SIRC NOFO 693JJ324NF00014 - 3.27.2024.pdf

U.S. Department of Transportation

Federal Highway Administration

Notice of Funding Opportunity Number 693JJ324NF00014

“Strategic Innovation for Revenue Collection (SIRC) Program”

Issue Date: 3/27/2024

Application Due Date: 5/27/2024*

*This NOFO has multiple deadlines. See Pages 3 and 5

TABLE OF CONTENTS

SUMMARY INFORMATION

FUNDING OPPORTUNITY ACCEPTANCE AND INFORMATIONAL WEBINARS

SECTION A – PROGRAM DESCRIPTION

SECTION B – FEDERAL AWARD INFORMATION

SECTION C – ELIGIBILITY INFORMATION

SECTION D – APPLICATION AND SUBMISSION INFORMATION

SECTION E – APPLICATION REVIEW INFORMATION

SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

SECTION H – OTHER INFORMATION

This notice contains collection-of-information requirements subject to the Paperwork Reduction

Act. This information collection has been approved by Office of Management and Budget

(OMB) under 2125-0676. The use of Standard Forms 424, 424A, 424B, 424C, 424D, and SF-

LLL has been approved by OMB under 2105-0520. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the Paperwork Reduction Act, unless that collection displays a currently valid OMB control number.

SUMMARY INFORMATION

Funding Opportunity

Summary:

Up to $45 million ($30 million FY 2022 – 2023 and $15 million FY 2024) in Federal funding to provide grants to eligible entities to test the feasibility of a road usage fee and other user-based alternative revenue mechanisms to help maintain the long-term solvency of the Highway Trust Fund.

Funds are subject to availability and reduced from the authorized set-aside level based on the imposition of the annual Federal-aid highway program obligation limitation.

Federal Agency Name: U.S. Department of Transportation (DOT)

Federal Highway Administration (FHWA)

Office of Operations

1200 New Jersey Avenue, SE

Mail Drop: E86-204

Washington, DC 20590

Attn: Carlos B. McCloud

Funding Opportunity Title: Strategic Innovation for Revenue Collection (SIRC) Program

Announcement Type: This is the initial announcement of this funding opportunity.

This is not a follow-on notice.

Funding Opportunity Number: 693JJ324NF00014

Type of Award: Allocations to State and local government agencies, Metropolitan Planning Organizations (MPOs), or a group of eligible entities.

Assistance Listing Number: 20.200 Highway Research & Development

Application Due Date: FY 2022 – 2023 applications are due by May 27, 2024 at

11:59 pm Eastern Time, to Grants.gov.

FY 2024 application due date to be determined and posted to

Grants.gov via an amendment.

Applicants may submit to either deadline. Applications to the

FY 2022 – 2023 deadline that are not selected will be reconsidered with the next submissions in 2024.

Questions: Submit Questions to: SIRCFHWA@dot.gov mailto:SIRCFHWA@dot.gov

FUNDING OPPORTUNITY ACCEPTANCE AND INFORMATIONAL WEBINARS

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

(FHWA)

ACTION: Notice of Funding Opportunity for the Strategic Innovation for Revenue Collection

(SIRC) Program

FUNDING OPPORTUNITY NUMBER: 693JJ324NF00014

ASSISTANCE LISTING NUMBER: 20.200 Highway Research & Development

SUMMARY:

The purpose of this notice is to solicit applications for FHWA’s Strategic Innovation for

Revenue Collection (SIRC) Program for Fiscal Years (FY) 2022 – 2024. Applications for FY

2022 – 2023 and FY 2024 funds will have two separate submission deadlines in 2024. The specific deadlines for each award cycle will be posted as an attachment to this multi-year NOFO via Grants.gov. The SIRC Program is authorized in Section 13001 of the Bipartisan

Infrastructure Law (BIL), enacted as the Infrastructure Investment and Jobs Act (IIJA) (Pub. L.

117-58).

