Opportunity DOT-OSTP-SDI-2019-002.docx

U.S. Department of Transportation

Notice of Funding Opportunity Number DOT-OSTP-SDI-2019-002

“State and Local Government Data Analysis Tools to Support Policy and Decision Making for Roadway Safety”

Issue Date: November 14, 2019

Application Due Date: January 17, 2020

TABLE OF CONTENTS

The Office of the Secretary of Transportation (OST) is using Grants.gov for issuance of this Notice of Funding Opportunity (NOFO) and for receipt of all applications. Applicants must register and use the system to submit applications electronically. It is the Applicant’s responsibility to monitor Grants.gov as well as the Department’s website at https://www.transportation.gov/content/safety-data-initiative for any updates to this Notice.

SUMMARY INFORMATION

Office of the Secretary of Transportation (OST) 1200 New Jersey Avenue, SE Mail Drop: W84-322 Washington DC 20590 Attn: Paul Teicher

SECTION A – PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this one-time funding opportunity is to partner with State and local governments, along with their supporting partners, to develop, refine, and implement data tool applications that address specific roadway safety problems and can demonstrate deployment applications through technical assistance and peer exchanges.

2. LEGISLATIVE AUTHORITY

Statutory authority supporting Roadway Safety Tool Development and Implementation activities is found in 49 U.S.C. § 330(e), which authorizes the Secretary of Transportation to initiate “grants, cooperative research and development agreements . . . and other agreements to fund, and accept funds from . . . State departments of transportation, cities, counties, institutions of higher education, associations, and the agents of those entities to carry out joint transportation research and technology efforts.”

The funding for this NOFO is from the Consolidated Appropriations Act, 2018, and the appropriation for Transportation Planning, Research, and Development (TPRD) in Fiscal Year 2018 (FY18), “for necessary expenses for conducting transportation planning, research, systems development, development activities, and making grants.” Per the joint explanatory statement that accompanied the Act, this funding is in support of the Congressional Directive to allocate a portion of FY18 TPRD to safety data and automated vehicle safety data initiatives[footnoteRef:1]. [1: https://docs.house.gov/billsthisweek/20180319/DIV%20L%20THUD%20SOM%20FY18%20OMNI.OCR.pdf ]

3. BACKGROUND

At the 2018 Transportation Research Board Conference, USDOT announced the Safety Data Initiative (SDI). The SDI is led by offices within the Office of the Secretary of Transportation (OST) in close collaboration with the Federal Highway Administration (FHWA), the National Highway Traffic Safety Administration (NHTSA), and the other surface transportation subcomponents or Operating Administrations (OAs) within USDOT. The intent of the Safety Data Initiative is to build upon and enhance current roadway safety efforts related to data, analysis, and policy making.

The SDI strategically prioritizes and addresses transportation safety risks through data-informed decision making, with a focus on:

1) Data visualization: Make data analysis and insights accessible to policy-makers through clear, compelling data visualizations.

2) Data integration: Integrate existing databases and new private sector data sources to answer safety questions.

3) Predictive insights: Use advanced analytic techniques to identify risk patterns and develop insights that anticipate and mitigate safety risk to reduce injuries and fatalities.

Since the SDI’s launch USDOT has conducted a number of pilot projects to identify safety challenges, experiment with solutions that can save lives, and improve the way information is conveyed for use by safety practitioners. As part of those pilot projects we worked with the State and local governments, the private sector, academic institutions, and other transportation stakeholders to apply new data integration and analysis techniques, test new tools developed by USDOT, and share lessons learned and best practices to advance transportation safety practice. Stakeholder engagement events such as two Safety Data Forums, and a panel of experts to validate the work performed to date, also occurred.

