NOFO 693JJ322NF00001.pdf

U.S. Department of Transportation

Notice of Funding Opportunity Number 693JJ322NF00001

“Complete Trip - ITS4US Deployment Program Phases 2 & 3”

Timeline for Awards Estimated Date Notice of Funding Opportunity Issue Date: 11/30/2021 *Webinar on NOFO for Eligible Applicants: 12/14/2021 @ 2 pm Eastern Draft Application Due: 1/28/2022 by 5 pm Eastern Final Application Due: 3/11/2022 by 5 pm Eastern Oral Presentations to DOT: 3/28/2022-4/08/2022 Cooperative Agreement Award: 5/13/2022 *On 11/30/2021, USDOT e-mailed the webinar registration invitation directly to eligible applicants.

On behalf of the U.S. Department of Transportation, this Notice of Funding Opportunity is issued by the Federal Highway Administration (FHWA), Office of Acquisition and Grants Management. Accordingly, the www.grants.gov notice will appear under the Agency name of FHWA.

693JJ322NF00001

Summary Information

Funding Opportunity Summary:

This Notice of Funding Opportunity (NOFO) is Set-Aside for Complete Trip – ITS4US Deployment Program Phase 1 Projects in progress.

Federal Agency Name:

U.S. Department of Transportation (DOT) Federal Highway Administration (FHWA) Office of Acquisition and Grants Management 1200 New Jersey Avenue, SE Washington DC 20590 Attn: Sarah Tarpgaard, HCFA-32

Funding Opportunity Title:

“Complete Trip - ITS4US Deployment Program Phases 2 & 3”

Announcement Type:

This is the initial announcement of this funding opportunity.

This is not a follow-on NOFO.

Funding Opportunity Number:

693JJ322NF00001

Type of Award: Cooperative Agreement (multiple awards anticipated)

Assistance Listing Number

(ALN):

20.200 Highway Research & Development

(formerly Catalog of Federal Domestic Assistance (CFDA) Number)

Eligibility: Eligibility for this funding opportunity is limited to DOT-selected Complete Trip – ITS4US Deployment Program Phase 1 Projects (https://www.its.dot.gov/its4us/index.htm).

Refer to SECTION C – ELIGIBILITY INFORMATION for additional information.

Draft Application Due Date:

By 5 PM Eastern on 1/28/2022 by Email to sarah.tarpgaard@dot.gov.

Final Application Due Date:

By 5 PM Eastern on 3/11/2022 via www.grants.gov.

Questions: Submit Questions to: Sarah.Tarpgaard@dot.gov https://www.its.dot.gov/its4us/index.htm mailto:sarah.tarpgaard@dot.gov http://www.grants.gov/ mailto:Sarah

TABLE OF CONTENTS

SECTION TITLE PAGE

A

PROGRAM DESCRIPTION

B

FEDERAL AWARD INFORMATION

C

ELIGIBILITY INFORMATION

D

APPLICATION SUBMISSION INFORMATION AND ORAL

PRESENTATIONS

E

APPLICATION REVIEW INFORMATION

F

FEDERAL AWARD ADMINISTRATION INFORMATION

G

FEDERAL AWARDING AGENCY CONTACT(S)

NOTE: DOT uses www.grants.gov for receipt of all applications. Applicants must register and use the system to submit applications electronically. Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor for any updates to this notice.

http://www.grants.gov/

SECTION A - PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this NOFO is to solicit applications for multiple cooperative agreement awards to provide funding support for the implementation of the Complete Trip – ITS4US Deployment Program Phases 2 and 3. This competition is limited to the following deployment projects previously selected by DOT under a full and open competition (Broad Agency Announcement (BAA) Number 693JJ3-20-BAA-0004). The previously selected deployment projects received contract awards for Phase 1 Concept Development in January 2021. The selected projects and Phase 1 contract numbers are listed below, and described online at https://www.its.dot.gov/its4us/index.htm.

Project Contract Number Transportation Data Equity Initiative Phase 1 Lead: University of Washington

693JJ321C000004

Complete Trip Deployment in Buffalo Phase 1 Lead: ICF International

693JJ321C000005

Health Connector for the Most Vulnerable Phase 1 Lead: Heart of Iowa Regional Transit Agency

693JJ321C000006

Trip Planning for All Phase 1 Lead: California Association of Coordinated Transportation

693JJ321C000007

Safe Trips in a Connected Transportation Network Phase 1 Lead: Atlanta Regional Commission

693JJ321C000008

The Phase 1 full and open BAA stated the following:

● Upon successful completion of the Concept Development Phase 1, DOT may issue a site-specific assistance agreement covering the second and third phases of the effort, namely a Design, Build, and Test (Phase 2) and Operate and Evaluate Phase (Phase 3).

● Respondents to this BAA are expected to represent partnerships among public sector agencies, non-profit organizations, and the private sector. Academic institutions may also play a role. The only requirement for teaming is that a public-sector organization capable of forming and leading a cooperative agreement for Phases 2 and 3 must be a part of the Phase 1 team.

