Document ID: DOT-OST-2023-0097-0001
Agency: dot
Document Type: Notice
Title: Funding Opportunity: Rural and Tribal Assistance Pilot Program
Posted Date: 2023-06-15T04:00Z

[Federal Register Volume 88, Number 115 (Thursday, June 15, 2023)]
[Notices]
[Pages 39327-39334]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-12774]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket Number: DOT-OST-2023-0097]

Rural and Tribal Assistance Pilot Program

AGENCY: Build America Bureau, Department of Transportation.

ACTION: Notice of funding opportunity (NOFO), assistance listing 
#20.943.

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SUMMARY: The Infrastructure Investment and Jobs Act, also known as the 
Bipartisan Infrastructure Law or BIL, created the Rural and Tribal 
Assistance Pilot Program (the Program) to provide early-stage 
development assistance for rural and tribal infrastructure projects. 
The Program will award grants for either the hiring of staff or the 
procurement of expert firms to provide financial, technical, and legal 
assistance; assistance with development-phase activities; and 
information regarding innovative financing best practices and case 
studies. Entities eligible for award include rural local governments or 
political subdivisions, states, Tribes, and the Department of Hawaiian 
Home Lands. The Build America Bureau (Bureau) will administer the 
Program. This Notice of Funding Opportunity (NOFO) makes $3.4 million 
available for awards under the Program. Assistance will be provided in 
the form of direct monetary grants for recipients to hire staff or 
procure advisory assistance. Procurements for and contracts with 
grantee-contracted advisors procured for this award must comply with 
the requirements set forth in the Uniform Administrative Requirements, 
Cost Principles, and Audit Requirements for Federal Awards, as further 
described below.

SUPPLEMENTARY INFORMATION: Each section of this notice contains 
information and instructions relevant to the application process for 
the Program. All applicants should read this notice in its entirety so 
that they have the information they need to submit eligible 
applications.

Table of Contents

A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information

A. Program Description

    The Infrastructure Investment and Jobs Act (Pub. L. 117-58) is a 
generational investment in the nation's transportation system. Section 
21205 of Division B of the BIL (Rural and Tribal Infrastructure 
Advancement) creates a pilot program to provide grants to fund 
financial, technical, and legal assistance to states and rural and 
tribal communities. The grants are intended to augment organizational 
capacity in communities that may not have resources available to 
evaluate and develop projects that qualify for federal funding and 
financing programs.
    This notice makes available a total of $3.4 million of funding for 
the first round of the Program, which is composed of funding 
appropriated for both Fiscal Years 2022 and 2023. Individual awards are 
expected to range from $150,000 up to the statutory limit of either 
$320,000 for FY 2022 funds or $360,000 for FY 2023 funds.\1\ There is 
no local funding match required to participate in this Program.
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    \1\ The BIL limits awards to any individual state to 20% of 
available funds for a single fiscal year. Therefore, the Department 
may make awards of up to $320,000 with FY 2022 funds and up to 
$360,000 with FY 2023 funds. See additional information in Section B 
below regarding the maximum award amount.
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    The following is a sample list of tasks that would be eligible to 
be funded through the Program. This list is intended to serve as an 
example, and is not all-inclusive:

----------------------------------------------------------------------------------------------------------------
         Financial services                    Technical services                      Legal services
----------------------------------------------------------------------------------------------------------------
Revenue forecasting                   Project planning                      Statutory and regulatory framework
                                                                             analysis
Economic assessments and cost-        Feasibility studies                   Drafting and negotiation of
 benefit analyses                                                            concession agreements
Value for money analysis and          Environmental review and permitting   Drafting and negotiation of
 procurement options                                                         interagency agreements

[[Page 39328]]

 
Evaluating opportunities for private  Preliminary engineering and design    Procurement support
 financing and project bundling       Funding application assistance
Financial feasibility analysis;       Public engagement
 funding and financing options        Property development and land use
 analysis                              feasibility analysis
Evaluation of costs to sustain the    Public Benefit Studies
 project (such as operations and      Cost estimation
 maintenance costs)
----------------------------------------------------------------------------------------------------------------

    The intent of this Program is to advance transportation 
infrastructure projects in rural and tribal communities by supporting 
development-phase activities for projects reasonably expected to be 
eligible for certain USDOT credit and grant programs. However, there is 
no requirement for grantees to apply for other funding programs in the 
future.
    The Department's Strategic Goals are Safety, Economic Strength and 
Global Competitiveness, Equity, Climate and Sustainability, 
Transformation, and Organizational Excellence.\2\ The Bureau strongly 
encourages applicants to reflect these values in work funded under this 
Program and include consideration of the extent to which the proposed 
project may address the unique challenges rural and tribal communities 
face relative to these goals. Many projects may later be candidates for 
USDOT discretionary grants, which place considerable emphasis on these 
strategic goals. Considering the Strategic Goals early in project 
development will be very helpful in preparing for future discretionary 
grant applications.
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    \2\ FY 2022-26 USDOT Strategic Plan: https://www.transportation.gov/dot-strategic-plan.
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B. Federal Award Information

