UNIVERSITY

TRANSPORTATION CENTERS

PROGRAM

FY 2025 NOTICE OF

FUNDING OPPORTUNITY

Opening Date: December 22, 2025 Requested Date for Letter of Intent: January 19, 2026

Required Application Due: February 20, 2026 www.grants.gov Opportunity No. UTCOPENCOMP2025

Assistance Listing (CFDA) 20.701

Office of the Assistant Secretary for Research and Technology U.S. Department of Transportation

Washington, D.C. 20590-0001 https://www.transportation.gov/content/university-transportation-centers

TABLE OF CONTENTS

SECTION A BASIC INFORMATION

A.1 Data A.2 Funding Details A.3 Executive Summary A.4 Agency Contact Information

SECTION B ELIGIBILITY

B.1 Eligible Applicants B.2 Cost Sharing or Matching Funds

SECTION C PROGRAM DESCRIPTION

C.1 UTC Program Purpose and Center Objectives C.2 Types of Centers C.2.1 Regional Center C.2.2 Tier 1 Centers C.3 UTC Program History

SECTION D APPLICATION CONTENTS AND FORMAT

D.1 Multiple Applications D.2 Content and Form of Application Submission D.2.1 Letters of Intent D.2.2 Applications D.2.2.1 Cover Sheet D.2.2.2 Research Abstract D.2.2.3 Written Response D.2.2.3.1 Response to Evaluation Criteria D.2.2.3.2 Center Director and Key Personnel D.2.2.4 Required Appendices D.2.2.4.1 Enrollment Information for Any Minority Institution(s) D.2.2.4.2 Curricula Vitae for Center Director and Key Personnel D.2.2.4.3 Center Budget Plan D.2.2.5 Standard Forms SF-424 and SF-424B D.2.2.6 Confirmation of Negotiated Overhead and Fringe Benefit Rates

SECTION E SUBMISSION REQUIREMENTS AND DEADLINES

E.1 Address to Request Application Package E.2 Unique entity identifier and System for Award Management (SAM) E.3 Submission Instructions, Dates and Times E.3.1 Letters of Intent E.3.2 Applications E.3.3 Intergovernmental Review E.4 Other Submission Requirements

SECTION F APPLICATION REVIEW INFORMATION

F.1 Responsiveness Review F.2 Review Criteria F.3 Review and Selection Process

F.4 Risk Review

SECTION G AWARD NOTICES

SECTION H POST-AWARD REQUIREMENTS AND ADMINISTRATION

H.1 Administrative and National Policy Requirements H.2 Reporting

SECTION I OTHER INFORMATION

ATTACHMENT A

SECTION A BASIC INFORMATION

A.1 Data

• Federal Agency name: Office of the Assistant Secretary for Research and Technology (OST-R), United States Department of Transportation (DOT)

• Funding Opportunity Title: University Transportation Centers (UTC) Program FY 2025 Notice of Funding Opportunity (NOFO)

• Announcement Type (initial or modification): This is a re-opened competition for five vacant slots in the portfolio of UTC Program grants authorized under the Infrastructure Investment and Jobs Act.

• Funding Opportunity Number: UTCOPENCOMP2025

• Assistance Listing Number: 20.701

• Key Dates:

o Opening Date December 22, 2025 o Requested Date for Letter of Intent January 19, 2026 o Required Application Due Date February 20, 2026 o Tentative Award Date May 1, 2026 o Tentative Period of Performance End Date April 30, 2030

A.2 Funding Details

The Department will operate the UTC Program based on the principles of full and open competition. Awards will be in the form of grants to successful applicants. The funding and authorization available to OST-R for this NOFO at this time are solely from Federal Fiscal Year 2024 funds.

The Infrastructure Investment and Jobs Act (IIJA, Section 11101(c)(1)(E) authorized $81 million for Fiscal Year 2024 (FY 2024), $81.5 million for Fiscal Year 2025 (FY 2025), and $82 million for Fiscal Year 2026 (FY 2026) for 35 competitive grants to UTCs, including the five new grants being competed in this NOFO. In addition, IIJA (Division J, Title VIII) provides $19.0 million per fiscal year “to remain available until expended for amounts made available for each of fiscal years 202[4] through 2026…to carry out the University Transportation Centers Program.”

Please note that if subsequent legislation dictates different information from what is contained in this NOFO, DOT will amend and/or reissue the NOFO as appropriate.

Authorized FY 2024 through FY 2026 funds are subject to appropriations and to an annual obligation limitation, and 49 U.S.C. § 5505(d)(3) allows DOT to expend not more than 1.5 percent of the funding amounts made available for the UTC Program to carry out coordination, evaluation, and oversight activities for the program, the combination of which may reduce grant award amounts. The amount of budget authority available in a given year may be, and has been in recent years, less than the amount authorized for that fiscal year, resulting in reductions of award amounts. As of the release date of this NOFO, the Department anticipates being able to award in 2026 the amounts shown for FY2024 funding below.

Funds made available under this NOFO may be expended from an anticipated start date of May 1, 2026, through April 30, 2030.

Two types of Centers will be selected under this NOFO:

• One Regional UTC in Region 2 and

• Four Tier 1 UTCs.