● The Government is not obligated to make an award of a Phase 2 or Phase 3 cooperative agreement as a result of selecting an awardee for a Phase 1 contract.

https://www.its.dot.gov/its4us/index.htm

Based on the BAA statements above, only projects selected under the Phase 1 BAA are eligible for a follow-on assistance agreement to perform Phases 2 and 3. Accordingly, this NOFO is set-aside for the five projects listed above. Further, a public-sector organization involved in the Phase 1 team must be identified to serve as the Prime Applicant and Awardee if the project is selected to receive a follow-on assistance agreement to perform Phases 2 and 3 (See Section C – Eligibility Information).

Timeline for Awards Estimated Date NOFO Issue Date: 11/30/2021 *Webinar on NOFO for Eligible Applicants: 12/14/2021 @ 2 pm Eastern Draft Application Due: 1/28/2022 by 5 pm Eastern Final Application Due: 3/11/2022 by 5 pm Eastern Oral Presentations to DOT: 3/28/2022-4/08/2022 Cooperative Agreement Award: 5/13/2022

*On 11/30/2021, USDOT e-mailed the webinar registration invitation directly to eligible applicants.

2. LEGISLATIVE AUTHORITY

Specific statutory authority for conducting this effort is found under section 516(a) of title 23, United States Code (U.S.C.), which authorizes the Secretary of Transportation to “carry out a comprehensive program of intelligent transportation system research and development, and operational tests of intelligent vehicles, intelligent infrastructure systems, and other similar activities that are necessary to carry out this chapter.”

Funding is authorized under section 6002(a)(4) of Public Law 114-94, the Fixing America’s Surface Transportation (FAST) Act and extensions.

The authority to award a cooperative agreement for this effort is found under section 502(b)(3) of title 23, U.S.C., Surface Transportation Research, which states the following:

(3) COOPERATION, GRANTS, AND CONTRACTS. —The Secretary may carry out research, development, and technology transfer activities related to transportation—

(A) Independently,

(B) In cooperation with other Federal departments, agencies, and instrumentalities and Federal laboratories, or

(C) By making grants to, or entering into contracts and cooperative agreements with one or more of the following: the National Academy of Sciences, the American Association of State Highway and Transportation Officials, any Federal laboratory, Federal agency, State agency, authority, association, institution, for-profit or nonprofit corporation, organization, foreign country, or any other person.

Cost Share: Per section 516(c) of title 23, U.S.C., “The Federal share payable on account of any project or activity carried out under subsection (a) shall not exceed 80 percent.”

3. BACKGROUND

The Intelligent Transportation Systems Joint Program Office (ITS JPO) within DOT is responsible for conducting research on behalf of the Department and all major modes to advance transportation safety, mobility, and environmental sustainability through electronic and information technology applications, known as Intelligent Transportation Systems (ITS).

The DOT ITS Program focuses on intelligent vehicles, intelligent infrastructure, and the creation of an intelligent transportation system through integration with and between these two components. The Federal ITS Program supports the overall advancement of ITS through investments in major research initiatives, exploratory studies and a deployment support program including technology transfer and training.

This NOFO supports “The Complete Trip – ITS4US Deployment Program” for the ITS JPO within DOT. The Complete Trip - ITS4US Deployment Program is a $40 million multimodal effort, led by the ITS JPO and supported by the Office of the Secretary of Transportation (OST), FHWA, and the Federal Transit Administration (FTA) to identify ways to provide more efficient, affordable, and accessible transportation options for underserved communities that often face greater challenges in accessing essential services. The program aims to solve mobility challenges for all travelers with a specific focus on underserved communities, including people with disabilities, older adults, low-income individuals, rural residents, veterans, and limited English proficiency travelers.

This program will enable communities to build local partnerships, develop and deploy integrated and replicable mobility solutions to achieve complete trips for all travelers.

To carry out the deployment program, DOT conducted a full and open procurement, and awarded five firm-fixed-price Contract awards for the Deployment Concept Development/Planning Stage, lasting 12 months (Phase 1).

Under this NOFO, DOT now intends to award cost-reimbursement, cost-sharing cooperative agreements for the design/testing and operation/evaluation phases (Phases 2 and 3) of the deployment program.

Phases of the Deployment Effort. Each deployment project is expected to be developed in three distinct DOT-funded phases as illustrated in the figure below. In addition, each deployment is required to sustain operations for a minimum period of five years after Phase 3 is completed with no supplementary program funding.

Phase 1: Concept Development Phase 2: Design and Testing Phase 3: Operations and Evaluation Post-Deployment: Operations & Maintenance

• Phase 1: Concept Development – up to 12 months (in progress under separate contract awards). In this phase, the preliminary proposed idea is developed into a structured concept that is suitable for further design, building, testing, and operation. The structured concept will include identifying specific performance measures, targets, and capabilities associated with performance monitoring and performance management. Key deliverables include:

o Concept of Operations o System Requirements o Integrated Complete Trip Deployment Plan

• Phase 2: Design/Build/Test – up to 24 months. In this phase, the deployment concept is designed in detail, built, and tested prior to operation.

o System Architecture and System Design Development o Application Enhancement and Integration o System Deployment o Test Planning o System Test and Demonstration

• Phase 3: Operate and Evaluate – minimum of 18 months. In this phase, the tested deployment applications and technologies are placed into operational practice. The impact of the deployment on a set of key performance measures will be monitored and reported on a daily, weekly, and monthly basis. Further, performance and other data supporting a comprehensive assessment of deployment impacts are to be shared with a DOT-identified independent evaluator.

