Saving Lives with Connectivity_693JJ324NF00003_Amendment 2 1-16-2024.pdf

U.S. Department of Transportation

Federal Highway Administration

Notice of Funding Opportunity

Number 693JJ324NF00003

AMENDMENT 2

“Saving Lives with Connectivity: Accelerating Vehicle to Everything (V2X) Deployment”

Issue Date: 10/26/2023 1/16/2024

Application Due Date: 1/17/2024 1/31/2024

TABLE OF CONTENTS

TITLE PAGE

SUMMARY INFORMATION 3

FUNDING OPPORTUNITY INFORMATIONAL WEBINAR 4

SECTION A - PROGRAM DESCRIPTION 5

SECTION B - FEDERAL AWARD INFORMATION 47

SECTION C - ELIGIBILITY INFORMATION 48

SECTION D - APPLICATION AND SUBMISSION INFORMATION 49

SECTION E - APPLICATION REVIEW INFORMATION 58

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION 66

SECTION G - FEDERAL AWARDING AGENCY CONTACTS 77

SECTION H - OTHER INFORMATION 78

ATTACHMENT - SAMPLE SYSTEMS ENGINEERING DOCUMENTATION 79

The Federal Highway Administration (FHWA) is using www.Grants.gov for issuance of this Notice of Funding Opportunity (NOFO). Applicants must register at Grants.gov under the NOFO number to receive notifications of updates/amendments to this NOFO. It is the applicant’s responsibility to monitor the Grants.gov site for any updates/amendments to this NOFO.

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

Summary Information

Funding Opportunity Summary:

Up to $40 million for Fiscal Years 2024, in Federal funding for eligible entities to deploy, operate, document, and showcase integrated, advanced roadway deployments featuring applications enabled by interoperable wireless connectivity (among vehicles, mobile devices, and smart infrastructure) that substantially and quantitatively improve system safety, enhance traveler mobility, improve efficiency of goods movement, mitigate environmental impacts, and address disparities in transportation equity.

Federal Agency Name: U.S. Department of Transportation (DOT) Federal Highway Administration (FHWA) 1200 New Jersey Avenue, SE Mail Drop: E86-205 Washington, DC 20590 Attn: John Harding

Funding Opportunity Title:

Saving Lives with Connectivity: Accelerating Vehicle to Everything (V2X) Deployment

Announcement Type: This is the only notice for the Saving Lives with Connectivity:

Accelerating V2X Deployment

Funding Opportunity Number:

693JJ324NF00003

Type of Award: Cooperative Agreements

Assistance Listing Number:

20.200 Highway Research & Development

Application Due Date: Submission Deadline: Applications Due by 1/317/2024 at 11:59 PM Eastern Time through www.Grants.gov

Questions: Submit Questions to: rob.miller@dot.gov

Funding Opportunity Informational Webinar

The FHWA will host an Informational Session regarding this funding opportunity focused on the Saving Lives with Connectivity: Accelerating Vehicle to Everything (V2X) Deployment program. This session will be conducted as a virtual forum and will focus on specific topics to help potential applicants gather additional information and ask specific questions.

Participation in this session is not mandatory to submit an application under this NOFO.

However, we encourage potential applicants to take advantage of this opportunity to gather information regarding this specific funding opportunity.

INFORMATIONAL SESSION: Saving Lives with Connectivity: Accelerating V2X Deployment Program

SESSION: Virtual Webcast: Background and Application Information for the Saving Lives with Connectivity: Accelerating V2X Deployment Program DATE: November 15, 2023 TIME: 1:00 pm Eastern Time

INFORMATION AND REGISTRATION:

https://usdot.zoomgov.com/webinar/register/WN_xEoZhP2DTRyyZ9flZBuEGA

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

FOR FURTHER INFORMATION CONTACT:

For further information concerning this notice, please contact Rob Miller Email: Rob.Miller@dot.gov Phone: 202-366-9167

Alternate:

Robin Hobbs Email: Robin.Hobbs@dot.gov Phone: 202-366-4004.

A Telephone Device for the Deaf (TDD) is available for individuals who are deaf or hard of hearing at 202-366-3993.

In addition, FHWA will post answers to questions and requests for clarifications on Grants.gov.

To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact FHWA directly, rather than through intermediaries or third parties, with questions.

SECTION A - PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

According to the latest projections from the National Highway Traffic Safety Administration (NHTSA) for 2022, an estimated 42,795 people died in motor vehicle crashes. The U.S.

