Final SMART FY23 Stage 1 NOFO.pdf

SMART Grants 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 (formerly CFDA) #20.941

SUMMARY: The purpose of this notice is to solicit applications for Strengthening Mobility and Revolutionizing Transportation (SMART) Stage 1 Planning and Prototyping grants. Funds for the fiscal year (FY) 2023 SMART Grants Program are to be awarded on a competitive basis to conduct demonstration projects focused on advanced smart city or community technologies and systems to improve transportation efficiency and safety.

DATES: Applications must be submitted by 5:00 PM ET on Tuesday, October 10, 2023. Late applications will not be accepted.

ADDRESSES: Applications must be submitted via Valid Eval, an online submission proposal system used by USDOT, at https://usg.valideval.com/teams/USDOT_SMART_2023/signup. USDOT will not accept or review application materials submitted via Grants.gov.

FOR FURTHER INFORMATION: Please contact SMART Grants Program staff via email at smart@dot.gov or call Roxanne Ledesma at 202-774-8003. 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/grants/SMART. The deadline to submit technical questions is 5:00PM ET on Friday, September 29, 2023.

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

The FY 2023 NOFO incorporates lessons learned from the FY 2022 NOFO. It substantively differs in a few ways, as listed below.

• Section A.2 adds an anticipated minimum award size of $250,000.

• Section C.1 clarifies the definition of a collaborative application.

• Section D.2 provides further detail on what should be included in the Brief Project Description section of the Key Information Questions (Question #10).

• Section D.2 asks applicants to provide details on workforce impacts (Question #24).

• Section D.2 asks applicants to identify the project’s anticipated Stage 1 and Stage 2 National

Environmental Policy Act (NEPA) requirements (Questions #25 and #26).

• Section D.2 provides additional guidance on the required Budget Narrative, including a page limit.

https://usg.valideval.com/teams/USDOT_SMART_2023/signup.

mailto:smart@dot.gov https://www.transportation.gov/grants/SMART

• Section D.2 adds a Project Location File requirement as Appendix IV.

• Section E.1 adds required information about performance metrics to Technical Merit Criterion

#3 and Project Readiness Criterion #1.

• Section F.2 further describes expected Build America, Buy America requirements for applicants that are awarded funding.

This list of changes is not exhaustive. All applicants should read this notice in its entirety so that they have the information needed to submit eligible and competitive applications. All applications must be submitted on Valid Eval. USDOT will not review or accept any application materials submitted on Grants.gov.

Section Content Page # A Program Description 3 B Federal Award Information 7 C Eligibility Information 9 D Application and Submission Information 14 E Application Review Information 25 F Federal Award Administration Information 30 G Federal Awarding Agency Contacts 36 H Other Information 36

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) for FY 2023 for the SMART Grants Program. This NOFO solicits applications for activities to be funded under the SMART Grants Program. The FY 2023 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 sector.2

2. Program Structure

The SMART Grants Program includes two stages: Stage 1 Planning and Prototyping Grants (Stage 1 grants) and Stage 2 Implementation Grants (Stage 2 grants). The program structure is based on a belief that planning, prototyping, and partnership are critical to advancing the state of the practice for data and technology projects in the public sector. USDOT anticipates that only recipients of Stage 1 Planning and Prototyping Grants will be eligible for Stage 2 Implementation Grants. USDOT anticipates funding projects of up to $2,000,000 per project for Stage 1 and up to $15,000,000 per project for Stage 2. The anticipated minimum award size is $250,000 for Stage 1; USDOT reserves the right to alter the minimum award amount depending on the quantity and quality of applications.

Stage 1 recipients should build internal buy-in and partnerships with stakeholders to refine and prototype their concepts as well as to report on results. Stakeholders can include public, private, academic, and nonprofit organizations; organized labor and workforce organizations; and community organizations and networks.3 At the conclusion of Stage 1, recipients should have the information needed to either create a fully realized implementation plan with robust performance metrics; or to make an informed decision not to proceed with the concept. Stage 1 results may uncover previously unknown institutional barriers, technical limitations, or poor performance relative to conventional solutions. The SMART Grants Program expects to document lessons learned from Stage 1 projects, knowing that these findings will be broadly beneficial to the transportation sector.

Stage 2 implementation projects should result in a scaled-up demonstration of the concept, integrating it with the existing transportation system and refining the concept such that it could be replicated by

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.

3 Recipients must comply with 2 CFR 200 Subpart D regarding procurement standards (200.317 through .327).

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 others. If demonstration at scale identifies critical challenges, gaps, or negative impacts, they should be clearly stated and documented so that other communities that take on similar projects may learn from them and adapt.

