[Federal Register Volume 78, Number 81 (Friday, April 26, 2013)]
[Notices]
[Pages 24786-24794]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-09889]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
[Docket No. DOT-OST-2013-XXXX]
Notice of Funding Availability for the Department of
Transportation's National Infrastructure Investments Under the
Consolidated and Further Continuing Appropriations Act, 2013
AGENCY: Office of the Secretary of Transportation, DOT.
ACTION: Notice of Funding Availability.
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SUMMARY: This notice announces the availability of funding and requests
proposals for the Department of Transportation's National
Infrastructure Investments. This notice is addressed to organizations
that are interested in applying and provides guidance on selection
criteria and application requirements for the National Infrastructure
Investments.
Title VIII of The Further Continuing Appropriations Act, 2013
(Division F of the Consolidated and Further Continuing Appropriations
Act, 2013, Public Law 113-6, March 26, 2013) (``FY 2013 Appropriations
Act'') appropriated $473.847 million to be awarded by the Department of
Transportation (``DOT'') for National Infrastructure Investments. DOT
will continue to refer to the program as ``TIGER Discretionary
Grants,'' as this is the title with which most stakeholders are
familiar. As with previous rounds of TIGER, funds for the FY 2013 TIGER
program are to be awarded on a competitive basis for projects that will
have a significant impact on the Nation, a metropolitan area or a
region.
Through this notice, DOT is soliciting applications for TIGER
Discretionary Grants. In the event that this solicitation does not
result in the award and obligation of all available funds, DOT may
decide to publish an additional solicitation(s) or provide additional
funds to selected projects.
DATES: You must submit final applications through Grants.gov by June 3,
2013, at 5:00 p.m. EDT (the ``Application Deadline''). The Grants.gov
``Apply'' function will open on April 29, 2013, allowing applicants to
submit final applications. You are strongly encouraged to submit
applications in advance of the deadline.
ADDRESSES: You must submit applications electronically through
Grants.gov. Only applications received electronically through
Grants.gov will be deemed properly filed. Instructions for submitting
applications through Grants.gov can be found on the TIGER Web site
(www.dot.gov/TIGER).
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice please contact the TIGER Discretionary Grant program staff
via email at [email protected], or call Howard Hill at 202-366-0301.
A TDD is available for individuals who are deaf or hard of hearing at
202-366-3993. In addition, DOT will regularly post answers to questions
and requests for clarifications on DOT's Web site at www.dot.gov/TIGER.
Applicants are encouraged to contact DOT directly rather than rely on
third parties to prepare application materials or otherwise receive
information about TIGER Discretionary Grants.
SUPPLEMENTARY INFORMATION: This notice is substantially similar to the
final notice published for the FY 2012 TIGER Discretionary Grant
program in the Federal Register on January 31, 2012. However, there are
a few significant differences:
1. Given the date of enactment of the final year-long FY 2013
Appropriations Act, the statutory timeframe for DOT to obligate funds
under this round of TIGER Discretionary Grants is the shortest of all
of the rounds to date. In order to meet this deadline, your application
must demonstrate that that the project can meet all local, State, and
federal requirements by June 30, 2014, in order for DOT to obligate
funding in advance of September 30, 2014. Each application must include
a detailed statement of work, detailed project schedule, and detailed
project budget. Due to the short timeframe for obligation, project
readiness and the risk of delays will be treated as primary selection
criteria in DOT's evaluation process. You must identify risks and
mitigation strategies in your project narratives. If your application
is submitted without a sufficiently
[[Page 24787]]
detailed statement of work, project schedule, and project budget it
will not be selected for a TIGER award.
2. Selection criteria have been modified to make applications
easier to prepare and review. Among other things, short-term economic
impacts of projects, including their impact on employment, are now
included in the primary criterion of economic competitiveness.
3. You do not need to submit a pre-application, as was required in
recent rounds of TIGER. As this is the fifth round of TIGER and the
basic structure has been consistent throughout the rounds, DOT has
decided to eliminate the pre-application from the application process
for this round of TIGER. Further, the short obligation deadline means
that DOT needs to receive and evaluate applications and move TIGER
funding quickly. Moving straight to the application will help
accomplish this.
4. The notice has been shortened in comparison to the notices for
prior rounds of TIGER Discretionary Grants, and the Appendices that
provide additional information on Benefit-Cost Analysis, Applying
through Grants.gov, and Project Readiness are posted at www.dot.gov/TIGER, along with recordings of previous webinars DOT has hosted on the
TIGER program and answers to frequently asked questions. You should
visit www.dot.gov/TIGER for access to supplemental guidance and
additional important information.
5. Applications that identify project co-applicants or project
partners in addition to a lead applicant must be signed by each co-
applicant or partner organization or include letters of support.
Other than the differences above, and minor edits for clarification
and those made to conform the notice to the statutory circumstances of
this round of TIGER Discretionary Grants funding, there have been no
material changes made to the notice. Each section of this notice
contains information and instructions relevant to the application
process for these TIGER Discretionary Grants, and you should read this
notice in its entirety so that you have the information you need to
submit eligible and competitive applications.
Table of Contents
I. Background
Tiger Discretionary Grants
II. Selection Criteria and Guidance on Application of Selection
Criteria
III. Evaluation of Applications and Eligibility
IV. Grant Administration
V. Projects in Rural Areas
Application Requirements
VI. Applications
VII. Performance Measurement
VIII. Questions and Clarifications
I. Background
The Transportation Investment Generating Economic Recovery or
``TIGER Discretionary Grants'' program was first created in the
Recovery Act of 2009. Through the Recovery Act and subsequent three
appropriations acts, Congress provided DOT with funding for four rounds
of competitive grants totaling just over $3 billion for capital
investments in surface transportation infrastructure. See DOT's Web
site at www.dot.gov/TIGER for further background on the disbursement of
past rounds of TIGER Discretionary Grants.