The pilot projects, henceforth referred to as “SDI Beta Safety Tools,” developed the following:

· Semi-finalist and finalist tools developed in the Solve for Safety Data Visualization Challenge[footnoteRef:2]; [2: https://www.transportation.gov/solve4safety/solve4safetysubmissions ]

· Pedestrian fatality risk map[footnoteRef:3]; [3: https://maps.dot.gov/BTS/PedestrianFatalityModel/ ]

· FARS visualization tools on pedestrians[footnoteRef:4], and speeding-related crashes[footnoteRef:5]; [4: https://explore.dot.gov/views/FARSPedestrianTrafficFatalities/Pedestrian?iframeSizedToWindow=true&%3Aembed=y&%3AshowAppBanner=false&%3Adisplay_count=no&%3AshowVizHome=no ] [5: https://icsw.nhtsa.gov/nhtsa/fars/speeding_data_visualization/ ]

· 2-Step intersection safety tool; and

· Safety applications of using Waze data in a State highway patrol context and a local Vision Zero planning context[footnoteRef:6]. [6: City of Bellevue, Washington case study: https://www.transportation.gov/sites/dot.gov/files/docs/subdoc/831/2019-bellevue-case-study-brief.pdf Tennessee State Highway Patrol case study: https://www.transportation.gov/sites/dot.gov/files/docs/subdoc/836/2019-tn-highway-patrol-case-study-brief.pdf]

For more information on the projects and products developed please visit https://www.transportation.gov/content/safety-data-initiative.

A significant part of the SDI focus is working with our State and local government partners to convert data into information that is useful for decision making. From these efforts OST identified lessons learned and opportunity areas as they relate to collaborating with our State and local government partners:

· State and local government capabilities, needs, and challenges are different. Therefore, different approaches are necessary to further the use of safety data for policy and decision making.

· Some State and local governments could still benefit from basic, fundamental analytic tools that are easy to use. There is also value in activities such as quality integrated datasets and compelling visualizations.

· State and local governments may have the data, but not the analytic tools. Some may have data but they are unintegrated, or the data quality is not robust.

· Higher capacity State and local governments can drive innovation, and execute promising practices that could be replicated elsewhere.

· The SDI tools and products developed to date have the potential to be useful State and local government safety risk diagnostic tools, but required more on-the-ground validation and could benefit from additional data sources.

The activities and lessons learned that are described in this section informed this Notice of Funding Opportunity.

As used throughout this Notice, OST defines “data” as recorded information, regardless of form or the media on which it may be recorded. The term includes both technical data (recorded information regardless of form or media of a scientific or technical nature, including computer databases, their contents, and computer software documentation) and computer software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

4. VISION AND GOALS

The goal of this solicitation is to build the capacity of State and local governments to use tools and information for safety policy and decision making. In particular, the conversion of data into safety tools that are useful to practitioners is an identified area of need, and the opportunity seeks to address that need through the development and refinement of safety tools in use cases that address specific safety problems. This will accelerate the surface transportation safety community’s ability to derive more value out of data, and apply information in a meaningful way that can lead to more precise, informed, effective, and/or efficient practices.

Successful use cases will not only provide benefits to the jurisdictions where they are being applied, but will also provide blueprints in order to scale and replicate the tools elsewhere. Best practices and lessons learned are important aspects to document during safety tool development and implementation, and peer exchanges will achieve the secondary objective of enhancing shared learning across Federal, State, and local governments.

5. WORK AREAS

Project Category

Awardees will receive funds to support specific use cases that will perform analysis, develop and refine a safety tool, implement the safety tool, document the work performed, and participate in peer exchanges. OST intends to fund projects that will:

· Further develop and refine SDI Beta Safety Tools (Category A); or

· Refine and develop other, specific safety tools identified in an application submission (Category B).

