RAV NOFO Final .docx

Rural Autonomous.

Vehicle Program

FY2022/FY2023 Notice of Funding Opportunity www.grants.gov Opportunity Assistance Listing 20.944

Office of the Assistant Secretary for Research and Technology U.S. Department of Transportation Washington, D.C. 20590-0001

Table of Contents

SECTION A: PROGRAM DESCRIPTION

I. INTRODUCTION

Through this Notice of Funding Opportunity (NOFO), the U.S. Department of Transportation (U.S. DOT) seeks competitive cooperative agreement applications for the Rural Autonomous Vehicle (RAV) Program. The authority to execute the program and guidance for the program, is set forth in the reports accompanying the FY2022 and FY2023 Consolidated Appropriations Acts.

· The Conference Report/Explanatory Statement accompanying the consolidated Appropriations Act, 2022, states:

TRANSPORTATION PLANNING, RESEARCH, AND DEVELOPMENT (INCLUDING TRANSFER OF FUNDS)

“Autonomous vehicle research in rural communities. - The agreement provides $10,000,000 for an accredited university of higher education, or consortia thereof, to conduct research and to work with rural communities to address the additional challenges, including weather variables and differing types of roadways, of bringing the benefits of autonomous vehicles, including freight and delivery vehicles, to rural Americans.” [footnoteRef:2] [2: H. Comm. Print 47-048; Consolidated Appropriations Act, 2022; Legislative Text and Explanatory Statement on H.R. 2471 / Public Law 117–103; Book II (Divisions G-L), p. 2560. https://www.govinfo.gov/content/pkg/CPRT-117HPRT47048/pdf/CPRT-117HPRT47048.pdf]

· The Conference Report/Explanatory Statement accompanying the consolidated Appropriations Act, 2023, states:

TRANSPORTATION PLANNING, RESEARCH, AND DEVELOPMENT (INCLUDING TRANSFER OF FUNDS)

“Autonomous vehicle research in rural communities. - The agreement directs the Department to provide another $15,000,000 to continue this research from the unobligated balances remaining from the funds provided for the highly automated vehicle research and development program under the heading "Department of Transportation-Federal Motor Carrier Safety Administration-Motor Carrier Safety Grants" in division L of the Consolidated Appropriations Act, 2018.”[footnoteRef:3] [3: Joint Explanatory Statement Accompanying the Consolidated Appropriations Act, 2023; Division L- Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2023; p. 8.]

The RAV program research shall focus on applications of automated vehicles technologies for rural communities that support transportation strategic goals and objectives documented in the U.S. DOT strategic plans and documents listed below. The RAV program research shall address, as applicable, the unique challenges rural and Tribal communities face related to mobility and economic development, including isolation, transportation cost burden, and traffic safety[footnoteRef:4]. [4: Applicants can refer to the U.S. DOT Research Hub (https://researchhub.bts.gov/search) and the RD&T Annual Research Plans (https://www.transportation.gov/administrations/assistant-secretary-research-and-technology/rdt-annual-modal-research-plans) pages for information on AV research being conducted by U. S. DOT.]

In this NOFO, the RAV program seeks research focused on the higher levels of driving automation, SAE J3016 Levels 3 to 5[footnoteRef:5], however, lower levels of automation can be included. Also, in this NOFO, a” rural community” encompasses all population, housing, and territory not included within a U.S. Census-designated urban area with a population of 50,000 or more. [5: SAE Levels of Driving Automation J3016_202104 (Copyright 2021 SAE International).]

The RAV program shall align with:

· FY 22-26 U.S. DOT Strategic Plan

· U.S. DOT RD&T Strategic Plan (FY 2022-2026)

· U.S. DOT National Roadway Safety Strategy (NRSS)

· https://www.transportation.gov/priorities/transformation/us-dot-innovation- principles

This research shall also align with the Congressional intent stated in the House Report accompanying the Departments of Transportation, and Housing and Urban Development, and Related Agencies Appropriations Bill, 2022:

Autonomous vehicles. (AV)— . . . In addition, rural communities must not be left behind from advancements in AVs. The Committee encourages DOT to contemplate a hybrid approach to allowing business and communities, including rural communities, to engage, prepare for, and benefit from AV deployments. As part of the hybrid approach, the Committee encourages DOT to focus on first and last mile solutions by developing a regional demonstration project designed to demonstrate automated driving system feasibility that incorporates low speed AVs.[footnoteRef:6] [6: U.S. House Committee on Appropriations; Departments of Transportation, and Housing and Urban Development, and Related Agencies Appropriations Bill, 2022; H. Rpt. 117-99; July 10, 2021; p. 15.]

