Notice of Funding Opportunity 693JJ323NF00008.pdf

693JJ323NF00008

NOTICE OF FUNDING OPPORTUNITY FOR FISCAL YEAR 2023 CENTER OF

EXCELLENCE ON NEW MOBILITY AND AUTOMATED VEHICLES

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

(FHWA).

ACTION: Notice of Funding Opportunity (NOFO) for the Center of Excellence (COE) on New

Mobility and Automated Vehicles.

FUNDING OPPORTUNITY NUMBER: 693JJ323NF00008 issued April 4, 2023.

ASSISTANCE LISTING NUMBER: 20.200 Highway Research & Development

TOTAL AMOUNT AVAILABLE: This NOFO will result in the award of one (1) cost-reimbursable cooperative agreement. The FHWA anticipates Federal funding up to a total amount of $1,500,000 per year may be made available for this Agreement, subject to the availability of funds, for a total potential Federal share of $7,500,000.

DEADLINE FOR APPLICATIONS: June 6, 2023, at 11:59 PM (Eastern).

WEBINAR: The FHWA plans to conduct outreach regarding this program in the form of a virtual meeting on April 17, 2023, Eastern Standard Time. To join the Webinar, follow the instructions posted on TBD. The audio portion of the Webinar can be accessed from this teleconference line: TOLL FREE TBD; ACCESS CODE TBD. The Webinar will be recorded and posted on FHWA's Website at TBD A Telephone Device for the Deaf (TDD) is available for individuals who are deaf or hard of hearing at TBD.

QUESTIONS DUE DATE: Any questions regarding this NOFO are due to FHWA Point of

Contact, Angela A. Jones, Agreement Specialist at Angela.Jones@dot.gov, no later than

April 16, 2023, at 4:00 PM (Eastern).

SUBMIT APPLICATIONS TO: The FHWA 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.

FHWA POINT OF CONTACT:

Angela A. Jones

Agreement Officer/Specialist

Office of Acquisition and Grants Management

Federal Highway Administration mailto:Angela.Jones@dot.gov http://www.grants.gov/

U.S. Department of Transportation

1200 New Jersey Ave., SE.

Washington, DC 20590

Email: Angela.Jones@dot.gov

Phone: (202) 366-4255

Alternate:

Hector Santamaria

Agreement Officer

Office of Acquisition and Grants Management

Federal Highway Administration

U.S. Department of Transportation

1200 New Jersey Ave., SE.

Washington, DC 20590

Email: Hector.Santamaria@dot.gov

Phone: (202) 493-2402

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

The 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.

mailto:Hector.Santamaria@dot.gov

TABLE OF CONTENTS

SECTION TITLE PAGE

A

PROGRAM DESCRIPTION

B

FEDERAL AWARD INFORMATION

C

ELIGIBILITY INFORMATION

D

APPLICATION AND SUBMISSION INFORMATION

E

APPLICATION REVIEW INFORMATION

F

FEDERAL AWARD ADMINISTRATION INFORMATION

G

FEDERAL AWARDING AGENCY CONTACT(S)

H

OTHER INFORMATION

NOTE: The FHWA 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.

NOTE: This notice contains collection-of-information requirements subject to the Paperwork Reduction Act.

The collection of information through the use of Standard Forms 424, 424A, 424B, 424C, 424D, and SF-LLL has been approved by 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 FHWA hereby requests applications to result in the award of a new Cooperative

Agreement, that will establish a Center of Excellence on New Mobility and Automated

Vehicles (Mobility COE), as defined in the Technology and Innovation Deployment Program under Title 23 U.S. Code section 503(c)(6). This opportunity is being issued under assistance listing number 20.200, Highway Research & Development.

2. LEGISLATIVE AUTHORITY

Public Law 117-58, the Infrastructure Investment and Jobs Act, also known as the Bipartisan

Infrastructure Law, November 15, 2021, amended 23 U.S. Code §503(c), and directed the

Secretary to “…establish a Center of Excellence to collect, conduct, and fund research on the impacts of new mobility and highly automated vehicles on land use, urban design, transportation, real estate, equity, and municipal budgets.” The Mobility COE may be established by creating

“…partnerships with any institution of higher education…or public or private research entity.”

This opportunity will fulfill those statutory requirements by identifying a partnering institution and establishing the new Center of Excellence.

As a legislative amendment to 23 U.S. Code §503(c), Technology and Innovation Deployment

Program, the FHWA understands that the Mobility COE shall continue to exist until such time as this requirement is removed. However, the period of performance for the proposed Cooperative

Agreement shall not exceed 60 months and the FHWA may opt to meet this requirement using a different organizational structure in the future.

3. BACKGROUND

Today’s ground transportation sector is on the cusp of major changes arising simultaneously from three technology-driven trends: connectivity, automation, and electrification.

Connectivity combines physical transportation assets with digitalization and information sharing.