4. VISION, MISSION, AND GOALS OF THE DEPLOYMENT

The Complete Trip - ITS4US Deployment Program has defined the program’s vision, mission, and goals as stated below:

Vision: Innovative and integrated complete trip deployments to support seamless travel for all users across all modes, regardless of location, income, or disability.

Mission: Facilitate the integration and deployment of emerging technologies, along with innovative and replicable, traveler-centric partnerships, business models and practices to foster reliable, spontaneous, independent, safe, affordable, accessible, and efficient mobility options for all travelers.

Goals: The goals of the program are to:

1. Spur high-impact integrated complete trip deployments nationwide. Assist the transportation industry in tackling the difficult challenge of providing complete trips for all travelers nationwide by streamlining and expediting solution development through complete trip deployments. High impact, replicable, integrated solutions developed by complete trip deployments will reduce the cost of future deployments of these critical personal mobility enhancements.

2. Identify needs and challenges by populations. Identify the transportation challenges and needs of communities to support mobility options for all travelers regardless of location, income, or disability. Populations within each community have different needs and challenges in accessing transportation options to improve their quality of life.

3. Develop and deploy mobility solutions that meet user needs. Support and encourage communities to take revolutionary steps to integrate advanced technologies – especially those that enable adaptive and assistive transportation technologies – into the management and operations of the transportation network, including non-motorized modes. Engage key partners, within the federal government, the research community, stakeholder organizations, and private industry to support development of potential solutions for all travelers.

4. Measure the impact of integrated deployments. Quantify and evaluate the impact of the integration of these advanced technologies, strategies, and applications towards achieving reliable, spontaneous, independent, safe, affordable, accessible, and efficient mobility options for all travelers. Quantified impacts support communication of technology benefits to future deployers and decision makers.

5. Identify replicable solutions and disseminate lessons learned. Determine which technologies, strategies, applications, and institutional partnerships demonstrate the most potential to address identified barriers to providing Complete Trips to all travelers in a variety of communities and built environments. Disseminate lessons learned from replicable solutions developed by deployment sites to catalyze additional deployment.

5. STATEMENT OF WORK

The following sections delineate the tasks and deliverables required in Phases 2 and 3.

The Recipient’s Phase 1 final deliverables, as expressly approved in writing by the DOT under the Recipient’s separately awarded Phase 1 contract, are hereby incorporated into this Statement of Work by reference as noted below. Incorporation by reference implies that agreements, processes, quantities, specifications, and other content identified in these named final DOT-approved deliverables are considered binding elements of the Phase 2 and 3 performance, and are incorporated by reference into this Statement of Work, except where specifically identified.

During the period of performance of this agreement, updates to previously DOT-approved Phase 1 deliverables will likely be necessary. If and when an update to a previously DOT-approved Phase 1 deliverable is required herein and/or deemed necessary by the parties, the updated version will be reviewed and, if acceptable, approved by DOT. When expressly approved by DOT in writing, the updated version shall supersede and replace the previous version and be considered officially incorporated into this Statement of Work by reference. No separate formal agreement amendment is needed. The Recipient shall comply with the latest updated version, as expressly approved in writing by the DOT.

The Recipient shall perform the following Phase 2 and 3 activities based on the most recent DOT-accepted version of the final deliverables from the Phase 1 contract where applicable as identified below. In the event that a Phase 1 deliverable, or version update, has not been expressly approved in writing by the DOT, the Recipient shall not perform the relevant Phase 2 and 3 activities until such time as the Phase 1 deliverable, or version update, is expressly approved in writing by the DOT. Costs incurred to perform Phase 2 and 3 tasks, without receipt of written DOT approval of the relevant Phase 1 deliverables or updates, shall be deemed unallowable.

Phase 2 Tasks

2-A. Program Management 2-B. System Architecture and Design 2-C. Data Management Planning 2-D. Acquisition and Installation Planning 2-E. Software Development and Integration 2-F. Participant and Staff Training 2-G. System Test Planning 2-H. Installation and Operational Readiness Testing 2-I. Maintenance and Operations Planning 2-J. Stakeholder Outreach 2-K. Performance Measurement and Independent Evaluation Support 2-L. Participation in Standards Development

Phase 3 Tasks

3-A. Program Management 3-B. System Operations and Maintenance 3-C. Stakeholder Outreach 3-D. Performance Measurement and Independent Evaluation Support 3-E. Post-Deployment Transition Planning 3-F. Participation in Standards Development

Note 1: All final reports under this agreement will be made publicly available. All publications resulting from this program shall follow the ITS JPO publication guidelines1

1 https://www.its.dot.gov/communications/pubsguidance.htm https://www.its.dot.gov/communications/pubsguidance.htm and comply with the current DOT Public Access Plan on date of award (currently Version 1.12). In addition, data from these efforts are expected to be made widely available where appropriate, also in accordance with the DOT Public Access Plan.

Note 2: The Agreement Officer’s Representative (AOR) will supply supporting materials and technical assistance to Recipients during Phases 2 and 3. Technical assistance includes templates for select Phase 2 and 3 deliverables.