The RAV program research shall conform with the following priorities of the Administration and Departmental Strategic Plan statements:

· Safety: U. S. DOT is committed to advancing safe, efficient transportation, including in the RAV Program. The National Roadway Safety Strategy (NRSS), issued January 27, 2022, commits the Department to respond to the current crisis in roadway fatalities by ‘taking substantial, comprehensive action to significantly reduce serious and fatal injuries on the Nation’s roadways,’ in pursuit of the goal of achieving zero roadway deaths through a Safe System Approach. The outcomes that are anticipated from the RAV Program should align with the NRSS.

· Equity: U. S. DOT seeks to award research under the RAV Program that will create proportional impacts to all populations in the program area, including older Americans, low-income households, and people with disabilities, remove transportation related disparities to all populations in the program area, and increase equitable access to program benefits, consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009). The research should also comply with section 504, 503 and 508 of the Rehabilitation Act.

Funds for the Fiscal Year (FY) 2023 RAV Program will be used for two awards to accredited non-profit institutions of higher education[footnoteRef:7], or consortia thereof, as cooperative agreements on a competitive basis, to conduct research and to work with rural and Tribal communities to address the additional challenges of bringing the benefits of responsible integration of automated vehicles and associated technologies for air and surface mobility to rural and Tribal communities. [7: “Institution of higher education” as that term is established in 20 U.S.C. § 1001(a). Qualifying two-year institutions may include junior or community colleges if they meet the requirements of 20 U.S.C. § 1001(a).]

· The focus of the first award will be on human-centered mobility of people in rural and Tribal communities.

· The focus of the second award will be on movement of freight in rural and Tribal communities, for example, to support and enable automated freight and delivery vehicles serving rural areas.

The thrust of both awards is the application of automation to reimagine human-centered mobility for the next era of transportation in rural America in a manner that dramatically improves the user experience, safety, efficiency, and sustainability, while ensuring cybersecurity, equity, resiliency, and interoperability.

Human-centered mobility is designed to achieve the goals, provide the user experience, entail the system attributes, and produce the integrated solutions enabling a system-of-systems transportation ecosystem as envisioned in the U.S. DOT RD&T Strategic Plan. U.S. DOT envisions a future transportation system that delivers safe, affordable, accessible, frictionless, reliable, door-to-door and port-to-door movement of people and goods across transportation modes.

The total amount of funding available in this NOFO is $25 million for two universities or consortia for a six-year program.

Specific instructions on how to apply for RAV Research Cooperative Agreement funding under this NOFO are provided in: SECTION D: APPLICATION AND SUBMISSION INFORMATION. (Assistance Listing, formerly Catalog of Federal Domestic Assistance (CFDA) number, 20.944).

II. RAV RESEARCH PROGRAM OBJECTIVES AND CONSIDERATIONS

Disparities in mobility and economic development opportunities in rural and Tribal communities lead to high levels of transportation insecurity. Data from the U. S. DOT Equitable Transportation Community (ETC) Explorer indicates that more than half of all rural census tracts in the US are in the 81st percentile or higher for transportation insecurity. Transportation Insecurity is one component of disadvantage noted by the ETC Explorer and is indicated when people are unable to get to where they need to go to meet the needs of their daily life regularly, reliably, and safely. While only 19% of the U.S. population live in rural areas, 47% of all roadway fatalities and 34% of all public highway-rail grade crossing fatalities occur on rural roads, and the fatality rate on rural roads is two times higher than on urban roads. Emergency response times are more than twice as long in rural areas[footnoteRef:8] and almost 25% of Americans sixty-five and older reside in rural communities[footnoteRef:9]. [8: Mell, Howard & Mumma, Shannon & Hiestand, Brian & Carr, Brendan & Holland, Tara & Stopyra, Jason. (2017). Emergency Medical Services Response Times in Rural, Suburban, and Urban Areas. JAMA Surgery. 152. 10.1001/jamasurg.2017.2230.] [9: 2021 Trends Report - National Aging and Disability Transportation Center, https://www.nadtc.org/wp-content/uploads/2021-Trends-Report-Final-1.pdf, Accessed June 20, 202.]

Automated vehicles have the potential to enhance roadway safety and increase mobility options for all Americans but have additional challenges to overcome in order to bring these benefits to rural communities. Following are some examples of known challenges associated with RAV operations: differing types and conditions of roadways (i.e., paved and unpaved), unexpected obstructions, lighting limitations, non-standard signage, irregular design and markings, mapping discrepancies, under resourced emergency services, and Wi-Fi and cellular network limitations.

The transportation system of the future that serves rural and Tribal communities may be well-positioned to leverage and amplify the benefits of responsibly-deployed automated transportation systems and infrastructure due to the flexibility offered by lower density and greater availability of open spaces, compared to urban and suburban environments. This transportation system of the future is safe, mitigates climate change, advances American competitiveness, and supports good-paying jobs; the rural transportation system of the future is resilient and sustainable. RAV research must focus on resiliency of the system, the ability to absorb, adapt, and recover from disruption to maintain service.

