NOFO_693JJ324NF-AIDDP_Final_10.24.2024.pdf

NOFO 693JJ324NF-AIDDP

Fiscal Years 2023 - 2026

ACCELERATED INNOVATION DEPLOYMENT (AID) DEMONSTRATION GRANTS

FY 2023 NOFO OPENING DATE: October 24, 2023

FY 2023 VIRTUAL INFORMATION SESSION DATE: November 20, 2023

FY 2023 NOTICE OF INTENT DUE DATE: December 12, 2023

FY 2023 APPLICATON DUE DATE: January 23, 2024

The Federal Highway Administration (FHWA) is using www.Grants.gov for issuance of this Notice of Funding Opportunity (NOFO). 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 www.Grants.gov site for any updates/amendments to this NOFO.

U.S. DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

Notice of Funding Opportunity for Accelerated Innovation Deployment Demonstration

AGENCY: U.S. Department of Transportation (DOT), Federal Highway Administration

(FHWA)

ACTION: Notice of Funding Opportunity (NOFO)

SUMMARY:

The purpose of this NOFO is to solicit applications for FHWA’s Accelerated Innovation Deployment (AID) Demonstration for Fiscal Years (FY) 2023 - 2026 grants and will result in the distribution of up to $10 million in FY 2023 and up to $12.5 million in each of FYs 2024 - 2026.

The actual amount available to be awarded under each NOFO will be subject to the availability of funds.

Funds made available for FYs 2023 - 2026 for the AID Demonstration are to be awarded on a competitive basis to fund activities eligible for assistance under Title 23, United States Code (U.S.C.) in any phase of a highway transportation project between project planning and project delivery including planning, financing, operation, structures, materials, pavements, environment, and construction that address the Technology and Innovation Deployment Program (TIDP) goals. The goals of the TIDP, detailed in 23 U.S.C. 503(c), are to:

A. Significantly accelerate the adoption of innovative technologies by the surface transportation community;

B. Provide leadership and incentives to demonstrate and promote state-of-the-art technologies, elevated performance standards, and new business practices in highway construction processes that result in improved safety, faster construction, reduced congestion from construction, and improved quality and user satisfaction;

C. Construct longer-lasting highways through the use of innovative technologies and practices that lead to faster construction of efficient and safe highways and bridges;

D. Improve highway efficiency, safety, mobility, reliability, service life, environmental protection, and sustainability;

E. Develop and deploy new tools, techniques, and practices to accelerate the adoption of innovation in all aspects of highway transportation; and

F. Disseminate and evaluate information from accelerated market readiness efforts, including non-market-ready technologies, to public and private entities.

These TIDP goals also support and are in alignment with the Administration’s goals to enhance safety for all users, support a sustainable and resilient infrastructure, incorporate equity in project planning and delivery, and support workforce development, job quality, and wealth creation.

This notice describes the application requirements, selection and evaluation criteria, applicable program and Federal requirements, and available technical assistance during the grant solicitation period.

DATES:

FHWA seeks early notification of interest to inform its allocation of resources for application evaluations and to facilitate timely and efficient awards. For that reason, FHWA requires all interested applicants confirm their intent to submit an application in response to this opportunity for FY 2023 by submitting a notice of intent no later than December 12, 2023. This notification should be sent to innovation@dot.gov. Notice of Intent deadlines for FYs 2024 – 2026 are listed in Attachment A – Key Dates.

Applications for FY 2023 must be submitted electronically through Grants.gov no later than 11:59 p.m., Eastern Time, on January 23, 2024 (the “application deadline”). Applicants are encouraged to submit applications in advance of the application deadline; however, applications will not be evaluated, and awards will not be made, until after the application deadline.

Application deadlines for FYs 2024 – 2026 are listed in Attachment A – Key Dates.

FHWA plans to conduct outreach regarding FY 2023 AID Demonstration in the form of a virtual meeting on November 20, 2023, at 3:00 p.m. Eastern Time.1 To join the Webinar, follow the instructions posted on the AID Demonstration Webpage:

https://www.fhwa.dot.gov/innovation/grants/.

Key Dates for FYs 2023 – 2026 are specified in Attachment A – Key Dates posted with this notice.

ADDRESSES:

Applications must be submitted electronically through Grants.gov. Refer to Assistance Listing (formerly Catalog of Federal Domestic Assistance) Number: 20.200.

FOR FURTHER INFORMATION CONTACT:

Fawn Thompson Program Coordinator Accelerating Innovation Office of Innovation and Workforce Solutions Federal Highway Administration U.S. Department of Transportation 1200 New Jersey Avenue, SE., Email: innovation@dot.gov

Alternate:

Robin Hobbs Agreement Officer/Team Leader Office of Acquisition and Grants Management Federal Highway Administration U.S. Department of Transportation

1 Anticipated Information Session dates for FY 2023 – 2026 are specified in Attachment A to this Notice.

1200 New Jersey Avenue, S.E.

Washington, DC 20590 Email: Robin.Hobbs@dot.gov Phone: (202) 366-4004

Office hours are from 7:30 a.m. to 4:00 p.m., Eastern Time, Monday through Friday, except Federal holidays.

