2024 SMART Stage 2 NOFO-Final.pdf

SMART Grants Stage Two Notice of Funding Opportunity

AGENCY: Office of the Assistant Secretary for Research and Technology (OST-R), U.S.

Department of Transportation (USDOT or the Department)

ACTION: Notice of Funding Opportunity (NOFO), Assistance Listing (CFDA) #20.941

SUMMARY: The purpose of this notice is to solicit applications for Stage Two Strengthening Mobility and Revolutionizing Transportation (SMART) grants. Funds for the fiscal year (FY) 2024 SMART Grants Program are to be awarded on a competitive basis to prior 2022 Stage One recipients in order to implement the plans and prototypes previously developed in Stage One that will advance smart city or community technologies and systems to improve transportation efficiency and safety.

Only recipients of SMART Stage One Planning and Prototyping Grants, or eligible entities designated by Stage One SMART recipients, awarded under the FY22 SMART Stage One NOFO, may apply for this Stage Two Implementation Grants.

For this Notice of Funding Opportunity, the Draft Implementation Report completed by each Stage One Recipient will be assessed. Any applicant that is not required to submit a Draft Implementation Report between July-September 2024, as their period of performance began after October 1, 2023, will not be eligible to respond to this Notice of Funding Opportunity. US DOT anticipates multiple additional Stage Two NOFOs will be released in 2025 and 2026 which other SMART Stage One recipient will be eligible to apply for.

SUMMARY OVERVIEW OF KEY INFORMATION: Strengthening Mobility and Revolutionizing Transportation (SMART) Stage Two Implementation Grant Opportunity

Program Overview

The purpose of this notice is to solicit applications for Stage Two Strengthening Mobility and Revolutionizing Transportation (SMART) grants. Funds for the fiscal year (FY) 2024 SMART Grants Program are to be awarded on a competitive basis to Stage Two awardees in order to implement the plans and prototypes previously developed in Stage One that will advance smart city or community technologies and systems to improve transportation efficiency and safety.

Goals and Objectives

• As established in Sec. 25005 of the Bipartisan Infrastructure Law (BIL; P.L. 117-58), 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:

• Safety and reliability: Improve the safety of systems for pedestrians, bicyclists, and the broader traveling public. Improve emergency response.

• Resiliency: Increase the reliability and resiliency of the transportation system, including cybersecurity and adaptation to climate change effects.

• Equity and access: Connect or expand access for underserved or disadvantaged populations. Improve access to jobs, education, and essential services.

• Climate: Reduce pollution, including greenhouse gas emissions.

Improve energy efficiency.

• 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.

• Integration: Improve integration of systems and promote connectivity of infrastructure, connected vehicles, pedestrians, bicyclists, and the broader traveling public.

The Department will prioritize SMART Grant funding applications that demonstrate the following characteristics, as identified in BIL:

• 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.

• 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.

• Workforce development: Promote a skilled and inclusive workforce. Support the creation of good-paying jobs with the free and fair choice to join a union and the incorporation of strong labor standards and training and placement programs, especially registered apprenticeships, in project planning stages.

• 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.

Note that the SMART Grants Program is a demonstration program.

Proposals seeking funding for systems and technologies that are already well-established and broadly adopted will be less competitive.

Eligible Applicants

Eligible applicants for the SMART Grants Program include:

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 of two or more eligible entities applying through a single lead applicant (Group Application).

Only recipients of SMART Stage One Planning and Prototyping Grants, or eligible entities designated by Stage One SMART recipients, are eligible for Stage Two Implementation Grants. Stage One recipients that began their period of performance after October 1, 2023, are not eligible to respond to this NOFO, but are eligible for future Stage Two NOFOs.

Section C.1 provides additional applicant eligibility information.

Eligible Projects 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 assess each application on its merits, and there is no expectation that applications demonstrate more than one technology area.

• Coordinated Automation

• Connected Vehicles

• Intelligent, Sensor-Based Infrastructure

• Systems Integration

• Commerce Delivery and Logistics

• Leveraging Use of Innovative Aviation Technology

• Smart Grid

• Smart Technology Traffic Signals

Section C.3 provides additional project eligibility information.

Funding Amount This Notice makes available approximately $50,000,000 for Stage Two grants under the SMART Grants Program. USDOT expects to award approximately 3-5 Stage Two grants of up to $15,000,000 per award.