The expected fiscal year funding amounts for each type of Center are shown below. The amount of FY2024 funding is actual, while the amounts of FY2025 and FY2026 funding are based on the authorized amount of funding before any of the reductions noted above that are expected to reduce the amounts.

Regional $2,926,867 each X 1 $ 2,926,867 Tier 1s $1,951,245 each X 4 $ 7,804,980 TOTAL FY2024 for award in 2026 $10,731,847

Regional up to $3,000,000 each X 1 $ 3,000,000 Tier 1s up to $2,000,000 each X 4 $ 8,000,000 TOTAL FY2025 for award in 2027 up to $11,000,000

Regional up to $3,000,000 each X 1 $ 3,000,000 Tier 1s up to $2,000,000 each X 4 $ 8,000,000 TOTAL FY2026 for award in 2028 up to $11,000,000

Through this NOFO, the Department is competing UTC grants in fixed amounts within the ranges enabled by 49 U.S.C. § 5505(c) for each type of UTC (Regional and Tier 1) in order that applicants for each type of grant may be evaluated fairly against a fixed level of effort.

A.3 Executive Summary

As stated in 49 U.S.C. § 5505, the purpose of the UTC Program is for eligible nonprofit institutions of higher education to establish and operate University Transportation Centers.

The objectives of each of these Centers are to:

• Advance transportation expertise and technology in the varied disciplines that comprise the field of transportation through education, research, and technology transfer activities;

• Provide for a critical multimodal transportation knowledge base outside of DOT; and

• Address critical workforce needs and educate the next generation of transportation leaders with respect to the statutory research priorities.

In support of these objectives, UTCs are also expected to:

• Conduct research that identifies and addresses gaps in current transportation knowledge and practice, ensuring that projects respond to real-world needs and emerging challenges;

• Foster the development and application of innovative concepts, tools, and technologies that have the potential to transform transportation systems and services, including enhancing the travel experience and ensuring reliable delivery of goods and services for American families;

• Contribute to the advancement of the state of the art and the state of practice in transportation by generating actionable insights, scalable solutions, and evidence-based recommendations for public and private sector stakeholders;

• Ensure that research findings inform the development of effective regulations, policies, and standards, supporting evidence-based decision-making at the local, State, and Federal levels; and

• Conduct technology development and transfer to practice and commercialization of such technology to transform transportation and advance DOT priorities.

Although every Center has the same broad objectives, DOT encourages variety among the program participants and in the approaches individual Centers take to achieve program objectives. DOT encourages unique approaches to research, education, workforce development and technology transfer, building on or reflecting institutional expertise, facilities, and partnerships. DOT desires UTCs to engage in breakthrough, advanced, and transformative research, education and workforce development, and technology transfer activities that cut across disciplines and span multiple modes of transportation. UTCs have an important role to play in helping to transform the Nation’s surface transportation system to achieve this vision, inclusive of rail, maritime, highway, pipelines, transit, and any surface links to aviation, and in a manner that enhances the travel experience and ensures reliable delivery of goods and services for American families.

A.4 Agency Contact Information

Until 4:00 PM EST on TUESDAY, FEBRUARY 17, 2026, questions about this NOFO or the UTC Program in general may be directed to the following email address: UTCgrants@dot.gov.

Questions posed by applicants will be posted along with OST-R’s responses on the Grant Competition tab of the UTC Program website http://utc.dot.gov/ (available at https://www.transportation.gov/utc/current-competition), in order that all potential applicants may benefit equally from any additional information provided in the responses.

SECTION B ELIGIBILITY

B.1 Eligible Applicants

Only U.S. non-profit institutions of higher education1 as defined under 20 U.S.C. § 1001(a) are eligible to apply. Non-profit institutions of higher education may include qualifying two-year institutions that meet the requirements of 20 U.S.C. § 1001(a).2 Any application submitted by or including in its consortium an entity other than a U.S. non-profit institution of higher education will not be considered for selection.

The lead institution of each of the 30 current UTC Program grants authorized under the IIJA, selected through competitions in 2022-2023, are not eligible to receive a second lead grant through this competition, per 49 U.S.C. § 5505(b)(2)(A). Current UTC Program grant lead-institution recipients may participate as a consortium member on applications submitted by

1 The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Grants, Title 2 of the Code of Federal Regulations, Part 200 defines “institution of higher education” as that term is established in 20 U.S.C. § 1001(a).

2 Qualifying two-year institutions may include junior or community colleges if they meet the requirements of 20 U.S.C. § 1001(a).

mailto:UTCgrants@dot.gov http://utc.dot.gov/ https://www.transportation.gov/utc/current-competition another institution acting as the lead institution. There are no restrictions on the sub-recipient institutions on the 30 current UTC Program grants.

Under 49 U.S.C. § 5505(b)(1), a UTC must be a consortium of two or more non-profit institutions of higher education led by one lead institution, all located in the United States or its territories or on Tribal lands. Typically, a consortium is a meaningful arrangement with all members involved in planning the overall direction of the Center’s activities and participating in most aspects of the Center; the consortium is a long-term relationship lasting the full life of the grant. Any application submitted by a sole non-profit institution of higher education that is not part of a consortium will not be considered for selection.