FHWA will not review applications in advance, but FHWA staff are available for technical questions and assistance. In addition, FHWA will post answers to questions and requests for clarifications at Grants.gov under this NOFO’s page. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact FHWA directly, rather than through intermediaries or third parties, with questions.

SUPPLEMENTARY INFORMATION:

Each section of this notice contains information and instructions relevant to the application process for AID Demonstration grants. The applicant should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications.

TABLE OF CONTENTS

SECTION A - PROGRAM DESCRIPTION

SECTION B - FEDERAL AWARD INFORMATION

SECTION C - ELIGIBILITY INFORMATION

SECTION D - APPLICATION AND SUBMISSION INFORMATION

SECTION E - APPLICATION REVIEW INFORMATION

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

SECTION G - FEDERAL AWARDING AGENCY CONTACTS

SECTION H - OTHER INFORMATION

ATTACHMENT A - KEY DATES

APPLICATION PACKAGE CHECKLIST

ATTACHMENT B - TECHNOLOGY READINESS LEVELS

ATTACHMENT C - NOTICE OF INTENT DETAIL

ATTACHMENT D - COVER PAGE

This notice contains collection-of-information requirements subject to the Paperwork Reduction Act. The use of standard forms (SF) 424, 424A, 424C, and 425 has been approved by the Office of Management and Budget (OMB) under 2105-0520. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the Paperwork Reduction Act, unless that collection displays a currently valid OMB control number.

SECTION A - PROGRAM DESCRIPTION

1. Statement of Purpose

The purpose of this NOFO is to solicit applications for AID Demonstration grants and will result in the distribution of up to $10 million for FY 2023 and up to $12.5 million per fiscal year for FYs 2024 - 2026. The actual amount available to be awarded under this notice will be subject to the availability of funds.

2. Overview

The AID Demonstration is one aspect of FHWA’s multifaceted TIDP and provides funding as an incentive for State departments of transportation (State DOT), Federal Land Management Agencies (FLMA), and Tribal governments2,3 to accelerate the implementation and adoption of proven innovations in highway transportation.

The AID Demonstration is established under 23 U.S.C. 503(c) within the TIDP to implement accelerated innovation deployment. The section authorizes the Secretary of Transportation to “carry out a technology and innovation deployment program relating to all aspects of highway transportation, including planning, financing, operation, structures, materials, pavements, environment, construction, and the duration of time between project planning and project delivery.”

FHWA has made TIDP funds available for the AID Demonstration since 2014, awarding between 10 to 15 grants per fiscal year. Information on previously awarded AID Demonstration projects can be found on the AID Demonstration Webpage:

https://www.fhwa.dot.gov/innovation/grants.

FHWA is seeking applications from a diverse pool of applicants and a variety of innovations and project types. FHWA also seeks to fund projects that use innovations included in the Every Day Counts (EDC) initiative. Please go to the following link to see examples and benefits of EDC innovations: https://www.fhwa.dot.gov/innovation/everydaycounts/.

3. Program Goals

The AID Demonstration provides incentive funding for activities eligible for assistance under Title 23, U.S.C. in any phase of a highway transportation project between project planning and project delivery including planning, financing, operation, structures, materials, pavements, environment, and construction that address the TIDP goals.

2 Although a Local Public Agency (LPA) is not an eligible applicant, State DOTs may apply for AID Demonstration grants in partnership with a LPA, and the State DOT will be responsible for administering the AID Demonstration grants for work carried out by a LPA.

3 Any federally recognized Tribe identified on the list of “Indian Entities Recognized and Eligible to Receive Services from the Bureau of Indian Affairs” (87 FR 4636) is eligible to apply for AID Demonstration grants.

The goals of the TIDP, as defined in 23 U.S.C 503(c)(1), are to:

a. Significantly accelerate the adoption of innovative technologies by the surface transportation community;

b. Provide leadership and incentives to demonstrate and promote state-of-the-art technologies, elevated performance standards, and new business practices in highway construction processes that result in improved safety, faster construction, reduced congestion from construction, and improved quality and user satisfaction;

c. Construct longer-lasting highways through the use of innovative technologies and practices that lead to faster construction of efficient and safe highways and bridges;

d. Improve highway efficiency, safety, mobility, reliability, service life, environmental protection, and sustainability;

e. Develop and deploy new tools, techniques, and practices to accelerate the adoption of innovation in all aspects of highway transportation; and

f. Disseminate and evaluate information from accelerated market readiness efforts, including non-market-ready technologies, to public and private entities.

4. Administration Goals

a. Safety

• The DOT is committed to advancing safe, efficient transportation, including in AID

Demonstration.

• The National Roadway Safety Strategy (NRSS), issued January 27, 2022, commits the DOT 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.4 The outcomes that are anticipated from the projects funded by AID Demonstration should align with the NRSS.

b. Climate Change and Sustainability The DOT seeks to fund projects under the AID Demonstration 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 Order (E.O.)