Department of Transportation’s (DOT) mission is to facilitate a rapid reduction in (and eventual elimination of) crashes on our nation’s roadways. Both the Secretary of Transportation and the Federal Highway Administration (FHWA) Administrator have emphasized that safety underpins all Federal activity in transportation. Zero is the only acceptable number of traffic fatalities. Our nation has the technology and the resources to make our roadways substantially safer. A combination of innovation and collective action can accelerate the process of making this a goal a reality.

The National Roadway Safety Strategy (NRSS)1 describes the major near-term actions DOT will take to make a meaningful difference in safety improvements. One of these actions on the NRSS Tracking Dashboard2 is to advance the use and deployment of technologies that furthers roadway safety, by specifically calling out both Intelligent Transportation Systems (ITS) and interoperable vehicle to everything (V2X) wireless communications. The ITS and V2X safety applications augment and complement a wider portfolio of potential safety-related actions, including DOT-identified proven safety countermeasures3.

The DOT seeks to deliver a world-class transportation system that advances safe, efficient, equitable, and sustainable mobility choices for all while strengthening our nation’s economy.

Wireless connectivity (among vehicles, mobile devices, and smart infrastructure) is a fundamental element of any modern, world-class transportation system. Wireless connectivity must also be interoperable, ensuring that safety applications and other services dependent on seamless communications can be trusted to operate reliably and effectively across all of the nation’s surface transportation system.

To accelerate the adoption and deployment of interoperable connectivity nationwide, DOT seeks eligible entities to deploy, operate, document, and showcase integrated, advanced roadway deployments featuring applications enabled by interoperable connectivity that substantially and quantitatively:

1 https://www.transportation.gov/sites/dot.gov/files/2022-02/USDOT-National-Roadway-Safety-Strategy.pdf https://explore.dot.gov/views/NRSSDashboard/Dashboard?%3Aembed=y&%3AisGuestRedirectFromVizportal=y% 3AshowAppBanner&%3Adisplay_count=n&%3AshowVizHome=n&%3Aorigin=viz_share_link&%3Atoolbar=no &%3A%3Aembed=yes#7

3 https://highways.dot.gov/safety/proven-safety-countermeasures

• improve system safety (particularly the safety of vulnerable road users as defined in the FHWA Vulnerable Road User Safety Assessment Guidance4);

• enhance traveler mobility;

• improve the efficiency of goods movement;

• mitigate environmental impacts;

• address disparities in transportation equity; and,

• demonstrate a significant return on (public and private) investment.

The FHWA and the Intelligent Transportation Systems Joint Program Office (ITS JPO), in coordination with the Assistant Secretary for Research and Technology, have authored a draft National Accelerating V2X Deployment Plan, pending release, (hereafter, “the draft Plan”) that lays out short, medium, and long-term goals and targets to achieve interoperable connectivity at a national scale. One objective of this draft Plan is to develop, evaluate and document a suitable reference implementation for interoperable connectivity. This reference implementation can serve as a practical template spurring broader, at-scale national deployment. One element of the draft Plan is a DOT-sponsored effort (the subject of this solicitation), the Saving Lives with Connectivity: Accelerating V2X Deployment Initiative (hereafter, “the Initiative”), to support the creation of this reference implementation. The Initiative seeks the development, evaluation, and documentation of multiple operational systems that both achieve the goals related to safety, mobility, efficiency, environmental impacts, equity, and return-on-investment (ROI) noted above and can demonstrate both intra- and inter-site interoperability. Functional interfaces developed, technical insights gained, and lessons learned recorded from these Initiative deployments will be identified and documented to augment Federal efforts to create a practical and effective reference implementation. Awardees are sought who are motivated to innovate, to demonstrate interoperability, to measure benefits, and to share insights with the broader transportation community – and act as key enablers of the vision of interoperable connectivity. Initiative deployments support both the reference implementation and other guidance documents within a national deployment plan (to be released later in 2023). Awardees must be not only motivated, but also capable of delivering at the accelerated technical pace matching the goals and timeline described in the draft Plan.

2. LEGISLATIVE AUTHORITY

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

Funding is authorized under section 11101(c)(1)(D) of the Bipartisan Infrastructure Law (BIL), enacted as the Infrastructure Investment and Jobs Act, Pub. L. 117-58 (Nov. 15, 2021).