    This notice makes available a total of $3.4 million of funding for 
the first two years of the five-year Program (Fiscal Years 2022 and 
2023). Individual awards are expected to range from $150,000 up to the 
program limit of $360,000. Actual amounts awarded will be based on the 
needs of each grantee and available funding. No more than twenty 
percent of available funds for a single fiscal year may be awarded for 
projects in a single state in this round of funding, capping the total 
award amount within any state--and, therefore, any single grant--at 
$320,000 for FY 2022 funds and $360,000 for FY 2023 funds. Therefore, 
grant requests greater than $320,000 will be considered only for FY 
2023 funds; they will not be eligible to compete for FY 2022 funds. In 
order to be considered under the full funding amount available of $3.4 
million, the grant request may not exceed $320,000.
    Eligible applications will be reviewed, and grants will be 
provided, on a first-come, first-served basis as described in Section 
E. Application reviews will conclude once the full $3.4 million has 
been awarded. A non-Federal match is not required to participate in 
this Program.
    Under this Program, it is anticipated that there will be a round of 
funding each fiscal year until FY 2026, with progressively more funding 
available each year. Each round of funding will be announced in a 
separate Notice of Funding Opportunity. Information about future 
funding opportunities will be available on the Bureau's website: 
Transportation.gov/BuildAmerica/RuralandTribalGrants.
    The Department intends to issue grants to enable recipients to: (1) 
acquire the services of independent financial, technical, and legal 
advisors,\3\ or (2) hire staff, in each case to provide development-
phase assistance. A table providing examples of services for which 
recipients can hire staff or procure expert firms using awards under 
the Program is shown in Section A above.
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    \3\ The procurement of, and contract for, advisors procured to 
provide services funded by this award must meet the requirements set 
forth in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part 
200 appendix II.
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    Participation in this Program does not commit the recipient to 
apply for federal financial assistance programs in the future, nor does 
it confer extra consideration if the recipient applies in the future 
for additional funds for the same project.
    Information on how to apply for the Program is found in Section D 
of this notice.

C. Eligibility Information

    Applicants wishing to receive grants through this Program should 
submit applications to demonstrate:
     They are an eligible applicant under this Program, as 
described in Section C.1;
     The project(s) for which grant funding is being requested 
are otherwise eligible for funding or financing through the other USDOT 
programs described in Section C.3; and
     The proposed tasks are appropriate and stated cost(s) are 
adequate for the project(s) identified.

1. Eligible Applicants

    Applicants for the Program must be one of the following:
    i. a unit of local government or political subdivision that is 
located outside of an urbanized area \4\ with a population of more than 
150,000 residents as determined by the Bureau of the Census;
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    \4\ Urbanized area listing should be drawn from the 2020 Census 
results. For 2020 Census results, visit: https://www.census.gov/programs-surveys/geography/guidance/geo-areas/urban-rural.html.
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    ii. a state seeking to advance a project in an area located outside 
of an urbanized area with a population of more than 150,000 residents 
as determined by the Bureau of the Census;
    iii. a federally recognized Indian Tribe; or
    iv. the Department of Hawaiian Home Lands.

2. Cost Sharing or Matching

    There is no requirement for cost sharing or matching the grant 
funds in this Program.

3. Eligible Projects

    Per the Program's requirements, projects receiving assistance under 
this Program must be reasonably expected to be eligible for any one or 
more of the Department's lending or grant programs described below. 
Because this Program provides assistance for development-phase 
activities, we anticipate that many projects may be in such early 
development phases that project costs, funding streams, delivery 
methods, and even the project descriptions themselves may not be fully 
formed. The Bureau will determine whether the project(s) proposed can 
reasonably be eligible for any of the programs discussed below to meet 
this funding Program's requirements. These applicable programs are 
TIFIA, RRIF, INFRA, RAISE, Mega, and the National Culvert Removal, 
Replacement, and Restoration Grant Program. Brief program descriptions, 
program links, and examples of projects eligible under each of these 
programs are shown below:

[[Page 39329]]