14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).5

c. Equity The DOT seeks to award projects under the AID Demonstration 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 E.O. 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009).

d. Workforce Development, Job Quality, and Wealth Creation

4 https://www.transportation.gov/NRSS 5 See U.S. Department of Transportation Strategic Framework FY 2022 – 2026 (Dec. 2021) at https://www.transportation.gov/administrations/office-policy/fy2022-2026-strategic-framework

The DOT intends to use the AID Demonstration 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 E.O. 14025, Worker Organizing and Empowerment (86 FR 22829), and E.O. 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). The DOT also intends to use the AID Demonstration to support wealth creation, consistent with the DOT’s Equity Action Plan through the inclusion of local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises (DBE), Minority-owned Businesses, Women-owned Businesses, or 8(a) firms.

5. Additional Information

a. The AID Demonstration is described in the Federal Assistance Listings under the assistance listing program Title – “Highway Research and Development Program” and assistance listing number 20.200.

b. The DOT is committed to considering project funding decisions holistically among the various discretionary grant programs available in the Bipartisan Infrastructure Law (BIL).

The DOT also recognizes that applicants may be seeking funding from multiple discretionary grant programs and opportunities. An applicant may seek the same award amounts from multiple DOT discretionary opportunities or seek a combination of funding from multiple DOT opportunities.

6. Changes from the FY 2021 AID Demonstration NOFO

All sections of this NOFO have been updated since the publication of the prior year NOFO, so applicants should read these materials carefully. In addition, Attachment A – Key Dates is new this year.

SECTION B – FEDERAL AWARD INFORMATION

1. Award Amount Available

Section 11101(c)(1)(B) of BIL provides funding to carry out TIDP, including AID Demonstration grants, under 23 U.S.C. 503(c). FHWA will make up to $10 million available in FY 2023 and up to $12.5 million available in each of FYs 2024 - 2026 of TIDP funding available for award of AID Demonstration grants.

2. Award Size

For each FY 2023 - 2026, the minimum AID Demonstration grant award is $100,000 and the maximum is $ 1 million. FHWA anticipates awarding between 10 to 15 AID Demonstration grants each of FYs 2023 - 2026, subject to the availability of funds.

3. Previous AID Demonstration Awards

Previous award recipients of AID Demonstration grants may apply for funding to support additional phases of a project previously awarded funds in the AID Demonstration. However, to be competitive, the applicant should demonstrate the extent to which the previously funded project phase has met estimated project schedules and budget, as well as the ability to realize the benefits expected for the project. A previous AID Demonstration award, or application, does not affect competitiveness under the FYs 2023 - 2026 AID Demonstration.

4. Type of Award

The planned award type is a cost reimbursement grant with cost-sharing.

If the grant recipient is a State DOT or if a State DOT will serve as a pass-through entity to a local public agency (LPA), AID Demonstration funds will be awarded upon execution of a project agreement (a type of grant agreement for administration of funds to a State DOT in FHWA’s Fiscal Management Information System).

If the grant recipient is an FLMA or Tribal government, the AID Demonstration funds will be awarded through existing agreements with these entities and the Federal Lands Highway Division.

5. Period of Performance

The anticipated period of performance for awards under the AID Demonstration will be 1 to 3 years from the effective date of the grant award. This time frame is inclusive of project implementation (up to 30 months) and Final report preparation (up to 6 months). The recipient must submit the grant closeout report to FHWA within 90 days after the end of the grant award period of performance.

SECTION C - ELIGIBILITY INFORMATION

To be selected for a grant, an applicant must meet the eligibility requirements under this Section C, including: Eligible Applicant; Eligible Project; and Statutory Cost Sharing or Match requirements. Applications that do not meet these threshold eligibility requirements will not be evaluated under the process detailed in Section E.

1. Eligible Applicants

Entities eligible to apply for an AID Demonstration grant are State DOTs, FLMAs, and Tribal governments. Although LPAs are not eligible applicants, State DOTs may apply for AID Demonstration grants in partnership with LPAs,6 and the State DOT will be responsible for administering the AID Demonstration grant work by the LPA.7 Any federally recognized Tribe identified on the list of “Indian Entities Recognized and Eligible to Receive Services from the Bureau of Indian Affairs” (87 FR 4636) is eligible to apply for AID Demonstration grants.

Recipients of previous AID Demonstration grants may apply for FYs 2023 - 2026 AID Demonstration funding. Receipt of a previous AID Demonstration award, or submission of an application previously, does not affect competitiveness under the FYs 2023 - 2026 AID Demonstration competition.

2. Cost Sharing or Matching

Cost sharing or matching is required under this award. Per BIL’s Section 11101(c)(3), the Federal share of the cost of a project carried out with AID Demonstration funds shall be 80 percent. Twenty percent of project costs must come from non-Federal sources. Other Federal funds using their appropriate matching share may be leveraged for the deployment but cannot be considered matching funds under an application for AID Demonstration funds, which must come from non-Federal sources, unless otherwise allowed by statute.