Universities may collaborate with State, Tribal, and local departments of transportation and departments of public works, metropolitan and regional planning organizations, the private sector, the philanthropic sector, and non-profit organizations; however, organizations that are not defined as U.S. non-profit institutions of higher education will not be considered members of the consortium. Organizations that are not members of a consortium may collaborate with a Center on a particular project or provide a service that assists in accomplishing that Center’s activities.

49 U.S.C. § 5505(c)(4)(C) directs DOT to give consideration to minority institutions; it does not require a UTC to include a minority institution in the consortium. DOT will consider minority institutions consistent with 49 U.S.C. § 5505(c)(4)(C) and the principles of Executive Order 14283, White House Initiative To Promote Excellence and Innovation at Historically Black Colleges and Universities.

The grantee/recipient institution will be the direct and primary recipient of DOT funds and must perform a substantive role in carrying out Center activities; it may not serve solely or primarily as a conduit for awards to another party. Under this NOFO, there is no minimum requirement for concentration of funding at the grantee institution or for consortium institutions.

B.2 Cost Sharing or Matching Funds

Total funding for a Center’s operation must include DOT funding plus non-Federal matching funds. The matching funds may include Federal funds provided to a recipient under 23 U.S.C. § 504(b) or 505 (local technical assistance and State planning and research programs managed by the Federal Highway Administration). No other sources of Federal funds, including from non- DOT Departments and Agencies, may be counted toward the match requirement.

The non-Federal matching funds may be cash or in-kind, must be used to accomplish program objectives and the purpose of the grant, and must be fully documented in the Center’s records.

Grantees will have the length of the grant period to obtain and to spend the full amount of required matching funds. Any restrictions under the grant or in Federal grant regulations 2 CFR Part 200 on allowability of costs apply to matching funds as well as the Federal funds.

A Regional UTC must obtain matching funds in an amount equal to the DOT grant award amount. The match for Tier 1 UTCs must be 50 percent of the DOT grant award amount.

SECTION C PROGRAM DESCRIPTION

C.1 UTC Program Purpose and Center Objectives

The Infrastructure Investment and Jobs Act (IIJA; P. L. 117-58, 2021) authorizes the Secretary of Transportation to make grants to eligible non-profit institutions of higher education to establish and operate University Transportation Centers (UTCs or Centers). Non-profit institutions of higher education may include qualifying two-year institutions (20 U.S.C. § 1001(a)).

Through this NOFO, DOT seeks competitive grant applications for one Regional UTC and four Tier 1 UTCs as set forth in the IIJA (detailed descriptions of the two types of UTCs are provided below). UTCs will be selected by the Secretary, in consultation with the heads of the operating administrations of DOT, as appropriate (49 U.S.C. § 5505(b)(4)(B) as amended by the IIJA, Section 25017).

UTCs shall support surface transportation through the following DOT statutory research priorities (49 U.S.C. § 6503(c)(1) as amended by the IIJA, Section 25014):

A. Improving Mobility of People and Goods;

B. Reducing Congestion;

C. Promoting Safety;

D. Improving the Durability and Extending the Life of Transportation Infrastructure;

E. Preserving the Environment;

F. Preserving the Existing Transportation System; and

G. Reducing Transportation Cybersecurity Risks.

A UTC and its consortium members must be established and located physically in the United States or its territories or on Tribal lands. It must be a consortium of two or more nonprofit institutions of higher education. Each Center is required to obtain matching funds from non- Federal sources. A Regional UTC must obtain matching funds in an amount equal to the DOT award amount. The match for Tier 1 UTCs is 50 percent of the DOT award amount. DOT grant funds may be expended up to April 30, 2030, and Centers will have until that date to meet the full match requirement by obtaining and expending those funds.

Specific instructions on how to apply for UTC grant funding under this NOFO are provided in SECTION D APPLICATION CONTENTS AND FORMAT and SECTION E

SUBMISSION REQUIREMENTS AND DEADLINES.

C.2 Types of Centers

C.2.1 Regional Center

The Region 2 Center must focus its efforts on national transportation issues as identified by one of the seven statutory research priority areas: Improving Mobility of People and Goods;

Reducing Congestion; Promoting Safety; Improving the Durability and Extending the Life of Transportation Infrastructure; Preserving the Environment; Preserving the Existing Transportation System; and Reducing Transportation Cybersecurity Risks. SECTION D APPLICATION CONTENTS AND FORMAT provides additional information on non-exclusive candidate topic areas identified of priority interest by DOT.

The Region 2 Center is to be located in standard Federal region 2 as shown in Table 1 below.

A Regional Center is distinct from Tier 1 Centers in that it must also address what it identifies as regional needs. While a Tier 1 Center may be based in any region and may form a consortium with universities that are not located in its region, a Regional Center, including all consortium members, must be located within the Federal region to be served. The Regional Center must serve as a focal point within its respective region to help coordinate UTC transportation research, education and technology transfer programs with regional needs and initiatives. At a minimum, a Regional Center should work with the other UTCs in its region to maximize the effectiveness of the region’s collective services and programs.