    TIFIA Credit Program: http://www.transportation.gov/buildamerica/financing/tifia.
    The Transportation Infrastructure Finance and Innovation Act 
(TIFIA) Program provides credit assistance to finance up to 49 percent 
of eligible project costs for qualified projects, including:
     Highway and bridge projects;
     Public transportation projects;
     International bridges and tunnels;
     Intercity passenger bus or rail facilities and vehicles;
     Freight rail projects and intermodal freight transfer 
facilities;
     Certain projects located within the boundaries of a port 
terminal;
     Transit-oriented development projects; and
     Airport projects.
Minimum Anticipated Project Costs
     $10 million for transit-oriented development, local, and 
rural projects;
     $15 million for intelligent transportation system 
projects; and
     $50 million for all other eligible surface transportation 
projects.
    RRIF Credit Program: http://www.transportation.gov/buildamerica/financing/rrif.
    The Railroad Rehabilitation & Improvement Financing (RRIF) Program 
provides credit assistance to finance development of railroad 
infrastructure up to 100 percent of eligible project costs, including:
     Intermodal or railroad equipment or facilities;
     Landside port infrastructure for seaports serviced by 
rail;
     Refinancing of outstanding debt incurred for the above 
eligible projects;
     Planning, permitting, and design expenses relating to the 
above eligible projects; and
     Transit-oriented development projects.
Minimum Anticipated Project Costs
     There is no minimum project cost for the RRIF Program.
    INFRA Grant Program: www.transportation.gov/grants/infra-grants-program.
    INFRA (known statutorily as the Nationally Significant Freight & 
Highway Projects Program) awards competitive grants for multimodal 
freight and highway projects of national or regional significance to 
improve the safety, efficiency, and reliability of the movement of 
freight and people in and across rural and urban areas, including:
     Highway freight projects on the National Highway Freight 
Network (NHFN);
     Highway or bridge projects on the National Highway System;
     Freight intermodal project or freight rail projects;
     Freight projects that are within the boundaries of a 
public or private freight rail, water (including ports), or intermodal 
facility and are surface transportation infrastructure projects 
necessary to facilitate direct intermodal interchange, transfer, or 
access into or out of the facility;
     Highway-railway grade crossing or grade separation 
projects;
     Wildlife crossing projects;
     Surface transportation projects within the boundaries or 
functionally connected to an international border crossing that 
improves a facility owned by federal/state/local government and 
increases throughput efficiency; and
     Projects for a marine highway corridor that is 
functionally connected to the NHFN and is likely to reduce road mobile 
source emissions.
Minimum Anticipated Project Costs
     Small projects must have a total project cost of at least 
$6.25 million.
    Mega Grant Program: http://www.transportation.gov/grants/mega-grant-program.
    The Mega Program (known statutorily as the National Infrastructure 
Project Assistance Program) supports large, complex projects that are 
difficult to fund by other means and likely to generate national or 
regional economic, mobility, or safety benefits, including:
     Highway or bridge projects on the National Multimodal 
Freight Network;
     Highway or bridge projects on the NHFN;
     Highway or bridge projects on the National Highway System;
     Freight intermodal (including public ports) or freight 
rail projects that provide public benefit;
     Railway highway grade separation or elimination projects;
     Intercity passenger rail projects; and
     Public transportation projects that are eligible for 
assistance under 49 U.S.C. Chapter 53 and are a part of any of the 
project types described above.
Minimum Anticipated Project Costs
     $100 million.
    RAISE Grant Program: www.transportation.gov/RAISEgrants.
    The Rebuilding American Infrastructure with Sustainability and 
Equity, or RAISE, Discretionary Grant Program awards investments in 
surface transportation infrastructure that will have a significant 
local or regional impact. Eligible projects include:
     Capital projects including but not limited to:
    [cir] Highway, bridge, or other road projects eligible under title 
23, United States Code;
    [cir] Public transportation projects eligible under chapter 53 of 
title 49, United States Code;
    [cir] Passenger and freight rail transportation projects;
    [cir] Port infrastructure investments (including inland port 
infrastructure and land ports of entry);
    [cir] Surface transportation components of an airport;
    [cir] Intermodal projects;
    [cir] A project to replace or rehabilitate a culvert or prevent 
stormwater runoff for the purpose of improving habitat for aquatic 
species while advancing the goals of the RAISE program;
    [cir] Projects investing in surface transportation facilities that 
are located on tribal land and for which title or maintenance 
responsibility is vested in the federal government; and
    [cir] Any other surface transportation infrastructure project that 
the Secretary considers to be necessary to advance the goals of the 
program.
     Planning projects which include planning, preparation, or 
design (for example--environmental analysis, feasibility studies, and 
other pre-construction activities) of eligible surface transportation 
capital projects.
    National Culvert Removal, Replacement, and Restoration Grant 
Program: https://www.fhwa.dot.gov/engineering/hydraulics/culverthyd/aquatic/culvertaop.cfm.
    This program awards grants for the replacement, removal, and repair 
of culverts or weirs that meaningfully improve or restore fish passage 
for anadromous fish. Anadromous fish migrate upstream for breeding. 
Eligible project types include:
     Replacement, removal, or repair of culverts that would 
meaningfully improve or restore fish passage for anadromous fish.
     Replacement, removal, or repair of weirs that would 
meaningfully improve or restore fish passage for anadromous fish. With 
respect to weirs, the project may include--
     infrastructure to facilitate fish passage around or over 
the weir; and weir improvements