Note 3: The Phase 2 activities, tasks, and deliverables described below to carry out Phase 2 do not include infrastructure improvement activities. Infrastructure expenses necessary to facilitate the integration of intelligent infrastructure, vehicle, and control technologies may be allowable if deemed necessary to successfully accomplish the scope of the demonstration.

PHASE 2 TASKS

2-A. PROGRAM MANAGEMENT

Deployment of a successful Complete Trip – ITS4US Deployment concept will require a disciplined approach to manage the execution of the work and make sure the team responsible for deployment delivers the highest quality products on time and within budget. Consistent processes and procedures should be used to ensure quality, timeliness, and cost control. The Recipient shall conduct effective program management activities to include:

• Scope Management. This includes ensuring that all required activities are performed and that only required activities are performed. The Recipient should have mechanisms in place for verifying and controlling the overall scope of the deployment.

• Schedule Management. This includes managing the timely execution of work activities. A Project Schedule should list all activities required to bring all required work to a successful completion. Successful schedule management should identify how the team will monitor the project schedule and manage changes after a baseline schedule has been approved. Schedule management includes identifying, analyzing, documenting, prioritizing, approving or rejecting, and publishing all schedule-related changes.

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

• Communications Management. This includes the systematic planning, implementing, monitoring, and revision of all the channels of communication within the project partners and with other stakeholders. For the purposes of the deployment program, a partner refers to an organization or individual on the deployment team. A stakeholder refers to an organization or individual potentially impacted by the deployment itself, regardless of whether they are team members (partners) or not. Communications management ensures effective internal team communications and governance methods, as well as communications with the DOT’s Agreement Officer Representative (AOR). All communications shall meet stakeholder language and accessibility needs.

• Cost Management. This includes the process of planning and controlling the budget for the deployment. Effective cost management should ensure that any issues with funding surface quickly, before cost overruns can occur.

• Quality Management. This includes effectively managing the quality of the products produced, from planning to delivery. Quality management includes procedures to be followed to implement a quality program and provide the DOT with visibility into product quality (e.g., process and product evaluations, record keeping, nonconformance tracking, and reporting channels). Quality management addresses both Quality Control (QC) and Quality Assurance (QA) processes. QC is defined as the monitoring and controlling actions required during a project to ensure that a product – or performed service – adheres to a defined set of quality criteria. QA ensures that the appropriate quality planning and QC mechanisms are defined and utilized to prevent mistakes or defects.

• Configuration Management. This includes managing how items to be placed under configuration control are identified, when they are identified, and when they are placed into a configuration control process or system. Configuration management may include establishing a Configuration Control Board (CCB) and include procedures for handling proposed changes to items under configuration control, and the role of the DOT in configuration control.

• Risk Management. This includes identifying, prioritizing, and managing program risks in a timely and efficient manner. Risks that may impact the schedule, scope, or costs of activities performed under the program should be identified, documented, and tracked. Plans for mitigating risks should be identified and implemented.

Project Management Plan (PMP). The Recipient shall prepare a PMP that describes the activities required to perform the work, applying current PMBOK guidance3. The PMP shall explain the roles and responsibilities of all key individuals within the program/project team. At a minimum, the PMP shall contain a Scope Management Plan, a Schedule Management Plan, a Communications Management Plan, a Cost Management Plan, a Quality Management Plan, Configuration Management Plan, and a Risk Management Plan.

The Recipient shall deliver a draft PMP to the DOT. After receiving DOT comments and resolving them, the Recipient shall provide a revised version of the PMP and its related documents. During the course of the deployment, the Recipient may propose modifications to the PMP. Any such modifications shall go through the cycle of draft submission, DOT review and comment, comment resolution, and submission of a revised version. Routine Monthly Project Schedule updates, required as part of the Monthly Progress Reports per NOFO Section F.3, are not considered to be modifications to the PMP.

The PMP shall be accompanied by a detailed deployment Project Schedule, considered to be a logical component of the PMP, although it will be a physically separate electronic file. The Project Schedule shall list all activities required to bring all required work to a successful completion and shall contain – at a minimum – three levels of the Work Breakdown Structure (WBS). The Project Schedule should be submitted in Microsoft Project (2007 or later) format.

The Project Schedule shall be updated monthly (see NOFO Section F.3 below). The Project Schedule shall describe the following:

• Name of the work activity;

• Expected start and end dates;

• Name of the individual with the primary responsibility for accomplishing the work;

• Dependencies with other work activities in the Project Schedule;

• All deliverables, procurements, or milestones resulting from the work activity; and

• Percent Work Completed.

Phase 2 Kickoff Meeting. Within four weeks after the effective date of the award, representatives from the Recipient’s deployment team shall attend a kick-off meeting with the DOT and its representatives to ensure that all parties have a common

3 Project Management Institute (2017), A Guide to the Project Management Body of Knowledge, 6th Ed.

or later understanding of the award requirements and expectations. The kickoff meeting is planned as an in-person meeting in Washington, DC. A virtual meeting may replace the in-person kick-off, subject to DOT approval.

Kickoff Meeting Attendance. The Recipient shall bring its key personnel identified in F.2.F, or their designees, plus one additional representative as necessary, to this meeting and the AOR will arrange the location, the agenda, and the list of other attendees.

