Notice2022-20597
SMART Grants Notice of Funding Opportunity
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 23, 2022
Issuing agencies
Transportation Department
Abstract
The purpose of this notice is to solicit applications for Strengthening Mobility and Revolutionizing Transportation (SMART) grants. Funds for the fiscal year (FY) 2022 SMART Grants Program are to be awarded on a competitive basis to conduct demonstration projects focused on advanced smart city or community technologies and systems to improve transportation efficiency and safety.
Full Text
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[Federal Register Volume 87, Number 184 (Friday, September 23, 2022)]
[Notices]
[Pages 58187-58198]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-20597]
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DEPARTMENT OF TRANSPORTATION
SMART Grants Notice of Funding Opportunity
AGENCY: Office of the Assistant Secretary for Research and Technology
(OST-R), U.S. Department of Transportation (DOT or the Department).
ACTION: Notice of Funding Opportunity (NOFO), Assistance Listing
#20.941.
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SUMMARY: The purpose of this notice is to solicit applications for
Strengthening Mobility and Revolutionizing Transportation (SMART)
grants. Funds for the fiscal year (FY) 2022 SMART Grants Program are to
be awarded on a competitive basis to conduct demonstration projects
focused on advanced smart city or community technologies and systems to
improve transportation efficiency and safety.
DATES: Applications must be submitted by 5:00 p.m. EST on Friday,
November 18, 2022. Late applications will not be accepted.
ADDRESSES: Applications must be submitted via Valid Eval, an online
submission proposal system used by USDOT, at <a href="https://usg.valideval.com/teams/USDOT_SMART_2022/signup">https://usg.valideval.com/teams/USDOT_SMART_2022/signup</a>.
FOR FURTHER INFORMATION CONTACT: Please contact SMART Grant Program
staff via email at <a href="/cdn-cgi/l/email-protection#35465854474175515a411b525a43"><span class="__cf_email__" data-cfemail="0e7d636f7c7a4e6a617a20696178">[email protected]</span></a>, or call Roxanne Ledesma at 202-774-
8003. A telecommunications device for the deaf (TDD) is available at
202-366-3993. In addition, USDOT will regularly post answers to
questions and requests for clarifications, as well as schedule
information regarding webinars providing additional guidance, on
USDOT's website at <a href="https://www.transportation.gov/smart">https://www.transportation.gov/smart</a>. The deadline
to submit technical questions is Friday, November 4, 2022.
SUPPLEMENTARY INFORMATION: Each section of this notice contains
information and instructions relevant to the application process for
SMART grants. All applicants should read this notice in its entirety so
that they have the information they need to submit eligible and
competitive applications.
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Page
Section Content No.
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A........................... Program Description.............. 2
B........................... Federal Award Information........ 4
C........................... Eligibility Information.......... 5
D........................... Application and Submission 10
Information.
E........................... Application Review Information... 15
F........................... Federal Award Administration 19
Information.
G........................... Federal Awarding Agency Contacts. 24
H........................... Other Information................ 24
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Office of the Assistant Secretary for Research and Technology (OST-R),
USDOT
Notice of Funding Opportunity for the Strengthening Mobility and
Revolutionizing Transportation (SMART) Grants Program
A. Program Description
1. Overview
Section 25005 of the Infrastructure Investment and Jobs Act (Pub.
L. 117-58, November 15, 2021; also referred to as the ``Bipartisan
Infrastructure Law'' or ``BIL'') authorized and appropriated $100
million to be awarded by the Department of Transportation (DOT) for FY
2022 for the SMART Grants Program. This NOFO solicits applications for
activities to be funded under the SMART Grants Program. The FY22
funding will be implemented, as appropriate and consistent with law, in
alignment with the priorities in Executive Order 14052, Implementation
of the Infrastructure Investment and Jobs Act (86 FR 64355).\1\
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\1\ The priorities of Executive Order 14052, ``Implementation of
the Infrastructure Investments and Jobs Act'' are as follows: to
invest efficiently and equitably, promote the competitiveness of the
U.S. economy, improve job opportunities by focusing on high labor
standards and equal employment opportunity, strengthen
infrastructure resilience to hazards including climate change, and
to effectively coordinate with State, local, Tribal, and territorial
government partners. <a href="https://www.federalregister.gov/documents/2021/11/18/2021-25286/implementation-of-the-infrastructure-investment-and-jobs-act">https://www.federalregister.gov/documents/2021/11/18/2021-25286/implementation-of-the-infrastructure-investment-and-jobs-act</a>.
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The purpose of the SMART Grants Program is to conduct demonstration
projects focused on advanced smart city or community technologies and
systems in a variety of communities to improve transportation
efficiency and safety. The program funds projects that are focused on
using technology interventions to solve real-world challenges and build
data and technology capacity and expertise in the public sector.\2\
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\2\ For more information and illustrative use cases, please see
<a href="http://www.transportation.gov/SMART">www.transportation.gov/SMART</a>.
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2. Program Structure
The SMART Grants Program includes two stages: Stage 1 Planning and
Prototyping Grants (Stage 1 grants) and Stage 2 Implementation Grants
(Stage 2 grants). The program structure is based on a belief that
planning, prototyping, and partnership are critical to advancing the
state of the practice for data and technology projects in the public
sector. USDOT anticipates that only recipients of Stage 1 Planning and
Prototyping Grants will be eligible for Stage 2 Implementation Grants
and anticipates funding projects of up to $2,000,000 per project for
Stage 1 and up to $15,000,000 per project for Stage 2.
Stage 1 recipients should build internal buy-in and partnerships
with stakeholders to refine and prototype their concepts, and report on
results. Stakeholders can include public, private, academic, and
nonprofit organizations; organized labor and workforce organizations;
and community organizations and networks. At the conclusion of Stage 1,
recipients should have the information to either create a fully
realized implementation plan with robust performance metrics; or to
make an informed decision not to proceed with the concept. Stage 1
results may uncover previously unknown institutional barriers,
technical limitations, or poor
[[Page 58188]]
performance relative to conventional solutions. The SMART Grants
Program expects to document lessons learned from Stage 1 projects,
knowing that these findings will be broadly beneficial to the
transportation sector.
Stage 2 implementation projects should result in a scaled-up
demonstration of the concept, integrating it with the existing
transportation system and refining the concept such that it could be
replicated by others. If demonstration at scale identifies critical
challenges, gaps, or negative impacts, they should be clearly stated
and documented so that other communities that take on similar projects
can learn from them and adapt.
This NOFO solicits applications only for Stage 1 grants. USDOT
anticipates that an FY23 SMART Grants Program NOFO will solicit
applications for both Stage 1 and Stage 2 grants.
3. Departmental Priorities
The FY 2022-2026 U.S. Department of Transportation Strategic Plan
establishes USDOT's strategic goals: safety, economic strength and
global competitiveness, equity, climate and sustainability,
transformation, and organizational excellence.\3\ The USDOT Innovation
Principles guide Departmental actions related to innovation generally
as well as the transformation strategic goal.\4\ Applicants are
encouraged to review the Innovation Principles, along with other
resources accessible on the SMART Grants website \5\ and to incorporate
them into the design of applications for the SMART Grants Program.
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\3\ See: FY 2022-26 USDOT Strategic Plan (<a href="https://www.transportation.gov/dot-strategic-plan">https://www.transportation.gov/dot-strategic-plan</a>), page 6. Last updated
April 7, 2022.
\4\ See: USDOT Innovation Principles (<a href="https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles">https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles</a>). Released January 6, 2022; last updated July 14, 2022.