For Category A submissions, Applicants may choose any of the listed SDI Beta Safety Tools in Section A Part 3 Background. The expectation would be to continue the projects as a derivative work product that is modified and expanded upon (e.g., new data sources, modified analytic approach, revised visualization, etc.) to fit the information needs identified in the Application as an applied use case. More information on this will be provided in a webinar on December 3, 2019 at 2:30pm ET, and is available at https://www.transportation.gov/content/safety-data-initiative [footnoteRef:7]. [7: Webinar registration link: https://volpe-events.webex.com/]

For Category B submissions, there is an expectation that initial basic research on the safety problem has already been explored by the Applicant or another party using data and other information. In relation to FHWA’s Technology Readiness Level Guidebook, the submissions are expected to be between a Level 2 Application formulated and Level 6 Prototype demonstrated in relevant environment[footnoteRef:8]. [8: See https://www.fhwa.dot.gov/publications/research/ear/17047/index.cfm and https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf ]

Applicants must specify one project category in their applications. Applicants may submit multiple applications; OST will consider applications consistent with the priorities indicated in this Notice of Funding Opportunity.

6. DELIVERABLES

The selected awardees shall provide a schedule for the project deliverables that include at a minimum the following items.

Project Management Plan – The Recipient shall submit to OST at a minimum a Project Management Plan with the following elements:

a) Description of Tasks and Sub-Tasks by which the project work activities will be organized, executed, and monitored.

b) A Project Schedule (Gantt Chart or equivalent) displaying begin and end times for each Task and Sub-Task, plus achievement of Project Milestones.

c) A Staffing Table, which identifies a single Project Manager, plus project staff and/or consultants that will lead and support each Task (or Sub-Task if appropriate).

The Project Management Plan must be reviewed and approved by OST.

Within 15 business days after execution of cooperative agreement.

Analytic Design Plan – The Recipient shall submit to OST for approval an Analytic Design Plan, which shall include, at a minimum, the following elements:

a) Roadway safety problem statement and accompanying research questions;

b) Description of the current level of information used by practitioners to make decisions, and the knowledge gaps that exist;

c) Description of how the end product tool is intended to address the knowledge gaps;

d) Identification of data source(s) to be used;

e) Outlined steps required to prepare the data for analysis, including collection, cleaning, processing, management, and integration;

f) Analytic approach, including the methods to be employed, the unit of analysis, and the verification and validation steps required to affirm the results;

g) Identification of the partners that need to be involved during the analytic process;

h) Transfer of analytic results to a data visualization tool, and the types of visualization that would be appropriate;

i) Outlined steps to refine the analysis and results iteratively in support tool development, refinement, and implementation; and

j) Activities to support testing, refinement, and implementation of the safety tool;

k) A brief Data Management Plan[footnoteRef:9], a description of how the documentation and final report end products required will be recorded and transferred to USDOT. [9: See https://ntl.bts.gov/public-access/creating-data-management-plans-extramural-research guidelines.]

The Analytic Design Plan and the Data Management Plan must be reviewed and approved by OST.

Within 30 calendar days after the execution of cooperative agreement.

Report – The Recipient shall submit to OST for approval a concise report on the work performed during the period of performance, which at a minimum shall include:

a) Roadway safety problem statement and accompanying research questions;

b) Description of the previous knowledge gaps;

c) Description of how the end product safety tool addresses the knowledge gaps;

d) Description of the data used and methodological approach;

e) Outline of the safety tool, the insights one can derive from the tool, and utility for policy and decision making by practitioners;

f) Lessons learned, challenges, and opportunities based on the work performed; and

g) Web link to the supporting documentation, and information on how to obtain the end products.

The report shall be no more than 10 pages, 12 point Times New Roman. The report must be reviewed and approved by OST.

11 months after execution of the cooperative agreement.

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING AND NUMBER OF AWARDS

A maximum of $3 million is available for awards, and is subject to the discretion of OST. OST anticipates providing up to 12 (twelve) separate awards. OST intends to award at least one (1) project from each of Category A and Category B.

Individual awards are anticipated to be between $250,000 and $500,000 in Federal funds based on the amount requested by the Applicant and the complexity of the project. OST reserves the right to award an amount above or below this amount.

2. TYPE OF AWARD

The expected award type is a Cooperative Agreement and a fixed amount award, with funds provided for completed project deliverables in a pay-for-performance model. This is also intended to reduce the administrative reporting burdens on both the awardee and OST. Upon award of the Cooperative Agreement, no funds will be distributed. For non-travel related deliverables, the funds will be distributed only after the completion of the deliverables based on the schedule in the table below. These deliverables shall be reviewed and approved by OST prior to distributing funds.