D. Application and Submission Information

1. Address To Request Application Package

    Grant application materials, including the web-based application, 
can be accessed at Transportation.gov/BuildAmerica/RuralandTribalGrants. Applicants must use the web-based application 
form to submit their applications. Potential applicants may also 
request paper copies of materials for review at:

[[Page 39330]]

    Telephone: (202) 366-4114.
    Mail: U.S. Department of Transportation, 1200 New Jersey Avenue SE, 
W84-322, Washington, DC 20590.
    General information for submitting applications can be found at 
Transportation.gov/BuildAmerica/RuralandTribalGrants.

2. Content and Form of Application Submission

i. Proposal Submission
    Email, mail, and fax submissions will not be accepted. The web-
based application form available at Transportation.gov/BuildAmerica/RuralandTribalGrants must be submitted electronically for grant funding 
consideration. Applicants should contact the Bureau in advance of the 
application deadline if they are experiencing issues submitting their 
application due to internet connectivity. Failure to submit the 
information as requested can disqualify the application.
    The Rural and Tribal Assistance Pilot Program web-based application 
form includes guidance and provides a consistent format for applicants 
to respond to the criteria outlined in this notice. One web-based form 
must be submitted for each project being proposed under the Program. 
The maximum number of applications an applicant can submit is three. 
Unless indicated as optional, the application must include responses to 
all sections of the application form. The application will be used to 
determine applicant and project eligibility for the Program and the 
appropriateness of the proposed tasks and grant amount being requested 
by the applicant.
    Applicants must fill in all fields unless stated otherwise on the 
form. Applicants should not place ``N/A'' in lieu of typing in 
responses in the field sections--except on questions where ``N/A'' is 
stated as an acceptable response. If information is copied into the 
web-based application form from another source, applicants should 
verify that the pasted text is fully captured and has not been 
truncated by the character limits built into the form. Complete 
instructions on the application process along with contact information 
for assistance with application submission and clarification on 
application questions can be found at Transportation.gov/BuildAmerica/RuralandTribalGrants. Compliance with all applicable federal laws and 
regulations must be accounted for.
ii. Application Content
    The web-based application form will prompt applicants for required 
information, including, but not limited to, the following:
    (a) Name of the applicant and type of applicant.
    (b) Contact information including: Contact name, title, address, 
phone number, and email address.
    (c) UEI (Unique Entity Identifier). If the applicant is not yet 
registered in SAM.gov, the applicant must be registered prior to 
submitting an application. A UEI will be issued free of charge upon 
registration. If the applicant is already registered in SAM.gov but has 
not received a UEI, the applicant can request one in SAM.gov.
    (d) Project Title: Provide a brief, descriptive title of the 
project; e.g., ``Widening of X Street from Avenue 1 to Avenue 7 in Y 
Community in Z State.''
    (e) Project Location: Provide a description of the location of the 
project with enough identifiers that the Application Review Team can 
locate the project area using publicly-available map services.
    (f) Project Description: Describe the overall project, including 
project type, features to be constructed, an estimate of the overall 
project cost, and a project schedule. If applicable, applicants should 
describe any anticipated overall project benefits such as increasing 
affordable transportation options, improving safety, connecting 
Americans to good-paying jobs, fighting climate change, or improving 
access to resources and quality of life.
    (g) Appropriateness of Requested Services: (1) Describe in detail 
the task(s) to be completed with this Program funding, stating how 
these task(s)/services will materially advance the overall project. 
Include the estimated cost of the task(s) and the amount of Program 
funding requested. (2) Describe the project-related development 
activities already completed, and list data or information collected or 
activities conducted that are necessary for completing the task(s) 
funded through this Program.
    (h) Viability of Requested Services: (1) If procuring advisory 
services, describe relevant experience procuring such services. For 
both the hiring of staff and procurement of advisory services, note if 
there will be additional funding committed to the project. Cite the 
source of the local funding commitment and the amount of local funding. 
(2) Confirm if a bid, quote, or estimate has been obtained for the 
proposed task(s).

3. Unique Entity Identifier and System for Award Management (SAM)

    Each applicant must have completed the registration process on 
SAM.gov to establish its registration and obtain a valid Unique Entity 
Identifier (UEI) prior to submitting their application.
    In addition, each applicant must continue to maintain an active SAM 
registration with current information at all times during which it has 
an active federal award or an application or plan under consideration 
by a federal awarding agency. The Department may not make a grant to an 
applicant until the applicant has complied with all applicable unique 
entity identifier and SAM requirements and, if an applicant has not 
fully complied with the requirements by the time the Department is 
ready to make a grant, the Department may determine that the applicant 
is not qualified to receive a grant and use that determination as a 
basis for making a grant to another applicant.