It is enabled by diverse network communications strategies, ranging from cell phone apps to dedicated spectrum such as the Intelligent Transportation Services (ITS) safety band on the 5.9

GHz frequency. Some of these technologies are already widely deployed: telecommunications combined with new shared use business models have already revolutionized local travel and have enabled and accelerated adoption of the micro-mobility and ride-hail industries we are familiar with today. Connectivity can improve utilization of transportation assets and more efficiently match travel demand with supply. The introduction of micro-mobility options

(including docked and dockless bicycles and electric scooters) and ride-hail epitomize the ongoing transportation and land use transformation, resulting in both potential societal benefits

(improved mobility and asset utilization) and possible drawbacks (increases in congestion, scooters obstructing sidewalk access, etc.). These new mobility modes offer more options to the traveling public and can improve transportation access locally by addressing first-mile/last-mile challenges. Connectivity can streamline trip chain planning that combines micro-mobility, ride-hail, and transit options. Such trips can be more environmentally sustainable than dedicated car trips, especially by single occupants. Connectivity today also enables drivers to re-route based on near real-time traffic updates using navigation apps, thus better utilizing the road network itself.

Other connectivity technologies are still in the burgeoning stages of deployment. For instance, the use of dedicated spectrum in the ITS safety band could improve public safety by sharing information between different transportation elements, including road infrastructure, vehicles, vulnerable road users, and the cloud. The November 2020 Federal Communications Commission

(FCC) decision reallocating a portion of the 5.9 GHz radio frequency (RF) spectrum increased uncertainty around vehicle-to-everything (V2X) research and deployment. As a result, connectivity strategies to achieve V2X applications may be diverse and rely on different frequencies of the RF spectrum for different applications, pending industry consensus around the architectures, wavelengths, and technologies. In whatever form it takes, connectivity is expected to play a major part in the transportation system of the future.

Automation is the application of technology to reduce human responsibility for the dynamic driving task1 in an effort to improve safety and potentially traffic efficiency. Since 2004 when the Defense Advanced Research Projects Agency (DARPA) Grand Challenge invigorated the automated driving industry, the number of private sector companies working on passenger and freight vehicle automation has grown from the few partners on the DARPA Grand Challenge teams to hundreds of firms, including automakers (OEMs), traditional automotive suppliers, established technology firms, startups, and others2. The proliferation of SAE International Level

1 and 2 advanced driver assistance systems (ADAS), such as adaptive cruise control and lane centering, has made select automated driving features widely available to the driving public.

These ADAS features have been widely adopted by the vehicle industry. SAE Level 3 through 5 advanced driving systems (ADS) are in the research and development stage with limited numbers of test vehicles being deployed by developers to conduct open-road testing and development. For the purposes of this notice, highly automated vehicles are defined as motor vehicles with taxable gross weight of 10,000 pounds or less and equipped with SAE Level 3, 4, or 5 automated driving systems per SAE standard J3016 (dated June 2018 or later).

Electrification will alter the fuel source used by most ground transportation and pivot the system from fossil fuels like gasoline and diesel to a potentially cleaner energy mix. It tightly couples the transportation and energy sectors in pursuit of a decarbonized, more environmentally sustainable transportation system. Efforts are currently underway to electrify light-duty passenger vehicles as well as medium- and heavy-duty freight vehicles, accompanied

1 SAE International standard J3216_202107: Taxonomy and Definitions for Terms Related to Cooperative Driving

Automation for On-Road Motor Vehicles - SAE International 2 Landscape of the Autonomous Driving Ecosystem (10th edition) https://www.sae.org/standards/content/j3216_202107 https://www.sae.org/standards/content/j3216_202107 https://www.orsayconsulting.net/mobility-resources-en simultaneously by investments in charging infrastructure and power generation to support the increased electric demand.

These three technologies and related services are anticipated to transform the way individuals choose to travel both locally and over long distances. Holistic, multi-modal transportation networks are tightly coupled with land use and development, as individual traveler choices about where to live, work, and pursue leisure aggregate into larger trends. Such trends may also have very disparate impacts on different communities: for example, safety, environmental impacts, and accessible mobility may affect underserved and disadvantaged communities very differently than they do more affluent ones. Labor participation in the new mobility workforce may likewise vary. Planning for these emerging technologies can be daunting, from understanding the uncertainties related to rapidly evolving technical capabilities to the way systems interact with each other and the surrounding geophysical, financial, and social context when the systems are deployed at scale. Yet, the need for planning is even greater as a result: it is imperative that we better understand how to navigate major technological changes such that their potential benefits accrue to all Americans, regardless of ability, location, or economic situation.