Additional information on non-Federal matching requirements can be found at:

https://www.fhwa.dot.gov/legsregs/directives/policy/memonfmr_tapered20190515.htm.

FHWA will not consider previously incurred costs or previously expended or encumbered funds towards the matching requirement for any project. Matching funds are subject to the same Federal requirements described in Section F.2 for Federal funds. Cost sharing or matching means the portion of project costs not paid by Federal funds or contributions (unless otherwise authorized by Federal statute). See 2 Code of Federal Regulations (CFR) Part 200.306 for additional details on Cost Sharing or matching.

6 The term “local public agency” means any city, county, township, municipality, or other political subdivision that may be empowered to cooperate with the State transportation department in highway matters (23 CFR 635.102).

7 The State DOT has responsibility for the construction of all Federal-aid projects, and is not relieved of such responsibility by authorizing performance of the work by an LPA or other Federal Agency. The State DOT shall be responsible for ensuring that such projects receive adequate supervision and inspection to ensure that projects are completed in conformance with approved plans and specifications (23 CFR 635.105(a)).

See Section D.2. for information about documenting cost sharing in the application.

For each project that receives a grant under this NOFO, FHWA expects the project to be completed using at least the level of non-Federal funding that was specified in the application.

3. Other

a. Number of Applications State DOTs may submit one application for a State DOT administered project. State DOTs may submit up to two additional applications for projects that will be administered through the State DOT but performed by an LPA. FHWA will only consider the first two State DOT submissions for an LPA. Tribal governments and FLMAs may submit one application.

b. Eligible Projects (Table 1 – Eligible Projects) The AID Demonstration funds are available for activities eligible under Title 23, U.S.C.

that will achieve one or more goals of the TIDP, as described in Section A.3. Eligible project activities range from planning to construction. An eligible project must be a pilot deployment by the applicant of a proven innovative practice or technology previously deployed by other transportation agencies and that the applicant intends to implement and adopt as a significant improvement from the applicant's conventional practice.

Table 1 - Eligible Projects

Eligible Projects

Eligibility Requirement Details & Definitions 23 U.S.C. eligible project cost

An eligible project cost may include planning, financing, operation, structures, materials, pavements, environment, and construction.

Meets one or more of the TIDP Goals

See Section A.3

Proven Innovation

A proven innovation is one that was applied to an actual highway transportation project with benefits documented in a form that is publicly available or verifiable.

Innovative Technology with a Technology Readiness Level (TRL) 7 or greater

See Table 2 - TRL

Pilot deployment by the applicant

The applicant has never deployed the innovation proposed in the application.

Applicant intends to use innovation beyond a pilot deployment

The applicant intends to implement and adopt the innovation as a significant improvement from the applicant's conventional practice.

A proven innovation is one that was applied to an actual highway transportation project with benefits documented in a form that is publicly available or verifiable. The applicant cannot have previously deployed the innovation. Only applications proposing innovations with a TRL of 7 or greater, as shown below in Table 2 - Technology Readiness Levels, will be considered.

Innovations that have advanced to mainstream, widespread use and practice (referred to as “graduated” innovations) are generally considered ineligible for an AID Demonstration grant.8 The current list of innovations that have advanced to widespread use is accessible from the AID Demonstration Webpage https://www.fhwa.dot.gov/innovation/grants/graduated.cfm. However, FHWA may consider applications proposing the use of innovations that have advanced to mainstream, widespread use and practice to be eligible for funding on a case-by-case basis. In such case, the applicant should contact the Program Manager for innovation approval prior to the Notice of Intent Deadline for the application year. Applications submitted for graduated innovations without prior approval will not be eligible.

Table 2 - Technology Readiness Levels

Phase TRL Description Questions

Basic Research

1 Basic principles and research

Do basic scientific principles support the concept?

Has the technology development methodology or approach been developed?

2 Application formulated

Are potential system applications identified?

Are system components and the user interface at least partly described?

Do preliminary analyses or experiments confirm that the application might meet the user need?

3 Proof of concept

Are system performance metrics established?

Is system feasibility fully established?

Do experiments or modeling and simulation validate performance predictions of system capability?

Does the technology address a need or introduce an innovation in the field of transportation?

Applied Research 4

Components validated in laboratory environment

Are end-user requirements documented?

Does a plausible draft integration plan exist, and is component compatibility demonstrated?

Were individual components successfully tested in a laboratory environment (a fully controlled test environment where a limited number of critical functions are tested)?

8 FHWA, in consultation with stakeholders, has determined that certain transportation innovations from past cycles of the EDC Program have advanced to mainstream, widespread use and practice. Therefore, these are generally deemed to have “graduated” from consideration for funding under the AID Demonstration. FHWA will continue to encourage and support deployment of these innovations through other training and technical support activities.

Integrated components demonstrated in a laboratory environment

Are external and internal system interfaces documented?