FY 2013 TIGER Discretionary Grants
The FY 2013 Appropriations Act appropriated $473.847 million to be
awarded by DOT for the TIGER Discretionary Grants program. Like
previous rounds, the FY 2013 TIGER Discretionary Grants are for capital
investments in surface transportation infrastructure and are to be
awarded on a competitive basis for projects that will have a
significant impact on the Nation, a metropolitan area, or a region.
Larger projects of national or regional significance which DOT
determines demonstrate achievement of several of the strategic goals,
as well as the project readiness criterion, could be considered for
grants larger than those typically awarded in recent rounds of TIGER.
The FY 2013 Appropriations Act allows for a small portion of the
$473.847 million to be used for oversight of grants.
``Eligible Applicants'' for TIGER Discretionary Grants are State,
local, and tribal governments, including U.S. territories, transit
agencies, port authorities, metropolitan planning organizations (MPOs),
other political subdivisions of State or local governments, and multi-
State or multi-jurisdictional groups applying through a single lead
applicant (for multi-jurisdictional groups, each member of the group,
including the lead applicant, must be an otherwise Eligible Applicant
as defined in this paragraph).
To ensure applicants receive the most accurate information
possible, you must contact DOT directly, rather than through
intermediaries, to get answers to questions, set up briefings on the
TIGER Discretionary Grants selection and award process, or receive
other assistance. Assistance can be obtained by contacting the TIGER
Discretionary Grant program staff via email at [email protected], or
by calling Howard Hill at 202-366-0301.
Projects that are eligible for TIGER Discretionary Grants
(``Eligible Projects'') include, but are not limited to: (1) Highway or
bridge projects eligible under title 23, United States Code; (2) public
transportation projects eligible under chapter 53 of title 49, United
States Code; (3) passenger and freight rail transportation projects;
and (4) marine port infrastructure investments. Federal wage rate
requirements included in subchapter IV of chapter 31 of title 40,
United States Code, apply to all projects receiving funds, and apply to
all parts of the project, whether funded with TIGER Discretionary Grant
funds, other federal funds, or non-federal funds. This description of
Eligible Projects is identical to the description of eligible projects
under earlier rounds of the TIGER Discretionary Grant program.\1\
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\1\ Consistent with the FY 2013 Appropriations Act, DOT will
apply the following principles in determining whether a project is
eligible as a capital investment in surface transportation: (1)
Surface transportation facilities generally include roads, highways
and bridges, marine ports, freight and passenger railroads, transit
systems, and projects that connect transportation facilities to
other modes of transportation; and (2) surface transportation
facilities also include any highway or bridge project eligible under
title 23, U.S.C., or public transportation project eligible under
chapter 53 of title 49, U.S.C. Please note that the Department may
use a TIGER Discretionary Grant to pay for the surface
transportation components of a broader project that has non-surface
transportation components, and applicants are encouraged to apply
for TIGER Discretionary Grants to pay for the surface transportation
components of these projects.
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As was the case in earlier rounds of the TIGER Discretionary Grant
program, Eligible Projects do not include research, demonstration, or
pilot projects that do not result in publically accessible surface
transportation infrastructure. To be funded, projects or elements of a
project must have independent utility, which means that the project
provides transportation benefits and is ready for its intended use upon
completion of project construction.
Each applicant may submit no more than three applications. You
should focus on applications that are most likely to align well with
DOT's selection criteria. While applications may include requests to
fund more than one project, you may not bundle together unrelated
projects in the same application for purposes of avoiding the three
application limit that applies to each applicant. Please note that the
three application limit applies only to applications where the
applicant is the lead applicant, and there is no limit on applications
for which an applicant can be listed as a partnering agency. If you
submit more than three applications as the lead applicant, only the
first three received will be considered.
The FY 2013 Appropriations Act specifies that TIGER Discretionary
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Grants may be not less than $10 million (except in rural areas) and not
greater than $200 million. For projects located in rural areas (as
defined in Section V (Projects in Rural Areas)), the minimum TIGER
Discretionary Grant size is $1 million.
DOT reserves the right to award funds for a part of the project
included in an application, if a part of the project has independent
utility and aligns well with the selection criteria specified in this
notice. You are encouraged to provide information in your application
as to how or whether your project can be segmented (e.g., by providing
details on project phases) to assist DOT in its selections.
Pursuant to the FY 2013 Appropriations Act, no more than 25 percent
of the funds made available for TIGER Discretionary Grants (or $118.75
million) may be awarded to projects in a single State.
The FY 2013 Appropriations Act directs that not less than $120
million of the funds provided for TIGER Discretionary Grants be used
for projects located in rural areas. Further, DOT will take measures to
ensure an equitable geographic distribution of grant funds, an
appropriate balance in addressing the needs of urban and rural areas,
and investment in a variety of transportation modes.
For projects receiving a TIGER Discretionary Grant, federal funds
(including the TIGER Discretionary Grant and any other federal
discretionary or formula funds) may be used for up to 80 percent of the
costs of the project. DOT may increase the federal share above 80
percent only for projects located in rural areas, in which case DOT may
fund up to 100 percent of the costs of a project. However, priority
must be given to projects that use TIGER Discretionary Grant funds to
complete an overall financing package, and both urban and rural
projects can increase their competitiveness for purposes of the TIGER
program by demonstrating significant non-federal financial
contributions. In the first four rounds, on average, projects awarded
funding attracted more than 4 additional non-federal dollars for every
TIGER grant dollar. DOT will consider any non-federal funds, whether
such funds are contributed by the public sector (State or local) or the
private sector, as a local match for the purposes of this program. Due
to special statutory treatment, funds from the Federal Tribal
Transportation Program (formerly known as Indian Reservation Roads)
will also be considered as a local match for purposes of this program.