OST will pay 50% of the overall funding amount upon completion of the Project Management Plan and the Analytic Design Plan. OST will distribute a further 25% of the overall funding amount upon completion of the Safety Tool. OST will distribute the final 25% of the overall award upon completion of the Report, Documentation, and End Products.

OST expects the Peer Exchange deliverable will be a separate line item based on the estimated costs incurred for travel, in accordance to General Service Administration per diem and transportation fare rates[footnoteRef:10], and Federal Travel Regulations. [10: See https://www.gsa.gov/travel/plan-book/per-diem-rates and https://www.gsa.gov/travel/plan-book/transportation-airfare-rates-pov-rates/city-pair-program-cpp ]

See below for the expected % of overall funds distributed by deliverable(s) completed.

Non-Travel Deliverables

Travel Deliverables

3. PERIOD OF PERFORMANCE

The estimated period of performance is one (1) year from the establishment of the cooperative agreement. Extensions may be permitted with approval from OST for implementation and technology transfer.

4. DEGREE OF FEDERAL INVOLVEMENT

a) The DOT anticipates substantial Federal involvement with the award recipients during the course of these projects. The anticipated Federal involvement will include technical assistance and guidance to the Recipient, and the coordination of peer exchanges. Based on the application, the level of Federal technical assistance will vary.

b) For Category A submissions, OST expects to provide sufficient knowledge transfer and assistance so that an Applicant would be able to create a derivative product based on previous research performed to further develop the SDI Beta Tool through these awards.

c) As part of its submission, an Applicant may request a portion of its grant funds be allocated to the Volpe National Transportation Systems Center (Volpe)[footnoteRef:11] for Volpe to provide technical assistance and data science services. This option is for Applicants that may have limited data science or data management capabilities. If an Applicant wishes to use these assets, the portion of the award necessary to pay Volpe will be withheld from the Recipient and transferred directly to Volpe. USDOT will manage those services on behalf of the Recipient, and the Volpe funds will not be subject to the pay-for-performance model. The Agreement document between OST and the Recipient will specify the maximum amount of funding under the award that will be directly allocated to Volpe. See Attachment A for instructions on how to receive a quote from Volpe in order estimate the funding and level of effort required for technical assistance and data science services. More information on this will also be provided in the December 3, 2:30pm ET webinar[footnoteRef:12]. [11: https://www.volpe.dot.gov/ ] [12: Webinar registration link: https://volpe-events.webex.com/]

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

To be selected for an award an Applicant must be an eligible Applicant. Eligible Primary Applicants are State or local governments, metropolitan planning organizations (MPO) and regional governments, other political subdivisions of a State or local government, as well as tribal governments.

Partnership(s) with the private sector or other public agencies, research or academic institutions, organizations representing transportation and technology leaders, or other transportation stakeholders, is encouraged. Private sector, research or academic institutions, national organizations and other non-government stakeholders are permitted to be partners, but are not eligible to be the Primary Applicant.

2. COST SHARING OR MATCHING, AND IN-KIND CONTRIBUTIONS

Cost sharing or matching is not required, as permitted under 49 U.S.C. § 330(f)(2), because the Secretary of Transportation has determined that the activities that will be funded under this NOFO are of substantial public interest or benefit. However, OST will favorably consider Applicants who contribute non-federal funding to the project. In-kind contributions are encouraged and will be considered toward the Recipient’s share, as described in 2 CFR 200.306. Disbursement of funding under the award will be phased and contingent on the submission of deliverables as outlined in the table under Section B.2, “Type of Award.” OST will pay 50% of the overall funding amount upon completion of the Project Management Plan and the Analytic Design Plan. OST will distribute a further 25% of the overall funding amount upon completion of the Safety Tool. OST will distribute the final 25% of the overall award upon completion of the Report, Documentation, and End Products. Funding for travel expenses to participate in the peer exchanges will be reimbursed separately from the other deliverables.