Purpose: The purpose of the RAV Research Program is for eligible nonprofit institutions of higher education and external partners to conduct collaborative research and pilot deployment activities to explore the opportunities and address the challenges of realizing the benefits of automated vehicles and associated technologies in rural and Tribal settings towards meeting the strategic and transformation goals and attributes for the transportation system of the future as reflected in the U. S. DOT RD&T Strategic Plan[footnoteRef:10]. [10: All RAV program projects must comply with all relevant Federal, state, and local laws and regulations to be eligible.]

Objectives: The RAV Research Program’s overall objective is to enhance the movement of goods and people in and through rural and Tribal communities by bringing the anticipated benefits of automated vehicles, with the primary focus on surface vehicles, to rural and Tribal communities and enabling economical, safe, and environmentally efficient movement of goods and people there-in.

Specifically, the RAV program shall:

· Identify opportunities and challenges, technical and policy, associated with automated vehicle testing, deployment, operations, and economic viability.

· Demonstrate automated vehicle application concepts, which include relevant digital infrastructure elements, from formulation, through design, technology maturation and readiness validation, test and evaluation, and sustainable deployment.

· Build from existing and/or develop new technologies for robust, resilient, accessible[footnoteRef:11], human-centered systems of automated vehicle technology on land, air, and water in rural areas. For example, automated technologies could include cooperative driving automation (CDA), surface-based, air, and digital infrastructure applications to rural areas (examples are electronic Vertical Takeoff and Landing (eVTOL) airlift taxi/ambulance, advanced use of Unmanned Aircraft Systems (UAS) to assess condition of rural roads and crops. [11: Note US DOT funded university research in the areas of accessibility for mobility, sensory, and cognitive impairments. https://www.transportation.gov/inclusive-design-challenge/inclusive-design-challenge-competitors (accessed 11/08/2023).]

· Facilitate adoption of highly automated technologies including automated vehicles, digital infrastructure, and connected technologies for transportation use in rural areas.

· Develop scenarios of connected communities, including underserved populations, then demonstrate via automated vehicle application; how this may be proposed as an annual deployment of applicable scenarios.

· Advance highly automated transportation expertise and technology in the varied disciplines and applications in rural settings that comprise the field of transportation through research, technology transfer and deployment activities.

RAV program considerations should include:

· Environmental and infrastructure design and operational challenges of automated vehicles.

· Integrated human-centric design, including integrated or end-to-end (door-to-door) solution sets and use cases built around consumer needs and user experiences versus classical siloed transportation system design, existing assumptions, and constraints

· Addressing the needs of historically underserved communities, including older Americans, low-income households, and people with disabilities.

· Demonstration of automated technologies and relevant digital infrastructure elements in rural and Tribal settings.

· Advancement of highly automated transportation expertise and technologies in the varied disciplines and applications in rural and Tribal settings that comprise the field of transportation, through research, technology transfer and sustainable deployment activities.

· Aligned to USDOT’s Innovation Principles, support proposals responsibly deploying automation in rural and Tribal communities to realize the Attributes of a desired transportation system of the future as delimitated in the U.S. DOT RD&T Strategic Plan.

· Analysis of labor and workforce development impacts of automated vehicle adoption in rural communities. Considerations of policies or collective bargaining agreements that are required to ensure automated vehicle efforts enhance and do not degrade overall, or net job pay and quality, and that such efforts build skills, knowledge, and wealth in the impacted rural and Tribal communities being served by the automated vehicle adoption.

U.S. DOT encourages unique approaches to research and technology transfer, building on or reflecting institutional expertise, facilities, and partnerships, especially with industry stakeholders. The Department encourages diversity among the program participants and in the approaches that proposing teams take to achieve the program objectives.

U.S. DOT desires research to achieve its transformative vision of a people-centered transportation system that provides safe, accessible, reliable, equitable, and sustainable transportation for all, with a focus on an interoperative multi-modal system of systems to advance seamless movement of people and goods. U.S. DOT also desires proposing teams to engage in advanced and breakthrough research, technology transfer, and deployment activities that cut across disciplines and span multiple modes of transportation. RAV Research participants have an important role to play to help transform the Nation’s rural and Tribal transportation system to achieve this vision.

III. PROGRAM DELIVERABLES

The following deliverables are required as part of this award.

1. Quarterly technical progress and reports.

2. Monthly progress meetings via an on-line system.

3. Bi-annual, in person, meetings with the program sponsors, in Washington, DC, to present the technical progress and achievements to date.

4. Draft final technical report followed by submission of the final technical report, computer programs and/or system architecture details.

SECTION B: FEDERAL AWARD INFORMATION

The U.S. DOT will operate the Rural Autonomous Vehicle Research Program based on the principles of full and open competition. Awards will be in the form of cooperative agreements to successful applicants.

The funding and authorization available to the Office of the Secretary, Office of Research (OST-R) for this NOFO currently are from FY 2022 and 2023 funds.