However, DOT cannot consider any funds already expended towards the
matching requirement or any funds being used to meet the match
requirement for other federal grants. Also, while ``matching'' funds
may be provided by a State DOT or transit agency, DOT will not consider
those funds to be matching funds if the source of those funds is
ultimately a federal program.
The FY 2013 Appropriations Act requires that TIGER funds are only
available for DOT to obligate through September 30, 2014. The limited
amount of time for which the funds will be made available means that
DOT, when evaluating applications, must focus on whether or not a
project is ready to proceed with obligation of grant funds within the
limited time provided. Under the FY 2013 Appropriations Act, TIGER
funding expires automatically after the deadline of September 30, 2014,
if DOT does not obligate these funds. This deadline is provided in law
and waivers cannot be granted under any circumstances.
The FY 2013 Appropriations Act allows for an amount not to exceed
$165.8 million of the $473.847 million to be used to pay the subsidy
and administrative costs for a project receiving credit assistance
under the Transportation Infrastructure Finance and Innovation Act of
1998 (TIFIA) program, if it would further the purposes of the TIGER
Discretionary Grant program. Whether seeking TIFIA support or not, you
should show where you have leveraged both existing and new sources of
funding through both traditional and innovative means and demonstrate
how the TIGER assistance would serve to complete the project's
financing package and allow for expedited project completion.
Recipients of TIGER Discretionary Grants in prior rounds may apply
for funding to support additional phases of a project awarded funds in
earlier rounds of this program. However, to be competitive, the
applicant should demonstrate the extent to which the previously funded
project phase has been able to meet estimated project schedules and
budget, including the ability to realize the benefits expected for the
project.
The FY 2013 Appropriations Act provides that the Secretary of
Transportation may retain up to $20 million of the $473.847 million to
fund the award and oversight of TIGER Discretionary Grants. Portions of
the $20 million may be transferred for these purposes to the
Administrators of the Federal Highway Administration, the Federal
Transit Administration, the Federal Railroad Administration, and the
Federal Maritime Administration.
The purpose of this notice is to solicit applications for TIGER
Discretionary Grants. This is a final notice.
Tiger Discretionary Grants
II. Selection Criteria and Guidance on Application of Selection
Criteria
This section specifies the criteria that DOT will use to evaluate
applications for TIGER Discretionary Grants. The criteria incorporate
the statutory eligibility requirements for this program, which are
specified in this notice as relevant.
TIGER Discretionary Grants will be awarded based on the selection
criteria as outlined below. There are two categories of selection
criteria, ``Primary Selection Criteria'' and ``Secondary Selection
Criteria,'' the significance of which are detailed below.
A. Primary Selection Criteria
DOT will give priority to projects that are ready to proceed
quickly and have a significant impact on desirable long-term outcomes
for the Nation, a metropolitan area, or a region. Applications that do
not demonstrate a likelihood of significant long-term benefits in this
criterion will not proceed in the evaluation process. The first five
primary selection criteria are based on the priorities included in
DOT's Strategic Plan for FY 2012-FY 2016. DOT is elevating project
readiness as a primary selection criterion for this round of TIGER
Discretionary Grants due to the legislatively-mandated timeline for
obligation of TIGER Discretionary Grant funds. For more detail on DOT's
long-term priorities, please refer to the Strategic Plan, which can be
found at: http://www.dot.gov/sites/dot.dev/files/docs/990_355_DOT_StrategicPlan_508lowres.pdf. The long-term outcomes and readiness
criteria that will be given priority are:
1. State of Good Repair: Improving the condition of existing
transportation facilities and systems, with particular emphasis on
projects that minimize life-cycle costs and improve resiliency. DOT
will assess whether and to what extent (i) The project is consistent
with relevant plans to maintain transportation facilities or systems in
a state of good repair and address vulnerabilities; (ii) if left
unimproved, the poor condition of the asset will threaten future
transportation network efficiency, mobility of goods or accessibility
and mobility of people, or economic growth; (iii) the project is
appropriately capitalized up front and uses asset management approaches
that optimize its long-term cost structure; and (iv) the extent to
which a
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sustainable source of revenue is available for long-term operations and
maintenance of the project.
2. Economic Competitiveness: Contributing to the economic
competitiveness of the United States over the medium- to long-term by
improving the national transportation system while creating and
preserving jobs. DOT will assess whether the project will (i) Improve
long-term efficiency, reliability or cost-competitiveness in the
movement of workers or goods, with a particular focus on projects that
have a significant effect on reducing the costs of transporting export
cargoes; (ii) increase the economic productivity of land, capital or
labor at or between specific locations, particularly in Economically
Distressed Areas; or (iii) result in job creation and practicable
opportunities, particularly for low-income workers or for people in
Economically Distressed Areas, and practicable opportunities for small
businesses and disadvantaged business enterprises, including veteran-
owned small businesses and service disabled veteran-owned small
businesses.\2\
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\2\ The Executive Office of the President, Council of Economic
Advisers, (CEA), issued a memorandum in May 2009 on ``Estimates of
Job Creation from the American Recovery and Reinvestment Act of
2009.'' That memorandum provides a simple rule for estimating job-
years created by government spending, which is that $92,000 of
government spending creates one job-year (or 10,870 job-years per
billion dollars of spending). More recently, in September 2011,
based on further analysis both of actual job-creation experience
from transportation projects under the Recovery Act and on further
macroeconomic analysis, the CEA determined that a job-year is
created by every $76,923 in transportation infrastructure spending
(or 13,000 job-years per billion dollars of transportation
infrastructure spending). This figure can now be used in place of
the earlier $92,000/job-year estimate. Applicants can use this
estimate as an appropriate indicator of direct, indirect and induced
job-years created by TIGER Discretionary Grant spending, but are
encouraged to supplement or modify this estimate to the extent they
can demonstrate that such modifications are justified. However,
since this guidance makes job creation purely a function of the
level of expenditure, applicants should also demonstrate how quickly
jobs will be created under the proposed project. Projects that
generate a given number of jobs more quickly will have a more
favorable impact on economic recovery. A quarter-by-quarter
projection of the number of direct job-hours expected to be created
by the project is useful in assessing the impacts of a project on
economic recovery. Furthermore, applicants should be aware that
certain types of expenditures are less likely to align well with the
Job Creation & Near-Term Economic Activity criterion. These types of
expenditures include, among other things, engineering or design work
and purchasing existing facilities or right-of-way.