4 https://highways.dot.gov/safety/hsip/vru-safety-assessment-guidance

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

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

(A) Independently,

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

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

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

3. BACKGROUND

Wireless communications among vehicles, roadside infrastructure, and mobile devices enable a wide range of applications designed to improve safety, provide equitable transportation, enhance mobility, reduce negative environmental impacts, and bolster system efficiency. Crucial to this vision is the notion of interoperable connectivity – that is, that a diverse range of mobile, in-vehicle, and roadside devices can communicate ubiquitously, efficiently, and securely in a privacy-protected manner using multiple wireless communications technologies, wireless messages, open data formats, and standards.

A wide range of safety-related and other applications leveraging wireless connectivity have been developed and deployed across the nation. One resource describing a variety of these applications can be found on the DOT Intelligent Transportation Systems Joint Program Office website5. These applications are divided in categories: Vehicle-to-Infrastructure (V2I) Safety, Vehicle-to-Vehicle (V2V) Safety, Agency Data, Environment, Road Weather, Mobility, and Smart Roadside. Additional resources can also be found in the Intelligent Transportation Systems Joint Program Office (ITS JPO) Smart Community Resource Center6. These ITS JPO resources provide examples of developed and deployed applications leveraging wireless communications. However, they are intended neither as an exhaustive nor restrictive list.

Additional applications are in development across the nation – in academia, in the public sector, and in the private sector. The Initiative is open to all potentially high-value applications that can make a significant and measurable impact on immediate needs related to safety, mobility, efficiency, environmental impact, equity, and financial sustainability (see Section A.1). In particular, the effort seeks innovative combinations of applications that can demonstrate

5 https://www.its.dot.gov/pilots/cv_pilot_apps.htm

6 https://www.its.dot.gov/scrc/#/ic immediate impact and value delivered while simultaneously helping to chart a practical path towards national interoperable connectivity.

The path towards nationwide interoperability has not been straightforward. Until 2020, one leading plan to realize interoperable V2X connectivity had been built around an assumption of the availability of dedicated wireless spectrum in the 5.9 GHz band in combination with Dedicated Short-Range Communications (DSRC) communication standards. Although significant progress was made in the development of these standards together with field testing in multiple pilot deployments, the rate of progress towards mass market DSRC deployment was slower than expected by decision-makers at the Federal Communications Commission (FCC).

Noting the state of 5.9 GHz band utilization in 2020, the FCC issued a formal order significantly reducing the bandwidth set aside for ITS applications. Most (45 megahertz (MHz)) of the previously ITS-dedicated (75MHz) 5.9 gigahertz (GHz) band was reallocated to non-ITS consumer applications (e.g., Wi-Fi). A portion (30MHz) of the 5.9 GHz band remains dedicated to ITS licensed applications, the other 45MHz is now identified as unlicensed spectrum. As a result, the broader ITS community is at a crucial crossroads in 2023 with respect to the future of interoperable connectivity. Additional information and updates can be found on the DOT Safety Band resources website7 and in the V2X Summit8 proceedings.

Multiple technological, economic, and policy strategies may be considered charting a path towards interoperable connectivity. Some strategies may focus exclusively on the remaining ITS licensed spectrum utilizing C-V2X (Cellular V2X) standards per the current FCC band plan.

Additional strategies may utilize other forms of wireless communications, including but not limited to current and emerging fifth generation (5G) cellular and 5G new radio technologies.

All of these wireless communications strategies feature significant uncertainties, challenges, and risks. As discussed in Section A.1, this funding opportunity is intended to assess these risks, overcome challenges, and mitigate key uncertainties detrimental to the overarching goal of interoperable connectivity.

3.1. DEPLOYMENT SITE FEATURES AND ATTRIBUTES

The Initiative seeks innovative technical approaches featuring:

• conformant and effective utilization of the 5.9 GHz ITS licensed spectrum, potentially augmented with other forms of wireless communications, enabling both

• measurable system impact and a path forward towards nationwide interoperability.

Deployment sites are sought with the following attributes:

• Immediate and measurable impact to address critical needs within the transportation system, particularly safety-related needs. The proposed deployment must address one or more real problem(s) within an operational surface transportation system within the time frame of this Initiative (30 months, see Section A.3.2) Technology demonstrations without direct impact on current safety, mobility, efficiency, or equity operational needs

7 https://www.transportation.gov/content/safety-band

8 https://www.transportation.gov/V2XCommSummit are not sought under this Initiative.