Award Summary Duration of cooperative agreement: Up to six-year period Number of awards anticipated: Two awards Federal award amounts: $15,000,000 for mobility of people $10,000,000 for movement of freight Type of award: Cost matching 50% or more of total cost Funding Instrument Type: Cooperative agreement

I. NUMBER OF AWARDS

The expected fiscal year funding amount based on the authorized amount of funding before any of the reductions noted in SECTION B: FEDERAL AWARD INFORMATION above and assuming selection of up to two Eligible Entities totaling $25,000,000, one focused on movement of people and one focused on movement of freight.

An Eligible Entity is defined in SECTION C: ELIGIBILITY INFORMATION and will be referred to as applicant in some sections of this NOFO.

II. FEDERAL FUNDING MECHANISM

The Federal Grant and Cooperative Agreement Act of 1977 (P.L. 95-224, 31 U.S.C. 6301 et seq.) establishes the basic distinctions between procurement contracts, grants, and cooperative agreements. 31 U.S.C. 6305, referenced in the “DOT Guide to Financial Assistance (for awards issued on or after January 1, 2020)”[footnoteRef:12], establishes that an executive agency shall use a cooperative agreement as the legal instrument reflecting a relationship between the United States Government and a State, a local government, or other recipient when: [12: See page 37 of the document linked at the top of this page, the “DOT Guide to Financial Assistance”: https://www.transportation.gov/administrations/assistant-secretary-administration/guide-to- financial-assistance.]

(1) the principal purpose of the relationship is to transfer a thing of value to the State, local government, or other recipient to carry out a public purpose of support or stimulation authorized by a law of the United States instead of acquiring (by purchase, lease, or barter) property or services for the direct benefit or use of the United States Government; and

(2) substantial involvement is expected between the executive agency and the State, local government, or other recipient when carrying out the activity contemplated in the agreement.

The U.S. DOT has “substantial involvement” in this cooperative agreement as outlined in the “DOT Guide to Financial Assistance” noted above. OST-R staff expect to be involved in the RAV Program as follows:

· Review and approval of scope of each phase and activities before work can begin on a given phase during the period covered by the cooperative agreement.

· Review and approval of proposed subawards or subcontracts.

· Monitoring to permit specified kinds of direction or redirection of the work because of interrelationships with other projects.

SECTION C: ELIGIBILITY INFORMATION

I. ELIGIBLE APPLICANTS

Eligible applicants: The consortia shall be led by an institution of higher education with experience in automated vehicle (AV) research and rural and Tribal transportation. Eligible applicants shall include a consortium of two or more non-profit institutions of higher education but additional consortium members may include State, local, Tribal, and territorial (SLTT) Departments of Transportation and Departments of Public Works, metropolitan and regional planning organizations, the private sector, the philanthropic sector, and non-profit organizations on a particular project or to provide services that assist in accomplishing the cooperative agreement research activities.

All consortium members must be established and located in the United States or its territories or on Tribal lands. Typically, a consortium is a meaningful arrangement with all members involved in planning the overall direction of the research activities and participating in most aspects of the cooperative agreement; the consortium is a long- term relationship lasting the full life of the cooperative agreement. Only U.S. non-profit institutions of higher education as defined under 20 U.S.C. 1001(a) are eligible to apply. Non-profit institutions of higher education may include qualifying two-year institutions that meet the requirements of 20 U.S.C. 1001(a) definition of “institution of higher education”. Any application submitted by or including in its consortium an entity other than a U.S. non-profit institution of higher education will not be eligible or considered for selection.

Consortia members should collectively have expertise in the following fields: comprehensive transportation safety, congestion, connected vehicles, digital infrastructure, automated driving systems (ADS), cooperative driving automation (CDA), and cybersecurity.

Eligible applicants will be the direct and primary recipient of the U.S. DOT funds and must perform a substantive role in carrying out the cooperative agreement activities; it may not serve solely or primarily as a conduit for awards to another party. There is no specific requirement for the applicants to be located in a rural or Tribal area. However, the research must be devoted to rural and Tribal applications of AV technology.

II. COST SHARING

Total funding for an Eligible Entity’s Rural Autonomous Vehicle (RAV) Program activities must include the U.S. DOT funding plus equal matching funds or more, i.e., 50% or more of the overall cost. Other federal funding may be used for the cooperative agreement project, but other federal funding cannot count toward the required minimum 50% local matching share.

The non-Federal matching funds may be cash or in-kind, must be used to accomplish program objectives and the purpose of the cooperative agreement, and must be fully documented in the Applicant’s records. The recipient proposing teams will have the length of the cooperative agreement period to spend the full amount of required matching funds. The recipient proposing teams are encouraged to pursue third party sources, e.g., industry and philanthropies, to contribute towards the non-Federal matching funds.