Table 1. Standard Federal Regions

Standard Federal Regions Region 2 New Jersey, New York, Puerto Rico, U.S. Virgin Islands

C.2.2 Tier 1 Centers

The four Tier 1 Centers must focus their efforts on national transportation issues as identified by one of the seven statutory research priority areas: Improving Mobility of People and Goods;

Reducing Congestion; Promoting Safety; Improving the Durability and Extending the Life of Transportation Infrastructure; Preserving the Environment; Preserving the Existing Transportation System; and Reducing Transportation Cybersecurity Risks. SECTION D APPLICATION CONTENTS AND FORMAT provides additional information on non-exclusive candidate topic areas identified of priority interest by DOT.

Tier 1 Centers may be based in any region and may include consortium members that are not in the same Federal region as the grantee university.

C.3 UTC Program History

The history of the UTC Program begins with its initial authorization in the Surface Transportation and Uniform Relocation Assistance Act of 1987. After a nationwide competition, in 1988 DOT awarded grants to create a UTC in each of the ten standard Federal regions. The primary purpose of the program at that time was conducting research.

The Intermodal Surface Transportation Equity Act (ISTEA) of 1991 reauthorized the UTC Program through Fiscal Year 1997 and expanded its mission to include education and technology transfer, as well as research. In addition to the ten Regional Centers, ISTEA created three “national” Centers and six University Research Institutes at universities that were named in the Act. The program expansion led DOT to adopt a strategic planning approach to program management based on a unified mission and goal set for all 13 Centers and six Institutes.

In 1998, the Transportation Equity Act for the 21st Century (TEA-21) reauthorized the UTC Program for an additional six years and increased the total number of Centers to 33. In addition to the ten Regional Centers, which were selected competitively in 1999, TEA-21 created 23 other Centers at institutions named in the Act. TEA-21 established education as one of the primary objectives of a UTC and institutionalized the use of strategic planning in UTC grant management.

The Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU), enacted in 2005, provided the most significant expansion of the UTC program to date. SAFETEA-LU increased the number of UTCs from the 33 established in TEA-21 to 60, including the ten Regional UTCs plus a new group of ten competitive centers called Tier 1 Centers; the other 40 UTCs were located at institutions named in the Act. Annual authorized funding for the UTC program also increased from $32.5 million in TEA-21 to $85.9 million in

SAFETEA-LU.

The Surface Transportation Extension Act of 2010, sec. 411(e)(3), gave DOT the discretion to redistribute funds allocated to specified research projects and programs designated in SAFETEA-LU. Fiscal Year 2011 funds were made available through full and open competition following the framework of the competitive UTC programs under SAFETEA-LU sections 5506(e) and (f). Grants of approximately $3.5 million each were awarded to ten Tier 1 UTCs, two Tier 1 Transit-Focused UTCs, and ten Regional UTCs. Fiscal Year 2012 funds were added to these grants following additional extension legislation.

In 2012, the Moving Ahead for Progress in the 21st Century Act (MAP-21) continued the UTC program, authorizing the competitive selection of 35 UTCs to receive a total of $72.5 million in funding for each of Fiscal Years 2013 to 2014, with continued funding from extension acts through Fiscal Year 2015. Following a competition in 2013, grants of approximately $3 million each were awarded to five National UTCs, $2.75 million each to ten Regional UTCs, and $1.5 million each to 20 Tier 1 UTCs.

The Fixing America’s Surface Transportation (FAST) Act was enacted in December 2015, establishing the UTC Program similarly to MAP-21 with 35 UTCs to receive funding from Fiscal Years 2016 to 2020. The FAST Act was later extended through Fiscal Year 2021.

Authorized funding increased incrementally from $72.5 million per year to $77.5 million per year. Congress provided one-time funding and authorizations for additional grants in 2018 for two additional National UTCs (total authorization $15 million) and in 2020 for additional Tier 1 UTCs (total authorization $5 million). These grants were competed and awarded in 2019 and 2020 respectively, and they operate similarly to the FAST Act-authorized UTCs except for a shorter period of performance and smaller award amounts.

IIJA was enacted in November 2021, establishing the UTC Program as it is described throughout this NOFO. The IIJA’s reauthorization of the UTC Program both sustains existing and establishes new and vital initiatives in transformational research, education and workforce development, and technology transfer that benefit the U.S. traveling public, freight movement, and the safety and efficiency of the U.S. transportation system.

Additional information about the UTC Program is available on the UTC Program website (https://www.transportation.gov/content/university-transportation-centers).

SECTION D APPLICATION CONTENTS AND FORMAT

D.1 Multiple Applications

Institutions may apply for multiple grants by submitting separate applications for each, and they may choose to submit separate applications for grants under more than one type of UTC category (Regional or Tier 1). However, 49 U.S.C. § 5505(b)(2) (as amended by IIJA, Section 25017) restricts the number of UTC grants that an institution may receive through this competition as a lead institution of a consortium to one UTC grant (previously a lead institution could receive one grant under each type of center, but now only one UTC grant in total may be received). In this competition, there are no restrictions on the numbers or types of UTCs of which an institution may be a non-lead consortium member; an institution could be selected as the lead on one UTC and as a non-lead consortium member on another selected UTC.