Are target and minimum operational requirements developed?

Is component integration demonstrated in a laboratory environment (i.e., fully controlled setting)?

Development

Prototype demonstrated in relevant environment

Is the operational environment (i.e., user community, physical environment, and input data characteristics, as appropriate) fully known?

Was the prototype tested in a realistic and relevant environment outside the laboratory?

Does the prototype satisfy all operational requirements when confronted with realistic problems?

Prototype demonstrated in operational environment

Are available components representative of production components?

Is the fully integrated prototype demonstrated in an operational environment (i.e., real-world conditions, including the user community)?

Are all interfaces tested individually under stressed and anomalous conditions?

Technology proven in operational environment

Are all system components form, fit, and functionally compatible with each other and with the operational environment?

Is the technology proven in an operational environment (i.e., meet target performance measures)?

Was a rigorous test and evaluation process completed successfully?

Does the technology meet its stated purpose and functionality as designed?

Implementation 9 Technology refined and market ready

Is the technology deployed in its intended operational environment?

Is information about the technology disseminated to the user community?

Is the technology adopted by the user community?

Example:

www.fhwa.dot.gov/innovation/everydaycounts/.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

All application materials may be found on Grants.gov.

Once in Grants.gov, select the Search Grants tab. Then enter one of the following:

a. Opportunity Number: NOFO 693JJ324NF-AIDDP

b. Opportunity Name: AID Demonstration

c. Assistance Listing Number: 20.200

When at one of these pages, select the Opportunity, which will open to a page with several tabs. The first tab is a synopsis of the opportunity. Select the Application Package tab to download the forms needed to submit an AID Demonstration application. The applicant must complete and submit all standard forms included in the application package.

For a Telephone Device for the Deaf, please call (202) 366-3993. If potential applicants are unable to download the application package from the Internet, they may send a written request for a paper copy to the below address. Requests should be sent to:

Fawn Thompson Program Coordinator Accelerating Innovation Office of Innovation and Workforce Solutions Federal Highway Administration U.S. Department of Transportation

Alternate

Agreement Officer/Team Leader Office of Acquisition and Grants Management Federal Highway Administration U.S. Department of Transportation 1200 New Jersey Avenue, SE Washington, DC 20590 Email: Robin.Hobbs@dot.gov Phone: (202) 366-4004

Office hours are from 7:30 a.m. to 4:00 p.m., Eastern Time, Monday through Friday, except Federal holidays.

mailto::%20%20innovation@dot.

mailto::%20%20Robin.Hobbs@dot.

2. Content and Form of Application Submission

a. Notice of Intent Notices of Intent are required so that FHWA review panels, comprised of relevant subject matter experts, may be organized in advance of the application deadline. The FY 2023 Notice of Intent must be submitted to Grants.gov no later than 11:59 p.m., Eastern Time, on December 12, 2023. The 2024-2026 deadlines are specified in Attachment A to this Notice.

The Notice of Intent consists of a SF-424, Application for Federal Assistance, and Table 3 – Notice of Intent Detail must be added as a separate attachment to Item 15 of the SF-

424. A separate PDF flat file that must provide the information contained in Table 3 below (see also Attachment C – Notice of Intent Detail).

Instructions for completing the Notice of Intent SF-424:

• Applicants should have an entry for Items 1, 2, 8-10, 12, and 15-21, with the

Table 3 - Notice of Intent Detail file attached.

o Item 1: Type of Submission: select “Preapplication” o Items 16: If project location is unknown, type ALL. This is acceptable for the Notice of Intent.

o Item 18: If funding estimate is unknown, type 0.00. This information is not required for the Notice of Intent.

Instructions for adding Item 15 Attachments:

• Click on “Add Attachments” in Item 15 to open the first pop-up window.

o Click “Add Attachments” and a second pop-up File Explorer/Directory window will appear, from which you can choose files to attach. Attachments can be added one at a time or all at once by holding down the CTRL key and selecting multiple files. Select “Open” to add the selected files as attachments.

o Click “Done” to finalize the attachments.

o Click “View Attachments” to see a list of files that have been added as attachments.

Table 3 - Notice of Intent Detail

ACCELERATED INNOVATION DEPLOYMENT DEMONSTRATION

NOTICE OF INTENT DETAIL

PROJECT TITLE

INNOVATION(S)

(List only innovations that grant funding are requested to support)

GRADUATED INNOVATION?

www.fhwa.dot.gov/innovatio n/grants/graduated.cfm Yes/No

FUNDING REQUEST

AMOUNT

(Estimate)

PAST AID DEMONSTRATION

GRANT RECIPIENT Yes/No

PROJECT SUMMARY

(Maximum 2,000 characters)

After a Notice of Intent is submitted, the applicant may change the goal or eligible project.

The application should describe this change.

If a State DOT with an LPA subrecipient intends to apply for more than one AID Demonstration grant the applicant shall submit a Notice of Intent for each grant.