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3. Livability: Increasing transportation choices and access to
transportation services for people in communities across the United
States. DOT will consider whether the project furthers the six
livability principles developed by DOT with the Department of Housing
and Urban Development (HUD) and the Environmental Protection Agency
(EPA) as part of the Partnership for Sustainable Communities.\3\ DOT
will give particular consideration to the first principle, which
prioritizes the creation of affordable and convenient transportation
choices,\4\ particularly for economically disadvantaged populations,
non-drivers, senior citizens, and persons with disabilities. Further,
DOT will prioritize projects developed in coordination with land-use
planning and economic development decisions, including through programs
like TIGER II Planning Grants, the Department of Housing and Urban
Development's Regional Planning Grants, or the Environmental Protection
Agency's Brownfield Area-Wide Planning Pilot Program as well as
technical assistance programs focused on livability or economic
development planning.
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\3\ The six livability principles are listed fully at http://www.dot.gov/affairs/2009/dot8009.htm.
\4\ In full, this principle reads: ``Provide more transportation
choices. Develop safe, reliable and economical transportation
choices to decrease household transportation costs, reduce our
nations' dependence on foreign oil, improve air quality, reduce
greenhouse gas emissions and promote public health.''
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4. Environmental Sustainability: Improving energy efficiency,
reducing dependence on oil, reducing greenhouse gas emissions and
benefitting the environment. DOT will assess the project's ability to
(i) Reduce energy use, air or water pollution; (ii) avoid adverse
environmental impacts to air or water quality, wetlands, and endangered
species; or (iii) provide environmental benefits, such as brownfield
redevelopment, wetlands creation or improved habitat connectivity.
Applicants are encouraged to provide quantitative information that
demonstrates the existence of substantial existing transportation-
related costs related to energy consumption and adverse environmental
effects and evidence of the extent to which the project will reduce or
mitigate those costs.
5. Safety: Improving the safety of U.S. transportation facilities
and systems. DOT will assess the project's ability to reduce the
number, rate, and consequences of surface transportation-related
crashes, serious injuries, and fatalities among drivers and/or non-
drivers in the United States or in the affected metropolitan area or
region, and/or the project's contribution to the elimination of
highway/rail grade crossings, the protection of pipelines, or the
prevention of unintended releases of hazardous materials.
6. Project Readiness: For projects that receive funding in this
round of TIGER, DOT is required to obligate funds to those projects by
September 30, 2014, or the funding will expire. Priority will be given
to projects that can meet all local, State, and federal requirements by
June 30, 2014. This is a shorter period of time for obligation of funds
than the comparable period for any prior round of TIGER, and is
therefore a primary concern to DOT that will be treated as such during
the evaluation and selection process. DOT will assess whether a project
is ready to proceed rapidly upon receipt of a TIGER Discretionary Grant
(see Additional Information on Project Readiness Guidelines located at
www.dot.gov/TIGER for further details), as evidenced by:
(a) Technical Feasibility: The technical feasibility of the project
should be demonstrated by 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 TIGER
application, including the identification of contingency levels
appropriate to its level of design; and any scope, schedule, and budget
risk-mitigation measures. Applicants must 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) Financial Feasibility: The viability and completeness of the
project's financing package (assuming the availability of the requested
TIGER Discretionary Grant funds), including evidence of stable and
reliable capital and (as appropriate) operating fund commitments
including specific sources of funds sufficient to cover estimated
costs; the availability of contingency reserves should planned capital
or operating revenue sources not materialize; evidence of the financial
condition of the project sponsor; and evidence of the grant recipient's
ability to manage grants. Applicants must include a detailed project
budget in this section of their application containing a detailed
breakdown of how the funds will be spent that provides estimates--both
dollar amount and percentage of cost--of how much each activity would
cost e.g. preparation, grading, asphalt, etc. If the project will be
completed in individual segments or phases, a budget for each
individual segment or phase must be included. Budget spending
categories must be broken down between TIGER, other federal, and non-
federal sources and should identify how
[[Page 24790]]
each funding source will share in each activity.
(c) Project Schedule: You must include a detailed project schedule
that includes all major project milestones such as start and completion
of environmental reviews and approvals, design, right-of-way
acquisition, approval of PS&E, procurement, and construction in this
section of their application with sufficient information detail to
demonstrate that:
(i) All necessary pre-construction activities will be complete to
allow for any potential grant funding awarded to be obligated no later
than June 30, 2014, to give DOT reasonable assurance that the TIGER
Discretionary Grant funds will likely to be obligated sufficiently in
advance of the September 30, 2014, statutory deadline, and that any
unexpected delays will not put TIGER Discretionary Grant funds at risk
of expiring before they are obligated;
(ii) The project can begin construction quickly upon receipt of a
TIGER Discretionary Grant, and that the grant funds will be spent
steadily and expeditiously once construction starts; \5\ and
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\5\ The schedule should show how many direct, on-project jobs
are expected to be created or sustained during each calendar quarter
after the project is underway.
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(iii) Any applicant that is applying for a TIGER Discretionary
Grant and does not own all of the property or right-of-way required to
complete the project should provide evidence that the property and/or
right-of-way acquisition can and will be completed expeditiously.