\5\ Other resources can be found at <a href="http://www.transportation.gov/SMART">www.transportation.gov/SMART</a>, and include the USDOT Strategic Plan, the USDOT Equity Action
Plan, and the National Roadway Safety Strategy.
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4. SMART Grants Program Priorities
As established in BIL, projects funded by the SMART Grants Program
use advanced data, technology, and applications to provide significant
benefits to a local area, a State, a region, or the United States.
These benefits are identified in BIL and align to the following
categories:
<bullet> Safety and reliability: Improve the safety of systems for
pedestrians, bicyclists, and the broader traveling public. Improve
emergency response.
<bullet> Resiliency: Increase the reliability and resiliency of the
transportation system, including cybersecurity and resiliency to
climate change effects.
<bullet> Equity and access: Connect or expand access for
underserved or disadvantaged populations. Improve access to jobs,
education, and essential services.
<bullet> Climate: Reduce congestion and/or air pollution, including
greenhouse gases. Improve energy efficiency.
<bullet> Partnerships: Contribute to economic competitiveness and
incentivize private sector investments or partnerships, including
technical and financial commitments on the proposed solution.
Demonstrate committed leadership and capacity from the applicant,
partners, and community.
<bullet> Integration: Improve integration of systems and promote
connectivity of infrastructure, connected vehicles, pedestrians,
bicyclists, and the broader traveling public.
The Department will prioritize SMART grants funding applications
that demonstrate the following characteristics, identified in BIL:
<bullet> Fit, scale, and adoption: Right-size the proposed solution
to population density and demographics, the physical attributes of the
community and transportation system, and the transportation needs of
the community. Confirm technologies are capable of being integrated
with existing transportation systems, including transit. Leverage
technologies in repeatable ways that can be scaled and adopted by
communities.
<bullet> Data sharing, cybersecurity, and privacy: Promote public
and private sharing of data and best practices and the use of open
platforms, open data formats, technology-neutral requirements, and
interoperability. Promote industry best practices regarding
cybersecurity and technology standards. Safeguard individual privacy.
<bullet> Workforce development: Promote a skilled and inclusive
workforce.
<bullet> Measurement and validation: Allow for the measurement and
validation of the cost savings and performance improvements associated
with the installation and use of smart city or community technologies
and practices.
To accomplish these objectives, the SMART Grants Program will fund
projects that focus on using technology interventions to solve real-
world challenges facing communities.
SMART will focus on building data and technology capacity and
expertise for State, local, and Tribal governments. Technology
investment is most beneficial when tailored to the needs of the
community. SMART recognizes that many public sector agencies are
challenged to find the resources and personnel to engage with new
technologies; this is reflected in the program design, which builds in
the time and support needed for projects to succeed. SMART will support
and grow a strong, diverse, and local workforce.
Successful projects will seek to build sustainable partnerships
across sectors and levels of government as well as collaborate with
industry, academia, nonprofits, and other traditional and non-
traditional partners.
See Section E.1.i for more detail on merit criteria that implement
priorities outlined above.
B. Federal Award Information
1. Total Funding Available
The BIL established the SMART Grants Program with $500,000,000 in
advanced appropriations, including $100,000,000 for FY 2022. Therefore,
this Notice makes available up to $100,000,000 for FY 2022 grants under
the SMART Grants Program. USDOT anticipates using up to 2% of this
funding for administrative costs. Refer to Section D for greater detail
on additional funding considerations and Section D.7 for funding
restrictions.
2. Availability of Funds
Grant funding obligation occurs when a selected applicant and USDOT
enter into a written grant agreement after the applicant has satisfied
applicable administrative requirements. Any costs incurred prior to
USDOT's obligation of funds for activities (``pre-award costs'') are
ineligible for reimbursement. SMART Program Grant funds are available
until expended. USDOT retains the right to prioritize projects for
selection that are most likely to achieve an efficient timeline and be
completed within the expected period of performance (18 months).
3. Award Size and Anticipated Quantity
USDOT expects to award between 30 and 50 Stage 1 grants of up to
$2,000,000 per award. The Department reserves the right to make more,
or fewer, awards. USDOT reserves the discretion to alter maximum award
sizes upon receiving the full pool of applications and assessing the
needs of the program in relation to the priorities in Section A.3 and
A.4. USDOT also reserves the right not to award the full funding amount
requested by an applicant.
4. Start Dates and Period of Performance
USDOT expects to obligate SMART award funding via a signed grant
agreement between the Department and the recipient, as flexibly and
expeditiously as possible, within 12
[[Page 58189]]
months after project selections have been announced. The expected
period of performance for Stage 1 SMART grant agreements is up to 18
months.
5. Data Collection Requirements
i. Data Management
To fulfill the reporting requirements and in accordance with the
USDOT Public Access Plan, award recipients must consider, budget for,
and implement appropriate data management for data and information
outputs acquired or generated during the grant. Applicants are expected
to account for data and performance reporting in their budget
submission. Requirements include a project:
<bullet> Defaulting to open access when appropriate (exceptions
include protecting personally identifiable information [PII],
Indigenous data sovereignty, or confidential business information
[CBI]);
<bullet> Protecting PII, intellectual property rights, and CBI;
<bullet> Utilizing, when possible, open licenses and protecting
USDOT's non-exclusive copyright to data and corresponding outputs;
<bullet> Making the source code or tools necessary to analyze the
data available to the public, if relevant;
<bullet> Providing relevant metadata (in a DCAT-US file, and,
optionally, a discipline-appropriate metadata standard file), and data
documentation (README.txt files, data dictionaries, code books,
supporting files, imputation tables, etc.); and
<bullet> Where applicable, considering contributing data to
voluntary resources such as NHTSA's AV TEST Initiative.
Projects should implement data management best practices including,
but not limited to, implementation of published data specifications and
standards (formal and informal); increasing data discoverability and
data sharing; and enabling interaction of systems, interoperability,
and integration of data systems.
C. Eligibility Information
1. Eligible Applicants
Eligible applicants for the SMART Grants Program include:
A. a State; \6\
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\6\ U.S. territories are eligible applicants.
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B. a political subdivision of a State; \7\
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\7\ For the purposes of the SMART Grants Program Notice of
Funding Opportunity, a political subdivision of a State is defined
as a unit of government created under the authority of State law.
This includes cities, towns, counties, special districts, and
similar units of local government, such as public port or airport
authorities, if created under State law.
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C. a federally recognized Tribal government;
D. a public transit agency or authority;
E. a public toll authority;
F. a metropolitan planning organization; or
G. a group of two or more eligible entities listed above in Section
C.1 applying through a single lead applicant (Group Application).
Collaborative Applications
Eligible entities may choose to collaborate across different
regions or geographies on projects with similar characteristics,
addressing similar problems and with similar technologies, potentially
sharing common resources such as partnerships with industry,
nonprofits, academic institutions, or community foundations. If these
entities choose not to apply as a group with a single lead applicant,
they should identify their application as a collaborative application.
<bullet> Each organization in a collaborative application must
submit an individual application.
<bullet> Collaborative applications can include any type of
eligible entity.
<bullet> Each individual application in a collaborative application
will be evaluated on its own merits and USDOT reserves the right to
fund all, some, or none of the associated applications, with the same
anticipated funding (i.e., up to $2,000,000 per individual award).
2. Cost Sharing or Matching
Cost sharing or matching is not required for Stage I: Planning and
Prototyping.