All applications must be submitted electronically through Grants.gov. Standard forms are available for download at https://www.Grants.gov/web/grants/forms/sf-424-mandatory-family.html.

The application must consist of the following parts:

• SF-424, Application for Federal Assistance

Note: A number of separate PDF flat files must be attached in Item 15 to provide required project information that is not included in the body of the SF-424.

Instructions for adding Item 15 Attachments:

o Click on “Add Attachments” in Item 15 to open the first pop-up window.

o Click “Add Attachment” and a second pop-up File Explorer/Directory window will appear, from which you can choose files to attach. Attachments can be added one at a time or all at once by holding down the CTRL key and selecting multiple files.

Select “Open” to add the selected files as attachments.

o Click “Done” to finalize the attachments.

o Click “View Attachments” to see a list of files that have been added as attachments.

Required attachments: the following files must be added as Attachments to Item

15 of the SF-424:

Volume 1 Technical Application, as described in detail below Volume 2 Budget Narrative, as described in detail below Additional Supporting Documentation (as needed)

• SF-424A, Budget Information – Non-Construction Programs or SF-424C, Budget Information – Construction Programs

Table 4 – Required Application Content

Section Name Description Page Limit Standard Forms SF-424 None

SF-424A or SF-424C None Volume 1 - Technical Application (Attach to SF-424, Item 15)

Cover Page See Section D.3.b.1 None Table of Contents None Project Description See Section D.3.b.2

15 pages total

Project Location See Section D.3.b.3 Project Parties See Section D.3.b.4 Project Outcome Criteria See Section D.3.b.5 Project Readiness and Environment Risk See Section D.3.b.6

Volume 2 - Budget Narrative (Attach to SF- 424, Item 15) See Section D.3.c 2 pages

Additional Supporting Documentation (Attach to SF-424, Item 15 as needed)

See Section D.3.b 10 pages

Applications must comply with the following requirements.

• FORMAT – The Volume 1 - Technical Application and Volume 2 - Budget Narrative shall be prepared with standard formatting (i.e., single-spaced document, using a standard 12-point font, such as Times New Roman, with 1-inch margins). The Technical Application must adhere to the outline found in Table 4 above.

• LENGTH – Response to the following shall not exceed the established page limitation: The SF-424 and SF-424A/C do not count towards a page limit. The Technical Application must not exceed 15 pages in length, excluding the cover page and table of contents. The Budget Narrative must not exceed 2 pages in length.

Additional Supporting Documentation (e.g., project location maps, technical information, letters of endorsement) may be submitted as needed and must not exceed 10 pages.

Sharing of Application Information: The DOT may share application information within the DOT or with other Federal Agencies if the DOT determines that sharing is relevant to the respective program’s objectives.

1) Volume 1 Technical Application – Detailed Instructions The Technical Application should thoroughly address, with as much detail as possible without exceeding the overall page limit, the information necessary for FHWA to determine that the project satisfies the eligibility criteria (see Section C), the Project Outcome Criteria (see Section E.1), and Administration Goals (see Section E.2). The Technical Application should include a Cover Page, Table of Contents, Project Description, Project Location, Project Parties, responsiveness to Project Outcome Criteria, and Project Readiness and Environmental Risk maps, and graphics, as appropriate, to make the information easier to review.

To the extent practicable, applicants should provide supporting data and documentation in a form that is directly verifiable by FHWA. FHWA may ask any applicant to supplement data in its application, but it expects applications to be complete upon submission. If possible, Website links to Supporting Documentation should be provided rather than copies of supporting materials. If supporting documents are submitted, applicants should clearly identify within the Technical Application the relevant portion of the Technical Application that each supporting document supports. At the applicant’s discretion, relevant materials provided previously to a modal administration in support of a different DOT financial assistance program may be referenced and described as unchanged. FHWA recommends using appropriately descriptive final names (e.g., “Technical Application,” “Maps,” “Memoranda of Understanding and Letters of Support,” etc.)

for all attachments.

The Technical Application must adhere to the outline in Table 4 above. Following the outline will also assist evaluators in locating relevant information.

a) Cover Page

Each application shall contain a cover page with the information in Table 5 below.

Table 5 - Application Cover Page

ACCELERATED INNOVATION DEPLOYMENT DEMONSTRATION

COVER PAGE

NOFO 693JJ324NF-AIDDP

Entity Type ___TRIBE ___FLMA ___STATE DOT ___SUB RECIPIENT Organization

Name

Subrecipient Name

Project Name

Innovation(s)

(Only list innovation(s) AID Demonstration funding will be used to implement)

Is the innovation listed above an EDC Innovation? Yes/No Previously Incurred Project Cost $ Future Eligible Project Cost $ Total Project Cost $

AID Demonstration Funding Request $ Total Federal Funding (Including AID Demonstration) $ Is the project currently programmed in one of the following?