NOTE: Field tests on closed or otherwise controlled environments separate from operational transportation systems will not be considered for award.

• Conformant, effective utilization of the 5.9 GHz ITS licensed spectrum. Utilization of the ITS licensed 5.9 GHz spectrum must conform to all relevant FCC regulation, including obtaining all required waivers and the use of C-V2X standards. Effective utilization implies that the pertinent attributes of the reserved spectrum (e.g., latency, range, and lack of interference) are properly and appropriately allocated to applications dependent on these attributes and results in measurable and quantifiable system impacts.

NOTE: Deployments that do not utilize the 5.9 GHz ITS licensed spectrum will not be considered for award.

Bandwidth constraints may compel deployers to consider other forms of communications to augment the 5.9 GHz ITS licensed spectrum to enable a complete deployment concept.

Innovative utilization of other forms of communications along with approaches utilizing the 5.9 GHz ITS licensed spectrum may be included as an element of the proposed deployment.

NOTE: Deployments may augment utilization of the 5.9 GHz ITS licensed spectrum with other forms of communications, but are not required to do so.

• Demonstrable standards-enabled interoperability. Capability and depth of technical team to engage in the collective planning and execution of interoperability demonstrations both individually and in conjunction with other Initiative awardees.

Interoperability demonstrations must provide over-the-road evidence of successful and secure communications as well as the effective operation of ITS applications among diverse roadside equipment, in-vehicle, and mobile devices. Demonstrations of interoperable connectivity are sought both among equipment and processes within a deployment site as a first step, and utilizing technologies from across all awardee sites in a second step.

• Successfully implement and support interoperable security credential management.

Deployment sites must include an Institute of Electrical and Electronics Engineers (IEEE) 1609.2.1 compliant security credential management system (SCMS)9. In particular, SCMS solutions capable of supporting a path to national interoperability are strongly preferred. All interoperability demonstrations must include end-to-end security credential management, both within the proposed deployment and in interoperability demonstrations with other Initiative awardees.

3.2. INITIATIVE STRUCTURE AND PHASING

9 https://www.its.dot.gov/resources/scms.htm

The draft Plan recognizes the urgency required to set the nation on path to interoperable connectivity. The draft Plan also recognizes the substantial technical and non-technical risks associated with overcoming the inherent challenges to interoperable connectivity. These two factors, the urgency to move forward rapidly and the need to manage risk, are reflected in the two-phase Initiative design.

Phases of the Deployment Effort. Each deployment project is expected to be developed in two distinct DOT-funded phases as illustrated in the figure below. The figure highlights selected key deliverables and activities throughout the Initiative. Further, Initiative awardees are expected to sustain operations for a minimum period of five years after Phase 2 is completed with no supplementary funding from DOT.

Figure 1. Phases of the Initiative.

Phase 1: Finalize Design, Build, and Test. In this phase, awardees will conduct systems engineering activity leading to the installation and testing of the deployed system. Note that for sites with already operational systems, undergoing enhancement and extension of current systems requires updates to existing Concepts of Operations (ConOps), Systems Requirements, Systems Architecture, System Design, and other documentation. Sites deploying all-new systems, or who do not have systems engineering artifacts and other planning documentation in hand at award, will be required to create them. Sample systems engineering documents may be found on https://www.its.dot.gov/pilots/events.htm. Incremental (agile) systems engineering approaches may be offered, in conjunction with (e.g., a hybrid approach) or in lieu of traditional waterfall methods.

NOTE: The maximum proposed duration of Phase 1 is 18 months.

Within Phase 1, each site must demonstrate interoperability among wirelessly connected devices and the surrounding transportation systems throughout their proposed deployment area (among other requirements) as a part of comprehensive system testing. In addition, sites may also be asked to demonstrate interoperable elements of their deployments at DOT’s request in one or more relevant venues, e.g., Plugfest10 events. Sites will be responsible for transporting the relevant equipment to these venues.

10 https://omniair.org/florida_plugfest/

The DOT is cognizant that the vision of interoperable connectivity (See Section A.3) is aspirational and imprecise in nature, while testing and demonstration of interoperability must be concretely and precisely defined. For this Initiative, DOT expects awardees to focus (first) on the key interoperability building blocks in a deployed system, namely the transmission and reception of fundamental standards-conformant messages (e.g., Basic Safety Messages, Signal Phase and Timing and Map messages, and messages related to security credential management).