The U.S. Department of Transportation and Department of Energy (DOT/DOE) Joint Office of

Energy and Transportation3 seeks to understand long-term system-level impacts from the electrification trend. Automation and connectivity trends will be studied by both this Mobility

COE, as well as the USDOT Highly Automated Systems Safety Center of Excellence (HASS

COE). However, these two centers will evaluate different aspects of the overall impacts: the

Mobility COE will seek to understand how new multi-modal ground transportation technologies can be used to improve efficiency, mobility, and sustainability. Meanwhile, the HASS COE will focus on studying systems safety and interoperability.

Apart from these dedicated offices, there are many additional relevant US Government-funded projects and portfolios involving ground transportation system connected and automated technologies, including:

• US Department of Energy Systems and Modeling for Accelerated Research in

Transportation (SMART) Mobility Consortium

• USDOT Complete Streets

• USDOT Smart Cities and Communities

• USDOT Strengthening Mobility and Revolutionizing Transportation (SMART) Grants

• USDOT ITS4US

• Micromobility: A Travel Mode Innovation

• USDOT/NSF Award #1951890: Making Micromobility Smarter and Safer

USDOT/NSF Award #2044026: Shared MicromobIlity for affordabLe-accessIblE houSing (SMILIES)

• Micromobility Policies, Permits, and Practices

3 Home Page · Joint Office of Energy and Transportation (driveelectric.gov) https://www.energy.gov/eere/vehicles/articles/eems-smart-mobility-capstone-reports-and-webinar-series https://www.energy.gov/eere/vehicles/articles/eems-smart-mobility-capstone-reports-and-webinar-series https://www.transportation.gov/mission/health/complete-streets https://www.transportation.gov/smartcity https://www.whitehouse.gov/wp-content/uploads/2022/01/BUILDING-A-BETTER-AMERICA_FINAL.pdf#page=81 https://www.its.dot.gov/its4us/index.htm https://highways.dot.gov/public-roads/spring-2021/micromobility-travel-mode-innovation https://www.nsf.gov/awardsearch/showAward?AWD_ID=1951890 https://www.nsf.gov/awardsearch/showAward?AWD_ID=2044026&HistoricalAwards=false https://www.nsf.gov/awardsearch/showAward?AWD_ID=2044026&HistoricalAwards=false https://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?ProjectID=4989 https://driveelectric.gov/

• Analysis of Travel Choices and Scenarios for Sharing Rides

• Rural Autonomous Vehicle Program

This Notice of Funding Opportunity will establish the Mobility COE.

4. GOALS

The Mobility COE shall seek to develop an understanding of how new mobility and automated vehicles may impact the evolving transportation system when deployed at scale. It will collect, fund, and conduct research on how behaviors of emergent new technologies aggregate over time with increased market penetration and geographic scale, including system-level impacts on:

• Land use, real estate, and urban design;

• Transportation system optimization, including:

o System-level efficiencies;

o Travel demand and associated energy use;

o System resilience, security, and reliability;

o Commercial and freight operational models; and o Mode switching and transfers.

• Equitable access to mobility and job participation; and

• Municipal budgets and cost-effective allocation of public resources.

In concert with FHWA, the Mobility COE shall publish and release research results and tools that empower state and local governments, metropolitan planning organizations, and commercial operators to work together to make informed decisions that will achieve their shared desired outcomes and promote the USDOT’s goals.

5. STATEMENT OF WORK

Task 1: Administration and Reporting

Task 1 involves the non-technical regular planning, tracking, and reporting. The Recipient will engage in the following: a project kick-off meeting within four weeks of award, monthly scheduled and also ad-hoc status conference calls, quarterly progress reports detailing work accomplished in the past quarter and work expected in the next quarter, quarterly financial reports with labor/cost/expenditure tracking, and monthly invoicing.

Task 1.1: The Recipient shall schedule and facilitate a project kick-off meeting (either virtually or in-person) with FHWA within four (4) weeks of this agreement’s effective date. The location of the kick-off meeting will be determined by FHWA within one week of the agreement effective date. The Recipient shall be responsible for providing a final approved meeting agenda no later than three (3) business days prior to the kickoff meeting as well as providing full meeting minutes within ten (10) business days after the kick-off meeting.

NOTE: The kick-off meeting may be a virtual (e.g., teleconference, webinar), in-person, or hybrid format.

https://ops.fhwa.dot.gov/publications/fhwahop21011/index.htm

Task 1.2: The Recipient shall furnish an electronic copy of quarterly progress reports to the

Agreement Officer (AO), Agreement Officer's Representative (AOR), and any other FHWA personnel, as instructed by the AO, on or before the 15th of the next month in accordance with the instructions in Section F.3 QUARTERLY PROGRESS REPORTS. Each report shall contain concise statements covering the activities relevant to the statement of work including, but not limited to:

a. A clear and complete account of the work performed during the period.

b. An outline of the work to be accomplished during the next reporting period.

c. A description of any problem encountered or anticipated that will affect the completion of the work within the time and fiscal constraints as set forth in the contract, together with recommended solutions to such problems.

d. Preliminary or interim results, conclusions, trends, or other items of information that may be of timely interest to FHWA.

e. A comparison of current and completed activities against planned schedule of activities.

f. A tabulation of the current and cumulative labor expended by the personnel, compared against planned labor expenditures.

g. A tabulation of the current and cumulative costs expended by cost element (labor, travel, indirect costs, subcontractors, etc.) versus budgeted costs, for the Federal share and the cost share.