Kick-off Meeting Travel Costs. Travel costs to attend the kick-off meeting shall be limited to a maximum of four individuals from the Recipient team unless otherwise approved by the Agreement Officer (AO). Specifically, the DOT requests attendance at the kick-off meeting by the three key personnel identified herein, or their designees, plus one grant/business manager or administrator. A virtual web conference will be made available for remote participation by additional Recipient team members.

Monthly Progress Reporting. The Recipient shall provide monthly reporting in accordance with instructions provided in Section F.3 Monthly Reporting (e.g., activity narrative, updated Lessons Learned Logbook, updated monthly project and task schedules, updated risk register), utilizing DOT templates that will be provided at Phase 2 kick-off. Note that monthly reporting is composed of two documents, Part I: Technical Progress and Status Summary, and Part II: Detailed Financial Summary (see Section F.3).

Lessons Learned Logbook (LLL). To meet overall program goals, deployment sites are expected to share insights and lessons learned with peers considering or actively deploying similar capabilities. This includes the accommodation of site visits and other activity/products conducted in Task 2-L Outreach. In addition, in this task the Recipient shall maintain a Lessons Learned Logbook (LLL) that captures for each lesson: a succinct title, relevant agreement task (e.g., Task 2-D), a summary of the issue identified, the realized/potential impacts, mitigating action(s) taken, and results identified (to date). The LLL shall be updated monthly, and a summary of new or updated entries incorporated into the Part I: Technical Progress and Status Summary in accordance with Section F.3 Monthly Reporting.

Bi-Weekly Deployment Teleconferences. The DOT requires the Recipient to organize and participate in a site-specific bi-weekly deployment coordination teleconference with the AOR and federal team members to review work in progress, identify issues and risks, and coordinate technical assistance. At a minimum, the site key personnel and other relevant team members as appropriate for topic discussions should participate in these meetings.

Monthly All-Sites Coordination Teleconferences. To assist in coordination across sites and encourage collaboration among deployment sites, the Recipient shall have a minimum of one representative participate in a monthly all-site coordination teleconference to be conducted with all Phase 2 and Phase 3 Recipients.

Roundtable Participation. The Recipient shall have a minimum of one representative participate in up to five periodic roundtable meetings involving site representatives and federal staff organized around specific topics. The DOT envisions the three current Phase 1 roundtables (i.e., Technical, Outreach, and Performance Measures & Human Use Approval) continuing as appropriate to the nature of Phase 2. Up to two other roundtables (total) may be established on additional topics, as needed.

The following Phase 1 contract deliverables are hereby incorporated by reference into this Statement of Work Task 2-A:

• Phase 1 Project Management Plan (Final).

Phase 2, Task 2-A Required Deliverables

• Phase 2 Kick-off Meeting

• Draft Project Management Plan (PMP)

• Revised PMP (as required)

• Monthly Progress Report Part I: Technical Progress and Status Summary o Includes: Project Milestone Schedule, Updated Task Schedules, Project and Task Detailed Risk Register, and Lessons Learned Logbook (LLL).

• Monthly Progress Report Part II: Detailed Financial Summary

• Participation in site-specific bi-weekly coordination teleconferences

• Participation monthly all-site coordination teleconferences

• Participation in periodic roundtable teleconferences

2-B. SYSTEM ARCHITECTURE AND DESIGN

This task area builds on systems engineering work conducted in Phase 1 and documented in key Phase 1 deliverables, including the Concept of Operations (ConOps), System Requirements Specification (SyRS), Systems Engineering Management Plan (SEMP), and Integrated Complete Trip Deployment Plan (ICTDP).

The objective of this task is to first develop a well-structured architecture for the site deployment concept; and second to prepare a detailed design based on that architecture that embodies the deployment concept.

Systems Architecture Document (SAD). The Recipient shall develop and maintain a Systems Architecture Document (SAD), with a Standards Plan (appended to the SAD) and Interface Control Document section, to describe the architecture for systems associated with the deployment and associated standards that will be used.

IEEE Standard 42010-2011 (IEEE Recommended Practice for Software Architecture Descriptions) includes guidelines for format and content to develop a SAD, and should cover:

• Enterprise Architecture. Describes the relationships between organizations required to support the overall system architecture.

• Functional Architecture. Describes abstract functional elements (processes) and their logical interactions (data flows) that satisfy the system requirements.

• Physical Architecture. Describes physical objects (systems and devices) and their application objects as well as the high-level interfaces between those physical objects.

• Communications Architecture. Describes the communications protocols between application objects.

The National ITS Architecture4 is a mature architecture that provides a common framework for the ITS community to plan, define, and integrate ITS solutions.

Recipients shall utilize the National ITS Architecture as well as published and in-development ITS standards as a part of site efforts to develop and deploy interoperable, extensible capabilities. Variances from the National ITS Architecture and ITS Standards shall be documented and subject to DOT review and approval.

