Notice of Funding Availability for the Department of Transportation's National Infrastructure Investments Under the Full-Year Continuing Appropriations, 2012; and Request for Comments, 4863-4880 [2012-1996]
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Federal Register / Vol. 77, No. 20 / Tuesday, January 31, 2012 / Notices
those projects that are transportation
related. Each area on the fillable pdf
form must be filled in electronically by
the Field Offices and submitted every
quarter to OSDBU. The Offices will
retain a copy of each Intake Form for
their records. The completion of the
form is used as a tool for making
decisions about the needs of the
business, such as; referral to technical
assistance agencies for help, identifying
the type of profession or trade of the
business, the type of certification that
the business holds, length of time in
business, and location of the firm. This
data can assist the Field Offices in
developing a business plan or adjusting
their business plan to increase its ability
to market its goods and services to
buyers and potential users of their
services.
Respondents: SBTRC Regional Field
Offices.
Estimated Number of Respondents:
100.
Frequency: The information will be
collected quarterly.
Estimated Number of Responses: 100.
Estimated Total Annual Burden on
Respondents: 600 hours per year.
Background: The Regional Field
Offices Quarterly Report Form (DOT F
4502) by each Field Office must be
submitted as a quarterly status report of
business activities conducted during the
three month time frame. The form is
used to capture activities and
accomplishments that were made by the
Regional Field Offices during the course
of the quarter. In addition, the form
includes a data collection section where
numbers and hours are reported and a
section that is assigned for a written
narrative that provides back up which
supports the data.
Activities to be reported are (1)
Counseling Activity which identifies the
counseling hours provided to
businesses, number of new
appointments, and follow-up on
counseled clients. (2) Activity for
Businesses Served identifies the type of
small business that is helped, such as a
DBE, 8(a), WOB, HubZone, SDB,
SDVOB, or VOSB. (3) Marketing
Activity includes the name of an event
attended by the SBTRC and the role
played when participating in a
conference, workshop or any other
venue that relates to small businesses.
(4) Meetings that are held with
government representatives in the
region, or at the state level, are an
activity that is reported. (5) Events
Hosted by the SBTRC Regional Field
Offices, such as small business
workshops, financial assistance
workshops, matchmaking events, are
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activities that are reported on a
quarterly basis.
Respondents: SBTRC Regional Field
Offices.
Estimated Number of Respondents:
100.
Frequency: The information will be
collected quarterly.
Estimated Number of Responses: 100.
Estimated Total Annual Burden on
Respondents: 1200 hours per year.
Public Comments Invited: You are
asked to comment on any aspect of this
information collection, including (a)
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Department, including whether the
information will have practical utility;
(b) the accuracy of the Department’s
estimate of the burden of the proposed
information collection; (c) ways to
enhance the quality, utility and clarity
of the information collection; and (d)
ways to minimize the burden of the
collection of information on
respondents, by the use of electronic
means, including the use of automated
collection techniques or other forms of
information technology. The agency will
summarize and/or include your
comments in the request for OMB’s
clearance of this information collection.
Authority: The Paperwork Reduction Act
of 1995; 44 U.S.C. Chapter 35, as amended;
and 49 CFR 1:48.
Issued in Washington, DC on January 24,
2012.
Brandon Neal,
Director, Office of Small and Disadvantaged,
Business Utilization.
[FR Doc. 2012–2044 Filed 1–30–12; 8:45 am]
BILLING CODE 4910–9X–P
DEPARTMENT OF TRANSPORTATION
Office of the Secretary of
Transportation
[Docket No. DOT–OST–2012–0012]
Notice of Funding Availability for the
Department of Transportation’s
National Infrastructure Investments
Under the Full-Year Continuing
Appropriations, 2012; and Request for
Comments
Office of the Secretary of
Transportation, DOT.
ACTION: Notice of Funding Availability,
Request for Comments.
AGENCY:
This notice announces the
availability of funding and requests
proposals for the Department of
Transportation’s National Infrastructure
Investments. In addition, this notice
announces selection criteria and pre-
SUMMARY:
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application and application
requirements for the National
Infrastructure Investments.
The Consolidated and Further
Continuing Appropriations Act, 2012
(Pub. L. 112–055, Nov. 18, 2011) (‘‘FY
2012 Appropriations Act’’) appropriated
$500 million to be awarded by the
Department of Transportation (‘‘DOT’’)
for National Infrastructure Investments.
This appropriation is similar, but not
identical to the appropriation for the
Transportation Investment Generating
Economic Recovery, or ‘‘TIGER
Discretionary Grant’’, program
authorized and implemented pursuant
to the American Recovery and
Reinvestment Act of 2009 (the
‘‘Recovery Act’’). Because of the
similarity in program structure, DOT
will continue to refer to the program as
‘‘TIGER Discretionary Grants.’’ As with
previous rounds of TIGER, funds for the
FY 2012 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).
DATES: Pre-applications must be
submitted by February 20, 2012, at 5
p.m. EST (the ‘‘Pre-Application
Deadline’’). Final applications must be
submitted through Grants.gov by March
19, 2012, at 5 p.m. EDT (the
‘‘Application Deadline’’). The DOT preapplication system will open on or
before February 13, 2012, to allow
prospective applicants to submit preapplications. Subsequently, the
Grants.gov ‘‘Apply’’ function will open
on February 22, 2012, allowing
applicants to submit applications.
Applicants are encouraged to submit
pre-applications and applications in
advance of the deadlines.
ADDRESSES: Pre-applications must be
submitted electronically to DOT and
applications must be submitted
electronically through Grants.gov. Only
pre-applications received by DOT and
applications received electronically
through Grants.gov will be deemed
properly filed. Instructions for
submitting pre-applications to DOT and
applications through Grants.gov are
included in Section VII (Pre-Application
and Application Cycle).
FOR FURTHER INFORMATION CONTACT: For
further information concerning this
notice please contact the TIGER
Discretionary Grant program staff via
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email at TIGERGrants@dot.gov, 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 and
rather than rely on third parties to
receive information about TIGER
Discretionary Grants.
SUPPLEMENTARY INFORMATION: This
notice is substantially similar to the
Final notice published for the TIGER
Discretionary Grant program in the
Federal Register on August 12, 2011.
However, there are a few significant
differences:
1. To ensure applicants receive the
most accurate information possible,
Eligible Applicants must contact DOT
directly, rather than through
intermediaries, to get questions
answered, set up briefings on the TIGER
Discretionary Grants selection and
award process, or receive other
assistance.
2. As in previous rounds of TIGER,
high speed and intercity passenger rail
projects remain eligible for funding
under this program and a high priority
of this Administration. DOT would like
to encourage those seeking funding for
passenger rail projects to consider
TIGER and will, therefore, make up to
$100 million in TIGER funds available
to high speed and intercity passenger
rail projects.
3. Applications must include a
detailed statement of work, detailed
project schedule, and detailed project
budget in the project narrative. Due to
the shorter timeframe allowed for the
obligation of TIGER Discretionary Grant
funds in this round of funding in
comparison to previous rounds,
applicants must include this detailed
information in their application in order
to demonstrate that their projects are
ready to proceed within this shortened
timeframe.
4. The discussion on Benefit-Cost
Analysis (Appendix A: Additional
Information on Benefit-Cost Analysis)
has been streamlined and includes tools
to aid applicants in preparing their
analyses.
Other than these differences, 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
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Grants and prospective applicants
should read this notice in its entirety so
that they have the information they
need to submit eligible and competitive
applications.
Table of Contents
I. Background
TIGER Discretionary Grants
II. Selection Criteria and Guidance on
Application of Selection Criteria
III. Evaluation and Selection Process
IV. Grant Administration
V. Projects in Rural Areas
VI. TIGER TIFIA Payments
Application Requirements
VII. Pre-Application and Application Cycle
VIII. Project Benefits
IX. Questions and Clarifications
Appendix A: Additional Information on
Benefit-Cost Analysis
Appendix B: Additional Information on
Applying Through Grants.gov
Appendix C: Additional Information on
Guidelines for Project Readiness
I. Background
On November 18, 2011, the President
signed the FY 2012 Appropriations Act.
This Act appropriated $500 million to
DOT for National Infrastructure
Investments, using language that is
similar, but not identical to the language
in appropriations bills from FY 2010
and FY 2011 and the Recovery Act.
This program was first created in the
2009 Recovery Act, since which time
DOT has referred to these grants as
Transportation Investment Generating
Economic Recovery or ‘‘TIGER
Discretionary Grants.’’ Through the
Recovery Act and continuing through
the FY 2010 and 2011 appropriations
processes, Congress has provided DOT
with three rounds of competitive grants
totaling just over $2.6 billion for capital
investments in surface transportation
infrastructure. See DOT’s Web site at
https://www.dot.gov/tiger/ for
further background on the disbursement
of past rounds of TIGER Discretionary
Grants.
DOT’s most recent solicitation for
TIGER Discretionary Grants occurred
through a notice of funding availability
published in the Federal Register on
August 12, 2011 (an interim notice was
published on July 1, 2011). Applications
for TIGER Discretionary Grants were
due on October 31, 2011 and 848
applications were received with funding
requests totaling approximately $14.29
billion. Awards for 46 capital projects
totaling $511 million were announced
on December 15, 2011. Grant awards
ranged from $1 million to $13.5 million
for projects in rural areas and $10
million to $20 million for projects in
urban areas. Projects were selected for
funding based on their alignment with
the selection criteria specified in the
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August 12, 2011, Federal Register
notice.
FY 2012 TIGER Discretionary Grants
Like the previous rounds, this year’s
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.
‘‘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 multijurisdictional groups applying through a
single lead applicant (for multijurisdictional 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, Eligible
Applicants must contact DOT directly,
rather than through intermediaries, to
get questions answered, set up briefings
on the TIGER Discretionary Grants
selection and award process, or receive
other assistance. Assistance can be
obtained by simply calling or emailing
the TIGER Discretionary Grant program
staff via email at TIGERGrants@dot.gov,
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
1 Consistent with the FY 2012 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
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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 demonstrate
independent utility, which means that
the project provides transportation
benefits and is ready for broad public
use upon completion of project
construction.
Each applicant may submit no more
than three applications for
consideration to the TIGER
Discretionary Grant Program to focus
submissions on those applications that
are most likely to align well with DOT’s
selection criteria. While applications
may include requests to fund more than
one project, applicants 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. Also,
DOT will not count any application for
a multistate project against the three
application limit to the extent multiple
states are partnering to submit the
application. Furthermore, jurisdictions
that collaborate with regional partners
on a priority application are more likely
to be successful than those that choose
separate priorities and apply separately
because DOT will give priority to
applications that demonstrate a high
degree of Jurisdictional & Stakeholder
Collaboration (see Section II. Selection
Criteria and Guidance on Application of
Selection Criteria). If any lead applicant
submits more than three applications,
only the first three received will be
considered.
The FY 2012 Appropriations Act
requires a new solicitation of
applications and, therefore, any
unsuccessful applicant for earlier
rounds of TIGER Discretionary Grants
that wishes to be considered for a TIGER
Discretionary Grant this year must
reapply according to the procedures in
this notice.
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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The FY 2012 Appropriations Act
specifies that TIGER Discretionary
Grants may be not less than $10 million
(except in rural areas) and not greater
than $200 million. The FY 2012
Appropriations Act does not provide
authority to waive the minimum $10
million grant size for projects located in
urbanized areas. For projects located in
rural areas (as defined in Section V
(Projects in Rural Areas)), the minimum
TIGER Discretionary Grant size is $1
million. The term ‘‘grant’’ in the
provision of the FY 2012
Appropriations Act specifying a
minimum grant size does not include
TIGER TIFIA Payments, as described
below.
DOT reserves the right to award funds
for a part of the project, not the full
project, if a part of the project has
independent utility and aligns well with
the selection criteria specified in this
notice.
Pursuant to the FY 2012
Appropriations Act, no more than 25
percent of the funds made available for
TIGER Discretionary Grants (or $125
million) may be awarded to projects in
a single State.
The FY 2012 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, in
awarding TIGER Discretionary Grants
pursuant to the FY 2012 Appropriations
Act, DOT must take measures to ensure
an equitable geographic distribution of
grant funds, an appropriate balance in
addressing the needs of urban and rural
areas and the investment in a variety of
transportation modes. As in previous
rounds of TIGER, high speed and
intercity passenger rail projects remain
eligible for funding under this program
and a high priority of this
Administration. DOT would like to
encourage those seeking funding for
passenger rail projects to consider
TIGER and will, therefore, make up to
$100 million in TIGER funds available
to high speed and intercity passenger
rail projects.
TIGER Discretionary Grants may be
used for up to 80 percent of the costs of
a project, but priority must be given to
projects for which Federal funding is
required to complete an overall
financing package and projects can
increase their competitiveness by
demonstrating significant non-Federal
contributions. 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. Therefore, for
projects located in urban areas, based on
the statutory requirements of at least 20
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4865
percent non-Federal cost share and a
minimum grant size of $10 million, the
minimum total project size for an
eligible project is $12.5 million (where
the minimum $10 million TIGER
Discretionary Grant request represents
80 percent of the total project cost). The
minimum total project size for an
eligible project in a rural area is $1
million (where the entire project cost is
funded with a TIGER Discretionary
Grant). However, the statutory
requirement to give priority to projects
that use Federal funds to complete an
overall financing package applies to
projects located in rural areas as well,
and projects located in rural areas can
increase their competitiveness for
purposes of the TIGER program by
demonstrating significant non-Federal
financial contributions. In the FY2011
competition, on average, urban projects
pledged 65% non-Federal funds while
rural projects featured more than 46%
non-Federal funds. Three TIGER–TIFIA
projects will use only 2% TIGER funds
but leverage more than $1.8 billion in
non-Federal investment. DOT will
consider any non-Federal funds as well
as funds from the Indian Reservation
Roads Program as a local match for
purposes of this program, whether such
funds are contributed by the public
sector (State or local) or the private
sector. However, DOT cannot consider
funds already expended as a local
match.
The 2012 Appropriations Act requires
that TIGER funds are only available for
obligation through September 30, 2013.
The limited amount of time for which
the funds will be made available means
that DOT will focus on the extent to
which a project is ready to proceed with
obligation of grant funds when
evaluating applications, and give
priority to those projects that are ready
to proceed sooner than other
competitive projects.
The FY 2012 Appropriations Act
allows for an amount not to exceed $175
million of the $500 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.
DOT is referring to these payments as
‘‘TIGER TIFIA Payments.’’ The amount
of budget authority required to support
TIFIA credit assistance is calculated on
a project-by-project basis. Applicants for
TIGER TIFIA Payments should submit
an application pursuant to this notice
and a separate TIFIA letter of interest,
as described below in Section VI (TIGER
TIFIA Payments). Unless otherwise
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noted, or the context requires otherwise,
references in this notice to TIGER
Discretionary Grants include TIGER
TIFIA Payments.
Due to the limited funding available
under this program, applicants that
require a substantial amount of funds to
complete a financing package should
consider whether a TIGER TIFIA
Payment may provide more value for
their project than a comparable award of
grant funds. DOT reserves the right to
offer a TIGER TIFIA Payment to an
applicant that applied for a TIGER
Discretionary Grant even if DOT does
not choose to fund the requested TIGER
Discretionary Grant and the applicant
did not specifically request a TIGER
TIFIA Payment.