D.2 Content and Form of Application Submission

D.2.1 Letters of Intent

This NOFO requires that each applicant submit a Letter of Intent which OST-R requests be received by 5:00 PM EST, MONDAY, JANUARY 19, 2026 (late submission of a Letter of Intent will be accepted if received before the deadline for applications); any application not preceded by a Letter of Intent submitted in the manner described here will be rejected. The Letter of Intent must be submitted to OST-R as a PDF attachment in an e-mail, sent to UTCgrants@dot.gov.

The Letter of Intent must identify the following items:

1. the non-profit institution of higher education that will submit the application as the lead of the consortium;

2. the type of UTC for which you are applying as shown in Section C.2 Types of Centers above: (1) Region 2 Center; or (2) Tier 1 Center;

3. the statutory research priority area (see Section C.1 UTC Program Purpose and Center Objectives above) that will be your primary focus; the non-exclusive candidate topic area(s) identified of priority interest by USDOT; and

4. contact information for a person at your institution whom DOT may e-mail or call with questions about the Letter of Intent.

Letters of Intent are required so that DOT review panels, comprised of relevant subject matter experts, may be organized in advance of receipt of final applications.

After submitting a Letter of Intent, you may change the type of Center being applied for and describe the change in the final application. However, you may not change the statutory research priority area identified in the Letter of Intent as your primary focus.

Any application that is not preceded by a Letter of Intent or that addresses a different mailto:UTCgrants@dot.gov statutory research priority area than was in the Letter of Intent will not be considered for selection. If you are intending to apply for more than one UTC grant, either within a category of Centers or across categories of Centers, you must submit a separate Letter of Intent (and a separate application) for each grant. An institution applying for more than one grant may not submit preferences as to which grant it would prefer to receive; DOT will make the selections.

D.2.2 Applications

If you are eligible to receive an award under this NOFO, your (non-profit institution of higher education’s) authorized representative must submit the application through Valid Eval, an online application evaluation system used by DOT, at https://usg.valideval.com/teams/usdot_utc_2025/signup; any application submitted other than through Valid Eval will not be considered for funding. You will need to register in the Valid Eval system, which may be done ahead of submitting your application (and you are encouraged to do so). During registration, you will need to provide the following information on the Valid Eval website:

• Applicant/Lead University Name and

• Applicant/Lead University Unique Entity Identifier (UEI, formerly DUNS number).

Then either during registration or when submitting your application, you will be prompted to provide this additional information on the Valid Eval website:

• Type of UTC (Region 2 or Tier 1)

• Name of Proposed University Transportation Center

• Research Priority Area (select from a drop-down list)

• Proposed Center Director Name and

• Proposed Center Director E-Mail Address.

Eligible entities must have or must secure a UEI for the purposes of formal application; a university’s sponsored-programs or research office typically is the entity within a university that submits applications and so should be able to assist with this. The Unique Entity Identifier is a unique, 12-character alphanumeric value that identifies your organization. Each applicant’s Unique Entity Identifier will be maintained as part of the applicant’s profile. This number can be obtained through the Federal Government’s System for Award Management or SAM.gov system https://sam.gov/content/home.

You are responsible for the accuracy and validity of all the administrative, fiscal, and technical information in your application. The application must consist of:

Your UTC application must be submitted to Valid Eval no later than 11:59 PM EST, FRIDAY, FEBRUARY 20, 2026. Valid Eval will provide you with an acknowledgement of your submission.

A hard copy of the application (see Section E.4 Other Submission Requirements) also must be received by OST-R no later than 5:00 PM EST, WEDNESDAY, FEBRUARY 25, 2026 (note that this is later than the Valid Eval submission deadline).

https://usg.valideval.com/teams/usdot_utc_2025/signup https://sam.gov/content/home

1. A cover sheet;

2. A two-page research abstract;

3. A written response to the evaluation criteria, and identification of the proposed Center

Director and key staff (this portion of the application must not exceed 35 pages);

4. Required appendices (minority institution enrollment – see D.2.2.4.1 for reason

NOFO asks for this, CVs, and budget plans);

5. Standard Forms SF-424 “Application for Federal Assistance” and SF-424B

“Assurances – Non-Construction Programs;” and

6. A copy of each of your consortium institutions’ most recent negotiated overhead and fringe benefit rates.

►►► PLEASE ENSURE THAT YOUR APPLICATION DOES NOT CONTAIN ANY

PERSONALLY IDENTIFIABLE INFORMATION ◄◄◄

(such as Social Security numbers, birth dates, home addresses, etc.)

Information submitted in the application may be subject to the

Freedom of Information Act (FOIA).

D.2.2.1 Cover Sheet

The cover sheet of the application must include the following information:

1.The name of the proposed UTC, and names and locations (city, State, and zip code) of the lead/grantee institution and the other members of the Center’s consortium. In order for OST-R to comply with Federal agency reporting requirements, state whether any of the participating non-profit institutions of higher education is a Minority Institution as that term is defined in Section D.2.2.4.1 Enrollment Information for Any Minority Institution(s).