4. Submission Dates and Timelines

    After the application window opens, applications will be reviewed 
on a rolling (first-come, first-served) basis until available funding 
is expended or this notice is superseded by another notice. The 
application window will open on August 14, 2023, 60 days after 
publication of this notice. The link to the web-based application form 
on Transportation.gov/BuildAmerica/RuralandTribalGrants will open on 
August 14, 2023 and will remain open until July 31, 2023, a period of 
45 days. As progress of completing the web-based application form 
cannot be saved and must be completed in a single session, a pdf 
version of the application form will be available at 
Transportation.gov/BuildAmerica/RuralandTribalGrants when this funding 
announcement is published. Funding may be fully committed before the 
application open period concludes. The Bureau will hold NOFO 
information session(s) before the application window opens. Information 
on these information sessions and other program updates will be 
available on Transportation.gov/BuildAmerica/RuralandTribalGrants.

5. Intergovernmental Review

    Applications under this NOFO are not subject to the state review 
under E.O. 12372.

6. Funding Restrictions

    Up to $3.4 million of funding is being made available during this 
round of funding. Funding for this Program come from funds made 
available to provide

[[Page 39331]]

credit assistance under the TIFIA program, but are limited to $1.6m for 
fiscal year 2022 and $1.8m for fiscal year 2023. No more than 20 
percent of available funds may be awarded to projects in a single state 
in any one fiscal year. This requirement results in a capping of the 
total award amount within any state--and therefore, any single grant--
at $320,000 for awards made from Fiscal Year 2022 funds and $360,000 
for awards made from Fiscal Year 2023 funds. Therefore, grant requests 
greater than $320,000 will be considered only for FY 2023 funds; they 
will not be eligible to compete for FY 2022 funds. In order to be 
considered under the full funding amount available of $3.4 million, the 
grant request may not exceed $320,000.
    $1.6 million of Program funds ($800,000 from each Fiscal Year) will 
be set aside for grants to tribal entities. Any of the funds set aside 
for this purpose that are not allocated within one month of the 
application close date will be allocated to any type of qualified 
applicant based on the order in which applications were received.
    Expenses incurred prior to signature of the grant agreement are not 
eligible for reimbursement under this Program unless prior 
authorization is obtained from the Bureau in writing.
    All procurements for, and contracts with, grantee-contracted 
advisors procured under this award must comply with the requirements 
set forth in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part 
200 appendix II.

7. Other Submission Requirements

    To prepare for proposal submission, applicants should begin the 
process of registering with the System Award for Management (SAM) at 
www.sam.gov to obtain a valid Unique Entity Identifier (UEI). All 
registrations are free of charge. Please note that SAM.gov's 
registration process can take multiple weeks to complete.

8. Consideration of Application

    The Bureau will perform a compliance check of all received 
applications to ensure the application is complete and submitted in 
accordance with the NOFO instructions. Only eligible applicants who 
comply with all submission instructions described in this notice and 
submit applications through Transportation.gov/BuildAmerica/RuralandTribalGrants will be considered for award.

E. Application Review Information

    The application review and selection process is outlined below. 
After the application window opens, grants will be made on a first-
come, first-served basis. Eligible applicants are encouraged to submit 
applications as early as possible once the application period opens as 
applications will be reviewed in the order in which they are received.

1. Criteria

    Applications deemed complete and eligible will be evaluated based 
on the two below criteria to determine the likelihood that the 
requested service(s) will materially advance the project and that the 
funds requested are likely to be sufficient to complete the task(s) and 
deliverable(s) identified in the application. Applications that are 
rated ``Meets'' in both criteria below will be recommended to the Under 
Secretary of Transportation for Policy for funding in the order they 
are received.
    i. Criterion (1): Appropriateness of services requested: The 
Application Review Team will assess whether and to what extent the 
proposed tasks will materially advance the overall project identified 
in the application. The Application Review Team will consider:
     the current state of the project's development,
     whether the proposed tasks are appropriate for the current 
state of the project's development, and
     the likelihood that the requested services will materially 
advance the project's development.
    The goal of this assessment is to ensure that the proposed tasks 
are appropriate for the project's current state of development and will 
have a material impact on the project's overall development. The rating 
categories are outlined in the table below.