While TIFIA support has most often
been sought for road and bridge projects
(including multiple TIGER TIFIA
payments for managed lanes projects),
TIFIA is a multimodal program. DOT
encourages applicants seeking support
for large multimodal projects that meet
TIFIA eligibility criteria, including
major transit projects, to consider TIGER
TIFIA Payments as a means for federal
support of these projects. In the past two
rounds of TIGER Discretionary Grants,
two TIGER TIFIA Payments were
awarded to transit agencies for the
expansion of fixed guideway transit
systems.
TIGER grant recipients may apply for
funding to support additional phases of
a project awarded funds in earlier
rounds of this program. However, to be
competitive, any phase awarded
funding in the past should be at or near
completion, and the applicant should
provide data about how the project is
performing based on the benefits
expected in the original application.
The FY 2012 Appropriations Act
provides that the Secretary of
Transportation may retain up to $20
million of the $500 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
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eligibility requirements for this
program, which are specified in this
notice as relevant. This section is
divided into two parts. Part A (Selection
Criteria) specifies the criteria that DOT
will use to rate projects. Additional
guidance about how DOT will apply
these criteria, including illustrative
metrics and examples, is provided in
Part B (Additional Guidance on
Selection Criteria).
A. Selection Criteria
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.’’
1. Primary Selection Criteria
(a) Long-Term Outcomes
DOT will give priority to projects that
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
following types of long-term outcomes
will be given priority:
(i) State of Good Repair: Improving
the condition of existing transportation
facilities and systems, with particular
emphasis on projects that minimize lifecycle costs.
(ii) Economic Competitiveness:
Contributing to the economic
competitiveness of the United States
over the medium- to long-term.
(iii) Livability: Fostering livable
communities through policies and
investments that increase transportation
choices and access to transportation
services for people in communities
across the United States.
(iv) Environmental Sustainability:
Improving energy efficiency, reducing
dependence on oil, reducing greenhouse
gas emissions and benefitting the
environment.
(v) Safety: Improving the safety of
U.S. transportation facilities and
systems.
(b) Job Creation and Near-Term
Economic Activity
Job creation and near-term economic
activity remain a top priority of this
Administration; therefore, DOT will
give priority to projects that are
expected to quickly create and preserve
jobs and promote rapid increases in
economic activity, particularly jobs and
activity that benefit economically
distressed areas as defined by section
301 of the Public Works and Economic
Development Act of 1965, as amended
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(42 U.S.C. 3161) (‘‘Economically
Distressed Areas’’).2
2. Secondary Selection Criteria
(a) Innovation
DOT will give priority to projects that
use innovative strategies to pursue the
long-term outcomes outlined above.
(b) Partnership
DOT will give priority to projects that
demonstrate strong collaboration among
a broad range of participants, integration
of transportation with other public
service efforts, and/or are the product of
a robust planning process.
B. Additional Guidance on Selection
Criteria
The following additional guidance
explains how DOT will evaluate each of
the selection criteria identified above in
Section II(A) (Selection Criteria).
Applicants are encouraged to
demonstrate the responsiveness of a
project to any and all of the selection
criteria with the most relevant
information that applicants can provide,
regardless of whether such information
has been specifically requested, or
identified, in this notice. Any such
information shall be considered part of
the application, not supplemental, for
purposes of the application size limits
specified below in Section VII(D)
(Length of Application).
1. Primary Selection Criteria
(a) Long-Term Outcomes
In order to measure a project’s
alignment with this criterion, DOT will
assess the public benefits generated by
the project, as measured by the extent to
which a project produces one or more
of the following outcomes.
(i) State of Good Repair: In order to
determine whether the project will
improve the condition of existing
transportation facilities or systems,
including whether life-cycle costs will
be minimized, DOT will assess (i)
whether the project is part of, or
consistent with, relevant State, local or
regional efforts and plans to maintain
transportation facilities or systems in a
state of good repair, (ii) whether an
important aim of the project is to
rehabilitate, reconstruct or upgrade
2 While Economically Distressed Areas are
typically identified under the Public Works and
Economic Development Act at the county level, for
the purposes of this program DOT will consider
regions, municipalities, smaller areas within larger
communities, or other geographic areas to be
Economically Distressed Areas if an applicant can
demonstrate that any such area otherwise meets the
requirements of an Economically Distressed Area as
defined in section 301 of the Public Works and
Economic Development Act of 1965.
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surface transportation assets that, if left
unimproved, threaten future
transportation network efficiency,
mobility of goods or accessibility of
people, or economic growth due to their
poor condition, (iii) whether 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
sustainable source of revenue is
available for long-term operations and
maintenance of the project. The
application should include any
quantifiable metrics of the facility or
system’s current condition and
performance and, to the extent possible,
projected condition and performance,
with an explanation of how the project
will improve the facility or system’s
condition, performance and/or longterm cost structure, including
calculations of avoided operations and
maintenance costs and associated
delays.
(ii) Economic Competitiveness: In
order to determine whether a project
promotes the economic competitiveness
of the United States, DOT will assess
whether the project will measurably
contribute over the long term to growth
in the productivity of the American
economy. For purposes of aligning a
project with this outcome, applicants
should provide evidence of how
improvements in transportation
outcomes (such as time savings and
operating cost savings) translate into
long-term economic productivity
benefits. These long-term economic
benefits that are provided by the
completed project are different from the
near-term economic benefits of
construction that are captured in the Job
Creation & Near-Term Economic
Activity criterion. In weighing long-term
economic competitiveness benefits,
applicants should describe how the
project supports increased long-term
efficiency and productivity.
Priority consideration will be given to
projects that: (i) Improve long-term
efficiency, reliability or costcompetitiveness 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, or (ii) make
improvements that increase the
economic productivity of land, capital
or labor at specific locations,
particularly Economically Distressed
Areas. Applicants may propose other
methods of demonstrating a project’s
contribution to the economic
competitiveness of the country and such
methods will be reviewed on a case-bycase basis.
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Economic competitiveness may be
demonstrated by the project’s ability to
increase the efficiency and effectiveness
of the transportation system through
integration or better use of all existing
transportation infrastructure. This may
be evidenced by the project’s
involvement with or benefits to more
than one mode and/or its compatibility
with and its connection to other modes
and facilities. Applications that
demonstrate increases in efficiency for
exports will be given priority in the
evaluation process.
For purposes of demonstrating
economic benefits, applicants should
estimate National-level or region-wide
economic benefits on productivity and
production (e.g., reduced shipping costs
or travel times for U.S. exports
originating both inside and outside of
the region), and should take care not to
include economic benefits that are being
shifted from one location in the United
States to another location. Highly
localized benefits will receive the most
consideration under circumstances
where such benefits are most likely to
improve an Economically Distressed
Area (as defined herein) or otherwise
improve access to more productive
employment opportunities for underemployed and disadvantaged
populations.
(iii) Livability: Livability investments
are projects that not only deliver
transportation benefits, but are also
designed and planned in such a way
that they have a positive impact on
qualitative measures of community life.
This element of long-term outcomes
delivers benefits that are inherently
difficult to measure. However, it is
implicit to livability that its benefits are
shared and therefore magnified by the
number of potential users in the affected
community. Therefore, descriptions of
how projects enhance livability should
include a description of the affected
community and the scale of the project’s
impact as measured in person-miles
traveled or number of trips affected. In
order to determine whether a project
improves the quality of the living and
working environment of a community,
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, which are listed fully at
https://www.dot.gov/affairs/2009/
dot8009.htm. For this criterion, the
Department will give particular
consideration to the first principle,
which prioritizes the creation of
affordable and convenient
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4867
transportation choices.3 Specifically,
DOT will qualitatively assess whether
the project:
(1) Will significantly enhance or
reduce the average cost of user mobility
through the creation of more convenient
transportation options for travelers;
(2) Will improve existing
transportation choices by enhancing
points of modal connectivity, increasing
the number of modes accommodated on
existing assets, or reducing congestion
on existing modal assets;
(3) Will improve accessibility and
transport services for economically
disadvantaged populations, non-drivers,
senior citizens, and persons with
disabilities, or will make goods,
commodities, and services more readily
available to these groups; and/or
(4) Is the result of a planning process
which coordinated transportation and
land-use planning decisions and
encouraged community participation in
the process, such as planning conducted
with 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.
Livability improvements may include
projects for new or improved biking and
walking infrastructure. However,
particular attention will be paid to the
degree to which such projects contribute
significantly to broader traveler
mobility, including for people with
disabilities, through intermodal
connections, enhanced job commuting
options, or improved connections
between residential and commercial
areas. Projects that appear designed
primarily as recreational facilities and
do not enhance traveler mobility as
described above will not be funded.
(iv) Environmental Sustainability: In
order to determine whether a project
promotes a more environmentally
sustainable transportation system, DOT
will assess the project’s ability to:
(1) Improve energy efficiency, reduce
dependence on oil and/or reduce
greenhouse gas emissions, (applicants
are encouraged to provide quantitative
information regarding expected
reductions in emissions of CO2 or fuel
consumption as a result of the project,
or expected use of clean or alternative
3 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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sources of energy; projects that
demonstrate a projected decrease in the
movement of people or goods by less
energy-efficient vehicles or systems will
be given priority under this factor); and
(2) Maintain, protect or enhance the
environment, as evidenced by its
avoidance of adverse environmental
impacts (for example, adverse impacts
related to air or water quality, wetlands,
and endangered species) and/or by its
environmental benefits (for example,
improved air quality, wetlands creation
or improved habitat connectivity).
Applicants are encouraged to provide
quantitative information that validates
the existence of substantial
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.
(v) Safety: In order to determine
whether the project improves safety,
DOT will assess the project’s ability to
reduce the number, rate and
consequences of surface transportationrelated crashes, 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 release of
hazardous materials.
Evaluation of Expected Project Costs
and Benefits: DOT believes that benefitcost analysis (‘‘BCA’’) is an important
discipline. For BCA to yield useful
results, a robust consideration of costs
and benefits is necessary. These include
quantified fuel and travel time savings
as well as reductions in greenhouse gas
emissions, water quality impacts, and
public health effects as well as
quantification of other costs and
benefits that are more indirectly related
to vehicle-miles or that are harder to
measure. In addition, BCA should
attempt to measure the indirect effects
of transportation investments on land
use and on the portions of household
budgets spent on transportation. The
systematic process of comparing
expected benefits and costs helps
decision-makers organize information
about, and evaluate trade-offs between,
alternative transportation investments.4
Therefore, applicants for TIGER
Discretionary Grants are generally
required to identify, quantify, and
4 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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compare expected benefits and costs,
subject to the following qualifications:
All 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, statistical analyses) is less for
smaller projects than for larger projects.
The level of resources devoted to
preparing the benefit-cost analysis
should be reasonably related to the size
of the overall project and the amount of
grant funds requested in the application.
Any subjective estimates of benefits and
costs should still be quantified, 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 to an applicant. 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
Appendix A. 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 2012, 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.
Evaluation of Project Performance:
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
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achieved through construction of the
project.
(b) Job Creation and Near-Term
Economic Activity
In order to measure a project’s
alignment with this criterion, DOT will
assess whether the project promotes the
short- or long-term creation or
preservation of jobs and whether the
project rapidly promotes new or
expanded business opportunities during
construction of the project or thereafter.
Applicants are encouraged to provide
information to assist DOT in making
these assessments, including the total
amount of funds that will be expended
on construction and constructionrelated activities by all of the entities
participating in the project and, to the
extent measurable, the number and type
of jobs to be created and/or preserved by
the project by calendar quarters during
construction and annually thereafter.
Applicants should also identify any
business enterprises to be created or
benefited by the project during its
construction and once it becomes
operational.5
DOT will continue to apply the
Updated Implementing Guidance for the
American Recovery and Reinvestment
Act of 2009 issued by the Office of
Management and Budget (‘‘OMB’’) on
April 3, 2009 (the ‘‘OMB Guidance’’) to
the TIGER Discretionary Grants program
5 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 jobyear (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 quarterby-quarter projection of the number of direct jobhours 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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as a matter of policy, and consistent
with applicable Federal laws.
Applicants are encouraged to provide
information to assist DOT in assessing
(1) whether the project will promote the
creation of job opportunities for lowincome workers through the use of best
practice hiring programs and
apprenticeship (including preapprenticeship) programs; (2) whether
the project will provide maximum
practicable opportunities for small
businesses and disadvantaged business
enterprises, including veteran-owned
small businesses and service disabled
veteran-owned small businesses; (3)
whether the project will make effective
use of community-based organizations
in connecting disadvantaged workers
with economic opportunities; (4)
whether the project will support entities
that have a sound track record on labor
practices and compliance with Federal
laws ensuring that American workers
are safe and treated fairly; and (5)
whether the project implements best
practices, consistent with our Nation’s
civil rights and equal opportunity laws,
for ensuring that all individuals—
regardless of race, gender, age,
disability, and national origin—benefit
from TIGER grant funding.
To the extent possible, applicants
should indicate whether the
populations most likely to benefit from
the creation or preservation of jobs or
new or expanded business opportunities
are from Economically Distressed Areas.
In addition, to the extent possible,
applicants should indicate whether the
project’s procurement plan is likely to
create follow-on jobs and near-term
economic activity for manufacturers and
suppliers that support the construction
industry.
In evaluating a project’s alignment
with this criterion, DOT will assess
whether a project is ready to proceed
rapidly upon receipt of a TIGER
Discretionary Grant (see Appendix C:
Additional Information on Project
Readiness Guidelines for further
details), as evidenced by:
(i) Project Schedule: Applicants must
include a detailed project schedule in this
section of their application, which should
include major and minor project milestones.
If the project will be completed in individual
segments or phases, these segments or phases
must be described individually. A feasible
and sufficiently detailed project schedule
demonstrating that the project can begin
construction quickly upon receipt of a TIGER
Discretionary Grant,6 and that the grant funds
6 Each applicant should demonstrate that any
potential grant funding awarded to their project can
be obligated no later than June 30, 2013, in order
to give DOT comfort that the TIGER Discretionary
Grant funds are likely to be obligated in advance of
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will be spent steadily and expeditiously once
construction starts; 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. 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 owner whose permission is
required to complete the project supports the
application and will cooperate in carrying
out the activities to be supported by the
TIGER Discretionary Grant;
(ii) Environmental Approvals: 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;
To demonstrate satisfaction of this
requirement, applicants will be asked to
provide assurances with their preapplications and evidence with their
applications that NEPA review is complete or
substantially complete and submit relevant
draft or final NEPA documentation—
preferably by way of a Web site link—for
DOT review.
DOT is unlikely to select a project for
TIGER Discretionary Grant funding if it
involves, or potentially involves, significant
environmental impacts and/or is not clearly
likely to complete required environmental
and regulatory reviews in time to meet the
obligation deadline of September 30, 2013.