2.The type of UTC for which you are applying for grant funding: (1) Region 2 Center; or

(2) Tier 1 Center. You may choose to be considered for more than one type of Center, but a separate and unique application must be submitted for each grant for which your institution is applying.

3. The statutory research priority area (49 U.S.C. § 6503(c)(1) as amended by IIJA Section 25014) that is your primary focus:

A. Improving Mobility of People and Goods;

B. Reducing Congestion;

C. Promoting Safety;

D. Improving the Durability and Extending the Life of Transportation Infrastructure;

E. Preserving the Environment;

F. Preserving the Existing Transportation System; or G. Reducing Transportation Cybersecurity Risks.

While your planned activities may span more than one priority area, you must select one priority area as your key focus.

Prepare the cover sheet as an 8.5x11 standard-size page using Arial 12 font with one-inch margins. Color may be used if desired. The cover sheet does not count toward the 35-page limit that applies to the Written Response section described below.

D.2.2.2 Research Abstract

The research abstract must not be more than two pages in length. It should contain high-level descriptions of the following:

• The research topics on which the proposed UTC intends to focus;

• The motivations for pursuing the research;

• How the topics align with your chosen statutory research priority area and, if applicable, the non-exclusive candidate topic areas that are relevant to the selected priority area;

• How the topics align with your identified DOT priorities; and

• The transformational impacts that the proposed research is expected to have on the transportation system and its users.

Prepare the research abstract as no more than two 8.5x11 standard-size pages using Arial 12 font with one-inch margins. The research abstract does not count toward the Written Response’s 35-page limit.

D.2.2.3 Written Response

This Written Response section must address the following:

1. Response to Evaluation Criteria

2. Center Director and Key Personnel.

Page Limits and Formatting:

This section of your application must not exceed a total length of thirty-five (35) 8.5x11 standard-size pages, single-spaced, Arial 12 font*, with one-inch margins. Any application that exceeds the page limit or that uses other than the specified spacing, font, or margins will be rejected. Color may be used if desired.

A table of contents is not required; if you choose to include one, it will count toward the 35-page limit.

The cover sheet, abstract, and required appendices do not count toward the 35-page limit.

There are specific page limits for the required appendices, which are stated in Section D.2.2.4 Required Appendices below.

*Arial 12 should be used throughout the document, except for headers/footers and tables/figures within which the font size may be no smaller than 9. Arial Black is acceptable, but Arial Narrow is not. Any size/type of font may be used in the appendices.

NOTE: Do not include any hyperlinks to external websites that provide supplemental content to the information contained in the application, as reviewers will be instructed not to view them.

D.2.2.3.1 Response to Evaluation Criteria

The UTC Program’s authorizing legislation (49 U.S.C. § 5505(b)(4)) specifies general selection criteria to be used in this competition. These statutory criteria are included in this NOFO as Criteria One through Five, described below.

The application submitted in response to this NOFO will serve as the Strategic Plan for any Center that is selected to receive funding. All the items listed below must be addressed clearly and completely.

If you are applying for the Region 2 UTC, you must discuss throughout your application how your Center will address regional issues. The discussion must include the following:

• How your Regional Center will serve as a focal point within your region to help coordinate your UTC’s transportation research, education, workforce development, and technology transfer programs with regional partners and initiatives;

• How your Regional Center will work with other UTC grant recipients that are located in the region to maximize the effectiveness of those UTCs’ collective services and programs;

• Your institution’s relevant experience, if any, in leading regional efforts; and

• Your ideas for how the Center can use regional efforts to further UTC program objectives.

If you are applying for a Tier 1 UTC, there is no expectation of addressing issues on a regional basis. However, you are free to do so if that is in keeping with your vision for your proposed center.

All applicants must respond to the following evaluation criteria, in the order specified below. Insufficient information to allow reviewers to assess any criterion will negatively impact the application’s rating.

D.2.2.3.1.A Criterion One: Research Activities and Capability

In this section, describe the key breakthrough, advanced, and transformative research activities that you will undertake, and demonstrate your capability and experience to carry out these activities and achieve the objectives of the UTC Program and support DOT priorities. You must provide sufficient detail in this Written Response to enable the reviewers to understand what you intend to accomplish with your Center; to see how you plan to select and carry out the research projects financed with your grant; and to evaluate the feasibility of your proposed approach as well as your capability to achieve the proposed outcomes within the grant’s designated time frame.

The 35-page limit for the Written Response means that you likely will not want to include fully detailed, methodological descriptions of your proposed research projects in the application.

OST-R encourages applicants to include relatively high-level overviews of research projects that include enough detail to make clear a project’s significance to DOT’s transformative vision for transportation, noting in particular the research project’s intended outcomes and desired impacts.

i. Proposed Research Activities

49 U.S.C. § 6503(c)(1), as amended by IIJA Section 25014, specifies seven research priorities, one of which UTCs selected through this competition must address: Mobility of People and Goods; Reducing Congestion; Promoting Safety; Improving the Durability and Extending the Life of Transportation Infrastructure; Preserving the Environment; Preserving the Existing Transportation System; and Reducing Transportation Cybersecurity Risks.