(d) Assessment of Project Risks and Mitigation Strategies: You
should identify the material risks to the project and the strategies
that the lead applicant and any project partners have undertaken or
will undertake in order to mitigate those risks. In past rounds of
TIGER Discretionary Grants, certain projects have been affected by
procurement delays, environmental uncertainties, and increases in real
estate acquisition costs. You must assess the greatest risks to your
projects and identify how those risks will be mitigated by the project
parties.
Applicants, to the extent they are unfamiliar with the federal
transportation program, should contact DOT's field offices for
information on what steps are pre-requisite to the obligation of
federal funds in order to ensure that their project schedule is
reasonable and that there are no risks of delays in satisfying federal
requirements. Contacts for the Federal Highway Administration Division
offices--which are located in all 50 States, Washington, DC, and Puerto
Rico--can be found at http://www.fhwa.dot.gov/about/field.cfm. Contacts
for the ten Federal Transit Administration regional offices can be
found at http://www.fta.dot.gov/12926.html.
B. Secondary Selection Criteria
1. Innovation: Use of innovative strategies to pursue the long-term
outcomes outlined above. DOT will assess the extent to which the
project uses innovative technology (such as, intelligent transportation
systems, dynamic pricing, value capture, rail wayside or on-board
energy recovery, smart cards, active traffic management, or radio
frequency identification) to pursue one or more of the long-term
outcomes outlined above and/or to significantly enhance the operational
performance of the transportation system. DOT will also assess the
extent to which the project incorporates innovations in transportation
funding and finance, leverages both existing and new sources of funding
through both traditional and innovative means, and demonstrates how the
TIGER grant would serve to complete the project's financing package and
allow for expedited project completion. Further, DOT will consider the
extent to which the project utilizes innovative practices in
contracting, project delivery, congestion management, safety
management, asset management, or long-term operations and maintenance.
Projects integrating creative uses of technology to improve capacity or
performance as part of an overall project to construct or replace
traditional transportation facilities have been competitive in previous
rounds, and DOT expects projects which intelligently use technology and
other innovations to continue to be competitive.
2. Partnership: Demonstrating strong collaboration among a broad
range of participants, integration of transportation with other public
service efforts, and/or projects that are the product of a robust
planning process.
(a) Jurisdictional & Stakeholder Collaboration: Projects that
involve multiple partners in project development and funding, such as
State and local governments, other public entities, and/or private or
nonprofit entities. DOT will also assess the extent to which the
project application demonstrates collaboration among neighboring or
regional jurisdictions to achieve national, regional or metropolitan
benefits. Multiple States or jurisdictions may submit a joint
application and must identify a lead applicant as the primary point of
contact. Joint applications must include a description of the roles and
responsibilities of each project party and must be signed by, or
include letters of support from, each project party.
(b) Disciplinary Integration: Projects supported, financially or
otherwise, by non-transportation public agencies that are pursuing
similar and/or related objectives. For example, DOT will consider
transportation projects that are coordinated with economic development,
housing, water infrastructure and land use plans and policies,
particularly those that employ evidence-based, cross-sector strategies
to revitalize targeted areas and foster private capital investment in
disinvested communities; similarly, DOT will consider transportation
projects that encourage energy efficiency or improve the environment
and are supported by relevant public agencies with energy or
environmental missions. Projects that grow out of a robust planning
process--such as those conducted with DOT's various planning programs
and initiatives, the Department of Housing and Urban Development's
Regional Planning Grants and Choice Neighborhood Planning Grants, or
the Environmental Protection Agency's Brownfield Area-Wide Planning
Pilot Program as well as technical assistance programs focused on
livability or economic development planning--will also be given
priority.
C. Additional Guidance on Evaluation
1. Project Costs and Benefits
Applicants for TIGER Discretionary Grants are generally required to
identify, quantify, and compare expected benefits and costs, subject to
the following qualifications: \6\
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\6\ DOT has a responsibility under Executive Order 12893,
Principles for Federal Infrastructure Investments, 59 FR 4233, to
base infrastructure investments on systematic analysis of expected
benefits and costs, including both quantitative and qualitative
measures.
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Applicants will be expected to prepare an analysis of benefits and
costs. However, DOT understands that the detail of analysis that should
be expected (for items such as surveys, travel demand forecasts, market
forecasts, and statistical analyses) is less for smaller projects than
for larger projects. The level of sophistication of the benefit-cost
analysis (BCA) should be commensurate to the size of the overall
project and the amount of grant funds requested in the application. In
other words, larger projects should have more/better data elements than
smaller
[[Page 24791]]
projects. However, even small projects should provide subjective
estimates of benefits and should still quantify costs, and applicants
should provide whatever evidence they have available to lend credence
to their subjective estimates. Estimates of benefits should be
presented in monetary terms whenever possible. If a monetary estimate
is not possible, then at least a quantitative estimate (in physical,
non-monetary terms, such as crash rates, ridership estimates, emissions
levels, etc.) should be provided.
The lack of a useful analysis of expected project benefits and
costs may be the basis for not selecting a project for award of a TIGER
Discretionary Grant. If it is clear to DOT that the total benefits of a
project are not reasonably likely to justify the project's costs, DOT
will not award a TIGER Discretionary Grant to the project.
Detailed guidance for the preparation of benefit-cost analyses is
provided in Guide to Preparing Benefit-Cost Analyses for TIGER Grants
(at www.dot.gov/TIGER). Benefits should be presented, whenever
possible, in a tabular form showing benefits and costs in each year for
the useful life of the project. Benefits and costs should both be
discounted to the year 2013, and present discounted values of both the
stream of benefits and the stream of costs should be calculated. If the
project has multiple parts, each of which has independent utility, the
benefits and costs of each part should be estimated and presented
separately. The results of the benefit-cost analysis should be
summarized in the Project Narrative section of the application itself,
but the details may be presented in an attachment to the application if
the full analysis cannot be included within the page limit for the
project narrative.