If an applicant has not substantially
completed the NEPA process the applicant
should provide information on the project’s
current status in the NEPA process and an
estimate of the latest date that the NEPA
process is reasonably expected to be
completed. If an applicant has not initiated
the NEPA process, the applicant must
provide a reasonable justification for why the
NEPA process has not yet been initiated as
of the date of this notice and an assurance
that the necessary environmental reviews can
be completed with enough time for any postNEPA, pre-obligation activities to be
completed by June 30, 2013, in order to give
DOT comfort that all of the TIGER
Discretionary Grant funds are likely to be
obligated in advance of the September 30,
2013, statutory deadline. An example of a
reasonable justification for why an applicant
has not initiated NEPA review would be if,
prior to the availability of TIGER
Discretionary Grant funds, there was no
reasonable expectation of receiving Federal
funding for the project. A project selected for
award that has not completed the NEPA
process may not be permitted to use grant
funds for construction and related activities
until NEPA is complete and all other
necessary environmental approvals have
been received.
the September 30, 2013, statutory deadline, and that
any unexpected delays will not put TIGER
Discretionary Grant funds at risk of expiring before
they are obligated.
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An applicant seeking to demonstrate
timely environmental review and permitting
should submit the information listed below
with its application:
a. The information required under Sections
VII(C)(2)(V) and VII(F)–(G) (Contents of
Applications) of this notice;
b. Environmental studies or other
documents—preferably by way of a Web site
link—that describe in detail known potential
project impacts, and possible mitigation for
those impacts;
c. A description of completed, or planned
and anticipated coordination with Federal
and State regulatory agencies for permits and
approvals;
d. An estimate of the time required for
completion of NEPA and all other required
Federal, State or local environmental
approvals; and
e. An identification of the proposed NEPA
class of action (i.e., Categorical Exclusion,
Environmental Assessment, or
Environmental Impact Statement).
(iii) 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; evidence of
support from all relevant State and local
officials is not required, however, the
evidence should demonstrate that the project
is broadly supported;
(iv) State and Local Planning: The
planning requirements of the operating
administration administering the TIGER
project will apply.7 Where required by an
operating administration, 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. One way
applicants may do this is by providing a link
to a Web site showing the planning
documents. If the project is not included in
the relevant planning documents at the time
the application is submitted, applicants
should submit a certification from the
appropriate planning agency that actions are
underway at the time of the application to
7 All regionally significant projects requiring an
action by the FHWA or the FTA must be in the
metropolitan transportation plan, TIP and 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 by the State and 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. This is 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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include the project in the relevant planning
document;
(v) Technical Feasibility: The technical
feasibility of the project should be
demonstrated by previously performed and/
or ongoing 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. If the project will be
completed in individual segments or phases,
these segments or phases must be described
individually. For projects generating ongoing
operating expenses, an estimate of those
expenses and a basis for the estimate must be
included. Technical feasibility also includes
the technical capacity of the project sponsor,
including a staffing and management plan,
demonstrated experience in successfully
implementing (on-time and on-budget)
similar capital investments, and other
indications of sponsor and partner technical
capacity to construct the project; and
(vi) 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
revenue commitments 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 demonstrate financial
feasibility by including a detailed project
budget in this section of their application,
which should include 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.
DOT reserves the right to revoke any
award of TIGER Discretionary Grant
funds and to award such funds to
another project to the extent that such
funds cannot be timely expended and/
or construction does not begin in
accordance with the project schedule.
Because projects have different
schedules DOT will consider on a caseby-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 Cognizant Modal
Administration. This deadline will be
specified for each TIGER Discretionary
Grant in the project-specific grant
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agreements signed by the grant
recipients and will be based on critical
path items identified by applicants in
response to items (i) through (vi) above.
DOT expects that pre-conditions be
complete and TIGER Discretionary
Grants funds obligated on or before June
30, 2013, in order to give DOT comfort
that all TIGER Discretionary Grant funds
will be obligated before the statutory
deadline of September 30, 2013. By
statute, DOT’s ability to obligate funds
for TIGER Discretionary Grants expires
on September 30, 2013, and DOT has no
authority to extend the deadline.
2. Secondary Selection Criteria
(a) Innovation
In order to measure a project’s
alignment with this criterion, DOT will
assess the extent to which the project
uses innovative technology (including,
for example, intelligent transportation
systems, dynamic pricing, value
capture, rail wayside or on-board energy
recovery, smart cards, real-time
dispatching, active traffic management,
radio frequency identification (RFID), or
others) 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 that
demonstrate the value of new
approaches to, among other things,
transportation funding and finance,
contracting, project delivery, congestion
management, safety management, asset
management, or long-term operations
and maintenance. The applicant should
clearly demonstrate that the innovation
is designed to pursue one or more of the
long-term outcomes outlined above and/
or significantly enhance the
transportation system.
DOT will consider the extent to which
innovative, multi-modal projects might
be difficult to fund under other
programs and will give priority to
projects that align well with the Primary
Selection Criteria but are unlikely to
receive funding under traditional
programs.
(b) Partnership
(i) Jurisdictional & Stakeholder
Collaboration: In order to measure a
project’s alignment with this criterion,
DOT will assess the project’s
involvement of non-Federal entities and
the use of non-Federal funds, including
the scope of involvement and share of
total funding. DOT will give priority to
projects that receive financial
commitments from, or otherwise
involve, State and local governments,
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other public entities, or private or
nonprofit entities, including projects
that engage parties that are not
traditionally involved in transportation
projects, such as nonprofit community
groups. Pursuant to the OMB Guidance,
DOT will give priority to projects that
make effective use of community-based
organizations in connecting
disadvantaged people with economic
opportunities. Letters of commitment
and other supporting documentation
showing existing or confirmed
collaboration, partnerships, etc., should
be provided (preferably through a Web
site link) to demonstrate alignment with
this criterion.
In compliance with the FY 2012
Appropriations Act, DOT will give
priority to projects for which a TIGER
Discretionary Grant will help to
complete an overall financing package.
An applicant should clearly
demonstrate in the application the
extent to which the project cannot be
readily and efficiently completed
without Federal assistance, and the
extent to which other sources of Federal
assistance are or are not readily
available for the project. DOT will
assess the amount of private debt and
equity to be invested in the project or
the amount of co-investment from State,
local or other non-profit sources.
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 should identify a lead
State or jurisdiction as the primary
point of contact. Where multiple States
or jurisdictions are submitting a joint
application, the application should
demonstrate how the project costs are
apportioned between the States or
jurisdictions to assist DOT in making
the distributional determinations
described below in Section III(C)
(Distribution of Funds).
(ii) Disciplinary Integration: In order
to demonstrate the value of partnerships
across government agencies that serve
various public service missions and to
promote collaboration on the objectives
outlined in this notice, DOT will give
priority to projects that are supported,
financially or otherwise, by nontransportation public agencies that are
pursuing similar objectives. For
example, DOT will give priority to
transportation projects that are
coordinated with economic
development, housing, water
infrastructure and land use plans and
policies; similarly, DOT will give
priority to transportation projects that
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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 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—will
also be given priority.
III. Evaluation and Selection Process
A. Evaluation Process
TIGER Discretionary Grant
applications will be evaluated in
accordance with the below discussed
evaluation process. DOT will establish a
pre-application evaluation team to
review each pre-application that is
received by DOT on or prior to the PreApplication Deadline. This evaluation
team will be organized and led by the
Office of the Secretary and will include
members from the relevant modal
administrations in DOT with the most
experience and/or expertise in the
relevant project areas (the ‘‘Cognizant
Modal Administrations’’). This
evaluation team will be responsible for
analyzing whether the pre-application
satisfies the following key threshold
requirements:
1. The project is an Eligible Project;
2. NEPA has been addressed, as
described above in Section II(B)(2)(b)(ii)
(Environmental Approvals);
3. The project is included in the
relevant State, metropolitan, and local
planning documents, or will be
included, if applicable;
4. The project expects to be ready to
obligate all of the TIGER Discretionary
Grant funds no later than June 30,
2013;8 and
5. Local matching funds to support 20
percent or more of the costs for the
project are identified and committed in
applications for projects in urban areas.9
To the extent the pre-application
evaluation team determines that a preapplication does not satisfy these key
threshold requirements, DOT will
inform the project sponsor that an
application for the project will not be
reviewed unless the application
submitted on or prior to the Application
Deadline can demonstrate that the
requirement has been addressed.
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 and
will include members from each of the
Cognizant Modal Administrations.
These representatives will include
technical and professional staff with
relevant experience and/or expertise.
The evaluation teams will be
responsible for evaluating and rating all
of the projects and making funding
recommendations to the Secretary. The
4871
evaluation process will require team
members to evaluate and rate
applications individually before
convening with other members to
discuss ratings.
DOT will not assign specific
numerical scores to projects based on
the selection criteria outlined above in
Section II(A) (Selection Criteria). Rather,
ratings of ‘‘highly recommended,’’
‘‘recommended,’’ ‘‘acceptable,’’ or ‘‘not
recommended’’ will be assigned to
projects for each of the selection criteria.
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 that were highly rated and
identify those that should be most
highly rated.
DOT will give more weight to the two
Primary Selection Criteria (Long-Term
Outcomes and Job Creation & NearTerm Economic Activity), which will be
weighted equally, than to the two
Secondary Selection Criteria
(Innovation and Partnership) which will
also be weighted equally. The following
table summarizes the weighting of the
selection criteria, as described in the
preceding paragraphs:
Primary Selection Criteria
Long-Term Outcomes .....................
Job Creation & Near-Term Economic Activity.
DOT will give more weight to this criterion than to either of the Secondary Selection Criteria. In addition,
this criterion has a minimum threshold requirement. Projects that are unable to demonstrate a likelihood
of significant long-term benefits in any of the five long-term outcomes identified in this criterion will not
proceed in the evaluation process.
DOT will give more weight to this criterion than to either of the Secondary Selection Criteria. This criterion
will be considered after it is determined that a project demonstrates a likelihood of significant long-term
benefits in at least one of the five long-term outcomes identified in the long-term outcomes criterion.
Secondary Selection Criteria
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Innovation & Partnership ................
DOT will give less weight to these criteria than to the Primary Selection Criteria. These criteria will be
weighted equally.
As noted below in Section III(C)
(Distribution of Funds), upon
completion of this competitive rating
process DOT will analyze the
preliminary list and determine whether
the purely competitive ratings are
consistent with the distributional
requirements of the FY 2012
Appropriations Act. If necessary, DOT
8 See
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B. Evaluation of Eligibility
9 For FHWA and FTA committed funds are
defined as: ‘‘Funds that have been dedicated or
footnote 7, above.
will adjust the list of recommended
projects to satisfy the statutory
distributional requirements while
remaining as consistent as possible with
the competitive ratings. The Secretary of
Transportation will make the final
project selections.
obligated for transportation purposes’’ as described
in 23 CFR 450.104.
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To be selected for a TIGER
Discretionary Grant, a project must be
an Eligible Project and the applicant
must be an Eligible Applicant. 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,
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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(A) (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.
C. Transparency of Process
In the interest of transparency, DOT
will disclose as much of the information
related to its evaluation process as is
practical and consistent with law. DOT
expects that the TIGER Discretionary
Grant program may be reviewed and/or
audited by Congress, the U.S.
Government Accountability Office,
DOT’s Inspector General, or others, and
has taken, and will continue to take
steps to document its decision-making
process.
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IV. Grant Administration
DOT expects that each TIGER
Discretionary Grant will be
administered by one of the Cognizant
Modal Administration, pursuant to a
grant agreement between the TIGER
Discretionary Grant recipient and the
Cognizant Modal Administration.
Service Outcome Agreements and
Stakeholder Agreements will be
incorporated into the TIGER grant
agreements, where appropriate. In
accordance with the FY 2012
Appropriations Act, the Secretary has
the discretion to delegate such
responsibilities to the appropriate
operating administration.
Applicable Federal laws, rules and
regulations of the Cognizant Modal
Administration administering the
project will apply to projects that
receive TIGER Discretionary Grants.
V. Projects in Rural Areas
The FY 2012 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,10 and will consider a project to
10 For Census 2000, 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)
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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, applicants 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.
VI. TIGER TIFIA Payments
Up to $175 million of the $500
million available for TIGER
Discretionary Grants may be used for
TIGER TIFIA Payments. Applicants
seeking TIGER TIFIA Payments should
apply in accordance with all of the
criteria and guidance specified in this
notice for TIGER Discretionary Grant
applications and will be evaluated
concurrently with all other applicants.
Any applicant seeking a TIGER TIFIA
Payment is also required to submit a
TIFIA letter of interest concurrent with
the TIGER TIFIA Payment application.
If selected for a TIGER TIFIA Payment,
the applicant must comply with all of
the TIFIA program’s standard
application and approval requirements
including submission of a complete
TIFIA application and $50,000
application fee (the TIFIA program
guide can be downloaded from https://
tifia.fhwa.dot.gov/).
Applicants should demonstrate that
the TIFIA loan will be ready to close on
or before June 30, 2013, in accordance
with the guidance specified above in
Section II(B)(1)(b) (Job Creation & NearTerm Economic Activity). DOT’s TIFIA
Joint Program Office will assist DOT in
determining a project’s readiness to
proceed rapidly upon receipt of a TIGER
TIFIA Payment.
Applicants seeking TIGER TIFIA
Payments may also apply for a TIGER
Discretionary Grant for the same project
and must indicate the type(s) of funding
for which they are applying clearly on
the face of their applications. An
applicant for a TIGER TIFIA Payment
must submit an application pursuant to
this notice for a TIGER TIFIA Payment
even if it does not wish to apply for a
TIGER Discretionary Grant.
will be considered rural areas for purposes of the
TIGER Discretionary Grant program.
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Unless otherwise expressly noted
herein, any and all requirements that
apply to TIGER Discretionary Grants
pursuant to the FY 2012 Appropriations
Act, this notice, or otherwise, apply to
TIGER TIFIA Payments.
Pre-Application and Application Cycle
VII. Pre-Application and Application
Cycle
A. Two Stages of Application Cycle
The application cycle for TIGER
Discretionary Grants has two stages:
1. Pre-Application: In Stage 1,
applicants must submit a preapplication form to the DOT. This step
qualifies applicants to submit an
application in Stage 2. No application
submitted during Stage 2 that does not
correlate with a properly completed
Stage 1 pre-application will be
considered.
2. Application: In Stage 2, applicants
must submit a complete application
package through Grants.gov. If an
applicant is seeking a TIGER TIFIA
payment, applicants must also submit
electronically a TIFIA letter of interest
to the TIFIA office at
TIFIACredit@dot.gov. TIFIA letters of
interest must comply with all of the
program’s standard requirements (the
TIFIA program guide can be
downloaded from https://
tifia.fhwa.dot.gov/).
Pre-applications must be submitted to
DOT by the Pre-Application Deadline,
which is February 20, 2012, at 5 p.m.
EST. Final applications must be
submitted through Grants.gov by the
Application Deadline, which is March
19, 2012, at 5 p.m. EDT. The DOT preapplication system will open on or
before February 13, 2012, to allow
prospective applicants to submit preapplications. Subsequently, the
Grants.gov ‘‘Apply’’ function will open
on February 22, 2012, allowing
applicants to submit applications. While
applicants are encouraged to submit
pre-applications in advance of the PreApplication Deadline, pre-applications
will not be reviewed until after the PreApplication Deadline. Similarly, while
applicants are encouraged to submit
applications in advance of the
Application Deadline, applications will
not be evaluated, and selections for
awards will not be made, until after the
Application Deadline.
Pre-applications (stage 1) must be
submitted to the DOT. The preapplication form will be available on the
DOT Web site at www.dot.gov/TIGER by
January 30, 2012, together with
instructions for submitting the preapplication form electronically to DOT.