3. Eligible Activities
The SMART Grants Program funds multiple technology areas, as listed
below. Projects must demonstrate at least one technology area and may
demonstrate more than one technology area. USDOT will evaluate each
application on its merits, and there is no expectation that
applications demonstrate more than one technology area.
As stated in BIL Section 25005 (e)(1), the following technology
areas are eligible projects under SMART.
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Technology area Definition
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Coordinated Automation............ Use of automated transportation and
autonomous vehicles while working
to minimize the impact on the
accessibility of any other user
group or mode of travel.
Connected Vehicles................ Vehicles that send and receive
information regarding vehicle
movements in the network and use
vehicle-to-vehicle and vehicle-to-
everything communications to
provide advanced and reliable
connectivity.
Intelligent, Sensor-Based Deployment and use of a collective
Infrastructure. intelligent infrastructure that
allows sensors to collect and
report real-time data to inform
everyday transportation-related
operations and performance.
Systems Integration............... Integration of intelligent
transportation systems with other
existing systems and other advanced
transportation technologies.
Commerce Delivery and Logistics... Innovative data and technological
solutions supporting efficient
goods movement, such as connected
vehicle probe data, road weather
data, or global positioning data to
improve on-time pickup and
delivery, improved travel time
reliability, reduced fuel
consumption and emissions, and
reduced labor and vehicle
maintenance costs.
Leveraging Use of Innovative Leveraging the use of innovative
Aviation Technology. aviation technologies, such as
unmanned aircraft systems, to
support transportation safety and
efficiencies, including traffic
monitoring and infrastructure
inspection.
Smart Grid........................ Developing a programmable and
efficient energy transmission and
distribution system to support the
adoption or expansion of energy
capture, electric vehicle
deployment, or freight or
commercial fleet fuel efficiency.
Smart Technology Traffic Signals.. Improving the active management and
functioning of traffic signals,
including through:
<bullet> Use of automated traffic
signal performance measures;
<bullet> Implementing strategies,
activities, and projects that
support active management of
traffic signal operations,
including through optimization of
corridor timing; improved vehicle,
pedestrian, and bicycle detection
at traffic signals; or the use of
connected vehicle technologies;
<bullet> Replacement of outdated
traffic signals; or
<bullet> For an eligible entity
serving a population of less than
500,000, paying the costs of
temporary staffing hours dedicated
to updating traffic signal
technology.
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[[Page 58190]]
Projects must comply with relevant federal, state, and local laws
and regulations to be eligible. These vary by technology area, and it
is the responsibility of the applicant to understand the requirements
for their application. This section briefly discusses a few notable
examples and is not comprehensive.
Innovative aviation projects must show understanding and awareness
of, and comply with, all FAA and other federal, state, and local
regulations relevant to the technologies and usages thereof. For
instance, in the case of innovative aviation projects involving small,
unmanned aircraft systems (UAS), applicants are responsible for
complying with regulations which may include, and are not limited to
the following, as necessary to achieve desired outcomes: \8\
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\8\ Other terminologies exist, using the FAA terminology
``unmanned aircraft systems'' for simplicity;
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<bullet> 14 CFR part 91 General Operating and Flight Rules \9\
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\9\ 14 CFR part 91 <a href="https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-91">https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-91</a>.
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<bullet> 14 CFR part 107 small UAS rule; Small UAS \10\
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\10\ 14 CFR part 107 <a href="https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-107">https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-107</a>.
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<bullet> UAS Operations over People rule; Operations Over People
General Overview \11\
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\11\ FAA Operations Over People General Overview <a href="https://www.faa.gov/uas/commercial_operators/operations_over_people">https://www.faa.gov/uas/commercial_operators/operations_over_people</a>. Last
updated November 17, 2021.
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<bullet> UAS Remote identification rule; UAS Remote Identification
Overview \12\
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\12\ FAA Final Rule on Remote ID https://www.faa.gov/uas/
getting_started/
remote_id#:~:text=Remote%20ID%20will%20provide%20information,drone's%
20owner%20from%20the%20FAA. Last updated July 13, 2022.
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Proponents of innovative aviation projects are also responsible for
using U.S. government tools and resources which may include, and are
not limited to the following, as necessary to fulfill requirements to
operate technologies and achieve desired outcomes:
<bullet> FAA DroneZone, used to register UAS \13\
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\13\ FAA DroneZone; https://faadronezone. <a href="http://faa.gov/">faa.gov/</a>.
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<bullet> FAA Low Altitude Authorization and Notification Capability
(LAANC), used to obtain airspace authorization to fly in controlled
airspace \14\
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\14\ FAA UAS Data Exchange (LAANC); <a href="https://www.faa.gov/uas/programs_partnerships/data_exchange">https://www.faa.gov/uas/programs_partnerships/data_exchange</a>.
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<bullet> Part 107 Waiver Resources,\15\ used to enable more complex UAS
operations \16\
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\15\ Part 107 Waiver resources; <a href="https://www.faa.gov/uas/commercial_operators/part_107_waivers">https://www.faa.gov/uas/commercial_operators/part_107_waivers</a>.
\16\ For additional questions or information, please contact the
FAA UAS Support Center at <a href="https://www.faa.gov/uas/contact_us">https://www.faa.gov/uas/contact_us</a>.
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Projects that use communications technologies must either (1) use
Vehicle-to-Everything (V2X) services that utilize Cellular Vehicle-to-
Everything (C-V2X) based technology designed to operate within the 30
MHz of spectrum (5.895-5.925 GHz) that are consistent with the final
rules established in relation to Federal Communications Commission
(FCC) ET Docket No. 19-138 and future Report and Orders effective at
the time when the Department selects projects for funding under the
FY22 SMART Grants Program, or (2) leverage other communications
technologies that can support V2X services and operate in spectrum
outside of the 5.895-5.925 GHz range.
Projects that involve equipping or retrofitting motor vehicles with
additional technologies are only eligible if the vehicles are publicly
owned, leased or used in a contracted service; equipping privately
owned and operated vehicles outside of a leased or contracted service
is not an eligible activity. Projects involving motor vehicles must
involve only vehicles that comply with all applicable Federal Motor
Vehicle Safety Standards (FMVSSs) and Federal Motor Carrier Safety
Regulations (FMCSRs), or vehicles that are exempt from the requirements
in a manner that allows for the legal acquisition and operation of the
vehicles in the proposed project.
For all technology areas, if an exemption, waiver, permit, or other
special permission is required in order to conduct the proposed
project, it will strengthen a Stage 1 application if the applicant can
affirm that it has already received such permission. If the project is
selected for award, the lack of a required exemption, waiver, permit,
or special permission may impact the Department's funding timeline or
result in special conditions in the grant agreement. For future rounds
of SMART that include Stage 2 applications, Stage 2 applicants will be
required to obtain all necessary exemptions, waivers, permits, or
special permissions before submitting an application and provide such
affirmation. The selection of a project to receive a SMART grant is not
a determination of the merit of any waiver or exemption.
4. Eligible Costs
Broadly, eligible activity costs must comply with the cost
principles set forth in 2 CFR part 200, subpart E (i.e., 2 CFR 200.403
and Sec. 200.405). USDOT reserves the right to make cost eligibility
determinations on a case-by-case basis. Eligible development and
construction activities for grant funding are the following:
<bullet> planning;
<bullet> feasibility analyses;
<bullet> revenue forecasting;
<bullet> environmental review;
<bullet> permitting;
<bullet> preliminary engineering and design work;
<bullet> systems development or information technology work;
<bullet> acquisition of real property (including land and
improvements to land relating to an eligible project);
<bullet> construction;
<bullet> reconstruction;
<bullet> rehabilitation;
<bullet> replacement;
<bullet> environmental mitigation;
<bullet> construction contingencies; and
<bullet> acquisition of equipment, including vehicles.