Proposing teams must obtain matching funds in an amount no less than 100 percent of the U.S. DOT cooperative agreement award amount; or, in other words, no less than 50 percent of the overall project costs. The recipients must have the funds committed up front, i.e., as part of the application, however, they will have the length of the cooperative agreement period to expend the full amount of required matching funds.

Any restrictions under the cooperative agreement or in Federal regulations 2 CFR Part 200 on allowability of costs apply to matching funds as well as the Federal funds.

SECTION D: APPLICATION AND SUBMISSION INFORMATION

Address to Request Application Package If you are eligible to receive an award under this NOFO, your Authorized Organization Representative must submit the application through Grants.gov. Any application submitted other than through Grants.gov will not be considered for funding.

To apply through Grants.gov, an applicant must register for a Grants.gov user ID and password. Note that this process can take between three to five business days or as long as four weeks if all steps are not completed correctly. Applicants are advised they must complete the registration process prior to submitting an application through Grants.gov. Even though an applicant may be able to view and download an application, if the applicant has not correctly completed the Grants.gov registration process, the applicant will not be able to submit the application electronically for U.S. DOT’s review. Instructions for application submission via Grants.gov can be found here.

Applicants may view this NOFO and other supporting materials on www.grants.gov. Applicants should log onto that system and search for Assistance Listing (formerly Catalog of Federal Domestic Assistance (CFDA)) number 20.944 for this NOFO.

Application Content The preferred electronic file format for attachments is Adobe portable document format (PDF) and, where appropriate, Microsoft Excel; however, U.S. DOT will accept Microsoft Word-formatted electronic files. A complete application includes all required documents as set forth below. Applications that do not contain all required forms listed in each part or that fail to adhere to the instructions in this NOFO, may be considered incomplete and may not be considered for funding. Additional application materials not requested under this NOFO will not be reviewed or evaluated.

Applications must include the following documents:

Project Written Response

Cover Sheet

Project Abstract

Project Technical Description including:

· Research Plan and Capability

· Leadership Plan

· Partnerships and Collaborations

· Technology Transfer Plan

Program Milestones

Matching Share Documentation (as applicable)

Required Appendixes

Enrollment Information for Participating Minority Institution(s)

Curriculum Vitae and/or Resumes of Key Personnel

Eligible Entity Budget Plan

SF-424 (Application for Federal Assistance)

SF-424B (Assurances – Non-Construction Programs)

Form SF-LLL: Disclosure of Lobbying activities

A copy of each consortium institutions’ negotiated overhead and fringe benefit rates

►►► PLEASE ENSURE THAT THE APPLICATION DOES NOT CONTAIN ANY PERSONALLY IDENTIFIABLE INFORMATION ◄◄◄ (Such as Social Security numbers, birth dates, home addresses, etc.)

Information submitted may be subject to the Freedom of Information Act (FOIA).

U.S. DOT may make changes to this NOFO. All changes will be communicated on Grants.gov.

Program Milestones The applications shall include a milestone chart showing the beginning and ending periods of the individual tasks and sub-tasks as well as proposed meeting schedules and submission of deliverables.

Letters of commitment for matching share funds are neither required nor permitted in the application for space reasons. Instead, applicants wishing to identify such commitments should note such in the text of the application, keeping any letters of commitment on file for audit purposes. If copies of such letters are included, they will count toward the application’s page limit.

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

Content and Form of Application Submission The application must address, SECTION A: RAV RESEARCH PROGRAM OBJECTIVES AND CONSIDERATIONS. The application must also describe how the proposing team will prepare for and execute Phase II: Demonstration and Phase III: Deployment.

Cover Sheet The cover sheet of the application must include the following information:

The name of the proposed Eligible Entity, and names and locations (city, State, and ZIP code) of the lead institution and the other members of the Eligible Entity’s consortium. For OST-R to comply with Federal agency reporting requirements, state whether any of the participating non-profit institutions of higher education is a Minority Institution as that term is defined in Section D.III Item vii. Enrollment Information for Any Minority Institution(s).

Prepare the cover sheet as an 8.5x11 standard-size page using Arial 12 font with one-inch margins. Color may be used if desired. The cover sheet does not count toward the 20-page limit that applies to the Written Response section described below.

Project Abstract The project abstract is to be no more than two 8.5x11 standard-size pages using Arial 12 font with one-inch margins. The research abstract does not count toward the written response’s 20-page limit. The project abstract should contain high-level descriptions of project plan as it aligns with the objectives and scope of the RAV program described in SECTION A: PROGRAM DESCRIPTION by addressing the following:

Management, Partnerships, and Collaborations

· Your institution’s relevant experience in leading RAV Research.

· How you will work with other rural transportation stakeholders, including industry and federal, state, and local government, to maximize the effectiveness of RAV Research activities.

· Discuss your approach to including multiple academic and research disciplines to inform your research approach and inform your outcomes.