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Applications (Stage 2) must be
submitted through Grants.gov. To apply
for funding through Grants.gov,
applicants 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 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 a.m.
to 9 p.m. EST. Additional information
on applying through Grants.gov is
available in Appendix B.
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B. Contents of Pre-Applications
An applicant for a TIGER
Discretionary Grant should provide all
of the information requested below in
its pre-application form. DOT reserves
the right to ask any applicant to
supplement the data in its preapplication, but expects preapplications to be complete upon
submission. Applicants must complete
the pre-application form and send it to
DOT electronically on or prior to the
Pre-Application Deadline, in accordance
with the instructions specified at
www.dot.gov/TIGER. The preapplication form must include the
following information:
i. Name of applicant (if the
application is to be submitted by more
than one entity, a lead applicant must
be identified);
ii. Applicant’s DUNS (Data Universal
Numbering System) number;
iii. Type of applicant (State
government, local government, U.S.
territory, Tribal government, transit
agency, port authority, metropolitan
planning organization, or other unit of
government);
iv. State(s) where the project is
located;
v. County(s) where the project is
located;
vi. City(s) where the project is located;
vii. Information about the geographic
location of the project for mapping
purposes using one of the following
methods:
1. A geographic information system
(GIS) file that indicates the location of
the project;
2. For locating point specific projects,
latitude and longitude in decimal
degrees to an accuracy of 5 decimal
places (e.g. 0.12345) using the WGS 84
datum (the default datum used by
Global Positioning System (GPS)
equipment; or
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3. For linear projects on existing
roads, route number (Interstate, U.S.
Route, or State Route) or road name and
the latitude and longitude in decimal
degrees to an accuracy of 5 decimal
places (e.g. 0.12345) of the beginning
and ending points of the project;
viii. Project title (descriptive);
ix. Project type: highway, transit,
freight rail, intercity passenger rail,
marine port, multimodal, or bicycle and
pedestrian activity (if the project is a
multimodal project, the pre-application
form will require that applicants
provide additional information
identifying the affected modes);
x. Whether the project is requesting a
TIGER TIFIA Payment;
xi. Project description (describe the
project in plain English, using no more
than 50 words (e.g. ‘‘the project will
replace the existing bridge over the W
river on interstate-X between the cities
of Y and Z’’) do not describe the
project’s benefits, background, or
alignment with the selection criteria
here);
xii. Total cost of the project;
xiii. Total amount of TIGER
Discretionary Grant funds requested;
xiv. Contact name, phone number,
email address, and physical address for
applicant;
xv. Congressional districts affected by
the project;
xvi. Type of jurisdiction where the
project is located (urban or rural, as
defined above in Section V (Projects in
Rural Areas));
xvii. Whether or not the project is in
an Economically Distressed Area, as
defined in Section II(A) (Selection
Criteria);
xviii. An assurance that the NEPA
and/or environmental review process is
complete, substantially complete, or in
progress (and the expected outcome of
the process) and is expected to be
completed in time to meet the obligation
deadline of September 30, 2013;
xix. The schedule for completing
right-of-way acquisition and final
design; approval of plans,
specifications, and estimates;
xx. The date that the project is
expected to be ready for obligation of
grant funds, which should be no later
than June 30, 2013, in order to give DOT
comfort that the funds will be obligated
before they expire on September 30,
2013; and
xxi. An assurance that non-Federal
matching funds to support 20 percent or
more of the costs of the project are
identified and committed (as noted in
Section I (Background), this
requirement does not apply to projects
located in rural areas, as defined above
in Section V (Projects in Rural Areas)).
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To the extent the pre-application does
not provide adequate assurances for
items xvii through xxii, DOT will
inform the project sponsor that an
application for the project will not be
reviewed unless the application
submitted on or prior to the Application
Deadline can demonstrate that each
requirement has been addressed.
C. Contents of Applications
An applicant for a TIGER
Discretionary Grant must include all of
the information requested below in its
application. DOT reserves the right to
ask any applicant to supplement the
data in its application, but expects
applications to be complete upon
submission. To the extent practical,
DOT encourages applicants to provide
data and evidence of project merits in a
form that is publicly available or
verifiable. For TIGER TIFIA Payments,
these requirements apply only to the
applications required under this notice;
the standard TIFIA letter of interest and
loan application requirements,
including the standard $50,000.00
application fee, are separately described
in the Program Guide and Application
Form found at
https://tifia.fhwa.dot.gov/.
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 applicants
in completing the SF–424 will be
available at www.dot.gov/TIGER by
February 23, 2012, 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 (e.g. a
single-spaced document, using a
standard 12-point font, such as Times
New Roman, with 1-inch margins).
A TIGER Discretionary Grant
application must include information
required for DOT to assess each of the
criteria specified in Section II(A)
(Selection Criteria), as such criteria are
explained in Section II(B) (Additional
Guidance on Selection Criteria).
Applicants must demonstrate the
responsiveness of a project to any
pertinent selection criteria with the
most relevant information that
applicants can provide, regardless of
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whether such information has been
specifically requested, or identified, in
this notice. Applicants should provide
concrete evidence of project milestones,
financial capacity and commitment in
order to support project readiness. Any
such information shall be considered
part of the application, not
supplemental, for purposes of the
application size limits identified below
in Part D (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
closest 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. An
application should also include a
description of how the project addresses
the needs of an urban and/or rural area.
An application should clearly describe
the transportation challenges that the
project aims to address, and how the
project will address these challenges.
The description should include relevant
data such as, for example, passenger or
freight volumes, congestion levels,
infrastructure condition, or safety
experience.
DOT recommends that the project
narrative generally adhere to the
following basic outline, and 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
Federal funds provided under other
programs));
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):
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a. Long-Term Outcomes
i. State of Good Repair
ii. Economic Competitiveness
iii. Livability
iv. Sustainability
v. Safety
b. Job Creation & Near-Term Economic
Activity
c. Innovation
d. Partnership
e. Results of Benefit-Cost Analysis
V. Project Readiness and NEPA
(information about how ready the project is
to move forward quickly, including
information about the project schedule,
environmental approvals, legislative
approvals, state and local planning, technical
feasibility, financial feasibility, and
stakeholder partnerships and implementation
agreements);
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 2011 Continuing
Appropriations Act); and
VII. To the extent relevant, the final page
of the application should describe (in one
page or less) any material changes that were
made to the pre-application form.
The purpose of this recommended
format is to ensure that applications are
provided in a format that clearly
addresses the application requirements
and makes critical information readily
apparent and easy to locate.
D. 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. At the applicant’s discretion,
relevant materials provided previously
to a Cognizant Modal Administration in
support of 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
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
and tables of contents do not count
towards the 30-page limit for the
narrative portion of the application, and
the Federal wage rate certification and
one-page update of the pre-application
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form (if necessary) may also be outside
of the 30-page narrative. Otherwise, the
only substantive portions of the
application that should exceed the 30page 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.
E. Contact Information
Contact information is requested as
part of the SF–424. DOT will use this
information to inform parties of DOT’s
decision regarding selection of projects,
as well as to contact parties in the event
that DOT needs additional information
about an application. Contact
information must be provided for a
direct employee of the lead applicant
organization. Contact information for a
contractor, agent, or consultant of the
lead applicant organization is
insufficient for DOT’s purposes.
F. National Environmental Policy Act
Requirement
An application for a TIGER
Discretionary Grant must detail whether
the project will significantly impact the
natural, social and/or economic
environment. 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 where the
project is in the process, indicate the
anticipated date of completion and
provide a Web site link or other
reference to copies of any NEPA
documents prepared.
G. Environmentally Related Federal,
State and Local Actions
An application for a TIGER
Discretionary Grant must indicate
whether the proposed project requires
actions by other agencies (e.g., permits),
indicate the status of such actions and
provide a Web site link or other
reference to materials submitted to the
other agencies, and/or demonstrate
compliance with other Federal, State
and local regulations as applicable,
including, but not limited to, Section
4(f) Parklands, Recreation Areas,
Refuges, & Historic Properties; Section
106 Historic and Culturally Significant
Properties; Clean Water Act Wetlands
and Water; Executive Orders Wetlands,
Floodplains, Environmental Justice;
Clean Air Act Air Quality (specifically
note if the project is located in a
nonattainment area); Endangered
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Each applicant should provide evidence
that the expected benefits of the project
justify the costs (recognizing that some costs
and benefits are difficult to quantify). If it is
clear that the benefits do not justify the costs,
the Department will not award a TIGER
Discretionary Grant to the project. Benefits
include the extent to which residents of the
If an application contains multiple separate
projects (but that are linked together in a
common objective), each of which has
independent utility, the applicant should
provide a separate matrix (and analysis) for
each project. The Executive Summary should
also include the full cost of a project,
including Federal, State, local, and private
funding, as well as expected operations and
maintenance costs, and not simply the
requested grant amount or the local amount.
In addition to the matrix, the applicant
should summarize all pertinent data and
quantifiable cost and benefit calculations in
a single spreadsheet tab (or table in Word).
It should also summarize all other benefits
that are difficult to quantify, and the
applicant would also present this at the
beginning of the BCA. The following
provides a simplified example for expository
purposes of discounted benefits from a road
project providing travel time savings to local
travelers only over the course of five years.
In practice, applicants must estimate both
benefits and costs for each year after the
project’s start date and for a period of time
of at least 20 years in the future (or the
project’s useful life if it is shorter). If the
project will continue to have benefits beyond
the end of the analysis period, applicants can
include a residual value of the project at the
end of the analysis period, and treat that as
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H. 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
that the applicant considers to be a trade
secret or confidential commercial or
financial information, the applicant
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.
Grants cooperate in Departmental efforts
to collect and report on information
related to the benefits produced by the
projects that receive TIGER
Discretionary Grants.
Because of the limited nature of this
program, these benefits are likely to be
reported on a project-by-project basis
and trends across projects that were
selected for TIGER Discretionary Grants
may not be readily available. In
addition, because many of these benefits
are long-term outcomes, it may be years
before the value of the investments can
be quantified and fully reported. DOT is
considering the most appropriate way to
collect and report information about
these potential and actual project
benefits.
IX. Questions and Clarifications
For further information concerning
this notice please contact the TIGER
Discretionary Grant program staff via
email at TIGERGrants@dot.gov, 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.
Appendix A: Additional Information on
Benefit-Cost Analysis
11 E.J. Mishan and Euston Quah, Cost-Benefit
Analysis, 5th edition (New York: Routledge, 2007).
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VIII. Project Benefits
DOT expects to identify and report on
the benefits of the projects that it funds
with TIGER Discretionary Grants. To
this end, DOT will request that
recipients of TIGER Discretionary
United States as a whole are made better off
as a result of the project.
The best applications are often prepared by
transportation agencies that have used inhouse economic expertise and cost/benefit
analysis to influence the design of the project
from the beginning. All Applicants should
also consult the BCA Resource Page available
on the USDOT TIGER Web site (https://
www.dot.gov/TIGER) that will provide
supplemental information, standard
monetized values (where available), and
updates for preparing a BCA. If after reading
this appendix applicants need additional
help, DOT staff are available to answer
questions and offer technical assistance until
the final application deadline has passed.
This appendix provides general
information and guidance on conducting an
analysis. In addition to this guidance,
applicants should refer to OMB Circulars A–
4 and A–94 in preparing their analysis
(https://www.whitehouse.gov/omb/circulars/).
Circular A–4 also cites textbooks on costbenefit analysis (e.g., Mishan and Quah 11) if
an applicant wants to review additional
background material.
In the Executive Summary for any benefitcost analysis, applicants should provide a
project matrix describing the project and
what it changes (see below). This can either
be in Word or in Excel. The first column
provides a description of the current
infrastructure baseline (including anticipated
changes over the analysis period) and
identifies the problem that the project will
address. The second column describes how
the project would change the current
infrastructure baseline. The third and fourth
columns describe the impact of that change
and the corresponding population that it
affects. The fifth column identifies the
corresponding societal benefit. The last
columns summarize the results and reference
where in the analysis they calculate the
benefits. The matrix below provides an
example of a completed matrix.
Species Act Threatened and
Endangered Biological Resources;
Magnuson-Stevens Fishery
Conservation and Management Act
Essential Fish Habitat; and/or any State
and local requirements.
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an additional benefit, discounted from the
end of the analysis period.
Baselines
Applicants should measure costs and
benefits of a proposed project against a
baseline (also called a ‘‘base case’’ or a ‘‘no
build’’ case). The baseline should be an
assessment of the way the world would look
if the project did not receive the requested
TIGER Discretionary Grant funding.
Sometimes, it is reasonable to forecast that
that baseline world resembles the present
state. However, it is important to factor in
any projected changes (e.g., baseline
economic growth, increased traffic volumes,
or completion of already planned and funded
projects) that would occur even in the
absence of the requested project.
Baseline assumptions need to incorporate
the transportation options with the highest
net benefits that would be available in the
absence of the project. Baselines should
incorporate accurate descriptions of current
traffic/shipping patterns. It is also important
that the applicant assume the continuation of
reasonable and sound management practices
in establishing a baseline. Assuming a
baseline scenario in which the owner of the
facility does no maintenance on the facility
and ignores traffic problems and
maintenance is not realistic and will lead to
the overstatement of project benefits and will
affect the rating of the BCA.
Applicants must demonstrate that the
proposed project has independent utility.
Sub-components of a larger project may have
little or no transportation value in the
absence of the other components. For
example, a ramp to an undeveloped site does
not have much utility if the site does not get
developed. The correct baseline is then the
current level of traffic and not the projected
traffic if the site is developed.
Baselines also need to be realistic in the
transportation assumptions that they make. If
a project would construct a short freight rail
spur from a railroad mainline to a particular
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facility, it is unrealistic to assume that, in the
absence of the project, individuals would
ship cargo by truck for thousands of miles,
whereas they would ship the same cargo by
rail with the project. A realistic description
of current traffic would have current cargo
traffic going by rail for most of the distance,
and then by truck for the relatively short
distance over which rail transportation is not
available.
The applicant must make clear exactly
what portions of the project form the basis of
the estimates of benefits and costs. It is
incorrect to claim benefits for the entire
project but only count as costs the costs of
the portion of the project funded by the
TIGER Discretionary Grant. Thus, it would be
incorrect to attribute all the benefits from a
new port facility to a TIGER Discretionary
Grant when the costs that are counted only
cover the portion of the project funded by the
TIGER Discretionary Grant, for example,
paving a loading area.
There are cases where a grant may
accelerate completion of the project that an
applicant already was going to build. The
benefits and costs in this case should thus be
limited to the marginal benefits (and
marginal costs) of completing the project in
a shorter period of time and including the
cost of expending resources on the project
sooner than otherwise planned (i.e., a ‘‘now
versus later’’ comparison).
Affected Population & Types of Impacts
Alternatives
An applicant should present and consider
reasonable alternatives in the analysis.
Applicants should evaluate smaller-scale and
more focused projects for comparison
purposes. For example, if an applicant is
requesting funds to replace a pier, it should
also analyze the alternative of rehabilitating
the current pier. Similarly, if an applicant
seeks funds to establish a relatively large
streetcar project, it should also evaluate a
more focused project serving only the more
densely populated corridors of an area. A
careful evaluation of the baseline will yield
several alternative actions. The analysis
should demonstrate that the proposed project
is the most cost-effective option of all the
alternatives considered.