------------------------------------------------------------------------
                                 Appropriateness
            Rating                  criterion             Example
------------------------------------------------------------------------
Does Not Meet.................  Requested          The services
                                 services are       requested are not
                                 either not         necessary or
                                 helpful in         appropriate for the
                                 advancing the      project's ultimate
                                 project(s) or      funding, financing,
                                 not appropriate    and delivery;
                                 for the project   The project
                                 in its current     description does not
                                 state of           provide information
                                 development.       on the overall
                                                    project's need or
                                                    specific challenges
                                                    it will address; or
                                                   The services
                                                    requested would
                                                    require information
                                                    or data that is not
                                                    yet available
                                                    because other
                                                    activities, such as
                                                    cost estimating,
                                                    design, or market
                                                    studies would be
                                                    needed prior to
                                                    procuring the
                                                    requested services,
                                                    and the applicant
                                                    has not described a
                                                    reasonable plan to
                                                    complete those
                                                    activities before
                                                    receiving services.
Meets.........................  Likely to advance  It is reasonably
                                 the project(s).    likely that the
                                                    services requested
                                                    will demonstrably
                                                    advance the project;
                                                    or
                                                   It is probable that
                                                    the necessary
                                                    information or data
                                                    needed for this task
                                                    is available at this
                                                    point in the
                                                    project(s)
                                                    development.
------------------------------------------------------------------------

    ii. Criterion (2): Viability of grant funds requested: The 
Application Review Team will assess whether and to what extent the 
funding package (made up of funding requested through this Program and 
local funding commitment, if any) is likely to result in fully funding 
and completing the specified task(s) while also providing the 
deliverable(s) necessary to materially advance the project(s). The Team 
will consider:
     for applicants seeking to procure advisory services: 
whether the applicant has obtained bids or quotes for the requested 
services, and the applicant's experience procuring advisory services in 
the past,
     for applicants seeking to hire staff for this task: their 
organization's hiring process (i.e. do they have a defined job 
description for this task, process for recruitment), and
     the source and amount of funding the applicant intends to 
commit (if any) as a contribution to the overall cost of the services 
being proposed. (The addition of local funding will not influence the 
rating of this criterion).
    The goal of this assessment is to ensure that the funding plan, 
including the funding requested in the application, and the staffs' 
experience in procuring advisory services or efficiency in hiring staff 
are adequate to complete the task(s) proposed and to achieve the 
deliverable(s) necessary to advance the project.

[[Page 39332]]

------------------------------------------------------------------------
                                    Viability
            Rating                  criterion             Example
------------------------------------------------------------------------
Does Not Meet.................  It is either       There is little or no
                                 unclear or         evidence that the
                                 unlikely that      applicant has (a)
                                 the funding        either previous
                                 package \5\ is     procurement
                                 appropriate for    experience or an
                                 completing the     efficient process
                                 task(s) and        for hiring staff,
                                 deliverable(s)     (b) the capacity to
                                 identified in      estimate the cost
                                 the application.   for the services
                                                    identified in the
                                                    application, or (c)
                                                    obtained a
                                                    reasonable estimate
                                                    or quote for the
                                                    services identified;
                                                    or
                                                   The funding package,
                                                    to include any local
                                                    funding
                                                    contribution, will
                                                    not produce a
                                                    completed task(s) or
                                                    deliverable(s)
                                                    identified in the
                                                    application.
Meets.........................  It is likely that  The applicant has
                                 the funding        provided evidence
                                 package\5\ is      sufficient to
                                 appropriate for    determine that it is
                                 completing the     likely that it has
                                 task(s) and        the experience or
                                 deliverable(s)     capacity to
                                 identified in      accurately estimate
                                 the application.   the services
                                                    identified in the
                                                    application; or
                                                   The applicant has
                                                    provided sufficient
                                                    cost estimates or
                                                    quotes to conclude
                                                    that it is likely
                                                    the funding
                                                    requested will
                                                    result in a
                                                    completed task(s) or
                                                    deliverable(s)
                                                    identified in the
                                                    application.
------------------------------------------------------------------------

2. Review and Selection Process
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    \5\ The funding package is made up of the funding requested 
through this Program and the local funding commitment, if any.
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    An Application Review Team composed of Department staff will screen 
applications in the order they are received. This initial review will 
cover completeness (see Section D for more information), eligibility of 
the applicant (see Section C.1), and the eligibility of the project(s) 
being proposed (see Section C.3).
    For those applications deemed complete and eligible, the 
Application Review Team will review them based on criteria shown in 
Section E.1 above. Applications that receive ``Meets'' for both scoring 
criteria will be recommended for award to the Under Secretary of 
Transportation for Policy, along with the recommended grant amount, 
which may be less than the requested grant amount. Recommended grant 
amounts could differ from the requested grant amount due to the 
availability of grant funding remaining. Among recommended 
applications, awards will be made on a first-come, first-served basis 
(implemented based on the day and time the application is received by 
USDOT) until available funding is exhausted. If multiple recommended 
applications are received on the same day, they will be reviewed in the 
order they were received, as noted by the timestamp given to 
applications when they are submitted.