The following are not eligible costs for SMART Grants Program
funding:
<bullet> reimbursement of any pre-award costs or application
preparation costs of the SMART grant application;
<bullet> traffic or parking enforcement activity; or
<bullet> purchase or lease of a license plate reader.
Federal funds may not be used to support or oppose union
organizing, whether directly or as an offset for other funds.
For grant recipients receiving an award, project 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). For more
information on required reporting, see Section F.3. An eligible entity
may not use more than 3 percent of the amount of a SMART grant for each
fiscal year to achieve compliance with applicable planning and
reporting requirements.
D. Application and Submission Information
1. Address To Request Application Package
All grant application materials can be accessed at <a href="http://grants.gov">grants.gov</a> under
the Notice of Funding Opportunity Number DOT-SMART-FY22-01. Applicants
must submit their applications via Valid Eval
[[Page 58191]]
at <a href="https://usg.valideval.com/teams/USDOT_SMART_2022/signup">https://usg.valideval.com/teams/USDOT_SMART_2022/signup</a>. Potential
applicants may also request paper copies of materials at:
Telephone: 202-366-4114.
Mail: U.S. Department of Transportation, 1200 New Jersey Avenue SE,
W84-322, Washington, DC 20590.
2. Content and Form of Application Submission
The application must include the following: Standard Forms (SF);
Key Information Questions; Project Narrative and Summary Budget
Narrative. This information must be submitted via Valid Eval at <a href="https://usg.valideval.com/teams/USDOT_SMART_2022/signup">https://usg.valideval.com/teams/USDOT_SMART_2022/signup</a>. More detailed
information about each application material is provided below.
i. Standard Forms: All applicants must submit the following
Standard Forms: Application for Federal Assistance (SF-424), Budget
Information for Non-Construction Programs (SF-424A), Assurances for
Non-Construction Programs (SF-424B). If applicable, also include
Assurances for Construction Programs (SF-424D), Budget Information for
Construction Programs (SF-424C) and/or Disclosure of Lobbying
Activities (SF-LLL).
ii. Key Information Questions: This is a preview list of the
questions that are asked on USDOT's automated proposal website at
<a href="https://usg.valideval.com/teams/USDOT_SMART_2022/signup">https://usg.valideval.com/teams/USDOT_SMART_2022/signup</a>. After
registering in the system, the applicant will be prompted to answer
these questions on the website.
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Title Instructions
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1. Project Name........................ Enter a concise, descriptive
title for the project. This
should be the same title used
in the Grants.gov SF-424
submission and the application
narrative.
2. Lead Applicant Name................. This should be consistent with
Q. 8.a. of the SF-424.
3. Lead Applicant Unique Entity See Section D.3 below for more
Identifier (UEI). information about obtaining a
UEI from <a href="http://SAM.gov">SAM.gov</a>.
4. Eligible Entity Type................ Indicate the eligible entity
type for your application: A.
a State; B. a political
subdivision of a State; C. a
federally recognized Tribal
government; D. a public
transit agency or authority;
E. a public toll authority; F.
a metropolitan planning
organization; or G. A group
application of 2 or more
eligible entities described in
(A) through (F).
5. Was a similar application submitted (If yes, please include the
in the past two years, or do you name of the discretionary
anticipate a similar application will grant program, the project
be submitted for funding in the coming title of similar grant
year for this project under any other application, and the name of
USDOT discretionary grant programs?. the lead applicant, if
different than the lead
applicant on this
application.)
6. Was federal funding previously (If yes, indicate the amount of
received for this project?. federal funding received and
the relevant grant number.)
7. Is this a group application, through (If yes, please provide
a single, lead-applicant?. organizational name(s) of sub-
recipient(s) that will receive
funds and other key partners.)
8. Is this a collaborative application, (If yes, please indicate the
with each applicant applying organizational name(s) of the
separately?. other eligible applicant(s)
with which you are
collaborating.)
9. What additional organizations will (List all critical project
be considered partners on this partners, including partners
project?. that are not eligible
applicants. This could include
industry, academia,
nonprofits, and other
traditional and non-
traditional partners.) \17\
10. Brief Project Description.......... Describe the project in plain
language, using no more than
100 words. Please do not
describe the project's
benefits, background, or
alignment with the selection
criteria in this description
field. A longer, narrative
description will be provided
in the Project Narrative. The
Brief Project Description of
successful applicant may be
published by USDOT and,
therefore, must not contain
classified, proprietary or
confidential information.
11. Primary Project Location........... Indicate the primary location
at which the project will take
place. If more than one
location, please list
additional locations in the
next question.
12. Other Project Locations............ Identify additional project
locations, if applicable.
13. Community Size..................... Indicate the size of the
community to be supported
(large community; midsized
community; regional
partnership; or rural
community). See definitions in
Section F.1 that your project
primarily benefits.
14. Project Location Primary Census Identify the primary
Tract. anticipated census tract
number(s) of the planned
project.
15. Other Project Census Tracts........ Identify Census tract
information for other
anticipated areas of the
planned project location, if
applicable.
16. Is the project located (entirely or Indicate yes or no, and which
partially) in an Historically one of the following two
Disadvantaged Community?. designation methods you are
using:
(1) Federally designated
community development zones
(for example: Opportunity
Zones, Empowerment Zones,
Promise Zones, Choice
Neighborhoods, or Rural
Partners Network-designated
Community Networks).
(2) The Climate and Economic
Justice Screening Tool (CEJST)
via
<a href="http://screeningtool.geoplatform.gov">screeningtool.geoplatform.gov</a>.
17. Project Cost: Amount Requested..... Total dollar amount requested.
18. Project Cost: Total Project Cost... Total project cost, including
dollar amount requested and
other funding contributions.
19. Proposed Duration of Stage 1 May be up to 18 months.
Project (in months).
20. Technology area(s)................. Select the primary technology
area with which your project
aligns and, if applicable, any
secondary technology areas:
A. coordinated automation;
[[Page 58192]]
B. connected vehicles;
C. intelligent, sensor-based
infrastructure;
D. systems integration;
E. commerce delivery and
logistics;
F. leveraging use of innovative
aviation technology;
G. smart grid; or
H. smart technology traffic
signals.
Note that applications are not
scored on the number of
technology areas indicated, so
it is important to only select
the area(s) with which your
project aligns.
21. Does this project relate to traffic Indicate ``Yes'' or ``No.''
or parking enforcement; or license Note that SMART grants shall
plate reader activities?. not be used for any traffic or
parking enforcement activity,
or to purchase or lease a
license plate reader.
22. Is an exemption, waiver, permit, or (If yes, indicate the
special permission required to conduct exemption, waiver, permit, or
the proposed project?. special permission obtained.
If waiver has not been
obtained, please indicate the
plan or process for obtaining
it in your Project Narrative.)
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iii. Project Narrative: The primary purpose of the Narrative is for
the applicant to state their case for meeting the merit criteria laid
out in Section E. The Narrative should not exceed seven pages; this
does not include the Appendices. The Narrative should be in PDF format,
with font size of no less than 12-point Times New Roman, single spaced,
minimum 1-inch margins on all sides, and with page numbers. Suggested
approximate lengths for each subsection are noted in parentheses.
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\17\ Letters of Commitment should be written for critical
partners only. For a Letter of Commitment template, see
<a href="http://www.transportation.gov/SMART">www.transportation.gov/SMART</a>.