Based on feedback over the last four rounds of TIGER, DOT
recognizes that the benefit-cost analysis can be particularly
burdensome on Tribal governments. Therefore, consistent with the
preceding paragraph, the Department is providing flexibility to Tribal
governments for the purposes of this Notice. At their discretion,
Tribal applicants may elect to provide raw data to support the need for
a project (such as crash rates, ridership estimates, and the number of
people who will benefit from the project). These data will then be used
to allow DOT economists to make the best estimates they can develop
(given the data provided) of benefits and costs. Examples of BCAs by
successful Tribal applicants are also available online.
2. Other Environmental Reviews and Approvals
(a) National Environmental Policy Act: An application for a TIGER
Discretionary Grant must detail whether the project will significantly
impact the natural, social and/or economic environment. 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 National Environmental Policy Act (``NEPA'')
process. You should submit the information listed below with your
application:
(i) Information about the NEPA status of the project. If the NEPA
process is completed, an applicant must indicate the date of, and
provide a Web site link or other reference to, the final Categorical
Exclusion, Finding of No Significant Impact or Record of Decision. If
the NEPA process is underway but not complete, the application must
detail the type of NEPA review underway, where the project is in the
process, and indicate the anticipated date of completion. You must
provide a Web site link or other reference to copies of any NEPA
documents prepared.
(ii) Information on reviews by other agencies. An application for a
TIGER Discretionary Grant must indicate whether the proposed project
requires reviews or approval actions by other agencies, indicate the
status of such actions, and provide detailed information about the
status of those reviews or approvals and/or demonstrate compliance with
any other applicable other federal, State, or local requirements.
(iii) Environmental studies or other documents--preferably by way
of a Web site link--that describe in detail known project impacts, and
possible mitigation for those impacts.
(iv) A description of discussions with the appropriate DOT modal
administration field office regarding compliance with NEPA and other
applicable environmental reviews and approvals.
(b) Legislative Approvals: Receipt of all necessary legislative
approvals (for example, legislative authority to charge user fees or
set toll rates), and evidence of support from State and local elected
officials. Support from all relevant State and local officials is not
required; however, you should demonstrate that there are no significant
legislative barriers to timely completion, and that the project is
broadly supported.
(c) State and Local Planning: The planning requirements of the
operating administration administering the TIGER project will apply.\7\
Where required by an operating administration, you 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. If the project is not included in the relevant planning
documents at the time the application is submitted, you should submit a
certification from the appropriate planning agency that actions are
underway to include the project in the relevant planning document. DOT
reserves the right to revoke any award of TIGER Discretionary Grant
funds and to award such funds to another project to the extent either
that awarded funds cannot be timely expended and/or that construction
does not begin in accordance with the anticipated project schedule. DOT
will consider on a case-by-case basis how much time after selection for
award of a TIGER Discretionary Grant each project has before funds must
be obligated (consistent with law) and construction started through an
executed grant agreement between the selected applicant and the modal
administration administering the grant. This deadline will be specified
for each TIGER Discretionary Grant in the project-specific grant
agreements signed by the grant recipients and will be based on critical
path items identified by
[[Page 24792]]
applicants in response to items (i) through (iv) above.
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\7\ All regionally significant projects requiring an action by
the Federal Highway Administration (FHWA) or the Federal Transit
Administration (FTA) must be in the 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. To the extent a
project is required to be on a metropolitan transportation plan,
TIP, and/or STIP, it will not receive a TIGER Discretionary Grant
until it is included in such plans. Projects not currently included
in these plans can be amended in to the plans 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 in order to receive a
TIGER Discretionary Grant. Freight and passenger rail projects are
not required to be on the State Rail Plans called for in the
Passenger Rail Investment and Improvement Act of 2008, consistent
with the exemption for high speed and intercity passenger rail
projects under the Recovery Act. However, applicants seeking funding
for freight and passenger rail 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.
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III. Evaluation of Applications and Eligibility
A. Evaluation Process
TIGER Discretionary Grant applications will be evaluated in
accordance with the evaluation process discussed below.
DOT will establish application evaluation teams to review each
application that is received by DOT prior to the Application Deadline.
These evaluation teams will be organized and led by the Office of the
Secretary of Transportation and will include members from each of the
relevant modal administrations in DOT with the most experience and/or
expertise in the relevant project areas (the ``Relevant Modal
Administrations'') and, in some cases, staff from other federal
agencies with relevant expertise, including freight, resiliency,
livability, environmental review, and permitting. The evaluation teams
will be responsible for evaluating all of the projects and making
recommendations to the Secretary.
DOT will not assign specific numerical scores to projects based on
the selection criteria outlined above in Section II (Selection Criteria
and Guidance on Application of Selection Criteria). Rather, ratings of
``highly recommended,'' ``recommended,'' ``acceptable,'' or ``not
recommended'' will be assigned to projects. DOT will award TIGER
Discretionary Grants to projects that are well-aligned with one or more
of the selection criteria. In addition, DOT will consider whether a
project has a negative effect on any of the selection criteria, and any
such negative effect may reduce the likelihood that the project will
receive a TIGER Discretionary Grant. To the extent the initial
evaluation process does not sufficiently differentiate among highly
rated projects, DOT will use a similar rating process to re-assess the
projects and identify those that should be most highly rated.
DOT will give more weight to the Primary Selection Criteria than to
the two Secondary Selection Criteria. DOT does not consider any of the
first five Primary Selection Criteria, which are the DOT Strategic
Goals, to be more important than the others. DOT reserves the right to
select projects that will lead to the best overall promotion of these
goals, which may result in variance in the numbers of projects well-
aligned with each goal. Failure to demonstrate the sixth primary
selection criterion, Project Readiness, will make it less likely that
your otherwise well-performing application will be selected.