Task 1.3: The Recipient shall facilitate monthly conference calls with FHWA to discuss the status of the projects and products of the Mobility COE. The Recipient shall submit a summary of the topics discussed during each monthly conference call to the AOR and any other FHWA personnel as instructed by the AOR within five (5) business days following each call.

Task 1 Deliverables:

• Kick-Off Meeting Agenda and Minutes

• Facilitation of Monthly Calls

• Conference Call Notes/Summaries (as performed)

• Quarterly Progress Reports

Task 2: Establish Steering Committee

The Recipient shall conduct outreach to relevant Stakeholders and, in consultation with the

FHWA, assemble a Steering Committee (SC) comprised of approximately 5-10 individuals representing diverse perspectives. The FHWA shall chair the SC. Stakeholders are defined as potential end users of the research, analysis, tools, and other work products generated by the

Mobility COE. They may be from the public, non-profit/not-for-profit, or private sectors. The purpose of the SC will be to exchange facts and/or information relevant to the efforts of the

Mobility COE. In addition, the SC will participate in information-gathering and sharing sessions related to cutting edge and emerging issues, and potential gaps that are relevant to the Mobility

COE’s Mission, and success in the advancement of new mobility and automated vehicle technologies. The SC will also be responsible for evaluating the Mobility COE’s research progress, monitoring the quality of its outputs, and ensuring that the Mobility COE activities align with the requirements of the cooperative agreement. SC member selection, term limits, and other processes shall be mutually decided between the Recipient and the FHWA.

The Recipient will convene the SC twice per year except for Option Period 3 (Year 5) where one meeting shall be held. Meetings may be in-person, virtual, or hybrid.

The Mobility COE shall provide logistical support in preparing working sessions with the SC, such as meeting invitations and facilitation, correspondence between the Mobility COE and SC members, and meeting agendas and minutes.

A proposed schedule of meeting dates with the SC shall be provided within eight (8) weeks of this agreement effective date. The first face-to-face or virtual working session with the SC shall be held within six (6) months of this agreement effective date. The recipient will facilitate the session, take minutes, and disseminate minutes.

Task 2 Deliverables:

• A finalized list of potential candidates for the SC will be submitted by the Recipient within two (2) months of this agreement effective date for consideration by FHWA.

• Publish SC meeting minutes

Task 3: Define research agenda

In collaboration with the SC, the Recipient shall define a research agenda based on a preliminary literature review and assessment of research gaps and needs. The research should also identify and publish a report on transportation system-level performance metrics of interest that promote safety, efficiency, sustainability, equity, and municipal budgets. A five-year research agenda will be proposed. FHWA may participate as chair of the SC, which will review and concur with the

Mobility COE’s proposed research agenda. As an example, the COE may choose to address topics related, but not limited, to the following:

• Residential and commercial land use o Zoning (e.g., setbacks, hours, etc.)

o Land resource management (e.g., parking, curbs, etc.)

• Optimizing to meet supply and demand o Operations/efficiency o Energy o Resilience, security, and reliability o Budgets

• Human-centered design o Safety o Mobility equity o Workforce equity

• Analyses processes to help stakeholders understand how to plan pathways (technologies, policies, economics, etc.) to reach notional system performance goals

Task 3.1: For year 1, the Recipient or its selected delegate organization(s) shall synthesize existing research on the effects of emergent technologies and new mobility services as those technologies that are deployed at scale. This will be used to identify research gaps.

Task 3.2: Define a five-year research agenda based on research gaps identified under Task 3.1.

The research agenda shall be revisited annually to ensure relevance as technologies quickly evolve. The research agenda shall also propose approaches to identify which technological, economic, behavioral, and policy levers are expected to have greatest impact on system-level performance metrics.

Task 3 Deliverables:

• Report describing performance metrics and how to measure them, due within 12 months of signed agreement

• Report and presentation outlining 5-year research agenda, due within 12 months of signed agreement

• Report and presentation on annual updates to research agenda

Task 4: Select, conduct, and/or fund research

To produce research that creates novel insights, the Mobility COE is encouraged to establish strong, creative, and unique partnerships that leverage multiple organizations’ expertise and capabilities in modeling, analysis, big data analytics, statistics, artificial intelligence (AI) and machine learning (ML), freight logistics, operations research, business and operational models, emergent technology demonstrations, systems engineering, urban planning, ecology (natural, transportation-system, or otherwise), and stakeholder outreach.