In Phase 1, DOT expects that equipment from multiple vendors will demonstrate this fundamental level of interoperability. Note that all interoperability testing must be conducted with relevant security management processes “live” and connected with an operational SCMS.

Further, DOT seeks to encourage the utilization of IEEE 1602.2.1 certified technology within the deployments. However, DOT recognizes that both the technology and the relevant certification processes are maturing. Therefore, at a minimum, all IEEE 1602.2.1 relevant devices must be submitted for certification prior to the initiation of Phase 2.

Phase 2 Go/No-Go Decision Point. Prior to moving to Phase 2, the deployed system must be suitably tested. The DOT, in conjunction with the grant Recipient, will assess when testing is complete that the system demonstrates it performs both safely and as designed. Funding for Phase 2 will not be obligated by DOT and authorization to incur costs for Phase 2 is subject to conditions described in Section A.6 of this NOFO. If such a determination cannot be made, funding for Phase 2 will not be obligated by DOT.

Phase 2: Operate and Evaluate. In this phase, the operational system must be maintained in an operational state for the purposes of determining both operational impacts, costs, and technical insights. The collection of data related to the impact of the deployment cannot be less than 12 months and no more than 24 months. The sites will be responsible for a minimum 12 months of data and impact evaluation even if the completion of Phase 1 is delayed.

Throughout Phase 1 and Phase 2, each site will participate in the planning and execution of a joint interoperability demonstration involving devices from all awarded sites. This interoperability demonstration may be assumed to take place between Month 22 and Month 28 (see Figure 1). Note that the DOT will lead the development of the Phase 2 interoperability demonstration plan (with site feedback). This includes the identification and procurement of a third-party closed testing facility, if required. Sites (and their relevant technology vendors) will be responsible for preparing and transporting relevant equipment to the DOT-identified testing site per the Phase 2 interoperability demonstration plan. Sites may also be asked (collectively) to demonstrate interoperable elements of their deployments at DOT request, both in technical venues (e.g., Plugfest, as described above) or as a part of outreach activity. Sites will be responsible for transporting the relevant equipment to these venues.

NOTE: The minimum duration of Phase 2 (either proposed or in execution) is 12 months.

Post-Deployment: Operate and Maintain. The Initiative is a deployment initiative, not a field operational test or technology demonstration. Sites are expected to maintain, operate, and continue to evaluate the effectiveness of successful, conformant elements of the deployment for a minimum of 5 years after the end of Phase 2. Post-deployment planning should assume no additional Federal funding from the Initiative, that is, all operational costs must be borne by site-identified sources after the conclusion of Phase 2. Post-deployment operations planning should address potential contingencies relative to both technical, financial (e.g., availability of other Federal and State aid), and policy (e.g., possible FCC actions) implications.

NOTE: The minimum duration for post-deployment operations and maintenance planning is 5 years.

4. GOALS

4.1. DEPARTMENTAL GOALS

The DOT seeks to fund projects under this NOFO that, in combination with the merit selection criteria, advance one or more of the following Departmental goals, where applicable.

Safety The Department is committed to advancing safe, efficient transportation, including under this Initiative.

The 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.11 The outcomes that are anticipated from the projects funded by the Initiative should align with the NRSS.

Equity The Department seeks to award projects under the Initiative that will create proportional impacts to all populations in a project area, remove transportation related disparities to all populations in a project area, and increase equitable access to project benefits, consistent with Executive Order (E.O.) 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009).

Climate Change and Sustainability The Department seeks to fund projects under the Initiative that reduce greenhouse gas emissions in the transportation sector, incorporate evidence-based climate resilience measures and features, reduce the lifecycle greenhouse gas emissions from the project materials, and avoid adverse environmental impacts to air or water quality, wetlands, and endangered species, and address the disproportionate negative environmental impacts of transportation on disadvantaged communities, consistent with E.O. 14008, Tackling the Climate Crisis at Home and Abroad (86

FR 7619). 12

11 https://www.transportation.gov/NRSS

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

Workforce Development, Job Quality, and Wealth Creation The Department intends to use the Initiative to support the creation of good-paying jobs with the free and fair choice to join a union and the incorporation of strong labor standards and training and placement programs, especially registered apprenticeships, in project planning stages, consistent with E.O. 14025, Worker Organizing and Empowerment (86 FR 22829), and E.O.