There is an anticipated minimum award size of $2,000,000.

Cost Share Not applicable.

Deadlines • Monday, July 29, 2024, at 5:00 PM ET: Deadline to submit technical questions to smart@dot.gov

• Wednesday August 14, 2024, at 5:00 PM ET: Application due

DUE DATES: Applications must be submitted by 5:00 PM ET during the submission window dates below. Late applications will not be accepted.

• Submission Window: July 15, 2024 – August 14, 2024 ADDRESSES: Applications must be submitted via Valid Eval, an online submission proposal system used by USDOT, at https://usg.valideval.com/teams/usdot_smart_stage_2/signup.

USDOT will not accept or review application materials submitted via Grants.gov.

mailto:smart@dot.gov https://usg.valideval.com/teams/usdot_smart_stage_2/signup

FOR FURTHER INFORMATION: Please contact SMART Grants Program staff via email at smart@dot.gov or call Madeline Zhu (202-961-9598). A telecommunications device for the deaf (TDD) is available at 202-366-3993. In addition, USDOT may post answers to questions and requests for clarifications, as well as schedule information regarding webinars providing additional guidance, on the SMART Grants website at https://www.transportation.gov/smart.

The deadline to submit technical questions is 5:00PM ET on Monday, July 29, 2024.

A webinar describing how to apply will be held at 1:00pm ET on Thursday, July 18, 2024.

Register for the webinar here:

https://usdot.zoomgov.com/webinar/register/WN_N2I3NM78Qsy7wEKuraruFQ#/registration

SUPPLEMENTARY INFORMATION: Each section of this notice contains information and instructions relevant to the application process for SMART grants.

Section Content Page # A Program Description 5 B Federal Award Information 8 C Eligibility Information 10 D Application and Submission Information 15 E Application Review Information 28 F Federal Award Administration Information 37 G Federal Award Agency Contacts 43 H Other Information 44 https://www.transportation.gov/smart https://usdot.zoomgov.com/webinar/register/WN_N2I3NM78Qsy7wEKuraruFQ#/registration

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 the Department of Transportation (USDOT) each year for FY2022- FY2026 for the SMART Grants Program. This NOFO solicits applications for activities to be funded under the SMART Grants Program. The 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.

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 sector2.

2. Program Structure The SMART Grants Program includes two stages: Stage One Planning and Prototyping Grants (Stage One grants) and Stage Two Implementation Grants (Stage Two 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. Only recipients of SMART Stage One Planning and Prototyping Grants, or their designee, are eligible for Stage Two Implementation Grants. For this NOFO, only recipients of FY22 Stage One Grants, whose periods of performance began prior to October 1, 2023, are eligible.

Proposers must have received a SMART Stage One Award, or have been designated by a Stage One recipient, to be eligible to submit a SMART Stage Two proposal.

Other SMART Stage One Recipients will be eligible for future Stage Two NOFOs in 2025 and 2026.

The Stage Two Applicant must have been either the lead applicant of a Stage One grant or a partner on the Stage One project team. In order for a Stage One partner to apply for a Stage Two grant as the lead applicant, the partner must be an eligible applicant listed in C.1 and provide a written designation from the Stage One lead. Each original Stage One project may submit only one Stage Two application for each Stage Two NOFO. Further details about Letters of Designation may be found in Section D.

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. https://www.federalregister.gov/documents/2021/11/18/2021-25286/implementation-of-the-infrastructure-investment-and-jobs-act 2 For more information and illustrative use cases, please see www.transportation.gov/SMART.

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 http://www.transportation.gov/SMART

USDOT anticipates awarding up to $15,000,000 per project for Stage Two. The anticipated minimum award size is $2,000,000 though USDOT reserves the right to alter the award amount depending on the quantity and quality of applications.

Stage Two implementation projects should result in an at-scale deployment of the Stage One concept, integrating it with the existing transportation system and refining the concept such that it could be replicated by others.

3. Departmental Priorities The Department seeks to fund projects that advance the Departmental priorities of safety, equity, transformation, climate and sustainability, and workforce development, job quality, and wealth creation as described in the USDOT Strategic Plan, Research, Development and Technology Strategic Plan, and in executive orders.4 The USDOT Innovation Principles guide Departmental actions related to innovation generally as well as the transformation strategic goal.5 Applicants are encouraged to review the Innovation Principles, along with other resources accessible on the SMART Grants website6 and to incorporate them into the design of applications for the SMART Grants Program.