Task 4.1: The Recipient and its core partners shall conduct research in alignment with the research agenda defined under Task 3. The Recipient shall define a matrix of technical core competencies and strengths and identify which of it or its partners is best suited to perform in what area.

Task 4.2: For research needs outside the expertise of the Recipient and its partnering institutions, the Recipient is encouraged to select and fund research by other organizations based on the research agenda defined under Task 3. The selection process may be competitive, but to avoid any potential conflicts of interest, no organization represented on the Steering Committee may be funded.

Task 4 Deliverables:

• Matrix identifying organizational technical strengths

• Selection of at least 2 research projects in the first year

Task 5: Publish research and engage with stakeholders

Task 5.1: White Papers and Reports

Task 5.1.1: The Recipient shall author and publish White Papers or equivalent that will synthesize existing work as well as research gaps in each of the selected research focus areas identified under Task 3, with all relevant references cited. At a minimum, one White Paper shall be submitted annually. It is anticipated that these syntheses will inform Task 3.2.

Task 5.1.2: The Recipient shall write and publish annual reports describing results of research regarding impacts of new mobility and highly automated vehicles.

In year 1, this annual report will serve as the basis of FHWA’s report to the Congressional

Committees on Environment and Public Works and Commerce, due no later than one year after the Mobility COE is established. Therefore, the draft final report shall be due to USDOT no later than 9 months after award. The report may leverage findings from the study of impacts on roads from self-driving vehicles that was commissioned under Section 11504 of the Bipartisan

Infrastructure Law passed in 2021.

In years 2-5, the annual report shall be delivered to FHWA in 12-month increments.

Task 5.1.3: As appropriate, the Recipient shall write and publish final research reports for research funded or performed by the COE within 3 months of the conclusion of each research project.

Task 5.2: The Recipient shall share and transfer knowledge by forming and operating an online, public-facing clearinghouse to publish research results and products funded and/or performed by the Mobility COE. This may include reports, analysis results, data sets, open-source software, training materials, process documents, and best practices of interest to its stakeholders. The clearinghouse shall also disseminate resources relevant to its mission that may be created by other organizations. At the end of the period of performance, when this Mobility COE is re-competed, all clearinghouse materials will be transferred to the new awardee if it is a different organization.

The Mobility COE shall aim to provide products and tools developed and identified under Task 4 that state and local governments, planners, and private sector operators may leverage to inform their decision-making about what investments and policies to make.

To support the clearinghouse, the Mobility COE shall provide:

• Website maintenance and improvements, including configuration management, administration, troubleshooting, and fixing links; adapting to new Web standards; and search engine optimization requirements and updates to ensure the Website and its resources are easily accessible.

• Material from Mobility COE events and activities, such as peer exchanges and summits.

• Web pages for key topics such as syntheses of best practices and key information, tools, and communities of practice.

• Direct links and access to resources and activities supported by other groups (FHWA, AASHTO, APA/AICP, ITS America, etc.).

• Multiple knowledge transfer delivery methods to meet the communications needs of users, such as features to increase accessibility through closed captioning, audio services, and improved video delivery methods.

The Mobility COE clearinghouse may provide integration with existing industry tools, resources, and databases to leverage these existing information sources. It may also provide forums for managing and sharing lessons learned, emerging technologies, and research and development opportunities and capabilities.

Task 5.3: The Recipient shall hold and/or participate in public events and conferences in which research products are discussed and publicized to potential stakeholders. A calendar of events of interest to stakeholders may be linked from the online clearinghouse.

The Recipient shall establish a strategy for engaging the stakeholder community, identifying emerging needs, and providing opportunities for feedback on the Mobility COE’s research results.

Task 5 Deliverables

• Annual white papers synthesizing and summarizing existing research on effects of emergent technologies deployed at scale, delivered on a 12-month cadence.

• For year 1, publish annual report no later than 9 months after award.

• For years 2-5, publish annual reports summarizing COE activities on a 12-month cadence.

• Publish final reports for research projects funded or performed by the COE.

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING AND NUMBER OF AWARDS

The FHWA anticipates making one award(s) as a result of this Notice of Funding Opportunity.

The FHWA anticipates Federal funding up to a total amount of $1,500,000 per year may be made available for this Agreement, subject to the availability of funds, for a total potential

Federal share of $7,500,000. In the application, applicants must identify at least two partnering organizations and the associated roles and responsibilities of each partner organization in order to fully cover the breadth of research topics.

2. TYPE OF AWARD

The planned award type is a cost reimbursement Cooperative Agreement with an 80/20 funding match.

3. PERIOD OF PERFORMANCE

The period of performance will consist of one 24-month Base period, with up to three (3) 12-month

Option periods. The total potential period of performance if all option periods are exercised, is 60 months. The period of performance will begin on the effective date of the award, as stated in the resulting grant agreement, and end on the period of performance end date that is listed in the signed grant agreement.