14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). The Department also intends to use the Initiative to support wealth creation, consistent with the Department’s Equity Action Plan through the inclusion of Local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises, Minority-owned Businesses, Women-owned Businesses, or 8(a) firms.

4.2. INITIATIVE GOALS

The DOT’s vision for the Initiative is to accelerate the adoption and deployment of interoperable connectivity nationwide to:

• improve system safety (particularly the safety of vulnerable road users);

• enhance traveler mobility;

• improve the efficiency of goods movement;

• address disparities in transportation equity;

• reduce environmental impacts (e.g., greenhouse gas emissions and pollution); and, Goals of the Initiative:

• Deploy, operate, and showcase integrated, advanced deployments featuring applications enabled by interoperable connectivity that substantially and quantitatively improve safety, mobility, efficiency, environmental impacts, equity, and ROI.

• Inform and educate the ITS community and the general public regarding these impacts.

• Support the development, evaluation, and documentation of a suitable reference implementation for secure interoperable connectivity that will serve as a practical template spurring broader, at-scale national deployment of interoperable connectivity.

5. STATEMENT OF WORK

The following sections delineate the tasks and deliverables required in Phases 1 and 2 for Initiative awardees deployments.

If a Phase 1 deliverable, or version update, has not been expressly approved in writing by DOT, the Recipient shall not perform the relevant Phase 2 activities until such time as the Phase 1 deliverable, or version update, is expressly approved in writing by the DOT. Costs incurred to perform Phase 2 tasks, without receipt of written approval of the relevant Phase 1 deliverables or updates from the Agreement Officer’s Representative (AOR) shall be deemed unallowable.

PHASE 1: FINALIZE DESIGN, BUILD, AND TEST TASKS

1-1. Program Management 1-2. System Planning and Design

1-2.1. Systems Engineering Documentation Development and/or Refinement https://www.transportation.gov/sites/dot.gov/files/2022-04/Equity_Action_Plan.pdf

1-2.2. Data Planning 1-2.3. Acquisition and Installation Planning 1-2.4. Operations and Maintenance Planning 1-2.5. Performance Measurement and Evaluation Planning and Baseline Reporting

1-3. System Build 1-3.1. System Acquisition and Installation 1-3.2. Software Development and Integration

1-4. System Test and Operational Readiness Demonstration 1-4.1. System Test and Operational Readiness Demonstration Planning 1-4.2. System Configuration and Unit/Subsystem/System Testing 1-4.3. Operational Readiness Demonstration

1-5. Stakeholder Outreach and Communications 1-5.1. Outreach Plan 1-5.2. Cohort Participation 1-5.3. Design/Build/Test Lessons Learned and Webinars 1-5.4. Design/Build/Test Reference Implementation Guide

PHASE 2: OPERATE AND EVALUATE TASKS

2-1. Program Management 2-2. System Operations and Maintenance 2-3. Inter Site Interoperability Demonstrations 2-4. System Performance Measurement and Evaluation 2-5. Stakeholder Outreach and Communications

2-5.1. Cohort Participation 2-5.2. Operate/Evaluate Lessons Learned and Webinars 2-5.3. Operate/Evaluate Reference Implementation Guide

2-6. Post-Deployment Transition Planning

NOTE 1: All final reports under this agreement will be made publicly available. All publications resulting from this agreement shall follow the ITS JPO publication guidelines,13 including being 508-compliant, and comply with the current DOT Public Access Plan on date of award (currently Version 1.114). In addition, data from these efforts are expected to be made widely available where appropriate, also in accordance with the DOT Public Access Plan.

NOTE 2: The AOR will supply supporting materials and technical assistance to Recipients during Phases 1 and 2. Technical assistance includes templates for select deliverables in Phases 1 and 2.

PHASE 1: FINALIZE DESIGN, BUILD, AND TEST

1-1. Program Management

13 https://www.its.dot.gov/communications/pubsguidance.htm

14 https://www.transportation.gov/mission/open/official-dot-public-access-plan-v11 https://www.its.dot.gov/communications/pubsguidance.htm

Phase 1 Kickoff Meeting. Within four weeks after the effective date of the award, representatives from the Recipient’s deployment team shall attend a kickoff meeting with the DOT and its representatives to ensure that all parties have a common understanding of the award requirements and expectations. The kickoff meeting is planned as an in-person meeting in Washington, DC or at the site, subject to AOR approval. A (completely) virtual meeting may replace the in-person kickoff, subject to AOR approval.