---------------------------------------------------------------------------
a. Overview/Project Description (1-2 Pages)
This section should provide a clear, concise description of the
project, the real-world issues and challenges to be addressed, and the
proposed technology(ies) to be used. Include a brief discussion of
desired outcomes for a potential Stage 2 grant. Applicants should also
briefly discuss how the proposed project addresses the goals of the
SMART program and how the project plans to improve upon the status quo
of the transportation system.
b. Project Location (1 Paragraph)
This section should provide a description of the geographic area or
jurisdiction the project will service, including whether or not the
area in question is considered a large, midsized or rural community;
whether or not the applicant is a regional partnership; and to what
extent the project is located (entirely or partially) in an
Historically Disadvantaged Community.\18\ Note that while applicants
are asked to provide exact locations for each project in the key
information table above, if selected for an award, the exact location
may be adjusted during the Stage 1 planning process; therefore this
section should explain and identify which geographic locations are
under consideration for projects to be implemented and what analysis
will be used in a final determination. Refer to Section D.2.ii of the
Notice to provide specific location data.
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\18\ In support of Executive Order 14008, USDOT has been
developing a geographic definition of Disadvantaged Communities as
part of its implementation of the Justice40 Initiative. Consistent
with OMB's Interim Guidance for the Justice40 Initiative,
Disadvantaged Communities include (a) certain qualifying Census
tracts, (b) any Tribal land, or (c) any territory or possession of
the United States.
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c. Community Impact (1 Paragraph)
This section should provide a description of how the project
anticipates it will provide and measure benefits to the Historically
Disadvantaged Communities detailed in the Project Location Section (If
applicable). This section may also outline benefits that would accrue
to Historically Disadvantaged Communities outside of the specific
project location. Applicants should also briefly discuss potential
negative externalities of the proposed projects, who would experience
them, and how they might be measured over time.
d. Technical Merit Overview (2 Pages)
This section should provide an overview of the technical merit of
the proposed project, responding to the criteria for evaluation and
selection in Section E.1.i of this Notice and including a compelling
narrative to highlight how the application addresses the following
Technical Merit criteria:
<bullet> Identification and Understanding of the Problem to Be Solved
<bullet> Appropriateness of Proposed Solution
<bullet> Expected Benefits
e. Project Readiness Overview (2 Pages)
This section should provide an overview of the project readiness,
responding to the criteria for evaluation and selection in Section
E.1.ii of this Notice and including a compelling narrative to highlight
how the application addresses the following Project Readiness criteria:
<bullet> Feasibility of Workplan
<bullet> Community Engagement and Partnerships
<bullet> Leadership and Qualifications
iv. Appendices
a. Appendix I--Resumes
Applicants should submit the abbreviated resumes of the key
individuals involved in the project. This appendix should be no more
than three pages.
b. Appendix II--Summary Budget Narrative
Applicants shall provide a summary budget narrative that
corresponds to and describes information contained in the applicant's
SF-424A. The narrative should describe all planned project costs for
Stage 1 (i.e., direct labor, travel, equipment, supplies, contractual,
construction, and other) and how these planned costs relate to the
project scope. The summary budget narrative must be sufficiently clear,
concise, and detailed to describe how funds will be spent on the
project. Applicants are expected to account for data and performance
reporting in their budget submission, consistent with section B.5.i of
this NOFO.
c. Appendix III--Letters of Commitment
Applicants should submit letters of commitment for critical
partners involved in the project. This appendix should be no more than
10 pages, and each letter should be no more than 2 pages.
[[Page 58193]]
3. Unique Entity Identifier and System for Award Management (SAM)
Each applicant is required to: (i) be registered in SAM (<a href="https://sam.gov/content/home">https://sam.gov/content/home</a>) before submitting its application; (ii) provide a
valid unique entity identifier in its application; and (iii) 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. USDOT may not
make a Federal award 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 USDOT is ready to make an award, USDOT may determine that the
applicant is not qualified to receive an award and use that
determination as a basis for making an award to another applicant.
4. Submission Date and Time
Applications must be submitted by 5:00 p.m. EST on Friday, November
18, 2022.
5. Funding Restrictions
Per BIL requirements, of the funds awarded each fiscal year for the
SMART Grants Program, not more than 40 percent shall be used to provide
SMART grants for eligible projects that primarily benefit large
communities; not more than 30 percent shall be provided for eligible
projects that primarily benefit midsized communities; and not more than
30 percent shall be used to provide SMART grants for eligible projects
that primarily benefit rural communities or regional partnerships.
In addition, an eligible entity may not use more than three percent
of the amount of a SMART grant for each fiscal year to achieve
compliance with applicable planning and reporting requirements.
6. Other Submission Requirements
The complete application must be submitted via Valid Eval, an
online submission proposal system used by USDOT at <a href="https://usg.valideval.com/teams/USDOT_SMART_2022/signup">https://usg.valideval.com/teams/USDOT_SMART_2022/signup</a>.
E. Application Review Information
1. Criteria
This section specifies the criteria USDOT will use to evaluate and
select applications for Stage 1 SMART grant awards. These include
Technical Merit Criteria, Project Readiness and Other Considerations.
i. Technical Merit Selection Criteria
Stage 1 Grants will be evaluated against three technical merit
criteria:
<bullet> Technical Merit Criterion #1: Identification and Understanding
of the Problem to Be Solved
[cir] The applicant demonstrates a thorough understanding of
existing conditions
[cir] The proposed solution addresses a documented and critical
problem or need
<bullet> Technical Merit Criterion #2: Appropriateness of Proposed
Solution
[cir] Technologies proposed are sufficiently developed such that
there is good reason to anticipate public benefits from their use
[cir] The proposed solution is repeatable and could rapidly be
scaled
[cir] The proposed solution represents a demonstrable improvement
over the status quo
[cir] The proposed solution is appropriate for the location's
population density and existing transportation system, including public
transportation
<bullet> Technical Merit Criterion #3: Expected Benefits
[cir] The application clearly explains the rationale for expecting
that the proposed project will use advanced data, technology, and
applications to provide significant benefits in alignment with
Departmental and Program Priorities in Section A.3 and A.4.
[cir] Departmental Priorities include the FY22-26 Strategic Goals
and Innovation Principles and Program Priorities include safety,
reliability, and resiliency; equity and access; climate; partnerships;
and integration
ii. Project Readiness Selection Criteria
Project Readiness focuses on the extent to which the applicant will
be able to substantially execute and complete the full scope of work in
the Stage 1 Grant application within 18 months of when the grant is
executed.
<bullet> Project Readiness Criterion #1: Feasibility of Workplan
[cir] The application clearly describes a thorough and realistic
workplan and timeline. The application should also demonstrate the
ability to complete the project in the proposed period of performance.
[cir] The application identifies and understands the legal, policy,
and regulatory requirements and identifies and accounts for any
relevant exemptions, waivers, permits, or special permissions required
to conduct the proposed project.
[cir] The application identifies ways to measure and validate the
project's expected benefits and community impacts, as well as
performance improvements and cost savings.
[cir] The application identifies a practical approach to developing
internal workforce capacity regarding data and technology projects,
including a plan for an approporiately skilled and trained workforce to
carry out the project.
<bullet> Project Readiness Criterion #2: Community Engagement and
Partnerships
[cir] The proposed solution demonstrates a community-centered
approach that includes meaningful, continuous, accessible engagement
with a diverse group of public and private stakeholders. The proposed
solution articulates strategies to provide access to persons with
disabilities and limited English proficient individuals.