SECTION D – APPLICATION AND SUBMISSION INFORMATION

1. APPLICATION SUBMITTAL

Applicants must submit their applications via grants.gov under the Notice of Funding Opportunity Number cited herein. Applications must be submitted by January 17th, 2020 at 3pm ET.

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

2. CONTENT AND FORM OF APPLICATION SUBMISSION

Format of Application Submission

a) Applications should be submitted in PDF format.

b) Applications are limited to fifteen (15) total pages for the application submission, and up to ten (10) total pages for supporting documents.

c) Font size must be no less than 12 pt. Times New Roman and margins a minimum of 1 in. on all sides.

d) Applications must include page numbers.

Content of Application Submission and Supporting Documents

The Applicant shall submit an application submission that is no more than fifteen (15) total pages, as well as up to ten (10) pages of supporting documents. The application submission is required; the supporting documents are optional.

Application The application submission shall include the following elements:

a) Cover Page that includes the following table:

Project Name

Proposal Category (A or B)

Roadway Safety Problem Area

Primary Applicant and Eligible Entity Applying to Receive Federal Funding

Name, Email, and Phone Number of Principal Contact (Individual Person)

Name, Email, and Phone Number of Alternate Principal Contact (Individual Person)

Additional Partners (Organizations)

State(s) in which the project is located

In-Kind Contributions

Federal Technical Assistance or Data Management Requested?

Instructions for a)

· If the proposal category is Category A, please specify which SDI Beta Safety Tool(s) in the table.

· Roadway Safety Problem Area should describe the scope of the safety problem in the application in a few words (e.g., reportable crashes in X County, pedestrian safety, roadway departure crashes, etc.).

· Primary Applicant and Eligible Entity is the government entity (State of X Office of Safety, X County, City of X, etc.).

· The Principal and Alternate Principal Contacts should be employees of the Primary Applicant. The Alternate Principal Contact cannot be the same person as the Principal Contact.

· Federal funding amount requested is the amount that this NOFO will be providing.

· Cost Share Amount is the amount of funds besides this NOFO that will be provided by the Applicant, if any. If none, write in $0.

· In-Kind contributions can be concisely described here (e.g., data, implementation assistance, etc.).

· Federal technical assistance or data management requested is specifically for a Federal set-aside of the NOFO funds for the Federally-sponsored Volpe center. This is a yes or no answer.

b) Project narrative that should address, at a minimum, the following content:

1. Introduction that provides a clear, concise description of the project, and at a minimum also includes where the project is located, whether Category A or Category B was chosen, and the Federal fund amount requested.

2. Roadway safety problem statement, including extent and scope of the safety problem.

3. Research questions to explore the safety problem.

4. Description of the current state of practice, the capacity of the Primary Applicant to perform analysis, the level of information used by safety practitioners to make decisions to address the safety problem, and the knowledge gap(s).

5. Vision of how the proposed safety tool will address the knowledge gap(s), and who the intended users of the proposed safety tool would be.

6. The current technology readiness level, and the anticipated technology readiness level at the end of the period of performance, based on FWHA’s Technology Readiness Level Guidebook[footnoteRef:13]. [13: https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf ]

7. Description of the available data that the Applicant would intend to use to help answer the safety problem, whether access to such data requires entry into a legal license (e.g., a software license), and the general requirements of such license, including cost.

8. General outline of the approach to preparing the data for analysis, including collection, cleaning, processing, management, and integration, if applicable.

9. General outline of the methodological approach to be employed, and the type(s) of analysis to be performed.

10. General outline of how the safety tool will be developed, refined, tested, implemented, and sustained after implementation. Describe the steps to ensure the intended users are integrated into the tool development, refinement, and implementation process.