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:

• Safety and reliability: Improve the safety of systems for pedestrians, bicyclists, and the broader traveling public. Improve emergency response.

• Resiliency: Increase the reliability and resiliency of the transportation system, including cybersecurity and adaptation to climate change effects.

• Equity and access: Connect or expand access for underserved or disadvantaged populations. Improve access to jobs, education, and essential services.

• Climate: Reduce air pollution, including greenhouse gas emissions. Improve energy efficiency.

• 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.

• Integration: Improve integration of systems and promote connectivity of infrastructure, connected vehicles, pedestrians, bicyclists, and the broader traveling public.

The Department will prioritize SMART Grant funding applications that demonstrate the following characteristics, as identified in BIL:

• 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.

• 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 https://www.transportation.gov/dot-strategic-plan https://www.transportation.gov/sites/dot.gov/files/2023-01/USDOT%20RDT%20Strategic%20Plan%20FY22-26_010523_508.pdf https://www.transportation.gov/sites/dot.gov/files/2023-01/USDOT%20RDT%20Strategic%20Plan%20FY22-26_010523_508.pdf requirements, and interoperability. Promote industry best practices regarding cybersecurity and technology standards. Safeguard individual privacy.

• Workforce development: Promote a skilled and inclusive workforce. Support the creation of good-paying jobs with the free and fair choice to join a union and the incorporation of strong labor standards and training and placement programs, especially registered apprenticeships.

• 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.

The SMART Grants Program focuses 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.

Note that the SMART Grants Program is a demonstration program. Proposals seeking funding for systems and technologies that are already well-established and broadly adopted will be less competitive. Successful Stage Two projects will build sustainable partnerships across sectors and levels of government identified in Stage One as well as collaborate with industry, academia, nonprofits, and other traditional and non-traditional partners. Successful projects will also support the creation of good-paying jobs with the free and fair choice to join a union. They will be real word deployments based on the concepts, plans and prototypes that were developed in Stage One.

For more information about Departmental priorities, technical resources, and FAQs for Stage Two, please refer to the SMART Grants Stage Two page:

www.transportation.gov/gov/grants/smart/smart-grants-stage-2.

See Section E.1.i for more detail on merit criteria that implement the priorities outlined above.

http://www.transportation.gov/gov/grants/smart/smart-grants-stage-2

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 each for FY22, FY23 and FY24. Therefore, this Notice makes available approximately $50,000,000 (reserved from FY23 appropriations) in grants under the SMART Grants Program. USDOT anticipates using up to 2 percent of this funding for administrative costs. Refer to Section D for greater detail on additional funding considerations and Section D.5 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. SMART funding is provided via reimbursement. Any costs incurred prior to USDOT’s obligation of funds for activities (“pre-award costs”) are ineligible for reimbursement. SMART Grant funds are available during the period of performance of the project (36 months).

3. Award Size and Anticipated Quantity USDOT expects to award between three and five Stage Two grants of up to $15,000,000 per award. There is an anticipated minimum award size of $2,000,000. The Department reserves the right to make more, or fewer, awards. USDOT also reserves the discretion to alter minimum and 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. Moreover, USDOT 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. USDOT expects that recipients will be ready for a signed grant agreement no later than six (6) months after the announcement of awards, and recipients must fully liquidate grant funds by the end of the project’s Period of Performance. If a recipient is unable to meet either of these deadlines, USDOT may de-obligate and/or reallocate any such funds. The expected period of performance for Stage 2 SMART grant agreements is up to 36 months.