The SAD shall include a Standards Plan and Interface Control Document that identifies the nature of required interfaces to other systems, which should be defined to utilize existing networking or other standards when available. In following the systems engineering process, the Recipient shall identify information exchange needs and/or use cases in the Interface Control Document section. To the extent that such exchanges are supported by standards, the Recipient should catalog applicable standards that will be used. Where new standards are needed, these needs should be fully documented in the Standards Plan. To support nationwide deployment of Complete Trip – ITS4US applications and capabilities, the Recipient shall use existing standards, architectures, and certification processes whenever viable, and document those cases where such use is not viable. To provide information required to refine ITS architecture and standards in support of nationwide deployment, the Recipient shall also

4 https://www.standards.its.dot.gov/LearnAboutStandards/NationalITSArchitecture https://www.standards.its.dot.gov/LearnAboutStandards/NationalITSArchitecture document their experiences and cooperate with architecture and standards developers to improve the quality of these products based on lessons learned in deployment (see Task 2-L).

After the delivery of the draft SAD, the Recipient will conduct a System Architecture Walkthrough (see IEEE Standard 1028-2008) with the AOR and federal team members in the Washington DC metro area (including a Walkthrough Workbook to structure and expedite the Walkthrough process) to demonstrate the completeness and technical soundness of the architectural approach. A minimum of two full working days shall be allocated to this Walkthrough. In response to DOT comments (both written comments provided prior to the Walkthrough and verbal comments provided during the Walkthrough), the Recipient will submit a revised SAD and an accompanying comment resolution report. Based on DOT review of the revised document, the Recipient will deliver a final SAD.

The System Architecture Walkthrough is planned as an in-person meeting in Washington, DC. A virtual meeting may replace the in-person walkthrough, subject to DOT approval.

Walkthrough Travel Note: Travel costs to attend the Walkthrough meeting shall be limited to a maximum of four individuals from the Recipient team unless otherwise approved by the AO. Specifically, the DOT requests attendance at the walkthrough by the three key personnel identified in F.2.F, or their designees, plus one additional representative, as needed. A webinar will be made available for remote participation by additional Recipient team members.

Systems Design Document (SDD). Based on the SyRS and the SAD, a system design is created describing the full scope of the system. Subsystems of the system are identified and decomposed further into components. Requirements are allocated to the system components, and interfaces are specified in detail. Detailed specifications are created for the hardware and software components to be developed, and final product selections are made for off-the-shelf components. IEEE Standard 1016-2009 (IEEE Recommended Practice for Software Design Descriptions) includes guidelines for format and content to develop a SDD.

After the delivery of the draft SDD, the Recipient will host and conduct a System Design Walkthrough (see IEEE Standard 1028-2008) within or near the deployment site (as well as a web conference or remote access capability) with the AOR, federal team members, and other key stakeholders that have participated in the ConOps and System Requirements walkthroughs, to demonstrate the completeness and technical soundness of the system design (including a Walkthrough Workbook to structure and expedite the Walkthrough process). A minimum of two full working days shall be allocated to this Walkthrough. In response to DOT comments (both written comments provided prior to the Walkthrough and verbal comments provided during the Walkthrough), the Recipient will submit a revised SDD and an accompanying comment resolution report. Based on DOT review of the revised SDD, the Recipient will deliver a final SDD.

The System Design Walkthrough is planned as an in-person meeting within or near the deployment site(s). A virtual meeting may replace the in-person walkthrough, subject to DOT approval.

When the SDD is complete, the Recipient will deliver updated versions of Phase 1 deliverable, as needed. At a minimum, these updates will include: ConOps, SyRS, and

ICTDP.

The following Phase 1 contract deliverables are hereby incorporated by reference into this Statement of Work Task 2-B:

• Phase 1 Concept of Operations (Final)

• Phase 1 System Requirements Specification (Final)

• Phase 1 Integrated Complete Trip Deployment Plan (Final)

Phase 2, Task 2-B Required Deliverables

• Draft Systems Architecture Document (SAD)

• Systems Architecture Walkthrough and Workbook (Held in DC metro area)

• Revised SAD with Comment Resolution Report

• Final Systems Architecture Document

• Draft Systems Design Document (SDD)

• Systems Design Walkthrough and Workbook (Held at deployment site)

• Revised SDD with Comment Resolution Report

• Final Systems Design Document

• Updated Phase 1 Deliverables, at a minimum:

o Revised Concept of Operations o Revised Systems Requirements o Revised Integrated Complete Trip Deployment Plan

2-C. DATA MANAGEMENT PLANNING

In this task, the Recipient shall develop a Data Privacy Plan (DPP), a Privacy Management Plan, and a Phase 2 Data Management Plan (DMP). Together, these plans document how data will be collected, integrated, managed, and disseminated during Phase 2 and Phase 3. This includes real-time and archived data (specifically identifying data to be publicly shared) in systems managed by the Recipient and its partners. Note that the DPP and DMP are deliverables under this agreement, while the Privacy Management Plan is not (see below). When developing the DPP and DMP, Recipients shall review the DOT’s current Privacy Policy5 and Public Access Plan6 to ensure information in both reports is included where appropriate in the DPP and DMP.

Data Privacy Plan (DPP). Improper handling of Personally Identifiable Information (PII) or Sensitive Personally Identifiable Information (SPII) by a Recipient could have significant adverse impacts on the privacy of individuals. For this reason, DOT is committed to ensuring that the Recipient institutes sufficient data privacy controls to mitigate the risk of harm to individuals that would result in the improper handing or disclosure of the PII and SPII collected from individuals in connection with a DOT-funded deployment project.