· Discuss your approach to diversity, equity, and inclusion in your research approach from topic to consortium engagement.

· Discuss your approach to integrating community needs and government policy to promote a balanced research, development and deployment of transformative technologies and systems in U.S. rural (and Tribal) locations.

Research Plan

· Identify the research area(s) upon which the proposed RAV Program intends to address that will build a foundation for development and sustainable deployment of automated vehicles in U.S. rural and Tribal communities. Identify your focus, moving people or freight.

· Identify a range of technical and community of practice approaches to issues, implications, and solutions for automated vehicles in U.S. rural locations and how they align to the U.S. DOT RD&T Strategic Plan.

· Discuss your approach to identifying and developing solutions for infrastructure needs to support automated vehicles in U.S. rural and Tribal locations.

· Identify advanced, breakthrough, and futuristic mobility approaches and corresponding implications to the transportation ecosystem.

· Demonstrate multi-modal collaboration and how you will partner with industry on automated vehicle strategies.

· Discuss the potential transitional period to the deployment of automated vehicles in U.S. rural and/or Tribal locations – Identify if, and what, incentives are needed to help with topics such as modal shifts, technology roadmaps, research, and development, long term sustainability and automated vehicle usage.

· Identify the need to meet federal requirements in order for the automated vehicles to operate on public roads including but not limited to the Federal Motor Vehicle Safety Standards (FMVSS), Buy America as well as compliance with the Americans with Disabilities Act. In particular, vehicles to be acquired for the proposed research and deployment, and their proposed operation, should comply with applicable FMVSS and Federal Motor Carrier Safety Regulations, and if not, the vehicles and their proposed operations should be within the scope of an exemption or waiver that has already been granted by the National Highway Traffic Safety Administration and/or Federal Motor Carrier Safety Administration, otherwise the applicant should note that such exemptions or waivers will be needed and present a plan for obtaining them. Selection for NOFO funds does not guarantee that an exemption or waiver will be granted or otherwise impact the exemption or waiver review processes.

· Discuss your approach to assess the job and workforce impacts of automated vehicle deployments, including how the use of automated vehicles affects the number of jobs and quality of jobs among drivers and the broader economy.

· Discuss how projects and programs shall benefit people in rural and/or Tribal communities, including specific opportunities to improve safety and mobility, and foster a local economy.

· Discuss how project and programs will include an equity assessment which evaluates whether a project will create proportional impacts and remove transportation related disparities to all segments of populations in a project area, including older Americans, low-income households, and people with disabilities.

· Describe how meaningful public engagement will occur throughout program’s life cycle.

· Discuss your approach to monitor and evaluate the impact and benefit of the proposed activities in your RAV program. Provide three to five relevant performance metrics that you will use to measure the effectiveness of outreach efforts, as well as the progress in implementing research results widely. Include information on how you will obtain and maintain the information to track these outcomes.

Demonstration and Deployment Phases

· Your plans for demonstration and deployment of your research.

Program Description Page Limits and Formatting This section of your application must not exceed a total length of twenty (20) 8.5x11 standard-size pages, single-spaced, with one-inch margins. Arial 12 font should be used throughout the document, except for headers/footers and tables/figures within which the font size may be no smaller than 9. Arial Black is acceptable, but Arial Narrow is not. Any size/type of font may be used in the appendices. Color may be used if desired.

The cover sheet, abstract, and required appendices do not count toward the 20-page limit. A table of contents is required but will not count toward the page limit.

Pages exceeding the page limit in the application or those using other than the specified spacing, font, or margins will NOT be read or considered in the evaluation for award.

NOTE: Do not include hyperlinks to external websites that provide supplemental content to the application. Reviewers will be instructed not to view them.

The 20-page limit for the written response means that applicants likely will not want to include fully detailed, methodological descriptions of the proposed, collaborative research projects in the application. OST-R encourages applicants to include relatively high-level overviews of research projects that include enough detail to make clear a project’s significance to U.S. DOT’s transformative vision for transportation, noting the research project’s intended outcomes and desired impacts.

The Project Description must address the following:

· Project Evaluation Criteria (SECTION: E.1).

· Eligible Entity Program Manager(s) and Key Personnel (SECTION: D.1.iv).

Proposed Research Activities

· Describe the proposed research area (s), development strategies and methodologies, demonstration plans, and deployment activities, and corresponding relationship to the RAV Research objectives.

· Discuss how the proposed research will advance the U.S. DOT RD&T Strategic Plan FY22-26 goals and system attributes that you identified in your project abstract (SECTION: D.III) as being supported by your proposed research activities. Within those Strategic Goals, note which of the Key Performance Indicators listed in the strategic plan for those goals applicants expect RAV research to advance.