• Transportation Improvement Program

• Statewide Transportation Improvement Program

• Metropolitan Planning Organization Long Range

Transportation Plan

• Long Range State Transportation Plan

• Tribal Transportation Improvement Program

Yes/No

(Specify in which plan(s) the project is currently programmed)

State(s) in which the project is located Project Location: (latitude/longitude) Congressional District of Project Location Has the applicant previously received an AID Demonstration grant(s)? Yes/No

b) Project Description The first section of the application must describe the project, identify the proposed innovation the AID Demonstration grant funding will be used to deploy, and how the project will achieve the goals of the TIDP. In this section of the application, applicants should indicate the TRL for the proposed innovation. FHWA will use the TRL scale (see Section C.3.b) to evaluate the appropriateness of the innovation proposed for the AID Demonstration.9 Only applications proposing innovations with a TRL 7 or greater, as shown in Section C.3.b, will be eligible.

Applications may include any background and state of knowledge to support innovation deployment for the purpose of this project. The application should also identify current organizational/institutional experience with the innovation. The application must explain the potential scope of impact of the innovation on the applicant's conventional practice and describe how innovation(s) will be deployed as standard practice in the future.

This section should discuss the project’s history, including a description of any previously incurred costs. The applicant may use this section to place the project into a broader context of other investments being pursued by the project sponsor.

c) Project Location This section of the application describes the project location, including a detailed geographical description of the proposed project, a map of the project’s location and connections to existing transportation infrastructure, and geospatial data describing the project location. The application must also identify if the project is located within an urbanized area, which means an area with a population of 50,000 or more (see 23

9 The TRLs are formal metrics that support assessments of the maturity of a technology using a set of standard questions to measure progress of a technology towards maturity.

U.S.C. 101(36)), the application should identify the Urbanized Area.10 Information under (b) may be used for FHWA internal data tracking.

To the extent possible, FHWA encourages, but is not requiring, applicants to identify the degree to which the project may contribute to the functioning and growth of the economy, including the extent to which the project addresses congestion or freight connectivity, bridge service gaps in rural areas, or promotes greater land-use productivity, including main street revitalization or locally-driven density decisions that support equitable commercial and mixed-income residential development.

d) Project Parties This section of the application provides details about the applicant, and the subrecipient if a State DOT will be serving as a pass-through entity. The details should include the lead applicant’s demonstrated experience with receipt and expenditure of Federal-aid highway program funds under Title 23, U.S.C. FHWA will consider the degree of experience as part of the project readiness evaluation. If an application is rated highly under other criteria, but the applicant has no or limited experience with the receipt and expenditure of Federal-aid highway program funds, FHWA may contact the applicant prior to final award selection to discuss technical resources that may be available to assist the applicant in obtaining the capacity and expertise to ensure compliance with all applicable Federal requirements and timely delivery of the project. The application should describe in detail all other public and private parties that would be involved in delivering the project, including a specific description of the role of each entity in delivering the project.

e) Project Outcome Criteria The applicant should describe how the proposed project meets the Project Outcome Criteria listed in Section E.1 and the Additional Selection Considerations identified in Section E.2, including:

• Identifying the programming document, the project is listed in and demonstrating the project is ready to authorize within 6 months of award.

• Proposing an initial monitoring plan and demonstrating how the effectiveness of the innovation(s) will be determined using performance goals and measures specific to the innovation as related to the project.

• Describing how the proposed project addresses the Administration goals listed in Section A.4 of this NOFO.

o Safety - Applicants must address how their project provides substantial safety benefits. Prior to receiving funds, all projects are expected to, at a minimum, identify and mitigate to the extent practicable any significant safety risks that could result after the project completion. Applicants should include how their project will not negatively impact the overall safety of the traveling public.

o Climate Change and Sustainability - Applicants must address how the project will consider climate change and environmental justice in the planning stage and in project delivery. In particular, applicants must address how the project reduces greenhouse gas emissions in the transportation sector, incorporates

10 For the purposes of this NOFO, FHWA will use the population figures in the Census Bureau’s “2020 Census Qualifying Urban Areas and Final Criteria Clarifications” notice (87 FR 80114) to determine if a project is located in an urbanized area.

evidence-based climate resilience measures and features, and reduces the lifecycle greenhouse gas emissions from the project materials. Applicants also must address the extent to which the project avoids adverse environmental impacts to air or water quality, wetlands, and endangered species, as well as address disproportionate negative impacts of climate change and pollution on disadvantaged communities, including natural disasters, with a focus on prevention, response, and recovery.

o Equity - Applicants must address how their project will include an equity assessment which evaluates whether a project will create proportional impacts and remove transportation related disparities to all populations in a project area. Applicants should demonstrate how meaningful public engagement will occur throughout a project’s life cycle. Applicants should address how project benefits will increase affordable transportation options, improve safety, connect Americans to good-paying jobs, fight climate change, and/or improve access to resources and quality of life. The DOT’s Screening Tool for Equity Analysis of Projects (STEAP) is a resource for developing equity assessments.

o Workforce Development, Job Quality, and Wealth Creation - Applicants must address how their project will create good-paying jobs with free and fair choice to join a union; promote investments in high-quality workforce development programs with supportive services to help train, place, and retain people in good-paying jobs or registered apprenticeship, with a focus on women, people of color, and others that are underrepresented in infrastructure jobs (people with disabilities, people with convictions, etc.); and change hiring policies and workplace cultures to promote the entry and retention of underrepresented populations. Applicants should address how the project promotes local inclusive economic development and entrepreneurship such as the utilization of DBEs, Minority-owned Businesses, Women-owned Businesses, or 8(a) firms.

o Identifying if this award would be the first AID Demonstration grant or not.