The DPP should be consistent with the Phase 1 ConOps, the Phase 1 Human Use Approval Summary (HUAS), and Phase 1 DMP – any variances shall be identified and highlighted for DOT review. If DOT approves any variances, these variances shall be incorporated into updated Phase 1 documentation, as required.

The Recipient shall deliver a draft DPP to the DOT for review. The Recipient shall prepare a revised DPP in response to DOT comments with an accompanying Comment Resolution Report. Based on DOT approval of the revised DPP and comment resolution report, the Recipient shall deliver a final DPP.

Privacy Management Plan. The DPP informs an overall Privacy Management Plan, prepared by the Recipient to be in accordance with relevant state and local laws for the deployment location(s). Note that the DPP should NOT address state and local laws, and the Privacy Management Plan details those state and local considerations and includes the plan to adhere to these state and local laws.

5 https://www.transportation.gov/individuals/privacy/dot-privacy-policy

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

Note: The Privacy Management Plan is not a deliverable under this agreement.

The Recipient is responsible only for submitting a Notice of Privacy Management Consistency (a one-page letter) to DOT that a Privacy Management Plan has been completed prior to the finalization of the Data Privacy Plan.

Phase 2 Data Management Plan (DMP). Building from the Phase 1 DMP, the Phase 2 DMP serves as an operational guide for managing data collectively as a strategic asset, and, subject to applicable privacy, security, and other safeguards, making data available to enable transparent system performance measurement, support independent evaluation, and fuel entrepreneurship, innovation, and economic development. The Phase 2 DMP shall document the flow of data from generation through its use to applications in the deployment, including, but not limited to:

• Data sources and destinations,

• Volume of data flow,

• Contents of data flow,

• Communications medium involved, and

• Long term storage plans.

The plan shall describe all data collection activities. Further, the plan shall assess the variety, volume, and velocity (frequency of collection) of deployment-related data that can be accommodated, in order to ensure the end-to-end delivery of data to all identified recipients/users/systems. The plan shall establish consistent and systematic quality control procedures.

Note: Automated data checking routines developed under this agreement shall be identified in the software development schedule. These routines should be included in the list of products/capabilities considered for release under an open-source license (see Task 2-E).

The Phase 2 DMP is intended to provide clear operational procedures consistent with data-related elements of multiple deliverables, including, but not limited to:

• Data Privacy Plan;

• Phase 1 ConOps, which includes a Privacy Operational Concept;

• Phase 1 Performance Measurement and Evaluation Support Plan (PMESP), which describes Field Data Collection, any data sharing associated with support to an Independent Evaluator, and includes a Data Sharing Framework (see below);

• Phase 1 SyRS, which includes Data Sharing Requirements; and

• Phase 1 HUAS, which includes feedback from an Institutional Research Board (IRB) related to participant data collection and use.

Data Sharing Framework (a sub-element of the DMP). Data identified for sharing (summarized in the Phase 1 ICTDP) require a practical Data Sharing Framework enabling the progress of data from collection to processing and documentation to public-facing repository. Data sharing is subject to the protection of intellectual property rights and personal privacy and must be handled securely.

Appropriately prepared system control, performance, and evaluation data, stripped of PII, are expected to be made available to the DOT and posted in timely fashion on public-facing resources, freely available to the public and research community. The DOT envisions that this data sharing capability will support the needs of ITS researchers and developers while encouraging nationwide deployment replicability by reducing costs and encouraging innovation. Hence, in the DMP, the Recipient shall identify all appropriate data and processes (including privacy-related processes) to be utilized in data processing within the Data Sharing Framework. Note that all data made available on public-facing resources must adhere to guidelines on preparation for submission and accompanying metadata determined by DOT (currently DOT Public Access Plan v1.1, see footnote #6).

Note that Task 2-C is related to data management planning only. Tasks related to the performance and execution of data collection and data sharing activities, in accordance with the approved DPP and DMP, are included under Tasks 2-H, 2-K, 3-B and 3-D of this Statement of Work.

The Recipient shall deliver a draft DMP to the DOT for review. The Recipient shall prepare a revised DMP in response to DOT comments with an accompanying Comment Resolution Report. Based on DOT review of the revised DMP, the Recipient will deliver a final DMP.

The following Phase 1 contract deliverables are hereby incorporated by reference into this Statement of Work Task 2-C:

• Phase 1 Concept of Operations (Final)

• Phase 1 Performance Measurement and Evaluation Support Plan (Final)

• Phase 1 System Requirement Specification (Final)

• Phase 1 Human Use Approval Summary (Final)

• Phase 1 Data Management Plan (Final)

Phase 2, Task 2-C Required Deliverables

• Draft Data Privacy Plan (DPP)

• Revised DPP with Comment Resolution Report

• Final Data Privacy Plan (DPP)

• Notice of Privacy Management Consistency

• Draft Phase 2 Data Management Plan (DMP)

• Revised Phase 2 DMP with Comment Resolution Report

• Final Phase 2 Data Management Plan (DMP)

2-D. ACQUISITION AND INSTALLATION PLANNING

This task area covers planning for the acquisition, configuration, and installation of all in-vehicle, roadside, mobile device, center, and other equipment, software and supporting capabilities required to design, build, integrate, and test the designed system. The phrase “other equipment, software, and supporting capabilities” includes Commercial Off-the-Shelf (COTS) and Modifiable Off-the-Shelf (MOTS) software capabilities obtained from vendors and not explicitly covered under partner-developed Task 2-E (Software Development and Integration).