· Discuss the degree to which proposed research activities produce an integrated, seamless (end-to-end) travel experience to the traveler or to the freight stakeholders across the entirety of the transportation system through multi-modal or other solutions and how the research adopts a multidisciplinary process that includes a variety of academic, civic, workforce, and industry perspectives; and how this integrative research approach impacts the quality of the research process and outcomes.

· Describe your commitment to, and your proposed implementation of, peer review principles and other research “best practices” in the selection and management of your research projects.

Research Plan and Capability

In this section, describe the key research, development, demonstration, and deployment activities to be undertaken, and demonstrate capability and experience to carry out these activities collaboratively and achieve the objectives of the RAV Program described in this NOFO.

Capability and Experience

· Describe resources already available to conduct breakthrough, advanced, and transformative research for automated vehicles in rural areas, including those at consortium universities and external partners. Among others, these resources may include the following, if relevant to the transportation research to be conducted:

· Dedicated laboratory space.

· Specialized computer or other technical equipment.

· University support personnel with knowledge of transportation research needs such as a librarian, IT/data specialist, or machinist.

· Describe any resources you anticipate obtaining to perform your proposed activities.

· Provide details on whether your proposed activities are a continuation of existing research projects and programs within your university and among members of the consortium or are intended to provide opportunities to create and establish new research projects and programs.

· Describe your ability to address the specific topic areas you described above as proposed research activities. Please include:

· Examples of significant impacts of relevant past research on the required enterprise, including a description of products or patents, or a change in practice, or instances of research results informing policy decisions.

· Examples of research included in peer-reviewed journals, publications, and conferences.

· Relevant qualifications of faculty to be involved in your proposed activities.

· Provide examples of your high standing within the national and international arenas of rural or Tribal and automated transportation research as evidenced by activities such as publications, committee work, participation in professional transportation organizations and conferences (e.g., presentations, steering committees, session chairs, etc.), awards, and other indicators of leadership excellence.

· Describe your experience in contributing to the solution of regional and/or national transportation challenges.

· Demonstrated leadership in the development and delivery of programs. This includes innovative transportation technology transfer, and research activities.

Partnerships, Collaboration, and Planned Activities The RAV Program must include partnerships and collaboration and make research results available to potential users in a form that can be implemented, utilized, commercialized, or otherwise applied. Proposing teams are expected to form substantive and effective collaborative relationships with other academic and/or research institutions, commercial or non-profit entities including industry, and State/local/Tribal/territorial governments to achieve their objectives.

As noted in Section D. Eligible Entity Budget Plan, through this NOFO, U.S. DOT is requiring that the RAV Program cooperative agreement awardees devote a 10% of the total level of funding toward partnership and collaboration activities.

In this section, describe the partnership and collaboration activities you will undertake to ensure the successful transfer of information and technology results to those who can use them, especially current transportation practitioners, with the ultimate goal of putting your research widely into effective practice. You must also provide examples of your prior experience in outreach, dissemination, demonstration, deployment, and commercialization related to transportation research and deployment.

Describe your planned activities and prior experience in partnership and collaborative activities, such as:

· For your consortium, describe how the participating universities and partners will draw upon diverse types and/or sizes of institutions, including Minority Institutions; how the members will work together within the proposed consortium, including roles and responsibilities of lead and other organizations; what each member brings to the proposed consortium to support transformation technology transfer and commercialization; and how the presence of multiple internal and external parties and funding sources will enhance your ability to reach your goals.

· The composition, or proposed composition, of any existing or planned advisory committee for the Eligible Entity.

· Partnerships across sectors, with private enterprise (such as industry), philanthropic entities, non-profit entities, the U.S. DOT, state, Tribal, territorial and local governments (such as State DOTs, transit agencies, Metropolitan Planning Organizations, other public-sector organizations), related state or local agencies (such as state environment agency, local workforce board), labor organizations (such as transportation labor unions) and technical/practitioner organizations (such as the American Association of State Highway and Transportation Officials, the American Public Transportation Association, the American Road and Transportation Builders Association, the Institute of Transportation Engineers, the Conference of Minority Transportation Officials, and the Transportation Research Board among others) to move transformative automated and rural/Tribal research and technology results into practice.

· Describe how the involvement of Minority Institution(s) in your consortium will contribute particular assets to the research activities and/or assist in further developing the conduct of research at the Minority Institution(s).

· Describe your plans for the development of future leaders (young faculty and graduate students) including those at any Minority Institution(s) in your consortium.

· Describe your expectation for your contribution in leadership toward the grand challenges, priorities, and strategies for the advancement of the U.S. DOT RD&T Strategic Plan FY22-26.

· Describe three to five relevant performance metrics that you will use to measure your proposing team’s leadership. Describe how you will obtain and maintain the information to track these outcomes.