This NOFO solicits applications for Stage 1 grants only. USDOT anticipates that separate SMART Grants Program NOFOs will solicit applications for Stage 2 grants in calendar year 2024 as well as for additional Stage 1 grants in calendar year 2024.

3. Departmental Priorities

The FY 2022-2026 U.S. Department of Transportation Strategic Plan establishes USDOT’s strategic goals:

safety, economic strength and global competitiveness, equity, climate and sustainability, transformation, and organizational excellence.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.

Departmental priorities for the SMART Grants Program include the following:

• Safety: The Department is committed to advancing safe, efficient transportation, including in the SMART Grants Program. The National Roadway Safety Strategy (NRSS), issued January 27, 2022, commits the Department to respond to the current crisis in roadway fatalities by ‘taking substantial, comprehensive action to significantly reduce serious and fatal injuries on the Nation’s roadways,’ in pursuit of the goal of achieving zero roadway deaths through a Safe System Approach.

• Climate Change and Sustainability: The Department seeks to fund projects under the SMART Grants Program that reduce greenhouse gas emissions in the transportation sector, incorporate evidence-based climate resilience measures and features, reduce the lifecycle greenhouse gas emissions from the project materials, and avoid adverse environmental impacts to air or water quality, wetlands, and endangered species, and address the disproportionate negative environmental impacts of transportation on disadvantaged communities, consistent with Executive Orders 14008 and 14057, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).

• Equity and the Justice40 Initiative: The Department seeks to award projects under the SMART Grants Program that will create proportional impacts to all populations in a project area, remove transportation-related disparities to all populations in a project area, and increase equitable access to project benefits, consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009), and Executive Order 14091, Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (88 FR 10825). The Department also seeks to

4 See: FY 2022-26 USDOT Strategic Plan (https://www.transportation.gov/dot-strategic-plan), page 6. Last updated April 7, 2022.

5See: USDOT Innovation Principles (https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles). Released January 6, 2022; last updated July 14, 2022.

6 Other resources can be found at www.transportation.gov/SMART and include the USDOT Strategic Plan, the USDOT Equity Action Plan, and the National Roadway Safety Strategy.

https://www.transportation.gov/dot-strategic-plan https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles award projects that address equity and environmental justice, particularly for communities that have experienced decades of underinvestment and are most impacted by climate change, pollution, and environmental hazards, consistent with Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619), and Executive Order 14096, Revitalizing Our Nation’s Commitment to Environmental Justice for All (88 FR 25251). The SMART Grants Program will seek to advance the Biden-Harris Administration’s Justice40 Initiative. Established by Executive Order 14008, the Justice40 Initiative has made it the goal that 40 percent of the overall benefits of certain federal investments, such as climate, clean energy, and other areas, flow to disadvantaged communities that are marginalized and overburdened by pollution and underinvestment.

• Workforce Development, Job Quality, and Wealth Creation: The Department intends to use the SMART Grants program to 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, consistent with Executive Order 14025, Worker Organizing and Empowerment (86 FR 22829), and Executive Order 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). The Department also intends to use the SMART Grants program to support wealth creation, consistent with the Department’s Equity Action Plan through the inclusion of Local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises, Minority-owned Businesses, Women-owned Businesses, or 8(a) firms.

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 resiliency 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 congestion and/or 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.

https://www.federalregister.gov/documents/2023/04/26/2023-08955/revitalizing-our-nations-commitment-to-environmental-justice-for-all https://www.whitehouse.gov/environmentaljustice/justice40/ https://www.federalregister.gov/documents/2021/02/01/2021-02177/tackling-the-climate-crisis-at-home-and-abroad

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.

• 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 will focus on building data and technology capacity and expertise for State, local, and Tribal governments. Technology investment is most beneficial when tailored to the needs of the community. The SMART Grants Program 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. The SMART Grants Program 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. For more information about less competitive applications received for the FY 2022 Notice of Funding Opportunity, please attend the August 17, 2023 SMART “How to Apply” webinar, or watch the subsequent recording posted on www.transportation.gov/grants/smart/webinars.

Successful projects will seek to build sustainable partnerships across sectors and levels of government as well as collaborate with industry, academia, nonprofits, and other traditional and non-traditional partners. Successful projects will also support the creation of good-paying jobs with the free and fair choice to join a union.