3. Integrity and Performance System Reporting

    USDOT, prior to making an award under this Program with a total 
amount of federal share greater than the simplified acquisition 
threshold of $250,000, is required to review and consider any 
information about the applicant that is in the designated integrity and 
performance system accessible through SAM (currently FAPIIS) (see 41 
U.S.C. 2313).
    An applicant, at its option, may review information in the 
designated integrity and performance systems accessible through SAM and 
comment on any information about itself that a federal awarding agency 
previously entered and is currently in the designated integrity and 
performance system accessible through SAM.
    USDOT will consider any comments by the applicant, in addition to 
the other information in the designated integrity and performance 
system, in making a judgment about the applicant's integrity, business 
ethics, and record of performance under federal awards when completing 
the review of risk posed by applicants as described in 2 CFR 200.206.

F. Federal Award Administration Information

1. Federal Award Notices

    The Bureau will provide applicants that submitted a complete 
application for a grant under this Program with a notice describing 
whether the application is approved or disapproved no later than 60 
days after the date on which a complete application was received.
    Not later than 30 days after the above notification, if the 
application is disapproved, the Bureau will offer a written or 
telephonic debrief to provide an explanation of, and guidance 
regarding, the reasons why the application was not approved.
    The Bureau will publish an online report, updated monthly, that 
includes information on applications received, entity type, location of 
the potential project, a brief description of the assistance requested, 
the date on which the application was received, and the date on which 
the applicant was provided the notice of approval or disapproval. 
Applicants to the Program must agree to publication of this information 
as a condition of applying.
    Selected applications will be formalized through the development of 
a grant agreement between the grantee and the Bureau. Grants are 
reimbursable, meaning that the recipient will be reimbursed after-the-
fact for agreed-upon eligible expenses as set forth in the grant 
agreement. The recipient may request reimbursement from the Government 
on a monthly basis for eligible expenses incurred. Expenses incurred 
prior to signature of the grant agreement are not eligible for 
reimbursement under this Program, unless prior authorization is 
obtained from the Bureau in writing.

2. Administration and National Policy Requirements

    Performance under this Program will be governed by and in 
compliance with the following requirements as applicable to the type of 
organization of the recipient and any applicable sub-recipients.
    It is the policy of USDOT to reflect Administration priorities and 
incorporate criteria related to climate change and sustainability, 
racial equity including environmental justice, critical infrastructure 
security and resilience, Title VI and other federal Civil Rights laws, 
and barriers to opportunity, labor, and workforce in its grant 
programs, to the extent possible and consistent with law. Considering 
the Strategic Goals early in project development will be very helpful 
in preparing for future discretionary grant applications. As such, in 
developing grant agreements with grantees, the Bureau will work to 
incorporate these Strategic Goals in project development activities 
under this Program.
    All awards will be administered pursuant to the Uniform 
Administrative Requirements, Cost Principles and Audit Requirements for 
Federal Awards found in 2 CFR part 200, as adopted by USDOT at 2 CFR 
part 1201.
    In connection with any program or activity conducted with or 
benefiting from funds awarded under this notice, recipients of funds 
must comply with all applicable requirements of federal law, including, 
without limitation, the Constitution of the United States statutory, 
regulatory, and public policy

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requirements, including without limitation, those protecting free 
speech, religious liberty, public welfare, the environment, and 
prohibiting discrimination; the conditions of performance, non-
discrimination requirements, and other assurances made applicable to 
the award of funds in accordance with regulations of the Department of 
Transportation; and applicable federal financial assistance and 
contracting principles promulgated by the Office of Management and 
Budget. In complying with these requirements, recipients must ensure 
that no concession agreements are denied, or other contracting 
decisions made on the basis of speech or other activities protected by 
the First Amendment. If the Bureau determines that a recipient has 
failed to comply with applicable federal requirements, the Bureau may 
terminate the award of funds and disallow previously incurred costs, 
requiring the recipient to reimburse any expended award funds.
    As a condition of grant award, grant recipients may be required to 
participate in an evaluation undertaken by DOT or another agency or 
partner. The evaluation may take different forms such as an 
implementation assessment across grant recipients, an impact and/or 
outcomes analysis of all or selected sites within or across grant 
recipients, or a benefit/cost analysis or assessment of return on 
investment. DOT may require applicants to collect data elements to aid 
the evaluation and/or use information available through other 
reporting. As a part of the evaluation, as a condition of award, grant 
recipients must agree to: (1) make records available to the evaluation 
contractor or DOT staff; (2) provide access to program records, and any 
other relevant documents to calculate costs and benefits; (3) in the 
case of an impact analysis, facilitate the access to relevant 
information as requested; and (4) follow evaluation procedures as 
specified by the evaluation contractor or DOT staff.
    Recipients and subrecipients are also encouraged to incorporate 
program evaluation including associated data collection activities from 
the outset of their program design and implementation to meaningfully 
document and measure their progress towards meeting an agency priority 
goal(s). Title I of the Foundations for Evidence-Based Policymaking Act 
of 2018 (Evidence Act), Public Law 115-435 (2019) urges Federal 
awarding agencies and Federal assistance recipients and subrecipients 
to use program evaluation as a critical tool to learn, to improve 
equitable delivery, and to elevate program service and delivery across 
the program lifecycle. Evaluation means ``an assessment using 
systematic data collection and analysis of one or more programs, 
policies, and organizations intended to assess their effectiveness and 
efficiency.'' 5 U.S.C. 311. Credible program evaluation activities are 
implemented with relevance and utility, rigor, independence and 
objectivity, transparency, and ethics (OMB Circular A-11, Part 6 
Section 290).
    For grant recipients receiving an award, evaluation costs are 
allowable costs (either as direct or indirect), unless prohibited by 
statute or regulation, and such costs may include the personnel and 
equipment needed for data infrastructure and expertise in data 
analysis, performance, and evaluation. (2 CFR part 200).