5. Data Collection Requirements

i. Data Management

To fulfill the reporting requirements and in accordance with the Public Access Plan (https://doi.org/10.21949/1520559), award recipients must consider, budget for, and implement appropriate data management for data and corresponding 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:

• Providing at a minimum the data and corresponding outputs to: (1) reproduce significant results (whether positive or negative); (2) measure the outcomes or objectives of the project, as well as the NOFO; and, (3) add potential value to future deployments or research and to support evidence-based policy or actions;

https://doi.org/10.21949/1520559

• Defaulting to open access when appropriate (exceptions include protecting personally identifiable information [PII], Indigenous data sovereignty (https://www.gida-global.org/care), or confidential business information [CBI]);

• Protecting PII, intellectual property rights, and CBI;

• Utilizing, when possible, open licenses and protecting USDOT’s non-exclusive copyright to data and corresponding outputs (https://doi.org/10.21949/1520564);

• Making the source code or tools necessary to analyze the data available to the public, if relevant;

• Developing an expanded data management plan, providing relevant metadata (in a

DCAT-US https://resources.data.gov/resources/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

• 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; posting data in a timely fashion on publicly accessible resources; and enabling interaction of systems, interoperability, and integration of data systems.

Award recipients can use the data management plans developed in Stage One as the basis for the expanded Stage Two plan, which should include robust performance metrics and targets for the at-scale implementation and an overview of data sharing opportunities. 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, entities that have access to the data).

https://doi.org/10.21949/1520564 https://resources.data.gov/resources/dcat-us/ https://www.nhtsa.gov/automated-vehicle-test-tracking-tool https://www.nhtsa.gov/automated-vehicle-test-tracking-tool

C. Eligibility Information

1. Eligible Applicants

Eligible applicants for the SMART Grants Program include:

A. a State3;

B. a political subdivision of a State4;

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).

Only Eligible applicants that have either received a Stage One SMART Grant Award, or been designated as the lead applicant by a Stage One SMART recipient, are eligible to apply for the Stage Two SMART Grants through this NOFO.

For this NOFO, only recipients of FY22 Stage One Grants, whose periods of performance began prior to October 1, 2023, are eligible.

Other SMART Stage One Recipients will be eligible for future Stage Two NOFOs in 2025 and 2026.

Designating a Lead Applicant Every Stage One SMART recipient is eligible to apply for a Stage Two SMART Grant. In the event that a project has evolved and a different, eligible entity is a better fit to be the lead applicant for the Stage Two grant, the Stage One SMART recipient must designate the new lead applicant. Designated lead applicants must still be eligible based on the eligibility criteria above.

The Stage One SMART recipient must provide a Letter of Designation, endorsing the new lead applicant as the appropriate party to take over the project in Stage Two, and stating the Stage One lead’s continued support and involvement in the project as it is deployed. More details on Letters of Designation are provided in Section D and at www.transportation.gov/gov/grants/smart/smart-grants-stage-2.

Only one Stage Two application may be submitted per Stage Two NOFO to expand and deploy a solution prototyped or planned in Stage One. The Stage Two SMART application must demonstrate that it continues the work of the designated Stage One project. Stage One projects not awarded in this or future Stage Two SMART NOFOs may reapply to another Stage Two

SMART NOFO.

For this Notice of Funding Opportunity, the Draft Implementation Report completed by each Stage One Recipient will be assessed. Any applicant that is not required to submit a Draft Implementation Report between July-September 2024, as their period of performance began after

3 U.S. territories are eligible applicants.

4 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.

October 1, 2023, will not be eligible to respond to this Notice of Funding Opportunity but may apply to another Stage Two SMART NOFO.

1. Cost Sharing or Matching Cost sharing or matching is not required for Stage Two Grants.

2. 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 assess 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.

Technology Area Definition 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 Infrastructure

Deployment and use of a collective 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 Aviation Technology

Leveraging the use of innovative 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:

• Use of automated traffic signal performance measures;

• 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;

• Replacement of outdated traffic signals; or

• For an eligible applicant serving a population of less than

500,000, paying the costs of temporary staffing hours dedicated to updating traffic signal technology.

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:5

• 14 CFR Part 91 General Operating and Flight Rules6

• 14 CFR Part 107 small UAS rule; Small UAS7

• UAS Operations over People rule; Operations Over People General Overview 8

• UAS Remote identification rule; UAS Remote Identification Overview9

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:

• FAA DroneZone, used to register UAS10

• FAA Low Altitude Authorization and Notification Capability (LAANC), used to obtain airspace authorization to fly in controlled airspace11

• Part 107 Waiver Resources,12 used to enable more complex UAS operations13

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 rules established in waivers associated with Federal Communications Commission (FCC) ET Docket No. 19-138 and future Report and Orders effective at the time when the Department selects

5 Other terminologies exist, using the FAA terminology “unmanned aircraft systems” for simplicity;

614 CFR Part 91 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-91.

7 14 CFR Part 107 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-107 8FAA Operations Over People General Overview https://www.faa.gov/uas/commercial_operators/operations_over_people. Last updated November 10, 2022.