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

https://www.transportation.gov/grants/smart/webinars

B. Federal Award Information

1. Total Funding Available

The Bipartisan Infrastructure Law (BIL) established the SMART Grants Program with $500,000,000 in advanced appropriations, including $100,000,000 for FY 2023. This Notice makes available up to approximately $50,000,000 for FY 2023 Stage 1 grants under the SMART Grants Program. USDOT anticipates approximately $50,000,000 in FY 2023 funding will be awarded for Stage 2 projects in a future Notice of Funding Opportunity to be issued in calendar year 2024. USDOT anticipates using up to 2 percent of 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. 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. USDOT retains the right to prioritize projects for selection that are most likely to achieve an efficient timeline and be completed within the expected period of performance (18 months).

3. Award Size and Anticipated Quantity

USDOT expects to award up to 30 Stage 1 grants of up to $2,000,000 per award. There is an anticipated minimum award size of $250,000. 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 deobligate and/or reallocate any such funds. The expected period of performance for Stage 1 SMART grant agreements is up to 18 months.

5. Data Collection Requirements

i. Data Management

To fulfill the reporting requirements and in accordance with the Public Access Plan, 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:

https://www.transportation.gov/mission/open/official-dot-public-access-plan-v11

• 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;

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

https://www.gida-global.org/care 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 State7;

B. a political subdivision of a State8;

C. a federally recognized Tribal government;

D. a public transit agency or authority;

E. a public toll authority;

F. a metropolitan planning organization; or G. a group of two or more eligible entities listed above in Section C.1 applying through a single lead applicant (Group Application).

Collaborative Applications

Eligible entities may choose to collaborate across different regions or geographies on similar projects that are submitted in separate applications by each eligible applicant. This type of application is separate from a “Group Application,” which is listed above as eligible applicant type “G”. Collaborative projects may address similar problems and with similar technologies or potentially share common resources such as partnerships with industry, nonprofits, academic institutions, or community foundations. If these entities choose not to apply as a group with a single lead applicant, each applicant should identify their application as part of a collaborative application. There will be an option to indicate this when submitting the application in Valid Eval.

• Each organization in a collaborative application must submit an individual application.

• Each individual application in a collaborative application will be evaluated on its own merits and USDOT reserves the right to fund all, some, or none of the associated applications, with the same anticipated funding (i.e., up to $2,000,000 per individual award).

• Collaborative applications can include any type of eligible applicant.

2. Cost Sharing or Matching

Cost sharing or matching is not required for Stage I: Planning and Prototyping.

3. Eligible Activities

The SMART Grants Program funds multiple technology areas, as listed below. Projects must demonstrate at least one technology area and may demonstrate more than one technology area.

USDOT will evaluate each application on its merits, and there is no expectation that applications demonstrate more than one technology area.

7 U.S. territories are eligible applicants.

8 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.

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, NHTSA, 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:9

• 14 CFR Part 91 General Operating and Flight Rules10

• 14 CFR Part 107 small UAS rule; Small UAS11

• UAS Operations over People rule; Operations Over People General Overview 12

• UAS Remote identification rule; UAS Remote Identification Overview13

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 UAS14

• FAA Low Altitude Authorization and Notification Capability (LAANC), used to obtain airspace authorization to fly in controlled airspace15

• Part 107 Waiver Resources,16 used to enable more complex UAS operations17

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 projects for funding under the FY 2023 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 evaluate FY 2023 Stage 1 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

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

1014 CFR Part 91 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-91.

11 14 CFR Part 107 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-107 12FAA Operations Over People General Overview https://www.faa.gov/uas/commercial_operators/operations_over_people. Last updated November 10, 2022.

13FAA Final Rule on Remote ID https://www.faa.gov/newsroom/remoteid-final-rule. Last updated April 21, 2021.

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

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

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

17 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 involving motor vehicles must involve only vehicles that comply with all applicable Federal Motor Vehicle Safety Standards (FMVSSs) and Federal Motor Carrier Safety Regulations (FMCSRs), or vehicles that are exempt from the requirements in a manner that allows for the legal acquisition and operation of the vehicles in the proposed project.

For all technology areas, if an exemption, waiver, permit, or other special permission is required in order to conduct the proposed project, it will strengthen a Stage 1 application if the applicant can affirm that it has already received such permission. If the project is selected for award, the lack of a required exemption, waiver, permit, or special permission may impact the Department’s funding timeline or result in special conditions in the grant agreement. For future rounds of SMART that include Stage 2 applications, Stage 2 applicants will be required to obtain all necessary exemptions, waivers, permits, or special permissions before submitting an application and provide such affirmation. The selection of a project to receive a SMART grant is not a determination of the merit of any waiver or exemption.