4. DEGREE OF FEDERAL INVOLVEMENT

The FHWA anticipates substantial Federal involvement between it and the Recipient during the course of this project. The anticipated Federal involvement will include:

• Participation in the SC;

• Technical assistance and guidance to the Recipient;

• Close monitoring of performance;

• Review and selection of appropriate research topics;

• Review and comment on draft and final documents, as appropriate;

• Involvement in technical decisions; and

• Participation in status meetings including kick off meeting, monthly conference calls, and annual technical and budget reviews.

Federal involvement is not expected to include responsibility for the day-to-day management of the Mobility COE or its associated research projects.

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

This competition is open to all eligible parties and their partnering organizations. Eligible parties include, but are not limited to, institutions of higher education, public research entities (e.g., University Affiliated Research Center (UARCs), Federally Funded Research and Development

Center (FFRDCs), national laboratories, etc.), and private research entities.

2. COST SHARING OR MATCHING

Cost sharing or matching is required.

The Federal Share of the cost of activities carried out by the New Mobility and Automated

Vehicles Center of Excellence under Title 23 Section 503(c) is 80 percent. Program income must be handled in accordance with Section F.

Cost sharing or matching means the portion of project costs not paid by Federal funds (unless otherwise authorized by Federal statute). For a more complete definition, please see the Uniform

Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR

Part 200, including section 200.306 on Cost Sharing or matching. Other Federal funds using their appropriate matching share may be leveraged for the deployment but cannot be considered as part of the recipient’s matching funds, unless otherwise supported by statute. Applicants should refer to section D.2 of this opportunity for more information about submission requirements concerning cost sharing under this program.

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 as awarded funds.

The matching requirements will be monitored by FHWA over the life of this effort. At the conclusion of the Agreement, FHWA will determine whether the 20 percent cost sharing percent matching requirement has been achieved in accordance with closeout and post closeout requirements in 2 CFR 200.344 and 200.345.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

Applicants may obtain application forms at grants.gov under the Notice of Funding Opportunity

Number cited herein.

The Applicant must complete and submit all forms included in the application package for this

Notice as contained at www.grants.gov.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

Applicants shall submit an application consisting of the following application volumes and sections:

a. Tables are permitted and text in tables must be doubled spaced.

b. Text in captions below charts, tables or figures shall not be less than 10-point and may be

2 lines of text long (limited by the width of the chart, table, or figure) and single spaced.

c. Page margins shall be a minimum of 1-inch top, bottom, and each side.

d. Page numbers may be located within the 1-inch margins

e. A Header or Footer identifying the Applicant/Team and the Volume may be located within the 1-inch margins

f. No cost/price data will be included in Volume I but shall be included in Volume II.

Table D.1 – Application Volumes

Volume Section Page

Limitations

Volume I.

Technical

Application

Cover Page

One (1) file, 25-page limit

I – Technical and Management Approach

II – Staffing Approach (resumes are not included in the pages limitation but shall not exceed 2 pages each)

III – Experience

Volume II.

Budget

Application*

I – Application Standard Forms One (1) file, no page limit

II – Summary Budget Plan

III – Subaward Information

IV – Organizational Information

NOTES: Applicants shall provide resumes in Volume 1 of the application. Resumes will not count against the page limit; however, each resume must not exceed 2 pages.

For the submitted application package, FHWA suggests that pictures, graphics, and other large files be reduced in number and quality to keep the size of the files of the application manageable.

The application package must consist of the following in this order:

APPLICATION FORMS:

1. SF-424

Note: Applicants may leave fields 5a, 5b, 6, 7, and 13 blank on the form.

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:

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

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.

• Click “Done” to finalize the attachments.

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

2. SF-424A

Note: Section A:

- Block 1(a): fill-in opportunity title listed on page 1;

- Block 1(b): fill-in CFDA number listed on page 1;

- Block 1(c): fill-in Total Federal Funds Requested in dollars; and,

- Block 1(d): fill-in Total Cost Share in dollars, and leave columns (e), (f), and (g) and rows 2, 3, and 4 blank.

3. SF-424B

4. SFLLL

Note: The form must be completed and submitted even if no lobbying to report. If no lobbying to report insert none or n/a in the relevant blocks.

Required attachments: the following files must be added as Attachments to Item 15 of the SF-424:

• Volume 1 – Technical Application as described below – maximum of

10,000 words, with minimum 12-point font, double spaced, each Part can be included as a separate attachment.

o Part I – Technical and Management Approach (included in the page limit) o Part II – Experience (included in the page limit) o Part III – Staffing Approach (included in the page limit; resumes are not included in the page limit)

• Volume 2 – Budget Application as described below - no page limit o Cost Information and Other Financial Information

Submit your attachments in the following format:

Volume 1 - Technical Application

Volume 1 – Technical Application as described below (see page limitations above).