[cir] The application shows plans to build sustainable partnerships
across sectors and governmental jurisdictions and collaborate with
industry, academia, and nonprofits, such as community, workforce
development, and labor organizations.
[cir] The applicant engages relevant private sector stakeholders
and technical experts and elicits their perspective on implementation
of the proposed solution.
[cir] The application establishes commitment of one or more key
partner(s), if relevant, as identified in the project narrative. This
should be demonstrated by a Letter of Commitment submitted as an
attachment to the proposal, as well as a Memorandum-of-Understanding
signed prior to any Grant Agreement. A key partner may be a public
agency, utility company, private sector company, or some other entity
that is central, and critical, to the project.
<bullet> Project Readiness Criterion #3: Leadership and Qualifications
[cir] The application demonstrates relevant and necessary technical
expertise of the project team.
[cir] The application details relevant experience of leadership in
managing multi-stakeholder projects.
[cir] The application shows continuity of committed leadership and
the applicant's functional capacity to carry out the proposed project
and, where applicable, to maintain and
[[Page 58194]]
operate the project after the conclusion of Stage 2.
iii. Additional Consideration: Benefit to Historically Disadvantaged
Communities
The Department seeks to award projects under the SMART Grants
Program that address environmental justice, particularly for
communities that disproportionally experience climate change-related
consequences. Environmental justice, as defined by the Environmental
Protection Agency, is the fair treatment and meaningful involvement of
all people regardless of race, color, national origin, or income, with
respect to the development, implementation, and enforcement of
environmental laws, regulations, and policies.\19\ As part of the
Department's implementation of Executive Order 14008, Tackling the
Climate Crisis at Home and Abroad (86 FR 7619), the Department seeks to
fund projects that, to the extent possible, target at least 40 percent
of resources and benefits towards low-income communities, disadvantaged
communities, communities underserved by affordable transportation, or
overburdened communities. Projects that have not sufficiently
considered climate change and environmental justice in their planning,
as determined by the Department, will be required to do so before
receiving funds.
---------------------------------------------------------------------------
\19\ Environmental Justice at the EPA, <a href="http://www.epa.gov/environmentaljustice/">http://www.epa.gov/environmentaljustice/</a>.
---------------------------------------------------------------------------
2. Review and Selection Process
This section addresses the BIL requirement to include a full
description in the NOFO of the method by which applicants will be
evaluated. The SMART Grant Program review and selection process
consists of eligibility reviews, Technical Merit and Project Readiness
criteria review, and Senior Review Team review. The Secretary will make
the final selections for award.
i. Eligibility Review
For each application, an initial review will assess whether the
applicant is eligible (based on eligibility information in Section C)
and contains all of the information requested in Section D for a
complete application. Eligible and complete applications received by
the deadline will be reviewed for their merit based on the selection
criteria in Section E.1.i and E.1.ii.
ii. Technical Merit and Project Readiness Criteria Ratings
Teams comprising USDOT staff, Federal inter-agency partner staff,
and contractor staff review all eligible and complete applications
received by the deadline for a Technical Merit and Project Readiness
Review and assign ratings as described in the table below. For each
criterion, USDOT will consider whether the application narrative is
responsive to the selection criterion focus areas which will result in
a rating of `High,' `Medium,' `Low,' or `Non-Responsive:'
----------------------------------------------------------------------------------------------------------------
Rating scale High Medium Low Non-Responsive
----------------------------------------------------------------------------------------------------------------
Description........... The application is The application is The application is The application is
substantively and moderately minimally counter to the
comprehensively responsive to the responsive to the criterion or does
responsive to the criterion. It makes criterion. It makes not contain
criterion. It makes a moderate case a weak case about sufficient
a strong case about about advancing the advancing the information. It
advancing the program goals as program goals as does not advance or
program goals as described in the described in the may negatively
described in the criterion criterion impact criterion
criterion descriptions. descriptions. goals.
descriptions.
----------------------------------------------------------------------------------------------------------------
Based on the criteria ratings, an overall application merit rating
of `Highly Recommended,' `Recommended,' `Not Recommended,' or
`Ineligible' will be assigned as a result of evaluation team consensus
discussion. Only applications rated as `Highly Recommended' or
`Recommended' will be reviewed by a Senior Review Team (SRT).
Applications rated `Not Recommended' or `Ineligible' will not be
evaluated further and will not be considered for award.
iii. Senior Review Team (SRT) Phase
Once every eligible and complete application has been assigned an
overall rating based on the methodology above, all ``Highly
Recommended'' applications will be included in a list of Applications
for Consideration. The SRT will review whether the list of ``Highly
Recommended'' applications is sufficient to ensure that of the funds
awarded each fiscal year for the SMART Grants Program, not more than 40
percent will be used to provide SMART grants for eligible projects that
primarily benefit large communities; not more than 30 percent will be
used to provide SMART grants for eligible projects that primarily
benefit midsized communities; and not more than 30 percent will be used
to provide SMART grants for eligible projects that primarily benefit
rural communities or regional partnerships. ``Recommended''
applications may be added to the proposed list of Applications for
Consideration until a sufficient number of applications are on the list
to ensure that all the legislative requirements can be met. The
Department will consider the diversity of technology areas across all
applications when reviewing recommendations.
iv. Highly Rated Applications for USDOT Secretary's Review
The SRT will present the list of Applications for Consideration to
the Secretary, either collectively or through a representative of the
SRT. The SRT may advise the Secretary on any application on the list of
Applications for Consideration, including options for reduced or
increased awards, and the Secretary will make final selections. The
Secretary's selections identify the applications that best address
program requirements and are most worthy of funding. The Secretary will
consider contributions to geographic diversity among grant recipients,
including the need for balancing the needs of rural communities,
midsized communities, and large communities. The Secretary also may
consider benefits to economically disadvantaged communities, Federally
Recognized Tribes, and geographic and organizational diversity when
selecting SMART Grants Program awards.
3. Additional Information
Prior to entering into a grant agreement, each selected applicant
will be subject to a risk assessment as required by 2 CFR 200.206. The
Department must review and consider any information about the applicant
that is in the designated integrity and performance system accessible
through
[[Page 58195]]
SAM (currently the Federal Awardee Performance and Integrity
Information System [FAPIIS]). An applicant may review information in
FAPIIS and comment on any information about itself that a Federal
awarding agency previously entered. The Department will consider
comments by the applicant, in addition to the other information in
FAPIIS, in making a judgment about the applicant's integrity, business
ethics, and record of performance under Federal awards when completing
the review of risk posed by applicants. Because award recipients under
this program may be first-time recipients of Federal funding, USDOT is
committed to implementing the program as flexibly as permitted by
statute and to providing assistance to help award recipients through
the process of securing a grant agreement and delivering SMART Grant
projects. Award recipients are encouraged to identify any needs for
assistance in delivering the projects and strategies so that USDOT can
provide directly, or through a third party, sufficient support and
technical assistance to mitigate potential execution risks.
F. Federal Award Administration Information
1. Federal Award Notices
Following the evaluation outlined in Section E, the Secretary will
announce awarded applications by posting a list of selected recipients
at www.transportation.gov/smart. The posting of the list of selected
award recipients will not constitute an authorization to begin
performance. Following the announcement, the Department will contact
the point of contact listed in the applicant SF-424 to initiate
negotiation of a grant agreement.