The IIJA charges the Secretary of Transportation with establishing non-exclusive candidate topic areas within these research priorities. OST-R worked with the DOT operating administrations to develop the candidate topic areas listed below. Per 49 U.S.C. § 6503(c)(2), research activities may include fundamental research pertaining to the applied physical and natural sciences;

applied science and research; technology development research; and social science research.

Although applicants are encouraged to consider these topic areas, DOT is looking for, and encouraging applicants to propose, new breakthrough ideas, innovations, and transformative research topics that will make significant contributions toward transforming transportation, including enhancing the travel experience and ensuring reliable delivery of goods and services for American families.

DOT has identified non-exclusive candidate priority interest topic areas, listed below, for potential research considerations.

• Automation/Automated Driving Systems (ADS)

• Advanced Driver Assistance Systems (ADAS)

• Artificial Intelligence and Machine Learning

• Scalable Digital Infrastructure / Digitalization

• Advanced Air Mobility (AAM), Electric Vertical Take-Off and Landing (eVTOL), Air

Taxis, Unmanned Aviation Systems

• Hypersonic/Supersonic Travel

• Advanced Materials (Shape-memory, programmable, flexible, self-healing)

• Resilient Infrastructure and Systems

• Robotics

• Networked Sensors and Sensing

• Quantum Processing and Technologies

• Communications and Networks Technologies

• Human-Machine Interface Technologies

• Environmental Permitting Reform/Streamlining

• Accelerating Project Delivery

• Describe your Center’s proposed research topic(s) and corresponding relationship to the one of the seven statutory research priority areas (Improving Mobility of People and Goods; Reducing Congestion; Promoting Safety; Improving the Durability and Extending the Life of Transportation Infrastructure; Preserving the Environment; Preserving the Existing Transportation System; or Reducing Transportation Cybersecurity Risks) that you had identified in your Letter of Intent as your primary focus area. You are highly encouraged to select from the list of non-exclusive research priority interest topic area(s) or introduce your innovative approach to provide more depth to your research focus.

The Department welcomes focused Centers that will make dramatic impacts on one or a few closely related topics and is not necessarily looking for Centers trying to demonstrate the ability to span a large number of research topics.

• Discuss how your Center’s proposed research topic(s) advance(s) the Department’s priority interest topic areas.

• Discuss the degree to which your proposed research activities are multimodal (either across modes or involving modes other than highway) and multidisciplinary in scope, and how such an emphasis impacts the quality of the research.

• Discuss how your proposed research activities will enhance the travel experience and ensure reliable delivery of goods and services for American families.

• Describe your commitment to, and your proposed implementation of, peer review principles and other research “best practices” in the selection and management of your research projects.

• Provide three to five relevant performance metrics that you will use to assess your performance in meeting research goals.

o In addition, state how you will obtain and maintain the information included in those metrics.

ii. Capability and Experience

• Describe the research resources already available to conduct breakthrough, advanced, and transformative research, including those at consortium universities. Among others, these resources may include the following, if relevant to the transportation research to be conducted:

o Dedicated laboratory space;

o Specialized computer or other technical equipment; and o University support personnel with particular knowledge of transportation research needs such as a librarian, IT/data specialist, or machinist.

• Describe any research resources you anticipate obtaining in order to perform your proposed research activities.

• Provide details on whether your proposed research activities are a continuation of existing research projects and programs within your university and among members of the consortium, or are intended to provide opportunities to create and establish new research projects and programs.

• Describe your ability to address the specific topic areas you described above as proposed research activities. Please include:

o Examples of significant impacts of past research on the transportation enterprise, including a description of products or patents, or a change in practice, or instances of research results informing policy decisions.

o Examples of research included in peer-reviewed journals, publications, and conferences.

o Qualifications of faculty expected to be involved in your proposed research activities.

D.2.2.3.1.B Criterion Two: Leadership

In this section, you must describe your plans for providing and creating leadership to solve immediate and long-range national and/or regional transportation problems and advancing transportation expertise and breakthrough technology. You should provide examples of:

• Your high standing within the national and international arenas of transportation research as evidenced by activities such as publications, committee work, participation in professional transportation organizations and conferences (e.g., presentations, steering committees, session chairs, etc.), awards, and other indicators of leadership excellence.

• Your experience in contributing to the solution of regional and/or national transportation problems.

• Demonstrated leadership in the development and delivery of programs. This includes innovative transportation education, workforce development, technology transfer, and research activities.

• Your plans for the development of future leaders (young faculty and graduate students) in your UTC’s consortium.

• Three to five relevant performance metrics that you will use to measure your Center’s leadership, and how you will obtain and maintain the information to track these outcomes.

D.2.2.3.1.C Criterion Three: Education and Workforce Development

Education and workforce development efforts should result in the development of a transportation workforce that is prepared to plan, design, deploy, operate, and maintain the complex transportation systems of the future. As part of these efforts, applications must demonstrate a Center’s commitment to broadening participation and attracting new entrants to the transportation field in order to prepare the transportation workforce of the future.