3. Reporting

    Accepting an award commits the recipient to participation in 
reporting and oversight of the project. This section discusses 
reporting requirements of the Program.
i. Periodic Reporting
    Grantees will be required to make regular reports to the Bureau 
contracting officer and technical representatives. Exact reporting 
requirements will be articulated in the grant agreement. Monthly 
progress meetings or calls are expected to be held, during which the 
Bureau will review project activities, schedule, and progress toward 
mutually agreed upon performance targets. Written reports are also 
expected, likely on a quarterly basis.
    In addition to regular reporting, each grant recipient Program must 
submit a grant closeout report as set forth in the grant agreement to 
ensure accountability and financial transparency in the Program.
ii. Performance Reporting of Advisor Performance
    Each applicant selected for grant funding must collect and report 
to the Bureau information on the status of the services funded with 
this grant award. The specific performance information and reporting 
period will be determined on an individual basis and will be reflected 
in each grant agreement.
iii. Advisor Approval
    All procurements and contracts for grantee-contracted advisors 
procured for this award to must comply with the requirements set forth 
in 2 CFR 200.317-327 and 2 CFR 200.459, including 2 CFR part 200 
appendix II. Failure to comply with the part 200 requirements regarding 
contractors and failure to obtain written approval prior to 
subcontracting may result in costs being deemed ineligible for 
reimbursement.
iv. Reporting of Matters Related to Recipient Integrity and Performance
    If the total value of a selected applicant's currently active 
grants, cooperative agreements, and procurement contracts from all 
federal awarding agencies exceeds $10,000,000 for any period of time 
during the period of performance of this federal award, then the 
applicant during that period of time must maintain the currency of 
information reported to the SAM that is made available in the 
designated integrity and performance system (currently FAPIIS) about 
civil, criminal, or administrative proceedings. This is a statutory 
requirement under section 872 of Public Law 110-417, as amended (41 
U.S.C. 2313). As required by section 3010 of Public Law 111-212, all 
information posted in the designated integrity and performance system 
on or after April 15, 2011, except past performance review required for 
federal procurement contracts, will be publicly available.

G. Federal Awarding Agency Contacts

    For further information concerning this notice, please contact the 
Bureau via email at [email protected] or call Susan Wilson at 
202-366-0765. A TDD is available for individuals who are deaf or hard 
of hearing at 202-366-3993. In addition, the Bureau will post answers 
to questions and requests for clarifications on the Bureau's website at 
Transportation.gov/BuildAmerica/RuralandTribalGrants. To ensure 
applicants receive accurate information about eligibility or the 
Program in general, the applicant is encouraged to contact the Bureau 
directly, rather than through intermediaries or third parties, with 
questions. Bureau staff will also conduct briefings on the Program 
grant selection and award process upon request.

H. Other Information

1. Protection of Confidential Business Information

    All information submitted as part of or in support of any 
application shall use publicly available data or data that can be made 
public and methodologies that are accepted by industry practice and 
standards, to the extent possible.

2. Publication/Sharing of Application Information

    As noted previously, and required by statute, the Bureau will 
publish an online monthly report that includes, for

[[Page 39334]]

each application received, entity type, location of the potential 
project, a brief description of the assistance requested, the date on 
which the application was received, and the date on which the applicant 
was provided the notice of approval or disapproval.
    Except for the information properly marked as described in Section 
H.1, the Bureau may make application information publicly available or 
share it within USDOT or with other federal agencies if USDOT 
determines that sharing is relevant to the respective Program's 
objectives.

    Issued in Washington, DC on June 9th, 2023.
Morteza Farajian,
Executive Director.
[FR Doc. 2023-12774 Filed 6-14-23; 8:45 am]
BILLING CODE P