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

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

Project Management Plan. A successful deployment concept will require a disciplined approach to managing the execution of the work and making sure the team responsible for the deployment delivers the highest quality products on time and within budget. Consistent processes and procedures should be used to ensure quality, timeliness, and cost control. The Recipient must conduct effective program management activities to include:

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

• Schedule Management. This includes managing the timely execution of work activities.

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

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

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

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

• Procurement Management. This includes the process for managing procurements for the deployment project. Procurement management also includes contract management.

Procurement management plan should discuss at a minimum: the approach for acquisition of services, devices, and products; how vendors will be selected and managed; the types of contracts that will be used; the types of metrics for evaluating vendors’ performance; the procurement timelines; planning for procurement contingencies; and roles and responsibilities. Procurement risks should be surfaced as soon as these are identified.

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

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

Plans for mitigating risks should be identified and implemented.

The Recipient will prepare a Project Management Plan (PMP) that describes the activities required to perform the work, applying current Project Management Body of Knowledge guidance.15 The PMP will explain the roles and responsibilities of all key individuals within the program/project team. At a minimum, the PMP will contain a Scope Management Plan, a Schedule Management Plan, a Communications Management Plan, a Cost Management Plan, a Quality Management Plan, Configuration Management Plan, and a Risk Management Plan.

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

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

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

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

• Name of the work activity;

• Expected start and end dates;

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

• Dependencies with other work activities in the Project Schedule;

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

• Percent Work Completed.

Monthly Progress Reporting. The Recipient shall provide monthly reporting in accordance with instructions provided in Section F.3 Monthly Reporting (e.g., activity narrative, updated monthly project and task schedules, updated risk register, updated Lessons Learned Logbook (see Task 1-5.3)), utilizing DOT templates that will be provided at the kickoff. Note that monthly reporting is composed of two documents, Part I: Technical Progress and Status Summary, and Part II: Detailed Financial Summary (see Section F.3).

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

Monthly All-Sites Coordination Teleconferences. To assist in coordination across sites and encourage collaboration among deployment sites, the Recipient will have a minimum of one representative participate in a monthly all-site coordination teleconference to be conducted with all Phase 1 Recipients.

Roundtable Teleconferences. The Recipient will have a minimum of one representative participate in bi-weekly roundtable meetings involving site representatives and Federal staff organized around specific topics. These roundtables will be a venue for sites to have collaborative discussions on specific challenges, insights, and solutions. The topics of discussion within the roundtable may be general in nature and may surface the need to convene additional technical and non-technical issues as required. Multiple roundtables may be conducted in parallel, depending on the needs of and topics surfaced by the sites. For example, there may be a roundtable focused on Outreach and Communications, a second roundtable focused on Performance Measurement, a third roundtable focused on Systems Engineering, and so on.

Regardless of how they may be constructed or realized, a key focus of the roundtable meetings will be on planning for inter-site interoperability demonstrations (to be conducted in Phase 2), and technical exchange. The inter-site interoperability demonstrations planning may be part of the Systems Engineering roundtable or may be organized as a separate roundtable. Additional follow-on meetings on specific technical issues may be held with the Federal technical team. A DOT Technical Assistance Team, composed of Federal and contractor staff, will be available to provide technical assistance and troubleshoot issues, working with the Recipient. Some issues may be referred to relevant Cohort or Stakeholder Outreach activities targeting the general ITS community (see Task 1-5, Task 2-5).

Standards Development Organization (SDO) Working Group/Committee Meetings. As directed by the AOR, the Recipient will make available an appropriate subject matter expert (SME) from their team to participate in SDO working group and/or technical committee meetings and provide/edit content of applicable standards. The SME is expected to participate in technical discussions and provide program needs, use cases, and requirements to the appropriate SDOs. The Recipient will also be responsible for reviewing/editing standards documentation relevant to interoperable connectivity as it is developed and balloted within the SDO process.

Phase 1, Task 1-1 Required Deliverables

• Phase 1 Kickoff Meeting

• Project Management Plan (Draft/Final/Revised)

• Monthly Progress Report Part I: Technical Progress and Status Summary

• Monthly Progress Report Part II: Detailed Financial Summary

• Participation in Bi-weekly Site-Specific Coordination Teleconferences

• Participation in Monthly All-Sites Coordination Teleconferences

• Participation in Bi-weekly Roundtable Teleconferences

• Participation in SDO Working Group/Committee Meetings

1-2. System Planning and Design

1-2.1. Systems Engineering Documentation Development and/or Refinement

This task refines existing systems engineering documentation previously developed by the Recipient in support of the delivery of their ITS projects. If the Recipient does not have previously developed systems engineering processes and documentation, then as part of this task the Recipient will develop and deliver the documentation described below.