2. Administrative and National Policy Requirements
i. Critical Infrastructure Security, Cybersecurity, and Resilience
It is U.S. policy to strengthen the security and resilience of its
critical infrastructure against both physical and cyber threats. Each
applicant selected for Federal funding under this notice must
demonstrate, prior to the signing of the grant agreement, effort to
consider and address physical and cybersecurity risks relevant to the
transportation mode and type and scale of the project. Projects that
have not appropriately considered and addressed physical and
cybersecurity and resilience in their planning, design, and project
oversight, as determined by USDOT and the Department of Homeland
Security, will be required to do so before receiving funds for
deployment, consistent with Presidential Policy Directive 21--Critical
Infrastructure Security and Resilience and the National Security
Presidential Memorandum on Improving Cybersecurity for Critical
Infrastructure Control Systems.
ii. Prohibited Telecommunications Equipment and Services
Federal award recipients and sub-recipients are prohibited from
obligating or expending grant funds to procure or obtain; extend or
renew a contract to procure or obtain; or enter into a contract (or
extend or renew a contract) to procure or obtain equipment, services,
or systems that use ``covered telecommunications equipment or
services'' as a substantial or essential component of any system, or as
critical technology as part of any system. ``Covered telecommunications
equipment or services'' means telecommunications and video surveillance
equipment or services produced by Huawei Technologies Company, ZTE
Corporation, Hytera Communications Corporation, Hangzhou Hikvision
Digital Technology Company, or Dahua Technology Company (or any
subsidiary or affiliate of such entities). ``Covered telecommunications
equipment or services'' also includes telecommunications or video
surveillance equipment or services provided by an entity that the
Secretary of Defense, in consultation with the Director of the National
Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an entity that is owned or controlled by the
government of the People's Republic of China. Entities added to this
list will be incorporated into the excluded parties list in the System
for Award Management (SAM) (<a href="http://www.sam.gov">www.sam.gov</a>). When a user conducts a search
of the excluded parties list, a record will appear describing the
nature of the exclusion for any entity identified as covered by this
prohibition. See Section 889 of Public Law 115-232 (National Defense
Authorization Act for Fiscal Year 2019) and 2 CFR 200.216 & 200.471.
iii. Domestic Preference Requirements
As expressed in Executive Order 14005, Ensuring the Future Is Made
in All of America by All of America's Workers (86 FR 7475),\20\ it is
the policy of the Executive Branch to maximize, consistent with law,
the use of goods, products, and materials produced in, and services
offered in, the United States. Projects under this notice will be
subject to the domestic preference requirements at Sec. 70914 of the
Build America, Buy America Act, as implemented by OMB and USDOT, and
any awards will contain the award terms specified in OMB Memorandum M-
22-11, Initial Implementation Guidance on Application of Buy America
Preference in Federal Financial Assistance Programs for
Infrastructure.\21\
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\20\ <a href="https://www.federalregister.gov/documents/2021/01/28/2021-02038/ensuring-the-future-is-made-in-all-of-america-by-all-of-americas-workers">https://www.federalregister.gov/documents/2021/01/28/2021-02038/ensuring-the-future-is-made-in-all-of-america-by-all-of-americas-workers</a>.
\21\ <a href="https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf">https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf</a>.
_____________________________________-
Applicants should note that the Department has proposed a Build
America, Buy America Act waiver for Stage 1 grants awarded in FY 2022
of the SMART Grants Program for the limited cases where the Buy America
would apply for planning and prototyping activities. Data will be
collected for Stage 1 FY 2022 awards that will help inform the
application of Buy America requirements to the funding of
implementation activities under the program and identify any current
gaps in the domestic availability of products that could potentially be
filled by American suppliers. The Department anticipates finalizing the
waiver during the open period. Please consult www.transportation.gov/
smart for the most up-to-date information.
iv. Civil Rights and Title VI
SMART award recipients should demonstrate compliance with civil
rights obligations and nondiscrimination laws, including Titles VI of
the Civil Rights Act of 1964, the Americans with Disabilities Act
(ADA), and Section 504 of the Rehabilitation Act, and accompanying
regulations. Recipients of Federal transportation funding will also be
required to comply fully with regulations and guidance for the ADA,
Title VI of the Civil Rights Act of 1964, Section 504 of the
Rehabilitation Act of 1973, and all other civil rights requirements.
The Department's and the applicable Operating Administrations' Offices
of Civil Rights may work with awarded grant recipients as appropriate
to ensure full compliance with Federal civil rights requirements.
Recipients of Federal transportation funding will be required to
comply fully with regulations and guidance for the ADA, Title VI of the
Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of
1973, and all other civil rights requirements. The Department's and the
applicable Operating Administration's Offices of Civil Rights will be
providing
[[Page 58196]]
resources and technical assistance to ensure full and sustainable
compliance with Federal civil rights requirements.
v. National Environmental Policy Act of 1969 (NEPA)
Funding recipients must comply with NEPA under 42 U.S.C. 4321 et
seq. and the Council on Environmental Quality's NEPA implementing
regulations at 40 CFR 1500-1508, where applicable.
3. Reporting
This section discusses reporting requirements for SMART.\22\ USDOT
will provide additional information and detail regarding reporting
requirements and formats to recipients. All final reports under this
agreement will be made publicly available. All publications resulting
from this program shall follow USDOT publication guidelines and comply
with the current USDOT Public Access Plan. In addition, data from these
efforts are expected to be made widely available where appropriate,
also in accordance with the USDOT Public Access Plan.\23\
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\22\ Title I of the Foundations for Evidence-Based Policymaking
Act of 2018 (Evidence Act), Pub. L. 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.
\23\ <a href="https://www.transportation.gov/sites/dot.gov/files/docs/Official%20DOT%20Public%20Access%20Plan.pdf">https://www.transportation.gov/sites/dot.gov/files/docs/Official%20DOT%20Public%20Access%20Plan.pdf</a>.
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i. Progress Reporting on Grant Activities
Each applicant selected for a Stage 1 Grant must submit quarterly
progress reports and Federal Financial Reports (SF-425) to monitor
project progress and ensure accountability and financial transparency
in the SMART grant program. A standard reporting form for the quarterly
progress reports will be provided for grantees to summarize status
updates including activities accomplished during the quarter, financial
and schedule reporting, anticipated activities for the next quarter,
and a description of project challenges and lessons learned.
ii. Evaluation and Data Management Plan
Recipients and subrecipients are required 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 agency priority
goals.\24\
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\24\ 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.
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Each applicant selected for a Stage 1 Grant must submit an
evaluation and data management plan no later than three months after
receiving the grant that provides an overview of how the project will
be evaluated and how the data being collected will be managed and
stored.\25\ The plan must describe the anticipated impact areas (i.e.,
goals) of the project if implemented at scale and the methods that will
be used to estimate the anticipated benefits and costs associated with
implementation. Based on these project goals, the plan must include
robust performance metrics and measurable targets to inform whether the
proof-of-concept or prototype meets expectations and whether full
implementation would meet program goals. The applicants selected for a
Stage 2 Grant must update this evaluation and data management plan to
include robust performance metrics and targets for the at-scale
implementation, a detailed description of the evaluation methods that
will be used to measure the anticipated impacts, and an overview of
data sharing opportunities.\26\ The updated plan must also provide more
detailed information on the types of data being collected and how that
data will be managed and stored (e.g., cybersecurity practices, how
privacy is protected, the entities that have access to the data).
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\25\ 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).
\26\ Data sharing opportunities may include either interagency
data sharing or open data sharing with the public.
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iii. Implementation Report
Each applicant selected for a Stage 1 Grant must submit an
implementation report that assesses the anticipated costs and benefits
of the project and demonstrates the feasibility of at-scale
implementation. A draft report shall be submitted no later than one
year after receiving the grant, and the final report shall be submitted
by the end of the period of performance. This timeline may be adjusted
for projects with a period of performance that differs from 18 months.