Upon completion of this rating process DOT will analyze the
preliminary list and determine whether the ratings are consistent with
the distributional requirements of the FY 2013 Appropriations Act,
including an equitable geographic distribution of grant funds, an
appropriate balance in addressing the needs of urban and rural areas,
and investment in a variety of transportation modes. If necessary, DOT
will adjust the list of recommended projects to satisfy the statutory
distributional requirements while remaining as consistent as possible
with the ratings. The Secretary of Transportation will make the final
project selections.
B. Evaluation of Eligibility
To be selected for a TIGER Discretionary Grant, a project must be
an Eligible Project, the applicant must be an Eligible Applicant, and
all other threshold eligibility requirements must be met, including
commitment of matching funds. DOT may consider one or more components
of a large project to be an Eligible Project, but only to the extent
that the components have independent utility, meaning the components
themselves, not the project of which they are a part, are Eligible
Projects and satisfy the selection criteria identified above in Section
II (Selection Criteria and Guidance on Application of Selection
Criteria). For these projects, the benefits described in an application
must be related to the components of the project for which funding is
requested, not the full project of which they are a part. DOT will not
fund individual phases of a project if the benefits of completing only
these phases would not align well with the selection criteria specified
in this Notice because the overall project would still be incomplete.
IV. Grant Administration
DOT expects that each TIGER Discretionary Grant will be
administered by one of the Relevant Modal Administrations, pursuant to
a grant agreement between the TIGER Discretionary Grant recipient and
the Relevant Modal Administration. Service Outcome Agreements,
Stakeholder Agreements, Buy America compliance, and other requirements
such as those required for DOT's other highway, transit, rail, and
maritime port grant programs will be incorporated into the TIGER grant
agreements, where appropriate. Under the TIGER Discretionary Grant
program, the Secretary delegates such responsibilities to the
appropriate operating administration. Applicable federal laws, rules
and regulations of the Relevant Modal Administration administering the
project will apply to projects that receive TIGER Discretionary Grants.
V. Projects in Rural Areas
The FY 2013 Appropriations Act directs that not less than $120
million of the funds provided for TIGER Discretionary Grants are to be
used for projects in rural areas. For purposes of this notice, DOT is
defining ``rural area'' as any area not in an Urbanized Area, as such
term is defined by the Census Bureau,\8\ and will consider a project to
be in a rural area if all or the majority of a project (determined by
geographic location(s) where majority of project money is to be spent)
is located in a rural area. Therefore, if all or the majority of a
project is located in a rural area, such a project is eligible to apply
for less than $10 million, but at least $1 million in TIGER
Discretionary Grant funds, and up to 100% of the project's costs may be
paid for with federal funds. To the extent more than a de minimis
portion of a project is located in an Urbanized Area, you should
identify the estimated percentage of project costs that will be spent
in Urbanized Areas and the estimated percentage that will be spent in
rural areas.
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\8\ 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 Web site. Urban Clusters (UCs) will be
considered rural areas for purposes of the TIGER Discretionary Grant
program.
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VI. Applications
A. Submitting Applications
Applicants must submit a complete application package through
Grants.gov by the Application Deadline, which is June 3, 2013, at 5:00
p.m. EDT. Grants.gov ``Apply'' function will open on April 29, 2013,
allowing applicants to submit applications. You are encouraged to
submit applications in advance of the Application Deadline, but
applications will not be evaluated, and selections for awards will not
be made, until after the Application Deadline.
Applications must be submitted through Grants.gov. To apply for
funding through Grants.gov, you must be properly registered. Complete
instructions on how to register and submit applications can be found at
www.grants.gov. Please be aware that the registration process usually
takes 2-4 weeks and must be completed before an application can be
submitted. If
[[Page 24793]]
interested parties experience difficulties at any point during the
registration or application process, please call the Grants.gov
Customer Support Hotline at 1-800-518-4726, Monday-Friday from 7:00
a.m. to 9:00 p.m. EDT. Additional information on applying through
Grants.gov is available in Information about Applying for Federal
Grants through Grants.gov at www.dot.gov/TIGER.
B. Contents of Applications
You must include all of the information requested below in your
application. DOT reserves the right to ask any applicant to supplement
data in its application, but expects applications to be complete upon
submission. To the extent practical, you should provide data and
evidence of project merits in a form that is publicly available or
verifiable.
1. Standard Form 424, Application for Federal Assistance
Please see www07.grants.gov/assets/SF424Instructions.pdf for
instructions on how to complete the SF 424, which is part of the
standard Grants.gov submission. Additional clarifying guidance and FAQs
to assist you in completing the SF 424 will be available at
www.dot.gov/TIGER by April 29, 2013, when the ``Apply'' function within
Grants.gov opens to accept applications under this notice.
2. Project Narrative (Attachment to SF-424)
The project narrative must respond to the application requirements
outlined below. DOT 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).
Your application must include information required for DOT to
assess each of the criteria specified in Section II (Selection Criteria
and Guidance on Application of Selection Criteria). You must
demonstrate the responsiveness of a project to any pertinent selection
criteria with the most relevant information that you can provide,
regardless of whether such information has been specifically requested,
or identified, in this notice. You should provide concrete evidence of
the feasibility of achieving project milestones, and of financial
capacity and commitment in order to support project readiness. DOT will
consider for the extent to which a TIGER Discretionary Grant will help
to complete an overall funding package, so you should clearly
demonstrate the extent to which the project cannot be readily and
efficiently completed without a TIGER Discretionary Grant, and the
extent to which other sources of federal, State, or local funding may
or may not be readily available for the project. Any such information
shall be considered part of the application, not supplemental, for
purposes of the application size limits identified below in Part C
(Length of Applications). Information provided pursuant to this
paragraph must be quantified, to the extent possible, to describe the
project's benefits to the Nation, a metropolitan area, or a region.