Program Efficacy

In this section, you must describe your program management approach and procedures, and how you will implement planned activities and produce results in an effective and cost-efficient manner. If there is any pre-existing transportation research at the institutions that make up your proposing team’s consortium, describe how the activities and accomplishments of this project proposal will relate to, and be distinguishable from, those of the existing team(s). This section must include the following:

· Description of the availability of institutional resources to carry out planned activities, including the institutional resources available from all members of your consortium. Institutional resources encompass such things as research and training facilities, human resources, physical facilities, and institutional support capabilities. Discuss the collective resources of your consortium that will be available to your proposing team.

· Discussion of past experience by any of the institutions in your consortium in leading a Cooperative Agreement, or if none then similar experience on a cooperative agreement under which the institution conducted activities as a team or institute rather than for a single research project. Please address such managerial issues as:

· Whether the institution leading the cooperative agreement conducted cooperative agreement activities on time and on budget.

· Whether the institution leading the cooperative agreement complied with reporting requirements.

· Whether there were any negative audit findings at the institution related to the cooperative agreement.

· Whether the cooperative agreement met any requirement for matching funds.

· Plans for overall management and oversight of fiscal and technical activities, including methods for ensuring cost efficiency, demonstrating the ability to implement the program in a cost-efficient manner.

· Procedures for tracking and coordinating research efforts.

Applicant Program Manager(s) and Key Personnel

In this section, name the individual who will lead the RAV Program as the principal program manager, and the key staff members who will support the program manager in accomplishing the cooperative agreement’s objectives. For purposes of management and oversight, OST-R requires a single program manager be identified.

The program manager is the person responsible for ensuring compliance with all RAV Program requirements. This role is particularly important in multiparty consortia involving distant partners and external collaborators. The program manager is expected to represent the Eligible Entity and/or the RAV Program at external meetings, and to conduct monthly briefings including two annual in-person briefings for OST-R about that Eligible Entity’s research. No minimum percentage of the program manager’s time is required on the cooperative agreement, but meaningful direct personal involvement by the program manager in the RAV Program is expected.

· Describe how your principal program manager plans to effectively direct and oversee the Eligible Entity’s funds, personnel, and programs.

· State the titles and describe the duties and responsibilities of any other key personnel that are considered to be critical for Eligible Entity activities.

· Briefly discuss the qualifications of the program manager and key personnel. (NOTE: The resumes for the program manager and key personnel are to be included in the appendices).

Required Appendices OST-R requires that applicants only include the required appendices described below. Reviewers will be instructed neither to read nor to reflect in evaluations any additional appendices that an applicant may include in an application. The required appendices do not count toward the 20-page limit.

The following appendices are required:

A. Enrollment Information for any Minority Institution(s) B. Resumés for Program Manager and Key Personnel C. Eligible Entity Budget Plan

Enrollment Information for Participating Minority Institution(s)

Minority institutions are encouraged to apply for the RAV Program cooperative agreements, and to participate as active consortia members. If your proposed consortium includes any minority institution(s) according to the 20 U.S.C. 1067k definition of a minority institution, then for each such institution please provide enrollment numbers, from the most recent semester/term where numbers are available, that show the institution meets the definition stated here.

Section 365 of the Higher Education Act of 1965 (20 U.S.C. 1067k) defines the term “minority” to mean: “American Indian, Alaskan Native, Black (not of Hispanic origin), Hispanic (including persons of Mexican, Puerto Rican, Cuban, and Central or South American origin), Pacific Islander or other ethnic group underrepresented in science and engineering.” and a minority institution as an institution of higher education whose enrollment of a single minority or a combination of minorities exceeds 50 percent of the total enrollment – this is the sole definition that must be used to identify an institution as a minority institution under this Notice of Funding Opportunity.

NOTE: Any format is acceptable for the information in this appendix.

Applications submitted by or including a minority institution will be identified as such to the reviewers, to the recommendation team, and to the selecting official (the Director, University Grants Programs, Office of the Asst. Secretary for Research and Technology) as part of the review and selection process described in SECTION E. APPLICATION REVIEW INFORMATION. The presence of a minority institution meaningfully involved in a proposed RAV Program will be reflected in the reviewers’ ratings and will be considered by the recommendation team and the selecting official along with other aspects of the desired balanced portfolio for selected RAV Programs as described in SECTION E APPLICATION REVIEW INFORMATION.

Resumés for Applicant Program Manager and Key Personnel

Each curriculum vitae and/or resumé should be prepared to focus on the most relevant qualifications and is limited to two pages per individual. Include resumés only for those individuals noted previously in response to Section D.1.iv who are designated as key personnel.

Please include on the curriculum vitae and/or resumé of the proposed Eligible Entity Program Manager an e-mail address and telephone number suitable for OST-R’s official use in communications related to your application. Do not include Personally Identifiable Information (PII) such as Social Security numbers, birth dates, or home addresses.

Applicant Budget Plan

Cooperative Agreement Funds, Sources and Uses of Project Funds – Project budgets should show how different funding sources will share in each activity and present those data in…