Per BIL requirements, grant recipients must submit implementation
reports that describe the deployment and operational costs of each
project as compared to the benefits and savings from the project. The
reports must also describe:
1. the means by which the project has met the original expectation,
as projected in the grant application, including data describing the
means by which the project met the specific goals. Examples include:
a. reducing traffic-related fatalities and injuries;
b. reducing traffic congestion or improving travel-time
reliability;
c. the effectiveness of providing to the public real-time
integrated traffic, transit, and multimodal transportation information
to make informed travel decisions; and
d. reducing barriers or improving access to jobs, education, or
various essential services;
2. lessons learned and recommendations for future deployment
strategies to optimize transportation efficiency and multimodal system
performance.
For the implementation reports during Stage 1, grant recipients
will provide an analysis of the anticipated costs and benefits and
address project expectations by providing:
1. data on the performance metrics for the proof-of-concept or
prototype;
2. preliminary baseline data for an evaluation of an at-scale
implementation; \27\
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\27\ For applicants selected for a Stage 2 Grant, refined or
updated baseline data may be required for the project evaluation.
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3. a detailed description of the communities that would be impacted
by at scale implementation and the anticipated distribution of
benefits;
4. additional quantitative data to substantiate key assumptions;
5. anticipated and/or estimated impact and effectiveness of the
project based on the performance metrics; and
6. anticipated and/or estimated distribution of benefits within the
community being served.
During Stage 1, grant recipients may uncover previously unknown
institutional barriers or technical limitations. In the implementation
report, grantees will describe the requirements for successful
deployment and assess the feasibility of an at-scale implementation.
The assessment will include identified strategies or demonstrated
progress in addressing the following implementation feasibility and
readiness factors by the end of the Stage 2 Grant.
a. Legal, Policy, and Regulatory Requirements (e.g., environmental
permits and reviews; public outreach; State and local approvals; equity
and accessibility requirements)
b. Procurement and Budget (e.g., availability of suppliers and
equipment; an analysis of the cost differential to comply with Build
America Buy America; reliability of cost estimates; critical property
acquisition)
[[Page 58197]]
c. Partnerships (e.g., MOUs for stakeholder coordination; private
sector and user adoption and acceptance)
d. Technology Suitability (e.g., systems engineering including
Concept of Operations [ConOps] and Detailed Design; reliability and
maturity of technology; compatibility with existing infrastructure,
procurement processes)
e. Data Governance (e.g., storage capability; database analytic
capability; integration requirements; sharing agreements; cybersecurity
and privacy protocols)
f. Workforce Capacity (e.g., availability of workforce from
development and installation to operations and maintenance;
availability of workforce training; agency capacity for deployment,
operation, and evaluation)
g. Sustainability (e.g., agency/institutional capacity for
continued operations following the grant funded period; revenue needs
for continued operations)
h. Community Impact (e.g., distribution of benefits and negative
impacts across the community, including Historically Disadvantaged
Communities; meaningful community engagement efforts, including
strategies to provide access to persons with disabilities and limited
English proficient individuals)
i. Other Relevant Factors.
The final implementation report must also describe initial project
goals, challenges and lessons learned related to implementation. It
should include an analysis of the success, challenges and validity of
the initial approach; any changes or improvements they would make in
Stage 2, if recommended for award; and any anticipated challenges to
continued maintenance and operations (i.e., after the Stage 2 grant
funds have been expended).
iv. Program Evaluation
As a condition of grant award, grant recipients may be required to
participate in an evaluation undertaken by USDOT 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. USDOT may require applicants to collect data elements to
aid the evaluation. 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 USDOT 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 USDOT staff.
v. 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 described in paragraph 2
of this award term and condition. 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 reviews required for Federal
procurement contracts, will be publicly available.
vi. Knowledge Transfer Activities
In order to disseminate lessons learned to the public and to
encourage collaboration between recipients, USDOT will coordinate
various knowledge transfer activities which may include webinars, peer
exchanges or attendance at conferences and meetings. The activities
will be tailored to address the needs and interests of the grantees and
serve as a resource for connecting grantees facing similar technical
and institutional challenges. Recipients will share status updates and
technical knowledge, and exchange information about their progress,
challenges, and lessons learned. The SF-424A should include travel
costs, assuming two in-person meetings in Washington, DC.
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
Office of the Assistant Secretary for Research and Technology via email
at <a href="/cdn-cgi/l/email-protection#46352b2734320622293268212930"><span class="__cf_email__" data-cfemail="dcafb1bdaea89cb8b3a8f2bbb3aa">[email protected]</span></a> no later than ten business days prior to the NOFO
closing. In addition, up to the application deadline, the Department
will post answers to common questions and requests for clarifications
on the Department's website at www.transportation.gov/smart. To ensure
applicants receive accurate information about eligibility or the
program, the applicant is encouraged to contact the Department directly
with questions, rather than through intermediaries or third parties.
Department staff may also conduct briefings on the SMART grant
selection and award process upon request. On request of an eligible
entity that submitted an application per Section D with respect to a
project that is not selected for a SMART grant, Department staff will
provide to the eligible entity technical assistance and briefings
relating to the project.
H. Other Information
User-friendly information and resources regarding USDOT's
discretionary grant programs relevant to rural applicants can be found
on the Rural Opportunities to Use Transportation for Economic Success
(ROUTES) website at <a href="http://transportation.gov/rural">transportation.gov/rural</a>.
1. Definitions
------------------------------------------------------------------------
Term Definition
------------------------------------------------------------------------
Large community................... A community with a population of not
less than 400,000 individuals, as
determined under the most recent
annual estimate of the Bureau of
the Census.
Midsized community................ Any community that is not a large
community or a rural community.
Political subdivision of a state.. A unit of government created under
the authority of State law. This
includes cities, towns, counties,
special districts, and similar
units of local government, such as
public port or airport authorities,
if created under State law.
Regional partnership.............. A partnership composed of two or
more eligible entities located in
jurisdictions with a combined
population that is equal to or
greater than the population of any
midsized community.
Rural community................... The term ``rural community'' means a
community that is located in an
area that is outside of an
urbanized area (as defined in
section 5302 of title 49, United
States Code, which defines
``rural'' as a community with a
population of less than 50,000
individuals).
[[Page 58198]]
Resiliency........................ The ability to prepare for and adapt
to changing conditions and
withstand, recover, and reorganize
rapidly from disruptions to a
community (e.g., population,
economy, etc.). Resilience includes
the ability to withstand and
recover from manmade and naturally
occurring threats or incidents,
including widespread and long-term
threats or incidents.
Historically Disadvantaged For the purposes of the SMART NOFO,
Community. applicants may demonstrate the
``historical disadvantage'' of the
project area according to ONE of
the following tools:
(1) Federally designated community
development zones (for example:
Opportunity Zones, Empowerment
Zones, Promise Zones, Choice
Neighborhoods, or Rural Partners
Network-designated Community
Networks).
(2) The Climate and Economic Justice
Screening Tool (CEJST) via
<a href="http://screeningtool.geoplatform.gov">screeningtool.geoplatform.gov</a>.
------------------------------------------------------------------------
Issued in Los Angeles, CA, on September 19, 2022.
Tara Lanigan,
Program Analyst.
[FR Doc. 2022-20597 Filed 9-22-22; 8:45 am]
BILLING CODE P
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</html>Indexed from Federal Register on September 23, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.