OPTIONAL: An Applicant may include, at their option, a one-page cover page and a second page to include both a Table of Contents and/or a Listing of Tables/Figures to facilitate displaying the organization of their application. These pages are for orienting evaluators to the contents of the application package and will not be evaluated and are not included in the Volume

I page limitation.

In the event a technical application exceeds the page limitation, the Government will evaluate only the first pages identified within the limitation above.

a. Part I – TECHNICAL AND MANAGEMENT APPROACH: A detailed technical and management plan describing in detail how you would proceed if awarded this

Agreement. Discuss and describe the ability of the proposed project to meet the purpose and objectives of this program, and the manner in which they will be addressed by your project. Objectives include understanding how, when deployed at scale, new mobility and automated vehicles may impact:

• The evolving transportation system;

• Land use, real estate, and urban design;

• Transportation system optimization;

• Equitable access to mobility and job participation; and

• Municipal budgets and cost-effective allocation of public resources.

Discuss and describe proposed performance metrics, milestones, and deliverables.

Provide a table listing all proposed milestones and deliverables and estimated dates, based on time from award.

b. Part II – EXPERIENCE: A summary of the Applicant’s experience relevant to this project, listing projects of similar size and complexity over the past five years, and show which of the named key staff were involved in those projects. List the following information for a minimum of three specific past projects in which the Applicant participated as project leader and/or member of project team:

• Project title, description, value, and dates;

• Sponsor/customer point of contact to include sponsor/customer name, title, organization, email address, phone number;

• Role of Applicant in project;

• Explanation of why or how the project is considered relevant or similar to the effort required by this Notice of Funding Opportunity; and

• Explanation of the project goals accomplished and any cost growth or schedule delays encountered. For any projects which did not/do not successfully achieve its goals, a brief explanation of the reason(s) for such shortcomings and any demonstrated corrective actions taken to avoid recurrence.

NOTE: In determining relevancy, consideration should be given, but not limited to, such things as product/service similarity, size and complexity, Agreement type, division of company proposing, recency of accomplishments, and sub-recipient interaction.

NOTE: Prior to award, FHWA may contact past sponsors or customers to support the agency’s risk assessment of the application.

NOTE: If an Applicant does not have a history of relevant experience, or if past performance information is not available, the Applicant’s experience will be considered to be neutral.

c. Part III – STAFFING APPROACH: Provide a project organizational chart identifying proposed staff members assigned to the project. The chart must be supported with narrative text to include the title and a brief description of each position’s responsibilities, as well as the proposed level of effort and allocation of time (% in relation to their other duties) for each position on a yearly basis and in summary format. The level of effort may be displayed (single spaced) in a table format. One table can be presented if the level of effort will be constant over all years, and the table is annotated as such. The hours in this table must be consistent with the information presented in Volume II, Parts I and II, as part of the detailed budget plan. Provide brief tailored resumes for the proposed

Program Manager, Principal Investigator, and other key personnel to include name, experience, education, and proposed role in project.

Volume 2 - Budget Application

Volume 2 – Budget Application as described below - no page limit

NOTE: If needed, the FHWA may request additional budget information to clarify an application.

OPTIONAL: An Applicant may include, at their option, a one-page cover page, and a second page to include both a Table of Contents and/or a Listing of Tables/Figures to facilitate displaying the organization of their application. These pages are for orienting evaluators to the contents of the application package and will not be evaluated.

Part II – COST INFORMATION AND OTHER FINANCIAL INFORMATION

Provide a SF-424A Budget Information - Non-Construction Programs and a separate detailed budget plan for each year and summarize the information for all years for all activities. The format of the budget plan is at the discretion of the recipient, but spreadsheets may be formatted similarly to the format in DOT Form 4220.44, located at:

https://www.fhwa.dot.gov/cfo/pdf/frm4220_44.pdf.

The detailed budget plan must include each of the following items/sub-items:

1. Detailed Excel® (or compatible) workbook containing spreadsheets/tabs

(formatted to be printed out) and supporting information clearly delineating and supporting all estimated costs: with columns for Federal Share, Cost Share (if applicable) and Total Costs (per year and in summary form) as follows:

a. Personnel Labor Rates- Direct labor-by-labor categories to include hours, rates and annual escalation. Anticipated promotions for any personnel must be included with the escalation calculation. The annual direct labor escalations rate and its basis should be clearly stated with the proposal.

Discuss your proposed rate as compared to historical experience and include when and how escalation will be calculated/implemented.

b. Indirect Rates- Discuss your proposed fringe benefits and indirect costs and rates for all years. Identify all the various specific indirect rates including what they are (pool and base), and what they are based on (e.g., labor overhead based on direct labor dollars) and how they are applied/calculated. Provide dollar values as well as percentages. Please also provide any audit information to support these rates (for example, a copy of signed Department of Health of Human Services rate agreement).