If not, the applicant should identify all prior AID Demonstration awards and provide a project status for each project. If project is closed out, the applicant should provide status of final report.

f) Project Description Readiness and Environmental Risk The application should include information that, when considered with the project budget information, is sufficient for FHWA to evaluate whether the project is reasonably expected to begin in a timely manner. To assist FHWA’s project readiness assessment, the applicant should provide the information requested on technical feasibility, project schedule, project approvals, and project risks and mitigation strategies, each of which is described in greater detail in the following sections. Applicants are not required to follow the specific format described here, but this organization, which addresses each relevant aspect of project readiness, promotes a clear discussion that assists project evaluators.

• Technical Feasibility

The applicant should demonstrate the technical feasibility of the project with engineering and design studies and activities; the development of design criteria and/or a basis of design; the basis for the cost estimate presented in the application, including the identification of contingency levels appropriate to its level of design; and any scope, schedule, and budget risk-mitigation measures. Applicants should include a detailed statement of work that focuses on the technical and engineering aspects of the project and describes in detail the project to be constructed or non-construction services performed. The applicant must demonstrate compliance with Title VI/Civil Rights requirements, to ensure that no person is excluded from participation, denied benefits, or otherwise subjected to discrimination under any program or activity, on the basis of race, color, national origin, sex, age, or disability.

• Project Schedule The applicant should include a detailed project schedule that identifies all major project milestones and demonstrates that the project is ready to authorize within 6 months of award. Examples of such milestones include State and local planning approvals (including programming on the Statewide Transportation Improvement Program (STIP), if applicable); start and completion of National Environmental Policy Act (NEPA) or other applicable Federal environmental reviews and approvals, including permitting, design completion, right-of-way acquisition, approval of plans, specifications and estimates; procurement; other necessary State and local approvals; project partnership and implementation agreements including agreements with railroads; and construction, if applicable. The project schedule should be sufficiently detailed to demonstrate that:

o All necessary activities will be complete to allow AID Demonstration funds to be obligated as indicated in the project schedule in the application;

o All real property and right-of-way acquisition necessary for the project will be completed in a timely manner in accordance with 49 CFR 24, 23 CFR 710, and other applicable legal requirements or a statement that no such acquisition is necessary. A plan for securing any required right-of-way agreements should be included. If applicable, this section should describe a right-of-way acquisition plan that minimally disrupts communities and maintains community cohesion.

• Deliverables – The application shall include a list of deliverables.

Table 6 – Deliverables

Deliverable Due Date Section 508 Compliant?

Final Project Schedule TBD - After Award Not Required

Data Collection and Implementation Plan TBD - After Award Not Required

Semi-Annual Project Progress Report January 30, July 30 Not Required

Final Project Report (Template available www.fhwa.dot.gov/innovation/grants)

6 months after project completion Required11

11 Section 508 requirements are included in NOFO Section F’s General Terms and Conditions available online at:

www.fhwa.dot.gov/aaa/generaltermsconditions.cfm.

http://www.fhwa.dot.gov/aaa/generaltermsconditions.cfm

• Project Approvals o Environmental Permits and Review–s - The application should demonstrate receipt (or the schedule for anticipated receipt) of all environmental approvals and permits necessary for the project to proceed to construction on the timeline specified in the project schedule in the application, including satisfaction of all Federal, State, and local requirements and completion of any applicable NEPA process. If the final Agency action with respect to NEPA occurred more than 3 years before the application date, the applicant should describe a proposed approach for updating this material in accordance with applicable NEPA reconsideration requirements. This section should also provide:

Any information on reviews, approvals, and permits by other Federal and

State agencies. An application should indicate whether the proposed project requires reviews or approval actions by other agencies, indicate the status of such actions, and provide detailed information about the status of those reviews or approvals and should demonstrate compliance with any other applicable Federal, State, or local requirements, and when such approvals are expected. Applicants should provide a Website link or other reference to copies of any reviews, approvals, and permits prepared.

Environmental studies or other documents – preferably through a Website link – that describe in detail known project impacts, and possible mitigation for those impacts.

A description of any discussions with FHWA regarding the project’s compliance with NEPA and other applicable Federal environmental reviews and approvals.

A description of any public engagement about the project that has occurred, including details on the degree to which public comments and commitments have been integrated into project development and design.

o State and Local Approvals - The applicant should demonstrate receipt (or the schedule for anticipated receipt) of State and local approvals on which the project depends, such as State…