Comprehensive Acquisition Plan (CAP). The Recipient shall develop a Comprehensive Acquisition Plan (CAP) that identifies the type and number of devices, equipment, and software-based capabilities to be acquired. The Plan shall have one section for vehicles and in-vehicle equipment, one for roadside equipment, one for mobile devices, one for operations/management center equipment/capabilities, and one for other equipment and supporting capabilities. The CAP shall provide an overview of the proposed acquisition approach that includes an assessment of time-to-procure relative to the overall deployment schedule. The CAP shall include a plan to equitably engage and inform prospective vendors over time in case of changes to requirements, quantities, and delivery timelines.

In addition, for each identified type of equipment, the CAP shall include, at a minimum:

• A description of the item,

• Reference(s) to relevant requirements and specifications derived from the SDD,

• Note any/all certification requirements,

• Describe the method of acquisition, and

• Potential vendors/suppliers.

The DOT understands that there could be substantially different acquisition schedules depending on the nature and type of equipment/capability being acquired. The CAP is intended to document the process and provide assurance that this process is systematic, orderly, and well-documented. Individual item/capability acquisition is not subject to DOT approval prior to acquisition.

The Recipient shall deliver a draft CAP to the DOT for review. The Recipient shall prepare a revised CAP in response to DOT comments with an accompanying Comment Resolution Report. Based on DOT review of the revised CAP, the Recipient shall deliver a final CAP.

Comprehensive Installation Plan (CIP). The Recipient shall develop a Comprehensive Installation Plan (CIP) that incorporates the CAP and further identifies the types and number of equipment required to be configured and installed. Note that the installation of infrastructure related elements must adhere and be consistent with state and local standards and installation approval procedures. The CIP shall have one section for vehicles and in-vehicle equipment, one for roadside equipment, one for mobile devices, one for management center equipment/capabilities, and one for software and other supporting capabilities. The CIP shall provide an overview of the supplier base and procurement method(s), a high-level plan for inventory and configuration management, a high-level initial installation schedule, and one or more high-level installation plan(s).

In addition, for each identified type of equipment, the CIP shall identify:

• Supplier(s),

• Inventory control method(s),

• Required configuration or pre-installation modifications,

• Pre- and post-installation inspection procedures,

• Detailed installation procedures,

• QA/QC and maintenance processes (with identified responsible parties),

• A preliminary, high-level installation schedule,

• Hardware/software configuration control processes, and

• Spare parts/warranty contingency plans.

The Recipient shall deliver a draft CIP to the DOT for review. The Recipient shall prepare a revised CIP in response to DOT comments with an accompanying Comment Resolution Report. Based on DOT review of the revised CIP, the Recipient will deliver a final CIP.

Phase 2, Task 2-D Required Deliverables

• Draft Comprehensive Acquisition Plan (CAP)

• Revised CAP with Comment Resolution Report

• Final Comprehensive Acquisition Plan

• Draft Comprehensive Installation Plan (CIP)

• Revised CIP with Comment Resolution Report

• Final Comprehensive Installation Plan

2-E. SOFTWARE DEVELOPMENT AND INTEGRATION

This task covers all non-COTS/MOTS software development efforts conducted under this NOFO to support or create applications, integrate deployment functions, or enable testing at the system (or sub-system) level. Note that COTS and MOTS capabilities obtained from vendors are tracked separately under Task 2-D (Acquisition and Installation Planning). When considered together, all required software development for the deployment should be reflected in Task 2-D and 2-E. This task specifically addresses non-COTS/MOTS software development as well as all software integration activity (COTS/MOTS and non-COTS/MOTS). Task 2-E includes the documentation of all technical, cost, and schedule considerations and other risks associated with software integration. Note that Task 2-E includes both the planning and execution of software development activity in Phase 2.

While some Task 2-E software development activities may have to wait until the system design work is complete, some activity may be initiated earlier in Phase 2. Given uncertainties in schedule and cost estimation associated with software development, managing these software activities is a critical action to mitigate risks with respect to overall deployment technical, schedule, and cost management.

Software Development Schedule (SDS). The Recipient shall prepare an initial Software Development Schedule (SDS) that identifies the work breakdown structure (noting all dependencies among activities) required to make all Task 2-E capabilities deployment-ready (see Section F.3). This includes, but is not limited to the following software capabilities:

• the development/enhancement of individual applications or modules to meet deployment-specific needs;

• the integration of applications, services, and technologies in a synergistic collection (e.g., “bundle”),

• the management of data, safety, performance measurement, or other requirements;

• planning for user testing and engagement;

• interfacing (as required) with security and credential/user authentication systems;

• testing at sub-system or system levels;

• interfacing with existing legacy systems;

• the development of software environments and architectures;

• the adaptation and application of Continuous Integration (CI) systems (if any) to automate software releases…