Benefits—Long Term Outcomes
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Applicants need to carefully identify the
different impacts a project will have. For
example, the rationale for many highway
projects is to relieve peak-hour congestion
which in turn reduces travel times and
vehicle emissions. Other highway projects
can improve road safety and in turn reduce
accidents and corresponding property
damage, injuries, and fatalities. It is
important that applicants then match the
types of impacts to the corresponding
affected population (group and number of
affected entities). For example, for a
passenger project applicants should measure
the number of passengers and for a freight
project the amount of freight affected.
Applicants should measure affected
passenger and freight traffic in passengermiles and freight ton-miles (and possibly
value of freight). If, as is often the case (e.g.,
projected growth in highway traffic), the
affected population is not the same for all
years, then the applicant needs to break out
affected population annually. Measures of
freight traffic might include growing levels of
port calls. In some cases, the relevant
population is the volume of traffic that the
project diverts from one mode to another.
Applicants should be realistic as to how the
project affects these populations.
Each application must include in its
analysis estimates of the project’s expected
benefits with respect to each of the five longterm outcomes that DOT specified in Section
II(A) (Selection Criteria). We recognize that it
may in some cases be unclear in which of
these categories of outcomes an applicant
should list a benefit. In these cases, it is less
important in which category an applicant
lists a benefit than to make sure that they list
and measure it (but only once). The following
table maps some of the types of benefits to
a long-term outcome. These are some of the
primary benefit categories, but this is not an
exhaustive list. We describe these categories
later.
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The following sections will help guide
applicants through the matrix. This is useful
both to fill out the matrix (and in the process
to adequately scope and outline the analysis)
and to actually carry out the analysis.
Federal Register / Vol. 77, No. 20 / Tuesday, January 31, 2012 / Notices
Operating cost savings frequently occur
from both freight-related and passengerrelated projects. Freight-related projects that
improve roads, rails, and ports frequently
generate savings to carriers (e.g., fuel savings
and other operating cost savings) that they
may pass on in whole or in part to shippers
by way of lower freight rates. Shippers may,
in turn, pass on, in whole or in part, these
savings to consumers. Passenger-related
projects can also reduce operating costs for
passengers by providing lower-cost
alternatives to the use of private vehicles or
by reducing the operating costs of those
vehicles. If applicants are projecting these
savings as benefits, they need to carefully
demonstrate how the proposed project would
generate such benefits. However, applicants
must be careful to count the value of the fuel
and other operating cost savings (however
allocated among carriers, shippers, and
consumers) only once in the benefit-cost
analysis; it cannot be re-counted in full each
time it transfers from one group to the other
as this would entail double-counting of the
same benefit.
Transportation can generate environmental
costs in the form of emissions of ‘‘criteria
pollutants’’ (e.g., SOx, NOx, and particulates)
and from the emission of greenhouse gases,
such as carbon dioxide (CO2). Increased
traffic congestion results in increased levels
of these emissions. Transportation projects
that reduce congestion can reduce these
emissions and produce Environmental
Benefits given reduced idling and otherwise
constant vehicle-miles travelled. Also,
transportation projects that encourage
transportation users to shift from morepolluting modes to less-polluting modes can
similarly reduce emissions. Applicants
claiming these types of benefits must clearly
demonstrate and quantify how the project
will reduce emissions. Once an applicant has
adequately quantified levels of emission
reductions, it should estimate the dollar
value of these benefits. For sources of
information on the social benefits of reducing
criteria pollutant emissions, applicants
should refer to the online BCA Resource Page
(https://www.dot.gov/TIGER).
Many infrastructure projects that improve
the state of good repair of transportation
infrastructure can reduce long-term
maintenance and repair costs. These benefits
are in addition to the benefits of reductions
in travel time, shipping costs, and crashes
which the applicant should account for
separately. Applicants should include these
maintenance and repair savings as benefits.
Improving state of good repair may also
reduce operating costs and congestion by
reducing the amount of time that the
infrastructure is out of service due to
maintenance and repairs, or may prevent a
facility (such as a bridge) from being removed
from service entirely. The application should
also consider differences in maintenance and
repair costs when comparing different project
alternatives. For example, an applicant can
compare the maintenance costs that would be
required after rehabilitating an existing pier
with those that would be required after
building a new one. As part of the data that
go into estimating the benefits of improving
the state of good repair, applicants should
provide accepted measures for assessing an
asset’s current condition. For example,
applicants can use Present Serviceability
Ratings (PSR) or the International Roughness
Index to discuss pavement condition and
bridge sufficiency ratings to discuss the
condition of a bridge. As discussed in the
section on costs, the Department expects
applicants to consider the life-cycle costs of
the project when making these comparisons.
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funded by the requested grant. Once the
applicant generates its estimate of hours
saved, it should apply the Department’s
guidance on the value of time to those
estimates (https://ostpxweb.dot.gov/policy/
reports.htm) to monetize them for both
business and non-business travelers.
EN31JA12.003
derivation of the travel time savings to the
affected population. If travel time savings
vary over time, the applicant must clearly
show savings by year. The applicant must
also be careful to estimate savings solely from
the project funded by the requested grant,
and not from other related projects not
EN31JA12.002
Travel time savings can result from
transportation improvements whose purpose
is to expand capacity or improve state of
good repair. Where this is the case,
applicants should clearly demonstrate the
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Types of Societal Benefits
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crashes to show the extent to which the type
of improvements proposed would actually
reduce the likelihood of the kinds of crashes
that actually had occurred. Alternatively,
when only a few cases are involved, the
applicant should provide a description of the
incidents and demonstrate the linkage
between the proposed project and crash
reduction. In some cases, safety benefits may
occur because of modal diversion from a less
safe mode to a safer mode. When applicants
claim this type of benefit, they should
provide a clear analysis of why the forecasted
modal diversion will take place. Once the
applicant has established a reasonable count
of the incidents that the project will likely
prevent, it should apply the Department’s
guidance on value of life and injuries (https://
ostpxweb.dot.gov/policy/reports.htm) to
monetize them. This and other relevant
information on Abbreviated Injury Scale
(AIS) are available at the BCA Resource Page
(https://www.dot.gov/TIGER).
Applicants must carefully net out other
effects before taking benefits from Property
Value Increases (e.g. from a transit station).
For example, if the property value goes up by
the exact same value as the developer’s
investment then this is not a benefit. Property
value increases over and above the
developer’s investment may potentially be a
benefit from the project. The analysis should
also consider to what extent an increase in
land values induced by the project in one
area causes a reduction in land values in
some other area. Applicants must also net out
any property value increases that result from
time savings or other benefits that have
already been counted. Applicants can only
count the net increase in land value as a
benefit. Simply asserting that there is a
property tax increase net of time savings is
inadequate. The Department expects any
applicant claiming these types of benefits to
provide a rigorous justification of the benefit.
Applicants should note that any claimed
societal benefit from a property value
increase is only a one-time stock benefit.
Applicants can not treat it as a stream of
benefits accruing annually. To the extent
possible, applicant should use survey
methods to estimate the value of the estimate
the value of the expected property value
increase from transit or other transportation
improvements.
Transit and bicycle paths may provide
greater accessibility to alternative
transportation modes, but they will not
actually enhance livability unless people use
them, and the desire to use them will depend
in part on where these modes go and on the
amenities provided with them. One useful
source of guidance on measuring benefits of
bicycle facilities (particularly for
understanding demand estimation) is the
Transportation Research Board’s National
Cooperative Highway Research Program
Report 552, Guidelines for Analysis of
Investments in Bicycle Facilities
(Washington: TRB, 2006)
(Available at https://onlinepubs.trb.org/
onlinepubs/nchrp/nchrp_rpt_552.pdf).
Transit and bicycle paths can also induce
land use changes that result in greater
density of development and more mixed-use
development, thus reducing the number of
passenger-miles of transportation needed to
access jobs, schools, shopping, and
recreational opportunities.
Other
Transfers are not benefits. Analysis should
distinguish between real benefits and transfer
payments. Benefits reflect real resource usage
and overall benefits to society, while
transfers represent payments by one group to
another and do not represent a net increase
in societal benefits. In the case of job
creation, for example, every job represents
both a cost to the employer (paying a wage)
and a benefit to the employee (receiving a
wage), so it is a transfer payment, rather than
a net benefit. While wages are a transfer
payment, increases in the productivity of the
labor force, measured by increases in how
much workers produce per hour, can be
included as a benefit of the project, but these
benefits must be carefully measured and
justified to be included. With respect to
economic development, providing estimates
of capital investments or property tax
revenues are not legitimate benefits in a
benefit-cost analysis. For example, while the
tax is a benefit to the tax assessor it is a cost
to the taxpayer. These transfers are
commonly included in ‘‘economic impact
analyses;’’ an economic impact analysis is
not acceptable as a substitute for a benefitcost analysis. Other examples of transfers
include port/rail projects whose purpose is to
take away business from competitors.
However, the transportation cost savings (if
any) and the like from shifting traffic to a
more convenient location would be a benefit.
Applicants should not include employment
or output multipliers that purport to measure
secondary effects as societal benefits because
these secondary effects are generally the
same (per dollar spent) regardless of what
kind of project is funded.
As noted above, the estimate of Costs must
pertain to the same project as the estimate of
benefits. If the TIGER Discretionary Grant is
to pay for only part of the project, but the
project is indivisible (i.e., no one part of the
project would have independent utility), then
the applicant should compare the benefits of
the whole project to the costs of the whole
project, including costs paid for by State,
local, and private partners other than the
Federal government. In general, applicants
should use a life-cycle cost analysis approach
in estimating the costs of the project. The
Department expects applicants to include
operating, maintenance, and other life-cycle
costs of the project, along with capital costs.
In addition to construction costs, other direct
costs may include design and land
acquisition. If the time period considered in
the analysis is long enough to require the
rehabilitation of the facility during the period
of analysis, then the costs of that
rehabilitation should be included. Applicants
should consider external costs, such as noise,
increased congestion, and environmental
pollutants resulting from the use of the
facility or related changes in usage on other
facilities in the same network in the analysis.
Additionally, applicants should include, to
the extent possible, costs to users during
construction, such as delays and increased
vehicle operating costs associated with work
zones or detours. The applicant should
correctly discount annual costs to arrive at a
present value of the project’s cost.
Applicants should discount future benefits
and costs to present values using a real
discount rate (i.e., a discount rate that reflects
the opportunity cost of money net of the rate
of inflation) of 7 percent, following guidance
provided by OMB in Circulars A–4 and A–
94 (https://www.whitehouse.gov/omb/
circulars_default/). Applicants may also
provide an alternative analysis using a real
discount rate of 3 percent. They should use
the latter approach when the alternative use
of funds currently dedicated to the project
would be for other public expenditures,
rather than private investment. In presenting
these year-by-year streams, applicants should
measure them in constant (or ‘‘real’’) dollars
prior to discounting. Applicants should not
add in the effects of inflation to the estimates
of future benefits and costs prior to
discounting.
Benefit-cost analyses of transportation
projects almost always depend on forecasts
of projected levels of usage (road traffic, port
calls, etc.). When an applicant is using such
forecasts to generate benefit estimates, it
must assess the reliability of these forecasts.
If the applicant is using outside forecasts, it
must provide a citation and an appropriate
page number for the forecasts. Applicants
should incorporate indirect effects into their
forecasts where possible (e.g., induced
demand). Applicants should also take great
care to match forecasts of usage levels to the
corresponding year. For example, using
projected traffic levels for 2030 to generate
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Projects can also improve the Safety of
transportation. A well-designed project can
reduce fatalities and injuries as well as
reduce other crash costs. The applicant
should clearly demonstrate how the project
will improve safety. For example, to claim a
reduction in fatalities, an applicant must
clearly demonstrate how the existence of the
project would have prevented the types of
fatalities that commonly occur in that area.
Applicants should use crash causation
factors or similar analyses of causes of
Federal Register / Vol. 77, No. 20 / Tuesday, January 31, 2012 / Notices
benefits for all the earlier years is incorrect.
For more information on forecasting,
applicants can refer to the forecasting section
of FHWA’s Economic Analysis Primer
(https://www.fhwa.dot.gov/infrastructure/
asstmgmt/primer06.cfm). While produced for
analysis of highway projects, the primer is a
good source of information on issues related
to all transportation forecasting.
Applicants should make every effort to
make the results of their analyses as
transparent and reproducible as possible. A
Department reviewer reading the analysis
should be able to understand the basic
elements of the analysis and the way in
which the applicant derived the estimates. It
is inadequate for the applicant only to
provide links to large documents or
spreadsheets as sources. The Department
expects applicants to clearly cite all outside
data sources with the corresponding page
number (or cell number, for a spreadsheet).
For more detailed documentation, applicants
must include a thorough verbal description
of how they did the calculation. This should
include references to tabs and cells in the
spreadsheet. This verbal description should
include specific sources for all the numbers
in the spreadsheet (i.e. those that the
spreadsheet itself does not calculate). If an
applicant uses a ‘‘pre-packaged’’ economic
model to calculate net benefits, the applicant
should provide annual benefits and costs by
benefit and cost type for the entire analysis
period (including forecast year traffic
volumes). In any case, applicants must
provide a detailed explanation of the
assumptions used to run the model (e.g.,
peak traffic hours and traffic volume during
peak hours, mix of traffic by cars, buses, and
trucks, etc.). The applicant must provide
enough information so that a Department
reviewer can follow the general logic of the
estimates (and, in the case of spreadsheet
models, reproduce them).
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Appendix B: Additional Information on
Applying Through Grants.gov
Applications (Stage 2) for TIGER
Discretionary Grants must be submitted
through Grants.gov. To apply for funding
through Grants.gov, applicants must be
properly registered. Complete instructions on
how to register and apply can be found at
www.grants.gov. If interested parties
experience difficulties at any point during
registration or application process, please
call the Grants.gov Customer Support Hotline
at 1 (800) 518–4726, Monday–Friday from 7
a.m. to 9 p.m. EST.
Registering with Grants.gov is a one-time
process; however, processing delays may
occur and it can take up to several weeks for
first-time registrants to receive confirmation
and a user password. It is highly
recommended that applicants start the
registration process as early as possible to
prevent delays that may preclude submitting
an application by the deadlines specified.
Applications will not be accepted after the
relevant due date; delayed registration is not
an acceptable reason for extensions. In order
to apply for TIGER Discretionary Grant
funding under this announcement and to
apply for funding through Grants.gov, all
applicants are required to complete the
following:
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1. Acquire a DUNS Number. A DUNS
number is required for Grants.gov
registration. The Office of Management and
Budget requires that all businesses and
nonprofit applicants for Federal funds
include a DUNS (Data Universal Numbering
System) number in their applications for a
new award or renewal of an existing award.
A DUNS number is a unique nine-digit
sequence recognized as the universal
standard for identifying and keeping track of
entities receiving Federal funds. The
identifier is used for tracking purposes and
to validate address and point of contact
information for Federal assistance applicants,
recipients, and sub-recipients. The DUNS
number will be used throughout the grant life
cycle. Obtaining a DUNS number is a free,
one-time activity. Obtain a DUNS number by
calling 1-(866) 705–5711 or by applying
online at https://fedgov.dnb.com/webform.