9FAA Final Rule on Remote ID https://www.faa.gov/newsroom/remoteid-final-rule. Last updated April 21, 2021.

10 FAA DroneZone; https://faadronezone.faa.gov/.

11 FAA UAS Data Exchange (LAANC); https://www.faa.gov/uas/programs_partnerships/data_exchange.

12 Part 107 Waiver resources; https://www.faa.gov/uas/commercial_operators/part_107_waivers.

13 For additional questions or information, please contact the FAA UAS Support Center at https://www.faa.gov/uas/contact_us.

https://www.faa.gov/newsroom/small-unmanned-aircraft-systems-uas-regulations-part-107 https://www.faa.gov/uas/commercial_operators/operations_over_people/ https://www.faa.gov/uas/getting_started/remote_id/#:%7E:text=Remote%20ID%20will%20provide%20information,drone's%20owner%20from%20the%20FAA.

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-107 https://www.faa.gov/uas/commercial_operators/operations_over_people https://www.faa.gov/newsroom/remoteid-final-rule https://faadronezone.faa.gov/ https://www.faa.gov/uas/programs_partnerships/data_exchange https://www.faa.gov/uas/commercial_operators/part_107_waivers https://www.faa.gov/uas/contact_us projects for funding under the FY 2024 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. USDOT will assess FY 2024 Stage Two proposals according to this language.

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 and operations 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.

Stage Two applicants are required to identify all necessary exemptions, waivers, permits, or special permissions in their Stage Two application. Applications will be assessed on the readiness and feasibility of the project with regard to legal, policy, and regulatory requirements (e.g., environmental permits and reviews; public outreach; State and local approvals; equity and accessibility requirements). It will strengthen a Stage Two application if the applicant can affirm that it has already received such permissions. See section E for detailed assessment criteria.

Selection for NOFO funds does not guarantee that an exemption or waiver will be granted or otherwise impact the exemption or waiver review processes.

2. Costs 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:

• planning;

• feasibility analyses;

• revenue forecasting;

• environmental review;

• permitting;

• preliminary engineering and design work;

• systems development or information technology work;

• acquisition of real property (including land and improvements to land relating to an eligible project);

• construction;

• reconstruction;

• rehabilitation;

• replacement;

• environmental mitigation;

• construction contingencies; and

• acquisition of equipment, including vehicles.

The following are not eligible costs for SMART Grants Program funding:

• reimbursement of any pre-award costs or application preparation costs of the SMART grant application;

• traffic or parking enforcement activity; or

• purchase or lease of a license plate reader.

If a component of the project is explicitly intended to support current or future traffic or enforcement activities, it is not an eligible cost for the SMART Grants Program and cannot be included in an eligible proposal.

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 assessment costs are allowable costs (either as direct or indirect), and such costs may include the personnel and equipment needed for data infrastructure and expertise in data analysis, performance, and assessment (2 CFR Part 200). For more information on required reporting, see Section F.3. Recipients 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.

Broadly, allowable activity costs must comply with the cost principles set forth in 2 CFR Part 200, Subpart E (i.e., 2 CFR § 200.403 and § 200.405).

D. Application and Submission Information

1. Address to Request Application Package

All grant application materials can be accessed at grants.gov under the Notice of Funding Opportunity Number DOT-SMART-FY24-02. However, applications should not be submitted on Grants.gov, and USDOT will not review any applications submitted via Grants.gov.

Applicants must submit their applications via Valid Eval at https://usg.valideval.com/teams/usdot_smart_stage_2/signup.

Potential applicants may also request paper copies of materials at:

Telephone: 202-774-8003 Mail: U.S. Department of Transportation

1200 New Jersey Avenue SE E37-303 Washington, DC 20590

2. Content and Form of Application Submission The application must include the following: Standard Forms (SF); Key Information Questions;

and Project Narrative, including the required Appendices. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/usdot_smart_stage_2/signup. More detailed information about each application material is provided below. Nothing should be submitted on Grants.gov, and USDOT will not review any applications submitted via Grants.gov.