11. Description of the potential insights one can derive from the tool, and the broader applicability for policy and decision making in other locations.

c) Partners. List each of the partners that will be participating in the proposed activity, and concisely describe each of their roles. This could include, but is not limited to: partnerships with entities that will be actively supporting the Primary Applicant in producing the required deliverables; the intended users of the safety tool; or entities that will be providing in-kind contributions.

d) Data Documentation, End Products, and Intellectual Property. The Applicant shall, at a minimum, describe the anticipated end products that will be completed at the end of the period of performance, and how the analytic work will be documented. This includes the organization and adequate annotation of any source code, the executable code used for the analysis, as well as the data, and development and operation of the tool.

For products derived through this funding, which includes any source code, executable code, data, the safety tool, and all documentation, the submission shall propose a delineation of ownership at the end of the period of performance (e.g., public domain, ownership retained by Applicant including any proposed commercialization but licensed to USDOT, USDOT ownership, etc.). While OST does not require ownership of any intellectual property discovered or developed under any funding agreement entered into as a part of this funding opportunity, at a minimum Applicant shall provide DOT a worldwide, non-exclusive, sub-licensable, fully paid-up, royalty-free, perpetual, and irrevocable license granting USDOT the right to use, reproduce, distribute, modify, create derivative works, publicly (and digitally) perform and/or display, make or have made, and import any such discovered or developed intellectual property for Government purposes, including the right to provide such intellectual property to State and local government partners for their use in evaluating and potentially resolving critical transportation safety issues.

Generally, OST encourages Applicants to submit proposals that provide flexibility in the future use of the safety tool products developed. The Applicant shall agree to provide USDOT full and complete access to all data sources necessary for the review, evaluation, modification (if necessary), and distribution of tools or products proposed or developed under this funding opportunity. This includes the requirement for Applicants to provide to USDOT access to any privately-held or commercially available data sources necessary for the full and complete operation of any tools or products proposed or developed under this funding opportunity. For data which is not owned or controlled by a contract awardee, the access requirement can be accomplished by obtaining a license or subscription to such data source(s) for USDOT.

Applicants shall pass all the requirements of this section to any and all sub-contractors. The Applicant shall also describe the extent to which the end products will be easily transferable, replicable, and scalable to other State and local governments.

e) Key Personnel. Provide a short staffing description for up to five (5) key personnel who will be actively participating in the execution of the project.

f) Budget and In-Kind Resources. The Applicant shall state: the total amount requested from Federal funds; the estimated funding amount to complete each expected deliverable from Section Part 6. Deliverables; the amount of cost share and the source of funding (if any); any in-kind contributions and their source (if any); and the estimated cost for Peer Exchange travel, which the Applicant shall base on two (2) persons traveling to Washington, DC two (2) times using:

· The General Service Administration (GSA) airfare rates[footnoteRef:14] [14: See https://www.gsa.gov/travel/plan-book/transportation-airfare-rates-pov-rates/city-pair-program-cpp]

· One night at GSA hotel rates for Washington, DC in May

· One night at GSA hotel rates for Washington, DC in December

· GSA rates for two full days of per diem meals, expenses, and incidentals[footnoteRef:15] [15: See https://www.gsa.gov/travel/plan-book/per-diem-rates/per-diem-rates-lookup/?action=perdiems_report&state=DC&fiscal_year=2019&zip=&city= ]

· $100/person in ground transportation costs

Supporting Documents Up to 10 (ten) pages may be provided in supporting documents, and should be information that the Applicant believes the Government should consider in relation to the selection criteria. These could include but are not limited to:

· Examples of current safety tools used for decision making;

· Description of relevant projects completed, or Federal partnerships;

· Draft data management plan elements[footnoteRef:16]; [16: See https://ntl.bts.gov/public-access/creating-data-management-plans-extramural-research for an example of Extramural research. ]

· Resumes of persons that are expected to involved in the execution of the agreement; and

· Information that supports the Application.

3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT (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

Applications are due January 17, 2020 at 3pm ET. Late applications will not be considered.

5. INTERGOVERNMENTAL REVIEW

An application under this Notice of Funding Opportunity is not subject to State review under E.O. 12372.