2. Acquire or Renew Registration with the
Central Contractor Registration (CCR)
Database. All applicants for Federal financial
assistance maintain current registrations in
the Central Contractor Registration (CCR)
database. An applicant must be registered in
the CCR to successfully register in
Grants.gov. The CCR database is the
repository for standard information about
Federal financial assistance applicants,
recipients, and sub-recipients. Organizations
that have previously submitted applications
via Grants.gov are already registered with
CCR, as it is a requirement for Grants.gov
registration. Please note, however, that
applicants must update or renew their CCR
registration at least once per year to maintain
an active status, so it is critical to check
registration status well in advance of relevant
application deadlines. Information about
CCR registration procedures can be accessed
at www.ccr.gov.
3. Acquire an Authorized Organization
Representative (AOR) and a Grants.gov
Username and Password. Complete your
AOR profile on Grants.gov and create your
username and password. You will need to
use your organization’s DUNS Number to
complete this step. For more information
about the registration process, go to
www.grants.gov/applicants/
get_registered.jsp.
4. Acquire Authorization for your AOR
from the E-Business Point of Contact (E-Biz
POC). The E-Biz POC at your organization
must log in to Grants.gov to confirm you as
an AOR. Please note that there can be more
than one AOR for your organization.
5. Search for the Funding Opportunity on
Grants.gov. Please use the following
identifying information when searching for
the TIGER funding opportunity on
Grants.gov. The Catalog of Federal Domestic
Assistance (CFDA) number for this
solicitation is 20.933, titled National
Infrastructure Investments.
6. Submit an Application Addressing All of
the Requirements Outlined in this Funding
Availability Announcement. Within 24–48
hours after submitting your electronic
application, you should receive an email
validation message from Grants.gov. The
validation message will tell you whether the
application has been received and validated
or rejected, with an explanation. You are
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4879
urged to submit your application at least 72
hours prior to the due date of the application
to allow time to receive the validation
message and to correct any problems that
may have caused a rejection notification.
Note: When uploading attachments please
use generally accepted formats such as .pdf,
.doc, and .xls. While you may imbed picture
files such as .jpg, .gif, .bmp, in your files,
please do not save and submit the attachment
in these formats. Additionally, the following
formats will not be accepted: .com, .bat, .exe,
.vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora,
.sys, and .zip.
Experiencing Unforeseen Grants.gov
Technical Issues
If you experience unforeseen Grants.gov
technical issues beyond your control that
prevent you from submitting your
application by the deadline of March 19,
2012, at 5 p.m. EDT, you must contact
TIGERGrants@dot.gov or Howard Hill at
(202) 366–0301 within the 24 hours
following the deadline and request approval
to submit your application after the deadline
has passed. At that time, DOT staff will
require you to provide your DUNS number
and your Grants.gov Help Desk tracking
number(s). After DOT staff review all of the
information submitted and contact the
Grants.gov Help Desk to validate the
technical issues you reported, DOT staff will
contact you to either approve or deny your
request to submit a late application through
Grants.gov. If the technical issues you
reported cannot be validated, your
application will be rejected as untimely.
To ensure a fair competition for limited
discretionary funds, the following conditions
are not valid reasons to permit late
submissions: (1) Failure to complete the
registration process before the deadline date;
(2) failure to follow Grants.gov instructions
on how to register and apply as posted on its
Web site; (3) failure to follow all of the
instructions in the funding availability
notice; and (4) technical issues experienced
with the applicant’s computer or information
technology (IT) environment.
Appendix C: Additional Information on
Project Readiness Guidelines
As applicants develop their applications,
there are some guidelines on project
readiness that they should consider. The
TIGER Discretionary Grant funds are
available for a limited period of time (DOT’s
ability to obligate the funds expires after
September 30, 2013), and DOT may be
limited as to when they may obligate the
TIGER Discretionary Grant funds to a project
if it is not far enough along in the project
development process. The application
package should provide concrete evidence of
project milestones, financial capacity and
commitment in order to support project
readiness. Each operating administration
with the responsibility for obligating the
TIGER Discretionary Grant funds has its own
regulations, policies, and procedures that
they may apply for projects that have been
selected for TIGER Discretionary Grant funds.
In some cases, an operating administration
may obligate a portion of the overall amount
of funds that an applicant has been selected
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to receive so that such an applicant may use
that portion of the TIGER Discretionary Grant
funds for eligible pre-construction activities,
delaying the balance of the obligation of
funds until all pre-construction requirements
have been completed.
The guidelines below provide additional
details about some of these pre-construction
steps if a project element is for preconstruction activities, or requirements
before the total award is obligated (including,
but not limited to, planning requirements,
environmental approvals, right-of-way
acquisitions, and design completion) and
suggests milestones each project should aim
to achieve in order to obligate the full
amount of awarded TIGER Discretionary
Grant funds, in advance of the obligation
deadline of September 30, 2013. Applicants
should demonstrate that they can reasonably
expect to complete all of these preconstruction steps if a project element is for
pre-construction activities, or requirements
before the total award is obligated no later
than June 30, 2013, so that all the TIGER
Discretionary Grant funds are obligated in
advance of or by the September 30, 2013,
statutory deadline, and that any unexpected
delays will not put TIGER Discretionary
Grant funds at risk of expiring before they
can be fully obligated. DOT may reallocate
unobligated TIGER Discretionary Grant funds
towards projects that are ready to use TIGER
Discretionary Grant funds if a project is not
ready for DOT to obligate all TIGER
Discretionary Grant funds before the
September 30, 2013, statutory deadline.
Applicants that are unfamiliar with, or have
questions about, the requirements that a
proposed project or projects may need to
complete in order for the operating
administration to obligate TIGER
Discretionary Grant funds may contact
TIGERGrants@dot.gov with questions. The
below information is not an exhaustive list of
the requirements that a project may need to
comply with in order for TIGER
Discretionary Grant funds to be obligated by
the operating administration that is
administering the TIGER Discretionary Grant.
State and Local Planning: Project activities
that are focused on refining scope and
completing Federal environmental reviews
are eligible capital expenses under the TIGER
Discretionary Grants Program and are an
essential part of project development. A
project that receives TIGER Discretionary
Grant funds may be required to be approved
by the Metropolitan Planning Organization or
State in the Long Range Plans and
Transportation Improvement Program (TIP)/
Statewide Transportation Improvement
Program (STIP). Applicants should take steps
to ensure that the project will be included in
the relevant plan if the project is required to
be included in such planning documents
before an operating administration may
obligate funds to the project.
If the project is not included in the relevant
planning documents at the time the TIGER
application is submitted, applicants should
submit a certification from the appropriate
planning agency that actions are underway at
the time of application to include the project
in the relevant planning document. If the
obligation of TIGER Discretionary Grant
VerDate Mar<15>2010
15:20 Jan 30, 2012
Jkt 226001
funds for construction or other activities is
contingent on the project being included in
the relevant planning documents, applicants
should demonstrate they can reasonably
expect to have the project included in such
planning documents by March 30, 2013. DOT
is using the March 30 milestone since
applicants should demonstrate in their
project schedule that all additional,
necessary pre-construction steps if a project
element is for pre-construction activities, or
requirements before the total award is
obligated will be complete on or before June
30, 2013, and planning must be complete
before other pre-construction or other
activities can be completed.. The applicant
should provide a schedule demonstrating
when the project will be added to the
relevant planning documents.
Environmental Approvals: Projects should
have received all environmental approvals,
including satisfaction of all Federal, State
and local requirements and completion of the
National Environmental Policy Act (‘‘NEPA’’)
process at the time the application is
submitted or should demonstrate, through
their project schedule and narrative, that
receipt of NEPA approval, and all additional,
necessary pre-construction steps if a project
element is for pre-construction activities, or
other approvals can occur by June 30, 2013.
If the obligation of TIGER Discretionary
Grant funds for construction or other
activities is contingent on completion of
other approvals that can only take place after
the environmental approvals process, the
applicant should demonstrate, through their
project schedule and narrative, that they can
reasonably expect to obtain all environmental
approvals by March 30, 2013, or other date
sufficiently in advance of June 30, 2013. Like
planning, the environmental approvals must
be obtained prior to completing other preconstruction steps if a project element is for
pre-construction activities, or other activities.
To demonstrate that this suggested
milestone is achievable, applicants should
provide information about the anticipated
class of action, the budget for completing
NEPA, including hiring a consultant if
necessary, and a schedule that demonstrates
when NEPA will be complete. The schedule
should show how the suggested milestones
described in this section will be complied
with, and include any anticipated
coordination with Federal and State
regulatory agencies for permits and
approvals. The budget should demonstrate
how costs to complete NEPA factor into the
overall cost to complete the project. The
budget and schedule for completing NEPA
should be reasonable and be comparable to
a budget and schedule of a typical project of
the same type. The applicant should provide
evidence of support based on input during
the NEPA process from State and local
elected officials as well as the public.
Additionally, the applicant should provide
environmental studies or other documents
(preferably by way of a Web site link) that
describe in detail known potential project
impacts and possible mitigation for these
impacts. The applicant should supply
sufficient documentation for DOT to
adequately review the project’s NEPA status.
Right-of-Way and Design: If the obligation
of TIGER Discretionary Grant funds for
PO 00000
Frm 00124
Fmt 4703
Sfmt 4703
construction or other activities by an
operating administration may be contingent
on completion of right-of-way acquisition
and final design approval, and/or additional
approvals contingent on completion of rightof-way acquisition and design, applicants
should demonstrate, through their project
schedule, that they reasonably expect to have
right-of-way and design completed, and
completion of any other needed preconstruction steps if a project element is for
pre-construction activities, or other approvals
by June 30, 2013. Applicants should submit
a reasonable schedule of when right-of-way
(if applicable), design, and any other required
approvals are expected to be obtained.
Applicants may expect that DOT may
obligate TIGER funds for right-of-way and
design completion only after planning and
environmental approvals are obtained.
Completion of Obligation: Applicants
should plan to have all necessary preconstruction or other approvals and activities
completed by June 30, 2013. In some
instances, DOT may not obligate for
construction or other activities until all
planning and environmental approvals are
obtained and right-of-way and final design
are complete. If a project is selected for a
TIGER Discretionary Grant and the TIGER
Discretionary Grant funding will be used to
complete all of these activities, DOT may
obligate the funding in phases, in accordance
with the laws, regulations, and policies of the
operating administration that is
administering the grant.
Issued on: January 25, 2012.
Ray LaHood,
Secretary.
[FR Doc. 2012–1996 Filed 1–30–12; 8:45 am]
BILLING CODE 4910–9X–P
DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
[FHWA Docket No. FHWA–2011–0122]
Revision of Form FHWA–1273
Federal Highway
Administration (FHWA), DOT.
ACTION: Notice; request for comments.
AGENCY:
The FHWA is requesting
comments on a proposed revision of
form FHWA–1273—‘‘Required Contract
Provisions Federal-Aid Construction
Contracts.’’ This form includes certain
contract provisions that are required on
all Federal-aid construction projects.
The revisions are necessary to provide
consistency with the current policies of
the FHWA and other Federal agencies.
DATES: Comments must be received on
or before March 1, 2012.
ADDRESSES: Mail or hand deliver
comments to the U.S. Department of
Transportation, Dockets Management
Facility, 1200 New Jersey Avenue SE.,
Washington, DC 20590, or submit
electronically at www.regulations.gov or
SUMMARY:
E:\FR\FM\31JAN1.SGM
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[Federal Register Volume 77, Number 20 (Tuesday, January 31, 2012)]
[Notices]
[Pages 4863-4880]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-1996]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
[Docket No. DOT-OST-2012-0012]
Notice of Funding Availability for the Department of
Transportation's National Infrastructure Investments Under the Full-
Year Continuing Appropriations, 2012; and Request for Comments
AGENCY: Office of the Secretary of Transportation, DOT.
ACTION: Notice of Funding Availability, Request for Comments.
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SUMMARY: This notice announces the availability of funding and requests
proposals for the Department of Transportation's National
Infrastructure Investments. In addition, this notice announces
selection criteria and pre-application and application requirements for
the National Infrastructure Investments.
The Consolidated and Further Continuing Appropriations Act, 2012
(Pub. L. 112-055, Nov. 18, 2011) (``FY 2012 Appropriations Act'')
appropriated $500 million to be awarded by the Department of
Transportation (``DOT'') for National Infrastructure Investments. This
appropriation is similar, but not identical to the appropriation for
the Transportation Investment Generating Economic Recovery, or ``TIGER
Discretionary Grant'', program authorized and implemented pursuant to
the American Recovery and Reinvestment Act of 2009 (the ``Recovery
Act''). Because of the similarity in program structure, DOT will
continue to refer to the program as ``TIGER Discretionary Grants.'' As
with previous rounds of TIGER, funds for the FY 2012 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).
DATES: Pre-applications must be submitted by February 20, 2012, at 5
p.m. EST (the ``Pre-Application Deadline''). Final applications must be
submitted through Grants.gov by March 19, 2012, at 5 p.m. EDT (the
``Application Deadline''). The DOT pre-application system will open on
or before February 13, 2012, to allow prospective applicants to submit
pre-applications. Subsequently, the Grants.gov ``Apply'' function will
open on February 22, 2012, allowing applicants to submit applications.
Applicants are encouraged to submit pre-applications and applications
in advance of the deadlines.
ADDRESSES: Pre-applications must be submitted electronically to DOT and
applications must be submitted electronically through Grants.gov. Only
pre-applications received by DOT and applications received
electronically through Grants.gov will be deemed properly filed.
Instructions for submitting pre-applications to DOT and applications
through Grants.gov are included in Section VII (Pre-Application and
Application Cycle).
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice please contact the TIGER Discretionary Grant program staff
via
[[Page 4864]]
email at TIGERGrants@dot.gov, 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
and rather than rely on third parties to receive information about
TIGER Discretionary Grants.
SUPPLEMENTARY INFORMATION: This notice is substantially similar to the
Final notice published for the TIGER Discretionary Grant program in the
Federal Register on August 12, 2011. However, there are a few
significant differences:
1. To ensure applicants receive the most accurate information
possible, Eligible Applicants must contact DOT directly, rather than
through intermediaries, to get questions answered, set up briefings on
the TIGER Discretionary Grants selection and award process, or receive
other assistance.
2. As in previous rounds of TIGER, high speed and intercity
passenger rail projects remain eligible for funding under this program
and a high priority of this Administration. DOT would like to encourage
those seeking funding for passenger rail projects to consider TIGER and
will, therefore, make up to $100 million in TIGER funds available to
high speed and intercity passenger rail projects.
3. Applications must include a detailed statement of work, detailed
project schedule, and detailed project budget in the project narrative.
Due to the shorter timeframe allowed for the obligation of TIGER
Discretionary Grant funds in this round of funding in comparison to
previous rounds, applicants must include this detailed information in
their application in order to demonstrate that their projects are ready
to proceed within this shortened timeframe.
4. The discussion on Benefit-Cost Analysis (Appendix A: Additional
Information on Benefit-Cost Analysis) has been streamlined and includes
tools to aid applicants in preparing their analyses.
Other than these differences, 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 prospective applicants
should read this notice in its entirety so that they have the
information they need to submit eligible and competitive applications.
