiver. Examples of innovative
project delivery include:

 Planning and Engagement
    [cir] Scenario Planning
    [cir] Access to Destinations Analysis
    [cir] Robust Community Engagement
 Contracting/Procurement:
    [cir] Indefinite Quantity/Indefinite Delivery Contracting
    [cir] Alternative Pavement Type Bidding
    [cir] No Excuse Bonuses
    [cir] Lump Sum Bidding
    [cir] Best Value Procurement
    [cir] System Integrator Contracts
    [cir] Progressive Design-Build
    [cir] P3 DBFOM Procurements
    [cir] Pay-for-Performance and/or Outcomes-based Procurement
    [cir] P3 with Minority-owned Business Participation
    [cir] Local Contracting Plans
    [cir] Local and Inclusive Participation Goals
    [cir] Project Labor Agreements
    [cir] Construction Inclusion Plans
 Environmental Requirements
    [cir] NEPA/Section 404 Merger
    [cir] Use of Permitting/Authorization Agency Liaisons
    [cir] Establishment of State/Local ``One-Stop-Shop'' for Permitting
    [cir] Programmatic Agreements
 Every Day Counts Initiative
    [cir] Use of proven technologies and innovations to shorten and
enhance project delivery listed at https://www.fhwa.dot.gov/innovation/everydaycounts/edc_innovation.cfm
 Environmentally Friendly Design
    [cir] Recycling and reuse of construction debris, especially if
processed on site to reduce transport VMT.
    [cir] Green street treatments, including the treatment of
stormwater run-off and localized flooding within the transportation
project, especially considering methods of carbon capture
    [cir] Innovative, regenerative, or permeable pavement
    [cir] Adaptive Lighting Installation
 Safety-Oriented Design
    [cir] Improving DOT and Railroad Coordination, specifically at-
grade crossings to reduce death and injury
    [cir] Data-Driven Safety Analysis
    [cir] Demonstration of Vision Zero. Towards Zero Deaths, and Road
to Zero crash reduction outcomes
    [cir] Use of high visibility/durability pavement treatments for
pedestrian and bicycling infrastructure
    [cir] High Friction Surface Treatment
    [cir] Intersection and Interchange Geometrics that improve safety
for all users
    [cir] Road Diets, lane conversions, or other geometric safety
modifications
    [cir] Pedestrian push-button automation, recall
    [cir] Application of bicycle specific signal systems
    [cir] ADA enhancements to intersections
    [cir] Pedestrian-scale lighting and/or adaptive lighting systems
    [cir] Safety EdgeSM
    [cir] Safe Transportation for Every Pedestrian (STEP)

    Finally, in Innovation Area #3, Innovative Financing, the
Department will consider if the project financial plan incorporates
funding or financing from innovative sources, if the applicant
describes recent or pending efforts to raise significant new revenue
for transportation investment across its program, and if the innovative
financing approach improves the transportation outcomes described in
the beginning of this section.
    Examples of innovative sources in a financial plan include:

 Private Sector contributions, excluding donated right-of-way,
amounting to at least $5 million,
 Revenue from the competitive sale or lease of publicly owned
or operated asset, or

 Financing supported by direct project user fees
    Examples of significant new revenue--provided it is dedicated to
transportation investment across an applicant's program--include:

 Revenue resulting from recent or pending increases to sales or
fuel taxes
 Revenue resulting from the recent or pending implementation of
tolling
 Revenue resulting from the recent or pending adoption of value
capture strategies such as tax-increment financing
Criterion #6: Performance and Accountability
    The Department encourages applicants to describe a credible plan to
address the full lifecycle costs associated with the project and
implement an accountability measure as described in Section A.2.f of
this NOFO.
    A credible plan to address full lifecycle costs should include, at
a minimum, (1) an estimate of the lifecycle costs of the project; (2)
an identified source of funding that will be sufficient to pay for
operation and maintenance of the project; and (3) a description of
controls in place to ensure the identified funding will not be diverted
away from operation and maintenance. Examples of such controls include
if a private sector entity is contractually obligated to maintain the
project, if a project sponsor has a demonstrated history of fully
funding maintenance on its assets, or if the sponsor describes an asset
management plan or strategy. For a plan to be considered credible, the
applicant should show that they have considered the impact of climate
change on their plan.
    Applicants intending to address the accountability measure portion
of this criterion should describe how they meet at least one of the
three options below:
    (1) The applicant should state in the application that it agrees to
meet a specific construction start and completion date and state those
dates in the application. If the project sponsor does not meet these
deadlines, the project will be subject to forfeit or return of up to
10% of the awarded funds, or $10 million, whichever is lower.
    (2) The applicant should propose a specific indicator of project
success that will be evident within 12 months of project completion.
The indicator should relate to a benefit estimated in the BCA (e.g.,
travel time savings), and the level of performance should be consistent
with the estimates in the BCA. If the project fails to produce this
specific outcome in the time allotted, it will be subject to forfeit or
return of up to 10% of the awarded funds, or $10 million, whichever is
lower.
    (3) The applicant should show that they will meet a negotiated
Community Benefit Agreement or have completed an Equitable Project
Assessment and will be monitoring compliance.
    The project will be assigned a Performance and Accountability
rating based on how it addresses these areas. Applications that address
both lifecycle costs and accountability measures will receive a high
rating. Applications that address either lifecycle costs or
accountability measures, but not both, will receive a medium rating.
Applications that address neither area will receive a low rating.
b. Additional Considerations
i. Geographic Diversity
    By statute, when selecting INFRA projects, the Department must
consider contributions to geographic diversity among recipients,
including the need for a balance between the needs of rural and urban
communities.
    The Department will also consider whether the project is located in
a Federally designated community development zones such as a qualified
opportunity zone, Empowerment Zone, Promise Zone, or Choice
Neighborhood. Applicants can find additional information about each of
the designated zones at the sites below:

 Opportunity Zones: (https://opportunityzones.hud.gov/)
 Empowerment Zones: (https://www.hud.gov/hudprograms/empowerment_zones)
 Promise Zones: (https://www.hud.gov/program_offices/field_policy_mgt/fieldpolicymgtpz)
 Choice Neighborhoods: (https://www.hud.gov/program_offices/public_indian_housing/programs/ph/cn)

    A project located in a Federally designated community development
zone is more competitive than a similar project that is not located in
a Federally designated community development zone. The Department will
rely on applicant-supplied information to make this determination and
will only consider this if the applicant expressly identifies the
designation in their application.
ii. Project Readiness
    During application evaluation, the Department considers project
readiness in two ways: to assess the likelihood of successful project
delivery and to confirm that a project will satisfy statutory readiness
requirements.
    First, the Department will consider significant risks to successful
obligation of funding for a project, including risks associated with
environmental review, permitting, technical feasibility, funding, and
the applicant's capacity to manage project delivery. Risks do not
disqualify projects from award, but competitive applications clearly
and directly describe achievable risk mitigation strategies. A project
with mitigated risks is more competitive than a comparable project with
unaddressed risks. The Department will assign each application one of
three risk ratings based on the likelihood of the project meeting the
statutory obligation deadline: (1) High risk; (2) moderate risk; and
(3) low risk. A project is assigned high risk if, based on the
available information, there is a high likelihood that project will not
be able to reach obligation within the statutory timeframe. It is
moderate risk if, based on the available information, there is some
possibility that the project will not be able to reach obligation
within the statutory timeframe. It is low risk if, based on the
available information, it is highly likely that the project will be
able to be reach obligation within the statutory timeframe.
    Second, by statute, the Department cannot award a large project
unless that project is reasonably expected to begin construction within
18 months of obligation of funds for the project. Obligation occurs
when a selected applicant enters a written, project-specific agreement
with the Department and is generally after the applicant has satisfied
applicable administrative requirements, including transportation
planning and environmental review requirements. Depending on the nature
of pre-construction activities included in the awarded project, the
Department may obligate funds in phases. Preliminary engineering and
right-of-way acquisition activities, such as environmental review,
design work, and other preconstruction activities, do not fulfill the
requirement to begin construction within 18 months of obligation for
large projects. By statute, INFRA funds must be obligated within three
years of the end of the fiscal year for which they are authorized.
Therefore, for awards with FY 2021 funds, the Department will determine
that large projects with an anticipated obligation date beyond
September 30, 2024 are not reasonably expected to begin construction
within 18 months of obligation.
iii. Freight Rating
    Projects that primarily serve freight and goods movement play an
important

role in supporting economic vitality. Accordingly, the significance of
freight benefits for a project will be rated. The rating will be three
tiered, based on the share of quantifiable benefits which are
attributable project impacts to freight movement. A project for which
20% or more of the quantifiable benefits are attributable to project
impacts on freight movement will be designated as having substantial
freight benefits; for projects in which those benefits within a 5-20%
range will be designated as a project with moderate freight benefits;
leaving projects for which less than 5% of the quantifiable benefits
fall into this category to be designated as having incidental freight
benefits.
iv. Non-Motorized Multimodal Rating
    Projects that expand or maintain options for non-motorized users
are important to ensuring an equitable transportation system. The
Department will determine, for each application, whether the project
includes improvements for multimodal non-motorized users. Accordingly,
the Department anticipates awarding some INFRA funding to projects that
include improvements for non-motorized multimodal users to advance the
objective of Racial Equity and Barriers to Opportunity.
v. Evaluation of Large Project Requirements
    The following describes how the Department will evaluate the
statutory Large Project requirements.
    1. The project will generate national or regional economic,
mobility, or safety benefits.
    A project meets this determination if the Economic Vitality review
documents national or regional economic, mobility, or safety benefits.
    2. The project will be cost effective.
    The Department's determination will be based on its estimate of the
project's benefit-cost ratio: A project is determined to be cost
effective if the Department estimates that the project's benefit-cost
ratio is equal to or greater than one.
    3. The project will contribute to the accomplishment of one or more
of the goals described in 23 U.S.C Sec.  150.
    A project meets this requirement if the Economic Vitality review
documents benefits related to one of the following:

    (1) National Goals.--It is in the interest of the United States
to focus the Federal-aid highway program on the following national
goals:
    (2) Safety.--To achieve a significant reduction in traffic
fatalities and serious injuries on all public roads.
    (3) Infrastructure condition.--To maintain the highway
infrastructure asset system in a state of good repair.
    (4) Congestion reduction.--To achieve a significant reduction in
congestion on the National Highway System.
    (5) System reliability.--To improve the efficiency of the
surface transportation system.
    (6) Freight movement and economic vitality.--To improve the
national freight network, strengthen the ability of rural
communities to access national and international trade markets, and
support regional economic development.
    (7) Environmental sustainability.--To enhance the performance of
the transportation system while protecting and enhancing the natural
environment.
    (8) Reduced project delivery delays.--To reduce project costs,
promote jobs and the economy, and expedite the movement of people
and goods by accelerating project completion through eliminating
delays in the project development and delivery process, including
reducing regulatory burdens and improving agencies' work practices.

    4. The project is based on the results of preliminary engineering.
    A project meets this requirement if the application provides
evidence that at least one of the following activities has been
completed at the time of application submission: Environmental
assessments, topographic surveys, metes and bounds surveys,
geotechnical investigations, hydrologic analysis, hydraulic analysis,
utility engineering, traffic studies, financial plans, revenue
estimates, hazardous materials assessments, general estimates of the
types and quantities of materials, or other work needed to establish
parameters for the final design.
    5. With respect to related non-Federal financial commitments, one
or more stable and dependable funding or financing sources are
available to construct, maintain, and operate the project, and
contingency amounts are available to cover unanticipated cost
increases.
    A project meets this requirement if the application demonstrates
that financing sources are dedicated to the proposed project and are
highly likely to be available within the proposed project schedule, and
if it provides evidence of contingency funding in the project budget.
    6. The project cannot be easily and efficiently completed without
other Federal funding or financial assistance available to the project
sponsor.
    A project meets this requirement if the application demonstrates
one or more of the following:

    (1) The project scope would be negatively affected if INFRA or
other Federal funds were not received.
    (2) The project schedule would be negatively affected if INFRA
or other Federal funds were not received.
    (3) The project cost would materially increase if INFRA or other
Federal funds were not received.

    7. The project is reasonably expected to begin construction no
later than 18 months after the date of obligation of funds for the
project.
    A project meets this requirement if the proposed project schedule
and the evaluation of the project readiness evaluation team indicate
that it is reasonably expected to begin construction not later than 18
months after obligation.
vi. Previous Awards
    The Department may consider whether the project has previously
received an award from the BUILD, INFRA, or other departmental
discretionary grant programs.

2. Review and Selection Process

    The USDOT will review all eligible applications received before the
application deadline. The INFRA process consists of a Technical
Evaluation phase and Senior Review. In the Technical Evaluation phase,
teams will, for each project, determine whether the project satisfies
statutory requirements and rate how well it addresses the selection
criteria. The Senior Review Team will consider the applications and the
technical evaluations to determine which projects to advance to the
Secretary for consideration. The Secretary will ultimately select the
projects for award. The selections identify the applications that best
address program requirements and are most worthy of funding. A Quality
Control and Oversight Team will ensure consistency across project
evaluations and appropriate documentation throughout the review and
selection process.

3. Additional Information

    Prior to award, each selected applicant will be subject to a risk
assessment as required by 2 CFR 200.206. 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 that a Federal awarding agency previously
entered. 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 Notices

    Following the evaluation outlined in Section E, the Secretary will
announce awarded projects by posting a list of selected projects at
https://www.transportation.gov/buildamerica/INFRAgrants. Following the
announcement, the Department will contact the point of contact listed
in the SF 424 to initiate negotiation of a project-specific agreement.

2. Administrative and National Policy Requirements

a. Safety Requirements
    The Department will require INFRA projects to meet two general
requirements related to safety. First, INFRA projects must be part of a
thoughtful, data-driven approach to safety. Each State maintains a
strategic highway safety plan.\11\ INFRA projects will be required to
incorporate appropriate elements that respond to priority areas
identified in that plan and are likely to yield safety benefits.
Second, INFRA projects will incorporate appropriate safety-related
activities that the Federal Highway Administration (FHWA) has
identified as ``proven safety countermeasures'' due to their history of
demonstrated effectiveness.\12\
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    \11\ Information on State-specific strategic highway safety
plans is available at https://safety.fhwa.dot.gov/shsp/other_resources.cfm.
    \12\ Information on FHWA proven safety countermeasures is
available at: https://safety.fhwa.dot.gov/provencountermeasures/.
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    After selecting INFRA recipients, the Department will work with
those recipients on a project-by-project basis to determine the
specific safety requirements that are appropriate for each award.
b. Other Administrative and Policy Requirements
    All INFRA awards will be administered pursuant to the Uniform