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) or, if applicable, Budget Information for Construction Programs (SF-424C), and the Certification Regarding Lobbying form. If applicable, applicants should also complete the Disclosure of Lobbying Activities (SF-LLL). These forms can be found on the Valid Eval application page.

Regarding signatures, we ask that authorized representatives either:

1. Print the appropriate documents, physically sign the documents in ink, and re-upload the documents to Valid Eval OR

2. Download the appropriate documents, provide a digital signature/digital certificate, and re-upload the documents to Valid Eval.

ii. Key Information Questions: This is a preview list of the questions that are asked on USDOT’s automated proposal website at https://usg.valideval.com/teams/usdot_smart_stage_2/signup. After registering in the system, the applicant will be prompted to answer the following questions on the website:

Title Instructions

1. Stage Two 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. The SMART Grants Program recommends a unique title of 100 characters or less. Do not title your project ‘SMART Grant’ or similar.

2. Lead Applicant Name This should be consistent with Q. 8.a. of the SF-424.

3. Lead Applicant Unique Entity Identifier (UEI)

See Section D.3 for more information about obtaining a UEI from SAM.gov. The UEI must be current and not expired. The UEI must be in an “active” status, not “assigned.”

4. Eligible Applicant Type Indicate the eligible applicant 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.

If this is a group application, please identify the eligible applicant type of the lead applicant.

5. Is this the same lead applicant as the corresponding Stage One Application?

If No, list the new name of the lead applicant of the corresponding Stage One project.

6. Was a similar application submitted in the past two years, or do you anticipate a similar application will be submitted for funding in the coming year for this project under any other USDOT discretionary grant programs (not including the SMART Grants Program)?

If yes, please include the name of the discretionary grant program, the project title of the similar grant application, and the name of the lead applicant.

Please also indicate the application status (Planned, Submitted, Selected, or Not Selected).

7. Other than the SMART Grants Stage One award, was any other Federal funding previously received for this project? This may include funding received from USDOT as well as other Federal agencies.

If yes, indicate the amount of Federal funding received and the relevant grant number.

8. What organizations will be considered partners on this project?

List all critical project partners. This could include other eligible applicant types (e.g., States, a political subdivision of a State, etc.) as well as those in industry, academia, nonprofits, and other traditional and non-traditional partners).14

9. One Sentence Description of Stage Two project

Describe your Stage Two project in one sentence using the following format:

“This project will use X (technology(ies) to address Y (problem(s) to be solved) in Z (context or project area).”

The sentence should describe the full implementation of the project as described in the Stage Two application. The One Sentence Description of successful applicants may be published by USDOT and, therefore, must not contain classified, proprietary, or confidential information.

10. Brief Project Description Describe the project in plain language, using no more than 200 words. It is recommended that applicants use the following format:

• One sentence on the problem to be solved.

• One sentence on the anticipated or known impact of the Stage One project that received SMART funding.

• One sentence describing the anticipated Stage Two activities and how these activities will build on success from Stage One.

• One sentence describing the anticipated impacts of the Stage Two project.

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 applicants may be published by USDOT and, therefore, must not contain classified, proprietary or confidential information.

11. Primary Project Location Identify the primary location where the project will take place. If more than one location, please list additional locations in the next question.

1. If your project will be conducted in a specific city, cities, or town(s), indicate the primary location at which the project will take place using [City, State] as the format.

2. If your project will be conducted at the county, regional, or MPO-level, please note the closest or most relevant [City, State] location for the project

14 Letters of Commitment should be written for critical partners only. For a Letter of Commitment template, see www.transportation.gov/SMART.

http://www.transportation.gov/SMART and indicate if this location represents a “county,” “region,” or “MPO.” This information will be used for mapping purposes.

3. If your project will be conducted Statewide, please indicate the name of the State.

4. If your project will be conducted in a tribal community, please note the closest or most relevant [City, State] location for the project. This information will be used for mapping purposes.

12. Other Project Locations Identify additional project locations, if applicable, using the same instructions as the previous question.

All additional locations should be in [City, State] format.

13. What congressional district(s) is your project located in?

Use the following format: StateAbbrv.- DistrictNumber (e.g., CA-1 , CA-ALL)

14. Size of Community Receiving Benefits

Indicate the size of the community (large community;

midsized community; regional partnership; or rural community) that will primarily benefit from the project.