Table of Contents
I. Background
TIGER Discretionary Grants
II. Selection Criteria and Guidance on Application of Selection
Criteria
III. Evaluation and Selection Process
IV. Grant Administration
V. Projects in Rural Areas
VI. TIGER TIFIA Payments
Application Requirements
VII. Pre-Application and Application Cycle
VIII. Project Benefits
IX. Questions and Clarifications
Appendix A: Additional Information on Benefit-Cost Analysis
Appendix B: Additional Information on Applying Through Grants.gov
Appendix C: Additional Information on Guidelines for Project
Readiness
I. Background
On November 18, 2011, the President signed the FY 2012
Appropriations Act. This Act appropriated $500 million to DOT for
National Infrastructure Investments, using language that is similar,
but not identical to the language in appropriations bills from FY 2010
and FY 2011 and the Recovery Act.
This program was first created in the 2009 Recovery Act, since
which time DOT has referred to these grants as Transportation
Investment Generating Economic Recovery or ``TIGER Discretionary
Grants.'' Through the Recovery Act and continuing through the FY 2010
and 2011 appropriations processes, Congress has provided DOT with three
rounds of competitive grants totaling just over $2.6 billion for
capital investments in surface transportation infrastructure. See DOT's
Web site at https://www.dot.gov/tiger/ for further background
on the disbursement of past rounds of TIGER Discretionary Grants.
DOT's most recent solicitation for TIGER Discretionary Grants
occurred through a notice of funding availability published in the
Federal Register on August 12, 2011 (an interim notice was published on
July 1, 2011). Applications for TIGER Discretionary Grants were due on
October 31, 2011 and 848 applications were received with funding
requests totaling approximately $14.29 billion. Awards for 46 capital
projects totaling $511 million were announced on December 15, 2011.
Grant awards ranged from $1 million to $13.5 million for projects in
rural areas and $10 million to $20 million for projects in urban areas.
Projects were selected for funding based on their alignment with the
selection criteria specified in the August 12, 2011, Federal Register
notice.
FY 2012 TIGER Discretionary Grants
Like the previous rounds, this year's 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.
``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, Eligible Applicants must contact DOT directly, rather than
through intermediaries, to get questions answered, set up briefings on
the TIGER Discretionary Grants selection and award process, or receive
other assistance. Assistance can be obtained by simply calling or
emailing the TIGER Discretionary Grant program staff via email at
TIGERGrants@dot.gov, 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 2012 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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[[Page 4865]]
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 demonstrate independent utility, which means that the
project provides transportation benefits and is ready for broad public
use upon completion of project construction.
Each applicant may submit no more than three applications for
consideration to the TIGER Discretionary Grant Program to focus
submissions on those applications that are most likely to align well
with DOT's selection criteria. While applications may include requests
to fund more than one project, applicants 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. Also, DOT
will not count any application for a multistate project against the
three application limit to the extent multiple states are partnering to
submit the application. Furthermore, jurisdictions that collaborate
with regional partners on a priority application are more likely to be
successful than those that choose separate priorities and apply
separately because DOT will give priority to applications that
demonstrate a high degree of Jurisdictional & Stakeholder Collaboration
(see Section II. Selection Criteria and Guidance on Application of
Selection Criteria). If any lead applicant submits more than three
applications, only the first three received will be considered.
The FY 2012 Appropriations Act requires a new solicitation of
applications and, therefore, any unsuccessful applicant for earlier
rounds of TIGER Discretionary Grants that wishes to be considered for a
TIGER Discretionary Grant this year must reapply according to the
procedures in this notice.
The FY 2012 Appropriations Act specifies that TIGER Discretionary
Grants may be not less than $10 million (except in rural areas) and not
greater than $200 million. The FY 2012 Appropriations Act does not
provide authority to waive the minimum $10 million grant size for
projects located in urbanized areas. For projects located in rural
areas (as defined in Section V (Projects in Rural Areas)), the minimum
TIGER Discretionary Grant size is $1 million. The term ``grant'' in the
provision of the FY 2012 Appropriations Act specifying a minimum grant
size does not include TIGER TIFIA Payments, as described below.
DOT reserves the right to award funds for a part of the project,
not the full project, if a part of the project has independent utility
and aligns well with the selection criteria specified in this notice.
Pursuant to the FY 2012 Appropriations Act, no more than 25 percent
of the funds made available for TIGER Discretionary Grants (or $125
million) may be awarded to projects in a single State.
The FY 2012 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, in awarding TIGER
Discretionary Grants pursuant to the FY 2012 Appropriations Act, DOT
must take measures to ensure an equitable geographic distribution of
grant funds, an appropriate balance in addressing the needs of urban
and rural areas and the investment in a variety of transportation
modes. As in previous rounds of TIGER, high speed and intercity
passenger rail projects remain eligible for funding under this program
and a high priority of this Administration. DOT would like to encourage
those seeking funding for passenger rail projects to consider TIGER and
will, therefore, make up to $100 million in TIGER funds available to
high speed and intercity passenger rail projects.
TIGER Discretionary Grants may be used for up to 80 percent of the
costs of a project, but priority must be given to projects for which
Federal funding is required to complete an overall financing package
and projects can increase their competitiveness by demonstrating
significant non-Federal contributions. 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.
Therefore, for projects located in urban areas, based on the statutory
requirements of at least 20 percent non-Federal cost share and a
minimum grant size of $10 million, the minimum total project size for
an eligible project is $12.5 million (where the minimum $10 million
TIGER Discretionary Grant request represents 80 percent of the total
project cost). The minimum total project size for an eligible project
in a rural area is $1 million (where the entire project cost is funded
with a TIGER Discretionary Grant). However, the statutory requirement
to give priority to projects that use Federal funds to complete an
overall financing package applies to projects located in rural areas as
well, and projects located in rural areas can increase their
competitiveness for purposes of the TIGER program by demonstrating
significant non-Federal financial contributions. In the FY2011
competition, on average, urban projects pledged 65% non-Federal funds
while rural projects featured more than 46% non-Federal funds. Three
TIGER-TIFIA projects will use only 2% TIGER funds but leverage more
than $1.8 billion in non-Federal investment. DOT will consider any non-
Federal funds as well as funds from the Indian Reservation Roads
Program as a local match for purposes of this program, whether such
funds are contributed by the public sector (State or local) or the
private sector. However, DOT cannot consider funds already expended as
a local match.
The 2012 Appropriations Act requires that TIGER funds are only
available for obligation through September 30, 2013. The limited amount
of time for which the funds will be made available means that DOT will
focus on the extent to which a project is ready to proceed with
obligation of grant funds when evaluating applications, and give
priority to those projects that are ready to proceed sooner than other
competitive projects.
The FY 2012 Appropriations Act allows for an amount not to exceed
$175 million of the $500 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. DOT is referring to these payments as
``TIGER TIFIA Payments.'' The amount of budget authority required to
support TIFIA credit assistance is calculated on a project-by-project
basis. Applicants for TIGER TIFIA Payments should submit an application
pursuant to this notice and a separate TIFIA letter of interest, as
described below in Section VI (TIGER TIFIA Payments). Unless otherwise
[[Page 4866]]
noted, or the context requires otherwise, references in this notice to
TIGER Discretionary Grants include TIGER TIFIA Payments.
Due to the limited funding available under this program, applicants
that require a substantial amount of funds to complete a financing
package should consider whether a TIGER TIFIA Payment may provide more
value for their project than a comparable award of grant funds. DOT
reserves the right to offer a TIGER TIFIA Payment to an applicant that
applied for a TIGER Discretionary Grant even if DOT does not choose to
fund the requested TIGER Discretionary Grant and the applicant did not
specifically request a TIGER TIFIA Payment.
While TIFIA support has most often been sought for road and bridge
projects (including multiple TIGER TIFIA payments for managed lanes
projects), TIFIA is a multimodal program. DOT encourages applicants
seeking support for large multimodal projects that meet TIFIA
eligibility criteria, including major transit projects, to consider
TIGER TIFIA Payments as a means for federal support of these projects.
In the past two rounds of TIGER Discretionary Grants, two TIGER TIFIA
Payments were awarded to transit agencies for the expansion of fixed
guideway transit systems.
TIGER grant recipients may apply for funding to support additional
phases of a project awarded funds in earlier rounds of this program.
However, to be competitive, any phase awarded funding in the past
should be at or near completion, and the applicant should provide data
about how the project is performing based on the benefits expected in
the original application.
The FY 2012 Appropriations Act provides that the Secretary of
Transportation may retain up to $20 million of the $500 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. This section is divided into two
parts. Part A (Selection Criteria) specifies the criteria that DOT will
use to rate projects. Additional guidance about how DOT will apply
these criteria, including illustrative metrics and examples, is
provided in Part B (Additional Guidance on Selection Criteria).
A. Selection Criteria
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.''
1. Primary Selection Criteria
(a) Long-Term Outcomes
DOT will give priority to projects that 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 following types of long-term outcomes will
be given priority:
(i) State of Good Repair: Improving the condition of existing
transportation facilities and systems, with particular emphasis on
projects that minimize life-cycle costs.
(ii) Economic Competitiveness: Contributing to the economic
competitiveness of the United States over the medium- to long-term.
(iii) Livability: Fostering livable communities through policies
and investments that increase transportation choices and access to
transportation services for people in communities across the United
States.
(iv) Environmental Sustainability: Improving energy efficiency,
reducing dependence on oil, reducing greenhouse gas emissions and
benefitting the environment.
(v) Safety: Improving the safety of U.S. transportation facilities
and systems.
(b) Job Creation and Near-Term Economic Activity
Job creation and near-term economic activity remain a top priority
of this Administration; therefore, DOT will give priority to projects
that are expected to quickly create and preserve jobs and promote rapid
increases in economic activity, particularly jobs and activity that
benefit economically distressed areas as defined by section 301 of the
Public Works and Economic Development Act of 1965, as amended (42
U.S.C. 3161) (``Economically Distressed Areas'').\2\
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\2\ While Economically Distressed Areas are typically identified
under the Public Works and Economic Development Act at the county
level, for the purposes of this program DOT will consider regions,
municipalities, smaller areas within larger communities, or other
geographic areas to be Economically Distressed Areas if an applicant
can demonstrate that any such area otherwise meets the requirements
of an Economically Distressed Area as defined in section 301 of the
Public Works and Economic Development Act of 1965.
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2. Secondary Selection Criteria
(a) Innovation
DOT will give priority to projects that use innovative strategies
to pursue the long-term outcomes outlined above.
(b) Partnership
DOT will give priority to projects that demonstrate strong
collaboration among a broad range of participants, integration of
transportation with other public service efforts, and/or are the
product of a robust planning process.
B. Additional Guidance on Selection Criteria
The following additional guidance explains how DOT will evaluate
each of the selection criteria identified above in Section II(A)
(Selection Criteria). Applicants are encouraged to demonstrate the
responsiveness of a project to any and all of the selection criteria
with the most relevant information that applicants can provide,
regardless of whether such information has been specifically requested,
or identified, in this notice. Any such information shall be considered
part of the application, not supplemental, for purposes of the
application size limits specified below in Section VII(D) (Length of
Application).
1. Primary Selection Criteria
(a) Long-Term Outcomes
In order to measure a project's alignment with this criterion, DOT
will assess the public benefits generated by the project, as measured
by the extent to which a project produces one or more of the following
outcomes.
(i) State of Good Repair: In order to determine whether the project
will improve the condition of existing transportation facilities or
systems, including whether life-cycle costs will be minimized, DOT will
assess (i) whether the project is part of, or consistent with, relevant
State, local or regional efforts and plans to maintain transportation
facilities or systems in a state of good repair, (ii) whether an
important aim of the project is to rehabilitate, reconstruct or upgrade
[[Page 4867]]
surface transportation assets that, if left unimproved, threaten future
transportation network efficiency, mobility of goods or accessibility
of people, or economic growth due to their poor condition, (iii)
whether 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 sustainable source of revenue is
available for long-term operations and maintenance of the project. The
application should include any quantifiable metrics of the facility or
system's current condition and performance and, to the extent possible,
projected condition and performance, with an explanation of how the
project will improve the facility or system's condition, performance
and/or long-term cost structure, including calculations of avoided
operations and maintenance costs and associated delays.
(ii) Economic Competitiveness: In order to determine whether a
project promotes the economic competitiveness of the United States, DOT
will assess whether the project will measurably contribute over the
long term to growth in the productivity of the American economy. For
purposes of aligning a project with this outcome, applicants should
provide evidence of how improvements in transportation outcomes (such
as time savings and operating cost savings) translate into long-term
economic productivity benefits. These long-term economic benefits that
are provided by the completed project are different from the near-term
economic benefits of construction that are captured in the Job Creation
& Near-Term Economic Activity criterion. In weighing long-term economic
competitiveness benefits, applicants should describe how the project
supports increased long-term efficiency and productivity.
Priority consideration will be given to projects that: (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, or (ii) make improvements that increase the economic
productivity of land, capital or labor at specific locations,
particularly Economically Distressed Areas. Applicants may propose
other methods of demonstrating a project's contribution to the economic
competitiveness of the country and such methods will be reviewed on a
case-by-case basis.
Economic competitiveness may be demonstrated by the project's
ability to increase the efficiency and effectiveness of the
transportation system through integration or better use of all existing
transportation infrastructure. This may be evidenced by the project's
involvement with or benefits to more than one mode and/or its
compatibility with and its connection to other modes and facilities.
Applications that demonstrate increases in efficiency for exports will
be given priority in the evaluation process.
For purposes of demonstrating economic benefits, applicants should
estimate National-level or region-wide economic benefits on
productivity and production (e.g., reduced shipping costs or travel
times for U.S. exports originating both inside and outside of the
region), and should take care not to include economic benefits that are
being shifted from one location in the United States to another
location. Highly localized benefits will receive the most consideration
under circumstances where such benefits are most likely to improve an
Economically Distressed Area (as defined herein) or otherwise improve
access to more productive employment opportunities for under-employed
and disadvantaged populations.
(iii) Livability: Livability investments are projects that not only
deliver transportation benefits, but are also designed and planned in
such a way that they have a positive impact on qualitative measures of
community life. This element of long-term outcomes delivers benefits
that are inherently difficult to measure. However, it is implicit to
livability that its benefits are shared and therefore magnified by the
number of potential users in the affected community. Therefore,
descriptions of how projects enhance livability should include a
description of the affected community and the scale of the project's
impact as measured in person-miles traveled or number of trips
affected. In order to determine whether a project improves the quality
of the living and working environment of a community, 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, which are listed fully at https://www.dot.gov/affairs/2009/dot8009.htm. For this criterion, the Department will give
particular consideration to the first principle, which prioritizes the
creation of affordable and convenient transportation choices.\3\
Specifically, DOT will qualitatively assess whether the project:
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\3\ 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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(1) Will significantly enhance or reduce the average cost of user
mobility through the creation of more convenient transportation options
for travelers;
(2) Will improve existing transportation choices by enhancing
points of modal connectivity, increasing the number of modes
accommodated on existing assets, or reducing congestion on existing
modal assets;
(3) Will improve accessibility and transport services for
economically disadvantaged populations, non-drivers, senior citizens,
and persons with disabilities, or will make goods, commodities, and
services more readily available to these groups; and/or
(4) Is the result of a planning process which coordinated
transportation and land-use planning decisions and encouraged community
participation in the process, such as planning conducted with 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.