Information provided pursuant to this paragraph should include
projections for both the build and no-build scenarios for the project
for a point in time at least 20 years beyond the project's completion
date or the lifespan of the project, whichever is closer to the
present.
All applications should include a detailed description of the
proposed project and geospatial data for the project, including a map
of the project's location and its connections to existing
transportation infrastructure. Applications should also include a
description of how the project addresses the needs of an urban and/or
rural area. Applications should clearly describe the transportation
challenges that the project aims to address, and how the project will
address these challenges. Descriptions should include relevant data,
such as passenger or freight volumes, congestion levels, infrastructure
condition, and safety experience.
DOT recommends that the project narrative adhere to the following
basic outline, and in addition to a detailed Statement of work,
detailed project schedule, and detailed project budget, you should
include a table of contents, maps, and graphics that make the
information easier to review:
I. Project Description (including information on the expected users
of the project, a description of the transportation challenges that the
project aims to address, and how the project will address these
challenges);
II. Project Parties (information about the grant recipient and
other project parties);
III. Grant Funds and Sources/Uses of Project Funds (information
about the amount of grant funding requested, availability/commitment of
funds sources and uses of all project funds, total project costs,
percentage of project costs that would be paid for with TIGER
Discretionary Grant funds, and the identity and percentage shares of
all parties providing funds for the project, including any other
pending or past federal funding requests for the project as well as
federal funds already provided under other programs and required match
for those funds);
IV. Selection Criteria (information about how the project aligns
with each of the primary and secondary selection criteria and a
description of the results of the benefit-cost analysis):
a. Long-Term Outcomes
i. State of Good Repair
ii. Economic Competitiveness
iii. Livability
iv. Sustainability
v. Safety
vi. Project Readiness
b. Innovation
c. Partnership
d. Results of Benefit-Cost Analysis
V. Planning Approvals, NEPA and other environmental reviews/
approvals, (including information about permitting, legislative
approvals, State and local planning, and project partnership and
implementation agreements); and
VI. Federal Wage Rate Certification (an application must include a
certification, signed by the applicant, stating that it will comply
with the requirements of subchapter IV of chapter 31 of title 40,
United States Code (federal wage rate requirements), as required by the
FY 2013 Continuing Appropriations Act).
The purpose of this recommended format is to ensure that
applications clearly address the program requirements and make critical
information readily apparent.
C. Length of Applications
The project narrative may not exceed 30 pages in length.
Documentation supporting the assertions made in the narrative portion
may also be provided, but should be limited to relevant information. If
possible, Web site links to supporting documentation (including a more
detailed discussion of the benefit-cost analysis) should be provided
rather than copies of these materials. Spreadsheets supporting the
benefit-cost analysis should be original Excel spreadsheets, not PDFs
of those spreadsheets. At your discretion, relevant materials provided
previously to a Relevant Modal Administration in support of an
application to a different DOT discretionary program (for example, New
Starts or TIFIA) may be referenced and described as unchanged. To the
extent referenced, this information need not be resubmitted for the
TIGER Discretionary Grant application (although provision of a Web site
link would facilitate DOT's consideration of the information). DOT
[[Page 24794]]
recommends use of appropriately descriptive file names (e.g., ``Project
Narrative,'' ``Maps,'' ``Memoranda of Understanding and Letters of
Support,'' etc.) for all attachments. Cover pages, tables of contents,
and the federal wage rate certification do not count towards the 30-
page limit for the narrative portion of the application. Otherwise, the
only substantive portions of the application that should exceed the 30-
page limit are any supporting documents (including a more detailed
discussion of the benefit-cost analysis) provided to support assertions
or conclusions made in the 30-page narrative section.
D. Contact Information
Contact information for a direct employee of the lead applicant
organization is required as part of the SF-424. DOT will use this
information to inform parties of DOT's decision regarding the selection
of projects, as well as to contact parties in the event that DOT needs
additional information about an application. Contact information for a
contractor, agent, or consultant of the lead applicant organization is
insufficient for DOT's purposes.
E. Protection of Confidential Business Information
All information submitted as part of or in support of any
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the application includes
information you consider to be a trade secret or confidential
commercial or financial information, you should do the following: (1)
Note on the front cover that the submission ``Contains Confidential
Business Information (CBI);'' (2) mark each affected page ``CBI;'' and
(3) highlight or otherwise denote the CBI portions. DOT protects such
information from disclosure to the extent allowed under applicable law.
In the event DOT receives a Freedom of Information Act (FOIA) request
for the information, DOT will follow the procedures described in its
FOIA regulations at 49 CFR 7.17. Only information that is ultimately
determined to be confidential under that procedure will be exempt from
disclosure under FOIA.
VII. Performance Measurement
Each applicant selected for TIGER Discretionary Grant funding will
be required to work with DOT on the development and implementation of a
plan to collect information and report on the project's performance
with respect to the relevant long-term outcomes that are expected to be
achieved through construction of the project. Each recipient of a TIGER
Discretionary Grant will, in accordance with its grant agreement,
report on specified performance indicators for its project. Performance
indicators will be negotiated for each project, and will consider the
individual project's stated goals as well as resource constraints of
applicants. Performance indicators will not include formal goals or
targets, but will include baseline measures as well as post-project
outputs for an agreed upon timeline, and will inform the TIGER
Discretionary Grant program in working towards best practices,
programmatic performance measures, and future decision making
guidelines.
VIII. Questions and Clarifications
For further information concerning this notice please contact the
TIGER Discretionary Grant program staff via email at
[email protected], or call Howard Hill at 202-366-0301. A TDD is
available for individuals who are deaf or hard of hearing at 202-366-
3993. DOT will regularly post answers to these questions and other
important clarifications on DOT's Web site at www.dot.gov/TIGER.
Issued on: April 22, 2013.
Ray LaHood,
Secretary.
[FR Doc. 2013-09889 Filed 4-25-13; 8:45 am]
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