• 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.

• 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 “urbanized area” as an area encompassing a population of not less than 50,000 people that has been defined and designated in the most recent decennial census as an “urbanized area” by the Secretary of Commerce. Please use 87 FR 80114 to confirm that your project location is not delineated by the Census Bureau as a 2020 urbanized area based on 2020 Census of Population and Housing counts and density calculations.

• Regional Partnership: A partnership composed of two or more eligible applicants located in jurisdictions with a combined population that is equal to or greater than the population of any midsized community.

https://www.federalregister.gov/documents/2022/12/29/2022-28286/2020-census-qualifying-urban-areas-and-final-criteria-clarifications

15. Is the project located (entirely or partially) in a Disadvantaged Community based on its location in a census tract identified as “disadvantaged” in the Climate and Economic Justice Screening Tool

(CEJST)?

Indicate Yes, No, or Statewide Project. Only select “Statewide Project” if the project will not have specific project sites within a State.

16. If you responded “Yes” to Question 15, please identify the relevant census tract(s) that contribute to this designation. Be sure to use the full census tract number identified in the CEJST tool.

17. Project Cost: Amount Requested Total dollar amount requested (rounded to the nearest dollar).

18. Project Cost: Total Project Cost Total project cost requested for Stage Two, including dollar amount requested and other funding contributions (rounded to the nearest dollar).

19. Proposed Duration of Stage Two Project (in months)

May be up to 36 months.

20. Primary Technology Area Select the primary technology area with which your project aligns:

A. coordinated automation;

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

21. Secondary Technology Area(s) (if applicable)

Select the secondary technology area(s) with which your project aligns:

A. coordinated automation;

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 I. N/A

Note that applications are not rated on the number of technology areas indicated, so it is important to only select the area(s) with which your project aligns.

https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5

22. Does this project relate to traffic or parking enforcement; or license plate reader activities?

Indicate “Yes” or “No.” Note that SMART grants shall not be used for any current or future traffic or parking enforcement activity, or to purchase or lease a license plate reader.

23. Is an exemption, waiver, permit, or special permission required to conduct the proposed project?

If yes, indicate the exemption, waiver, permit, or special permission obtained. If a waiver has not been obtained, please indicate the plan or process for obtaining it in your Project Narrative.

24. Jobs / Workforce Assessment Do you anticipate that the technologies introduced in your project will affect the number and quality of jobs in your agency or organization or in industries impacted by your project?

If yes, please provide a thorough response of how technology may impact the quantity and quality of jobs and your plans to address potential changes.

These plans may include collective bargaining agreements, restructuring of jobs, and additional training for the workforce.

If no, please explain why it would not affect the number and quality of jobs.

The SMART Grants Program recommends that this section be 200 words or less.

25. Were workforce representatives consulted on the information provided on job impacts of the project?

Indicate “Yes” or “No.”

26. Are workforce representatives supportive of this project?

The SMART Grants Program recommends that this section be 200 words or less.

27. Anticipated Stage Two NEPA Class of Action and Requirements

Referencing the SMART NEPA Readiness Guidance https://www.transportation.gov/grants/smart/smart-environmental-review-readiness-guidance, state the anticipated National Environmental Policy Act (NEPA) class of action for your Stage Two project as well as any anticipated environmental approvals and permits you have already acquired, or which will be needed for the proposed project. If you are unsure, please explain your expected coordination to determine this.

The SMART Grants Program recommends that this section be 200 words or less.

28. What environmental risks or concerns (e.g. historical structures, environmental justice, local traffic / work zone impacts, floodplain encroachment) do you expect during project implementation? How are you

Refer to the SMART NEPA Readiness Guidance (https://www.transportation.gov/grants/smart/smart-environmental-review-readiness-guidance) to complete this answer.

https://www.transportation.gov/grants/smart/smart-environmental-review-readiness-guidance planning to mitigate the risks / concerns?

The SMART Grants Program recommends that this section be 300 words or less.

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 ten pages; this does not include the required appendices. A cover page and table of contents are not required but would not count toward the ten- page narrative if included. Figures are considered part of the ten- page narrative.

The Narrative and Appendices I-III should be in PDF format, with a font size of no less than 12-point Times New Roman, single-spaced, minimum 1-inch margins on all sides, and page numbers.