6. FUNDING RESTRICTIONS

The USDOT will not reimburse any pre-award costs or application preparation costs.

OST anticipates that each Federal award under this Notice of Funding Opportunity will not be below $250,000 and not exceed $500,000. Of the awarded amount, not more than $50,000 shall be permitted for travel costs. USDOT reserves the right to award an amount above or below this amount.

7. OTHER SUBMISSION REQUIREMENTS

HOW TO REGISTER TO APPLY THROUGH GRANTS.GOV

a. Instructions: Read the instructions below about registering to apply for funding. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to 4 weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

https://www.grants.gov/web/grants/applicants/individual-registration.html Organization applicants can find complete instructions here:

https://www.grants.gov/web/grants/applicants/organization-registration.html

1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2) Register with SAM: In addition to having a DUNS number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM in order to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

3) Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's DUNS number to complete this process. Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM. To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html

4) Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html

5) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

HOW TO SUBMIT AN APPLICATION VIA GRANTS.GOV

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/apply-for-grants.html

1) Create a Workspace: Creating a Workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the Workspace, complete all the required forms, and check for errors before submission.

a. Adobe Reader: If you decide not to apply by filling out Webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or FHWA forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to: https://www.grants.gov/web/grants/applicants/applicant-training.html Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist OST with tracking your issue and understanding background information on the issue.

SECTION E – APPLICATION REVIEW INFORMATION

1. CRITERIA FOR SELECTION OF AWARDS

The Government will evaluate eligible applications based on the following evaluation criteria, which are ordered from most important (A) to least important (E). The bullet points under each criterion will be used by evaluators in the review process to rate applications.

A. TECHNICAL MERIT

B. POTENTIAL FOR USE

C. POTENTIAL FOR REPLICATION

D. DIVERSITY OF RECIPIENTS

E. PARTNERSHIPS

A. TECHNICAL MERIT

· Extent to which the technical and analytical approach is well-described and clearly stated.

· Extent to which the proposed approach is methodologically sound and feasible.

· Extent to which the proposal aligns with the three SDI focus areas of data visualization, data integration, and use of advanced analytics.

· Potential for safety tools to increase their technological readiness by the end of the period of performance.

· Extent to which the proposed project can be completed within the anticipated period of performance.

B. POTENTIAL FOR USE

· Extent to which the Application could achieve the vision and goals described in the NOFO.

· Extent to which the analysis and tool address a significant safety risk that is widely shared amongst State and local governments.

· Extent to which the tool and end products have the potential to be used by, and useful for, the intended users.

· Extent to which the submission clearly articulates an effective safety tool implementation strategy.

C. POTENTIAL FOR REPLICATION

· Extent to which the approach could be easily replicable by other State and local governments, particularly those with limited analytic and technological capacity.

· Extent to which the Applicant describes ownership of intermediary and end work products at the end of the period of performance.

· Extent to which the intermediate and end products will be available after the period of performance to USDOT, its partners, and/or the public.

D. DIVERSITY OF RECIPIENTS

In the selection process the diversity of the Recipients will be considered. Diversity includes but is not limited to:

· Geography, including study location, urban/rural, and built environment characteristics;

· Type of government;

· Primary Applicant’s analytic and technological capacity;

· The safety problem addressed;

· The type of safety tool proposed, and the type of technology solution employed; and

· The type of data leveraged to develop the tool.

E. PARTNERSHIPS

· Extent to which the Primary Applicant describes collaboration with other relevant State and local government entities/offices, including intra-agency and intended user collaboration, as part of the proposal.

· Extent to which the application describes leveraging partnerships with the private sector, academic institutions, and other transportation stakeholders in the proposal.

Extent to which the Primary Applicant leverages in-kind resources or cost share in the proposal.