In describing your Center’s planned education and workforce development activities, you must provide the following information:

• Describe any accredited degree-granting programs with transportation components and/or specializations that will be part of this grant, and provide the number of degrees conferred annually during the past five years (associate, undergraduate, masters, and Ph.D.) across all proposed consortium members, as well as the number of full-time faculty and graduate assistantships in each consortium program. Describe how the grant will be used to support, increase, and improve these academic programs. Discuss what you propose to do to facilitate the connections between your students and transportation industry employers.

• Describe any transportation non-degree programs, including credit awarded for on-the-job training, that will be supported by the grant. Include in your description a narrative on how the grant will support, increase, or improve non-degree transportation education programs.

• To carry out 49 U.S.C. § 5505(c)(4)(C), describe how the involvement of any Minority Institution(s) in your UTC’s consortium will contribute particular assets to the education/workforce activities of your UTC and/or assist in furthering the conduct of education and workforce development at the Minority Institution(s).

• Describe planned development and deployment of any new certification program(s) to support implementation of new and emerging technologies in communications, infrastructure development, operations, and maintenance.

• Describe the number and types of educational seminars, workshops and/or training courses you will offer with support from the grant and the target audience(s) for those seminars, workshops and/or training courses. Include in your description a narrative on how the grant will support, increase, or improve these offerings.

• Describe the outreach and educational activities you propose to undertake with support from the grant to attract new entrants into the transportation field. Discuss any specific plans to reach out to primary and secondary school students and connect your activities with the career technical education system in your State or geographic proximity.

Discuss any plans to connect with registered apprenticeship programs in order to offer students more educational and career pathways. Discuss any activities to foster and sustain the interest of primary and/or secondary students in transportation careers beyond the initial exposure. Provide details on the annual numbers of students to be involved in the proposed programs, what will be done to promote outreach and educational efforts, and how successes will be documented and shared.

• Describe planned outreach or workforce development activities designed to:

o increase interest in STEM (science, technology, engineering, and mathematics) disciplines and/or raise awareness of transportation careers;

o recruit/retain faculty;

o raise public awareness of transportation’s impacts on the population.

• Describe additional education and workforce development programs and activities that are not listed above. Be sure to include in the narrative a description of program purpose, target audience(s), and numbers of events and participants.

• Describe how your UTC’s education and workforce development activities will address the non-exclusive candidate priority interest topic areas listed in Section D.2.2.3.1.A Criterion One: Research Activities and Capability.

• Provide three to five relevant performance metrics that you will use to measure the effectiveness of degree granting programs, other educational efforts, outreach, workforce development, and other educational and workforce activities, and describe how you will obtain and maintain the information to populate these metrics.

D.2.2.3.1.D Criterion Four: Technology Transfer and Collaboration

UTC programs must include a significant ongoing program of technology transfer to make research results and technologies available to potential users in a form that can be implemented, utilized, commercialized, or otherwise applied, and Centers are expected to form substantive and effective collaborative relationships with other academic and/or research institutions, commercial or non-profit entities, and State/local/Tribal governments in order to incorporate results into practice, commercialize technologies, and achieve their objectives. Proposals will be rated based on their ability to:

• Foster the development and application of innovative concepts, tools, and technologies that have the potential to transform transportation systems and services;

• Contribute to the advancement of the state of the art and the state of practice in transportation by generating actionable insights, scalable solutions, and evidence-based recommendations for public and private sector stakeholders;

• Ensure that research findings inform the development of effective regulations, policies, and standards, supporting evidence-based decision-making at the local, State, and Federal levels; and

• Conduct technology development and transfer to practice and commercialization of such technology to transform transportation and advance DOT priorities.

As noted in Section D.2.2.4.3 Center Budget Plan, through this NOFO, the Department is requiring that UTCs devote a certain level of funding toward technology transfer and commercialization, with each UTC required to spend at least 5 percent of its total (Federal and non-Federal) budget on such activities. The costs of the activities you describe and mechanisms you discuss in this section would count toward that requirement.

In this section, you must describe the technology transfer and collaboration activities you will undertake to ensure the successful transfer of information and technology results to those who can use them, especially current transportation practitioners, with the ultimate goal of putting your research widely into effective practice. You must also provide examples of your prior experience in outreach, dissemination, technology transfer, deployment, and commercialization related to transportation research and education.

• Describe your planned activities and prior experience in technology transfer activities, such as:

o What activities you propose to build the technology transfer capacity of your consortium, faculty, staff, and students;

o For your consortium, describe how the participating universities will draw upon varied types and/or sizes of institutions; how the members will work together within the proposed consortium, including roles and responsibilities of lead and other organizations; what each university brings to the proposed consortium to support transformative technology transfer and commercialization; and how the presence of multiple parties and funding sources will enhance your ability to reach your goals;

o The composition, or proposed composition, of any existing or planned advisory committee for the Center;

o Partnerships across sectors, with private enterprise, philanthropic entities, non-profit entities, DOT, State, Tribal, and local governments (such as State DOTs, Metropolitan Planning Organizations, other public-sector organizations), related State or local agencies (such as a State environment agency, local workforce board), and technical/practitioner organizations to move transformative research and technology results into practice;

o Technical assistance to stakeholders in implementing and deploying research results;

o Use of technology transfer mechanisms, such as licensing, patents,…