Systems Engineering Management Plan (SEMP). The Recipient will describe the systems engineering process that will be followed during the execution of this project in a SEMP. The SEMP will describe how the Recipient will manage the systems engineering activities. Effective development and implementation of the technical and institutional solutions to enable an efficient, interoperable, secure, and replicable deployments requires rigorous application of established systems engineering best practices. To reduce the risk of schedule and cost overruns and increase the likelihood that the deployment will meet users’ needs, the Recipient will provide evidence of following a systems engineering process when implementing its concept.

Benefits of following such an approach include improved stakeholder identification and participation; more adaptable, resilient systems; verified functionality and fewer defects; higher level of reuse from one project to the next; and better documentation.

The DOT recognizes the benefits of following a systems engineering approach. The DOT also supports innovative approaches that the Recipient may follow that are tailored to fit the needs of their deployment. The DOT recognizes that the Recipient may choose to use innovative approaches such as Agile Software Development, to build capability. These modern systems engineering techniques represent practical approaches that allow system developers to provide an initial capability followed by successive deliveries to reach the desired final product. Iterative development considers adaptive planning, evolutionary development, early delivery, continuous improvement, and encourages rapid and flexible response to change. This incremental, fast-paced style of development may help keep the solution open and flexible to accept new features and technologies. These techniques can be used to reduce the risk of failure and enable the ability to test and deploy so that features may be added often and put into production easily. The Recipient may refer to the following resources on Agile principles in Systems Engineering:

• Applying SCRUM Methods to ITS Projects. https://rosap.ntl.bts.gov/view/dot/32681

• Integration of Agile Principles into the Systems Engineering Lifecycle Model (INCOSE meeting 3/8/2017). https://www.youtube.com/watch?v=IeMXS6TXIY4

• ITS-NY 2016 – See “We are all SCRUM Masters” presentation page 262.

https://drive.google.com/file/d/1UhN5A5LWXJGYjP274Tf10_rnT4GLQL5C/view

Note: Applicants must propose both a proposed systems engineering approach as well as a set of systems engineering deliverables to support the over-arching Initiative goals regarding interoperable connectivity and replicability.

Note: Applicants should carefully consider the expected breadth and depth of systems engineering documentation they plan to deliver under this Initiative. The Attachment to this NOFO illustrates government expectations in terms of sufficient deliverables under a waterfall systems engineering approach. Note that this does not imply that a waterfall approach is preferred over other approaches.

Systems engineering documentation, source code, and code documentation, developed as part of the Initiative, are required to be shared with DOT and the community. Existing software and applications brought to the deployment need not be made open source, although new interfaces and enhancements (whether digital or software) are required to be made open source. The SEMP shall identify where the deployment will result in the contribution of open-source code and documentation and will include a source code management plan.

The Recipient will deliver a draft SEMP to DOT for review. The Recipient will revise the SEMP in response to DOT comments and deliver a revised SEMP and a companion comment resolution log, showing how comments were resolved. Based on AOR approval of the revised SEMP and comment resolution log, the Recipient will deliver a final SEMP.

Phase 1, Task 1-2.1 Required Deliverables

• SEMP (Draft/Final)

• Systems Engineering Documentation per the SEMP.

1-2.2. Data Planning

In this task, the Recipient will develop a Data Plan that includes sections on Data Privacy Plan (DPP), Notice of Privacy Management Consistency, and a Data Management Plan (DMP). The Data Plan will document how data will be collected, integrated, managed, and disseminated in Phase 1 and Phase 2. This includes real-time and archived data (specifically identifying data to be publicly shared) in systems managed by the Recipient and its partners. When developing the DPP and DMP, Recipients must review the DOT’s current Privacy Policy16 and Public Access Plan17 to ensure information in both reports is included where appropriate in the DPP and DMP sections of the Data Plan.

Data Privacy Plan (DPP). Improper handling of Personally Identifiable Information (PII) or Sensitive Personally Identifiable Information (SPII) by a Recipient could have significant adverse impacts on the privacy of individuals.