2. REVIEW AND SELECTION PROCESS

OST will use the following merit review process to evaluate applications and make selections for award:

Review: The review process consists of Technical Review and Senior Review. In the Technical Review phase, a panel of agency experts will evaluate all eligible applications using the Technical Merit criteria listed above and rate applications based on how well they align with the criteria. The USDOT reserves the right to use outside expertise and/or contractor support to perform application evaluation. OST reserves the right to include Federal staff from other Operating Administrations such as NHTSA and FHWA as part of the selection process. For each application, USDOT will rate the application Rating Definitions

Highly Recommended – The application strongly aligns with the goals and vision of the NOFO, and responds to an important safety need. The application demonstrates a technically superior and robust approach, and has strong potential to develop and refine a safety tool that will be used and replicated. Partnerships are effectively leveraged and well-described, and the applicant’s diversity characteristics are articulated and compelling.

Recommended - The application aligns with the goals and vision of the NOFO, and responds to a safety need. The application demonstrates a technically sufficient approach, and has the potential to develop and refine a safety tool that will be used and replicated. Partnerships are leveraged and described, and the applicant’s diversity characteristics are articulated.

Acceptable - The application only somewhat aligns with the goals and vision of the NOFO, or responds to a minor safety need. The application describes a technical approach but is missing key details, or the potential safety tool will have limited utility and/or potential for replication. Partnerships are not leveraged, and the applicant’s diversity characteristics are not adequately articulated.

Unacceptable – The application does not align with the goals and vision of the NOFO, or does not articulate the safety need. The application has a technical approach with fundamental flaws, and there is a high risk the potential safety tool will not be useful or replicable. Partnerships and applicant diversity characteristics are not described.

by giving it an overall rating using the following system:

In the Senior Review phase, Departmental senior leadership determine which applications to advance to the Secretary as Highly Rated. Those decisions are made based on the evaluation criteria above.

Selection: The Secretary selects from the Highway Rated applications for final awards. The Secretary will select for award the applications that are considered the most advantageous to the USDOT based on the evaluation criteria above.

3. COST SHARING OR MATCHING, AND IN-KIND CONTRIBUTIONS

Cost sharing is not required, but is strongly encouraged. In-kind contributions and cost share funds will be considered in the evaluation process as part of the application review under the criterion partnerships. Cost share and in-kind contributions could include but are not limited to:

· Non-Federal government funds originating from a program funded by non-Federal revenue State or tribal funds originating from programs funded by State/tribal revenue;

· Private funds; and

· Donation of data, professional services, or other goods and services in support of the development or refinement of the safety tool.

4. ADDITIONAL INFORMATION

Risk Assessment:

The DOT will assess the risks posed by an Applicant before they receive an award. If the Federal awarding agency determines that a Federal award will be made, special conditions that correspond to the degree of risk assessed may be applied to the Federal award. This Risk Assessment will include evaluation of the Applicant’s history of performance, potential conflicts of interest, and the eligibility to receive Federal funding for both the Primary Applicant as well as any identified partners.

History of performance includes the Applicant's record in managing Federal awards, if it is a prior Recipient of Federal awards, including timeliness of compliance with applicable reporting requirements, conformance to the terms and conditions of previous Federal awards, and if applicable, the extent to which any previously awarded amounts will be expended prior to future awards. The Government will evaluate the relevant merits of the Applicant’s history of performance based on its reputation and record with its current and/or former customers with respect to quality, timeliness and cost control. The history of performance will be reviewed to assure that the Applicant has relevant and successful experience and will be considered in the risk assessment. In evaluating history of performance, the Government may consider both written information provided in the application, as well as any other information available to the Government through outside sources.

Conflicts of Interest The DOT will review information provided by the Applicant, and any other relevant information known to DOT, 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, DOT may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the United States to award to the Applicant and include appropriate provisions to mitigate or avoid such conflict in the Cooperative Agreement pursuant to 2 CFR 200.112.

Suspension and Debarment The DOT will confirm the eligibility of the Applicant and its identified partners to receive Federal funding. Per the guidelines on government-wide suspension and debarment in 2 CFR Part 180, the Government will confirm that the Applicant and any named sub-applicants are…