Note: Per 2 CFR 200.414(f), Indirect (F&A) Costs, an Applicant may elect to propose a de minimis indirect rate of 10% of modified total direct costs.

https://www.fhwa.dot.gov/cfo/pdf/frm4220_44.pdf

c. Other Direct Costs- Applicants must provide a breakout and justification of Other Direct Costs by Category (travel, equipment, supplies, etc.)

d. If contractors and/or subrecipients (lower-tiered organizations or individual consultants) will be used in carrying out this project, the following minimum information concerning such, must be furnished:

i. Name and address of the organization or consultant;

ii. Description of the portion of work to be conducted by the organization or consultant;

iii. Cost details for that portion of work;

iv. For Contractors, applicant’s cost/price analysis of each contractor showing how their cost/price is fair and reasonable;

and

v. Letter of commitment from each sub-recipient (this includes any sub-recipient that will be included in the Federal share, the non-

Federal share or in a non-paid (volunteer) capacity).

e. Provide detail and support for cost share as part of overall project budget.

f. Clearly delineate cost share match versus Federal share.

2. Identify any exceptions to the anticipated award terms and conditions as contained in Section F, Federal Award Administration Information. Identify any preexisting intellectual property that you anticipate using during award performance, and your position on its data rights during and after the award period of performance.

3. The use of a Unique Entity Identified (UEI) is required on all applications for

Federal grants or cooperative agreements. Please provide your organization’s UEI number in your budget application.

4. A statement to indicate whether your organization has previously completed an

A-133 Single Audit and, if so, the date that the last A-133 Single Audit was completed.

5. A statement regarding Conflicts of Interest. The Applicant must disclose in writing any actual or potential personal or organizational conflict of interest in its application that describes in a concise manner all past, present or planned organizational, contractual or other interest(s), which may affect the Applicant’s ability to perform the proposed agreement in an impartial and objective manner.

Actual or potential conflicts of interest may include but are not limited to any past, present or planned contractual, financial, or other relationships, obligations, commitments or responsibilities, which may bias the Applicant or affect the

Applicant’s ability to perform the agreement in an impartial and objective manner. The AO will review the statement(s) and may require additional relevant information from the Applicant. All such information, and any other relevant information known to DOT, will be used to determine whether an award to the

Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or

(b) determine that it is otherwise in the best interest of the United States to contract with the Applicant and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

6. A statement to indicate whether a Federal or State organization has audited or reviewed the Applicant’s accounting system, purchasing system, and/or property control system. If such systems have been reviewed, provide summary information of the audit/review results to include as applicable summary letter or agreement, date of audit/review, Federal or State point of contact for such review.

7. Terminated Contracts - List any contract/agreement that was terminated for convenience of the Government within the past 3 years, and any contract/agreement that was terminated for default within the past 5 years. Briefly explain the circumstances in each instance.

8. Describe how your organization will obtain the necessary resources to fund and fulfill the proposed cost share, as applicable.

9. The Applicant is directed to review Title 2 CFR §170 (http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl) dated

September 14, 2010, and Appendix A thereto, and acknowledge in its application that it understands the requirement, has the necessary processes and systems in place, and is prepared to fully comply with the reporting described in the term if it receives funding resulting from this Notice. The text of Appendix A will be incorporated in the award document as a General Term and Condition as referenced under this Notice’s Section F, Federal Award Administration

Information.

10. Disclose any violations of Federal criminal law involving fraud, bribery, or gratuity violations. Failure to make required disclosures can result in any of the remedies described in 2 CFR 200.339 entitled Remedies for Noncompliance, including suspension or debarment. (See also 2 CFR Part 180 and 31 U.S.C.

3321).

11. If a nonprofit or not-for-profit status, please provide evidence of this status preferably from the Internal Revenue Service http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl

3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD (SAM)

The Applicant is required to: (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active

SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

The Federal awarding agency may not make a Federal award to an Applicant until the Applicant has complied with all applicable unique entity identifier and SAM requirements. If an Applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the Applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another Applicant.

4. SUBMISSION DATES AND TIMES

The application must be received electronically through www.grants.gov by the application due date/time listed on page 1 of this Notice of Funding Opportunity.

The deadline stated on page 1 is the date and time by which the agency must receive the full and completed application, including all required sections.

A late application will not be reviewed or considered unless the AO determines that doing so is in the FHWA’s best interest.

5. INTERGOVERNMENTAL REVIEW

An application under this Notice of Funding Opportunity is not subject to the State review under

E.O. 12372.

6. FUNDING RESTRICTIONS

The FHWA will not reimburse any pre-award costs or application preparation costs under this proposed Agreement.

7. OTHER SUBMISSION REQUIREMENTS

In the event of system problems or technical difficulties with the application submittal, Applicants should contact the FHWA point of contact designated on page 1.