4. Eligible Costs

Broadly, eligible activity costs must comply with the cost principles set forth in 2 CFR Part 200, Subpart E (i.e., 2 CFR § 200.403 and § 200.405). USDOT reserves the right to make cost eligibility determinations on a case-by-case basis. Eligible development and construction activities for grant funding are the following:

• 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 parking 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 evaluation 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 evaluation (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.

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-FY23-01. 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_2023/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_2023/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), 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_2023/signup. After registering in the system, the applicant will be prompted to answer the following questions on the website.

Title Instructions

1. Project Name

Enter a concise, descriptive title for the project. This should be the same title used in the Grants.gov SF-424 submission and the application narrative. The SMART Grants Program recommends a title of 100 characters or less.

https://usg.valideval.com/teams/USDOT_SMART_2023/signup.

https://usg.valideval.com/teams/USDOT_SMART_2023/signup.

2. Lead Applicant Entity 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. Was a similar application submitted for the FY 2022 SMART Grants funding opportunity?

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

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. Was 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).18

9. Is this a collaborative application, with each eligible applicant applying separately?

If yes, please indicate the organizational name(s) of the other eligible applicant(s) with which you are collaborating across separate applications. Remember, eligible applicants include States, political subdivisions of a State, Tribal governments, public transit agencies or authorities, public toll authorities, and/or metropolitan

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

planning organizations. Please refer to Section C.1 for more information on collaborative applications.

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 describing the planning and prototyping activity.

• One sentence on the anticipated impact of Stage

1.

• One sentence on potential Stage 2 activities.

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 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?

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.

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).

https://www.federalregister.gov/documents/2022/12/29/2022-28286/2020-census-qualifying-urban-areas-and-final-criteria-clarifications https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5

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

19. Proposed Duration of Stage 1 Project (in months)

May be up to 18 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.

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, if funded for a Stage 2 Implementation grant, would affect the number and quality of jobs in your agency or organization?

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. Anticipated Stage 1 NEPA Requirements

Please explain the anticipated National Environmental Policy Act (NEPA) class of action for your Stage 1 project as well as any anticipated environmental approvals and permits needed for the proposed project. If you are unsure, please explain your expected coordination to determine this, if selected. The SMART Grants Program recommends that this section be 200 words or less.

26. Anticipated Stage 2 NEPA Requirements

Please explain the anticipated National Environmental Policy Act (NEPA) class of action for your potential Stage 2 project as well as any anticipated environmental approvals and permits needed for the potential Stage 2 project. If you are unsure, please explain what Stage 1 actions you plan to take to better understand the environmental regulations associated with the potential Stage 2 project. The SMART Grants Program recommends that this section be 200 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 seven pages; this does not include the required appendices. A cover page and table of contents are not required but will not count toward the seven page narrative if included. Figures are considered part of the seven 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.

Appendix IV should be uploaded to the application in Valid Eval as a Shapefile, GEOJSON, or KML/KMZ file. Suggested approximate lengths for each subsection of the Narrative are noted in parentheses.

a. Overview/Project Description (1-2 pages)

This section should provide a clear, concise description of the project, the real-world issues and challenges to be addressed, and the proposed technology(ies) to be used. Include a brief discussion of desired outcomes for a potential Stage 2 grant. Applicants should also briefly discuss how the proposed project addresses the goals of the SMART Grants Program and how the project plans to improve upon the status quo of the transportation system.

b. Project Location (1 paragraph)

This section should provide a description of the geographic area or jurisdiction that the project will serve, including the community size (large, midsized, rural, or a regional partnership). The project location description should also narratively identify the following:

(a); whether the project is located (entirely or partially) in a disadvantaged community19 based on the Climate and Economic Justice Screening Tool (CEJST)20. If applicable, the narrative must identify the relevant census tract(s) that contribute to this designation, as stated in Key Information Question #16. If the proposed project is Statewide and will not have specific sites within a State, please note this instead of listing all of the State’s disadvantaged Census tracts.

(b) the 2020 Census-designated urban area(s) where the project is located, if relevant. Please refer to 87 FR 80114 for a list of Census-designated urban areas.

Note that while applicants are asked to provide exact locations for each project in the Key Information Questions Table, if selected for an award, the exact location may be adjusted during the Stage 1 planning process; therefore, this section should explain and identify which geographic locations are under consideration for project to be implemented and what analysis will be used in a final determination.

c. Community Impact (1 paragraph)

This section should provide a description of how the project anticipates it will provide and measure benefits to the disadvantaged communities detailed in the Project Location Section (if applicable) and a description of how the project aligns with Justice 40 goals (if applicable).