Livability improvements may include projects for new or improved
biking and walking infrastructure. However, particular attention will
be paid to the degree to which such projects contribute significantly
to broader traveler mobility, including for people with disabilities,
through intermodal connections, enhanced job commuting options, or
improved connections between residential and commercial areas. Projects
that appear designed primarily as recreational facilities and do not
enhance traveler mobility as described above will not be funded.
(iv) Environmental Sustainability: In order to determine whether a
project promotes a more environmentally sustainable transportation
system, DOT will assess the project's ability to:
(1) Improve energy efficiency, reduce dependence on oil and/or
reduce greenhouse gas emissions, (applicants are encouraged to provide
quantitative information regarding expected reductions in emissions of
CO2 or fuel consumption as a result of the project, or
expected use of clean or alternative
[[Page 4868]]
sources of energy; projects that demonstrate a projected decrease in
the movement of people or goods by less energy-efficient vehicles or
systems will be given priority under this factor); and
(2) Maintain, protect or enhance the environment, as evidenced by
its avoidance of adverse environmental impacts (for example, adverse
impacts related to air or water quality, wetlands, and endangered
species) and/or by its environmental benefits (for example, improved
air quality, wetlands creation or improved habitat connectivity).
Applicants are encouraged to provide quantitative information that
validates the existence of substantial 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.
(v) Safety: In order to determine whether the project improves
safety, DOT will assess the project's ability to reduce the number,
rate and consequences of surface transportation-related crashes,
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
release of hazardous materials.
Evaluation of Expected Project Costs and Benefits: DOT believes
that benefit-cost analysis (``BCA'') is an important discipline. For
BCA to yield useful results, a robust consideration of costs and
benefits is necessary. These include quantified fuel and travel time
savings as well as reductions in greenhouse gas emissions, water
quality impacts, and public health effects as well as quantification of
other costs and benefits that are more indirectly related to vehicle-
miles or that are harder to measure. In addition, BCA should attempt to
measure the indirect effects of transportation investments on land use
and on the portions of household budgets spent on transportation. The
systematic process of comparing expected benefits and costs helps
decision-makers organize information about, and evaluate trade-offs
between, alternative transportation investments.\4\
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\4\ 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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Therefore, applicants for TIGER Discretionary Grants are generally
required to identify, quantify, and compare expected benefits and
costs, subject to the following qualifications:
All 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, statistical analyses) is less for smaller projects
than for larger projects. The level of resources devoted to preparing
the benefit-cost analysis should be reasonably related to the size of
the overall project and the amount of grant funds requested in the
application. Any subjective estimates of benefits and costs should
still be quantified, 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 to an applicant. 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 Appendix A. 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 2012, 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.
Evaluation of Project Performance: 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.
(b) Job Creation and Near-Term Economic Activity
In order to measure a project's alignment with this criterion, DOT
will assess whether the project promotes the short- or long-term
creation or preservation of jobs and whether the project rapidly
promotes new or expanded business opportunities during construction of
the project or thereafter. Applicants are encouraged to provide
information to assist DOT in making these assessments, including the
total amount of funds that will be expended on construction and
construction-related activities by all of the entities participating in
the project and, to the extent measurable, the number and type of jobs
to be created and/or preserved by the project by calendar quarters
during construction and annually thereafter. Applicants should also
identify any business enterprises to be created or benefited by the
project during its construction and once it becomes operational.\5\
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\5\ 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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DOT will continue to apply the Updated Implementing Guidance for
the American Recovery and Reinvestment Act of 2009 issued by the Office
of Management and Budget (``OMB'') on April 3, 2009 (the ``OMB
Guidance'') to the TIGER Discretionary Grants program
[[Page 4869]]
as a matter of policy, and consistent with applicable Federal laws.
Applicants are encouraged to provide information to assist DOT in
assessing (1) whether the project will promote the creation of job
opportunities for low-income workers through the use of best practice
hiring programs and apprenticeship (including pre-apprenticeship)
programs; (2) whether the project will provide maximum practicable
opportunities for small businesses and disadvantaged business
enterprises, including veteran-owned small businesses and service
disabled veteran-owned small businesses; (3) whether the project will
make effective use of community-based organizations in connecting
disadvantaged workers with economic opportunities; (4) whether the
project will support entities that have a sound track record on labor
practices and compliance with Federal laws ensuring that American
workers are safe and treated fairly; and (5) whether the project
implements best practices, consistent with our Nation's civil rights
and equal opportunity laws, for ensuring that all individuals--
regardless of race, gender, age, disability, and national origin--
benefit from TIGER grant funding.
To the extent possible, applicants should indicate whether the
populations most likely to benefit from the creation or preservation of
jobs or new or expanded business opportunities are from Economically
Distressed Areas. In addition, to the extent possible, applicants
should indicate whether the project's procurement plan is likely to
create follow-on jobs and near-term economic activity for manufacturers
and suppliers that support the construction industry.
In evaluating a project's alignment with this criterion, DOT will
assess whether a project is ready to proceed rapidly upon receipt of a
TIGER Discretionary Grant (see Appendix C: Additional Information on
Project Readiness Guidelines for further details), as evidenced by:
(i) Project Schedule: Applicants must include a detailed project
schedule in this section of their application, which should include
major and minor project milestones. If the project will be completed
in individual segments or phases, these segments or phases must be
described individually. A feasible and sufficiently detailed project
schedule demonstrating that the project can begin construction
quickly upon receipt of a TIGER Discretionary Grant,\6\ and that the
grant funds will be spent steadily and expeditiously once
construction starts; 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. 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 owner whose
permission is required to complete the project supports the
application and will cooperate in carrying out the activities to be
supported by the TIGER Discretionary Grant;
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\6\ Each applicant should demonstrate that any potential grant
funding awarded to their project can be obligated no later than June
30, 2013, in order to give DOT comfort that the TIGER Discretionary
Grant funds are likely to be obligated in advance of the September
30, 2013, statutory deadline, and that any unexpected delays will
not put TIGER Discretionary Grant funds at risk of expiring before
they are obligated.
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(ii) Environmental Approvals: 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;
To demonstrate satisfaction of this requirement, applicants will
be asked to provide assurances with their pre-applications and
evidence with their applications that NEPA review is complete or
substantially complete and submit relevant draft or final NEPA
documentation--preferably by way of a Web site link--for DOT review.
DOT is unlikely to select a project for TIGER Discretionary
Grant funding if it involves, or potentially involves, significant
environmental impacts and/or is not clearly likely to complete
required environmental and regulatory reviews in time to meet the
obligation deadline of September 30, 2013.
If an applicant has not substantially completed the NEPA process
the applicant should provide information on the project's current
status in the NEPA process and an estimate of the latest date that
the NEPA process is reasonably expected to be completed. If an
applicant has not initiated the NEPA process, the applicant must
provide a reasonable justification for why the NEPA process has not
yet been initiated as of the date of this notice and an assurance
that the necessary environmental reviews can be completed with
enough time for any post-NEPA, pre-obligation activities to be
completed by June 30, 2013, in order to give DOT comfort that all of
the TIGER Discretionary Grant funds are likely to be obligated in
advance of the September 30, 2013, statutory deadline. An example of
a reasonable justification for why an applicant has not initiated
NEPA review would be if, prior to the availability of TIGER
Discretionary Grant funds, there was no reasonable expectation of
receiving Federal funding for the project. A project selected for
award that has not completed the NEPA process may not be permitted
to use grant funds for construction and related activities until
NEPA is complete and all other necessary environmental approvals
have been received.
An applicant seeking to demonstrate timely environmental review
and permitting should submit the information listed below with its
application:
a. The information required under Sections VII(C)(2)(V) and
VII(F)-(G) (Contents of Applications) of this notice;
b. Environmental studies or other documents--preferably by way
of a Web site link--that describe in detail known potential project
impacts, and possible mitigation for those impacts;
c. A description of completed, or planned and anticipated
coordination with Federal and State regulatory agencies for permits
and approvals;
d. An estimate of the time required for completion of NEPA and
all other required Federal, State or local environmental approvals;
and
e. An identification of the proposed NEPA class of action (i.e.,
Categorical Exclusion, Environmental Assessment, or Environmental
Impact Statement).
(iii) 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; evidence of support from all relevant State
and local officials is not required, however, the evidence should
demonstrate that the project is broadly supported;
(iv) State and Local Planning: The planning requirements of the
operating administration administering the TIGER project will
apply.\7\ Where required by an operating administration, 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. One way applicants may do this is by
providing a link to a Web site showing the planning documents. If
the project is not included in the relevant planning documents at
the time the application is submitted, applicants should submit a
certification from the appropriate planning agency that actions are
underway at the time of the application to
[[Page 4870]]
include the project in the relevant planning document;
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\7\ All regionally significant projects requiring an action by
the FHWA or the FTA must be in the metropolitan transportation plan,
TIP and 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 by the State and 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. This is 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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(v) Technical Feasibility: The technical feasibility of the
project should be demonstrated by previously performed and/or
ongoing 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. If
the project will be completed in individual segments or phases,
these segments or phases must be described individually. For
projects generating ongoing operating expenses, an estimate of those
expenses and a basis for the estimate must be included. Technical
feasibility also includes the technical capacity of the project
sponsor, including a staffing and management plan, demonstrated
experience in successfully implementing (on-time and on-budget)
similar capital investments, and other indications of sponsor and
partner technical capacity to construct the project; and
(vi) 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 revenue
commitments 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 demonstrate financial feasibility by
including a detailed project budget in this section of their
application, which should include 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.
DOT reserves the right to revoke any award of TIGER Discretionary
Grant funds and to award such funds to another project to the extent
that such funds cannot be timely expended and/or construction does not
begin in accordance with the project schedule. Because projects have
different schedules 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 Cognizant Modal Administration. 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 applicants in response to
items (i) through (vi) above. DOT expects that pre-conditions be
complete and TIGER Discretionary Grants funds obligated on or before
June 30, 2013, in order to give DOT comfort that all TIGER
Discretionary Grant funds will be obligated before the statutory
deadline of September 30, 2013. By statute, DOT's ability to obligate
funds for TIGER Discretionary Grants expires on September 30, 2013, and
DOT has no authority to extend the deadline.
2. Secondary Selection Criteria
(a) Innovation
In order to measure a project's alignment with this criterion, DOT
will assess the extent to which the project uses innovative technology
(including, for example, intelligent transportation systems, dynamic
pricing, value capture, rail wayside or on-board energy recovery, smart
cards, real-time dispatching, active traffic management, radio
frequency identification (RFID), or others) 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 that
demonstrate the value of new approaches to, among other things,
transportation funding and finance, contracting, project delivery,
congestion management, safety management, asset management, or long-
term operations and maintenance. The applicant should clearly
demonstrate that the innovation is designed to pursue one or more of
the long-term outcomes outlined above and/or significantly enhance the
transportation system.
DOT will consider the extent to which innovative, multi-modal
projects might be difficult to fund under other programs and will give
priority to projects that align well with the Primary Selection
Criteria but are unlikely to receive funding under traditional
programs.
(b) Partnership
(i) Jurisdictional & Stakeholder Collaboration: In order to measure
a project's alignment with this criterion, DOT will assess the
project's involvement of non-Federal entities and the use of non-
Federal funds, including the scope of involvement and share of total
funding. DOT will give priority to projects that receive financial
commitments from, or otherwise involve, State and local governments,
other public entities, or private or nonprofit entities, including
projects that engage parties that are not traditionally involved in
transportation projects, such as nonprofit community groups. Pursuant
to the OMB Guidance, DOT will give priority to projects that make
effective use of community-based organizations in connecting
disadvantaged people with economic opportunities. Letters of commitment
and other supporting documentation showing existing or confirmed
collaboration, partnerships, etc., should be provided (preferably
through a Web site link) to demonstrate alignment with this criterion.
In compliance with the FY 2012 Appropriations Act, DOT will give
priority to projects for which a TIGER Discretionary Grant will help to
complete an overall financing package. An applicant should clearly
demonstrate in the application the extent to which the project cannot
be readily and efficiently completed without Federal assistance, and
the extent to which other sources of Federal assistance are or are not
readily available for the project. DOT will assess the amount of
private debt and equity to be invested in the project or the amount of
co-investment from State, local or other non-profit sources.
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 should identify a
lead State or jurisdiction as the primary point of contact. Where
multiple States or jurisdictions are submitting a joint application,
the application should demonstrate how the project costs are
apportioned between the States or jurisdictions to assist DOT in making
the distributional determinations described below in Section III(C)
(Distribution of Funds).
(ii) Disciplinary Integration: In order to demonstrate the value of
partnerships across government agencies that serve various public
service missions and to promote collaboration on the objectives
outlined in this notice, DOT will give priority to projects that are
supported, financially or otherwise, by non-transportation public
agencies that are pursuing similar objectives. For example, DOT will
give priority to transportation projects that are coordinated with
economic development, housing, water infrastructure and land use plans
and policies; similarly, DOT will give priority to transportation
projects that
[[Page 4871]]
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 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--will also be given priority.
III. Evaluation and Selection Process
A. Evaluation Process
TIGER Discretionary Grant applications will be evaluated in
accordance with the below discussed evaluation process. DOT will
establish a pre-application evaluation team to review each pre-
application that is received by DOT on or prior to the Pre-Application
Deadline. This evaluation team will be organized and led by the Office
of the Secretary and will include members from the relevant modal
administrations in DOT with the most experience and/or expertise in the
relevant project areas (the ``Cognizant Modal Administrations''). This
evaluation team will be responsible for analyzing whether the pre-
application satisfies the following key threshold requirements:
1. The project is an Eligible Project;
2. NEPA has been addressed, as described above in Section
II(B)(2)(b)(ii) (Environmental Approvals);
3. The project is included in the relevant State, metropolitan, and
local planning documents, or will be included, if applicable;
4. The project expects to be ready to obligate all of the TIGER
Discretionary Grant funds no later than June 30, 2013;\8\ and
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\8\ See footnote 7, above.
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5. Local matching funds to support 20 percent or more of the costs
for the project are identified and committed in applications for
projects in urban areas.\9\
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\9\ For FHWA and FTA committed funds are defined as: ``Funds
that have been dedicated or obligated for transportation purposes''
as described in 23 CFR 450.104.
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To the extent the pre-application evaluation team determines that a
pre-application does not satisfy these key threshold requirements, DOT
will inform the project sponsor that an application for the project
will not be reviewed unless the application submitted on or prior to
the Application Deadline can demonstrate that the requirement has been
addressed.
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 and will include members from each of the Cognizant Modal
Administrations. These representatives will include technical and
professional staff with relevant experience and/or expertise. The
evaluation teams will be responsible for evaluating and rating all of
the projects and making funding recommendations to the Secretary. The
evaluation process will require team members to evaluate and rate
applications individually before convening with other members to
discuss ratings.
DOT will not assign specific numerical scores to projects based on
the selection criteria outlined above in Section II(A) (Selection
Criteria). Rather, ratings of ``highly recommended,'' ``recommended,''
``acceptable,'' or ``not recommended'' will be assigned to projects for
each of the selection criteria. 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 that were highly rated and identify those that should be most
highly rated.
DOT will give more weight to the two Primary Selection Criteria
(Long-Term Outcomes and Job Creation & Near-Term Economic Activity),
which will be weighted equally, than to the two Secondary Selection
Criteria (Innovation and Partnership) which will also be weighted
equally. The following table summarizes the weighting of the selection
criteria, as described in the preceding paragraphs:
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