Based on the amounts authorized under the BIL, the anticipated funding available for discretionary grants each fiscal year between FY 2022 and 2024 will be $15,000,000 ($30 million for FY 2022 – 2023 and $15 million for FY 2024), subject to the availability of funds and obligation limitation. This is the first announcement of this funding opportunity and is not a follow-on notice. However, FHWA implemented a similar predecessor program, the Surface

Transportation System Funding Alternatives (STSFA) Program authorized by section 6020 of the Fixing America’s Surface Transportation (FAST) Act (Pub. L. No. 114-94), for the last several years. Information about awards funded under the STSFA Program is available at:

https://ops.fhwa.dot.gov/stsfa/index.htm. The STSFA was repealed by Section 13001(f) of BIL.

Federal grant funds for the SIRC Program are to be awarded on a competitive basis to eligible entities to test the feasibility of a road usage fee and other user-based alternative revenue mechanisms to help maintain the long-term solvency of the Highway Trust Fund. This notice describes the eligibility criteria, application requirements, selection and evaluation criteria, applicable program and Federal requirements, and available technical assistance during the pilot program.

Applicants interested in applying are encouraged to email letters of intent to

SIRCFHWA@dot.gov no later than 30 days prior to the submission deadline for the award cycle they are applying for with the applicant's name, the State in which the project is located, approximate total project cost, amount of the SIRC grant request, and a two-to three-sentence project description. This early notification of an applicant’s interest in and intent to submit an application in response to this opportunity is not a requirement for submission of that javascript:__doPostBack('ctl00$ctl00$body$homebody$RecentDocuments$C$RecentDocumentsControl$RecentDocumentResults$ctl00$DocumentNumberLink','') https://ops.fhwa.dot.gov/stsfa/index.htm application. DOT seeks this early notification of interest to inform its allocation of resources for application evaluations and to facilitate timely and efficient awards.

DATES:

Applications must be submitted electronically through Grants.gov no later than the following deadlines, as defined by fiscal year:

• The application deadline for Fiscal Year 2022 – 2023 is 5/27/2024; and

• The application deadline for Fiscal Year 2024 is to be determined and will be posted to

Grants.gov via an amendment.

Applicants may submit applications for both FY 2022 – 2023 and FY 2024 awards. Automatic reconsideration of applications submitted for FY 2022 – 2023 is permissible. However, applicants are recommended to update their applications and resubmit them for consideration of a FY 2024 award. If an applicant updates their application before the due date for consideration of a FY 2024 award, they should clearly state it is an update and the original application will not be reviewed.

Applicants are encouraged to submit applications in advance of each application deadline;

however, applications will not be evaluated, and awards will not be made until after each respective application deadline.

ADDRESSES:

Applications must be submitted electronically through Grants.gov. Refer to Funding

Opportunity Number: 693JJ324NF00014.

NOTE: FHWA uses www.Grants.gov for receipt of all applications. Applicants must register and use the system to submit applications electronically. Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this notice. Approval of user registrations for the site may take multiple weeks. It is the applicant’s responsibility to monitor the Grants.gov site for any updates to this Notice.

FOR FURTHER INFORMATION CONTACT:

Primary: Alternate:

Ryan Buck Robin Hobbs

Agreement Officer Agreement Officer/Team Leader

Office of Acquisition and Grants Management Office of Acquisition and Grants Management

Federal Highway Administration Federal Highway Administration

U.S. Department of Transportation U.S. Department of Transportation

1200 New Jersey Ave., SE. 1200 New Jersey Ave., SE.

Washington, DC 20590 Washington, DC 20590 javascript:__doPostBack('ctl00$ctl00$body$homebody$RecentDocuments$C$RecentDocumentsControl$RecentDocumentResults$ctl00$DocumentNumberLink','')

Email: SIRCFHWA@dot.gov (preferred)

Phone: (202) 366-4229 Email: SIRCFHWA@dot.gov (preferred) Phone: 202-366-4004

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

Federal holidays.

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

SUPPLEMENTARY INFORMATION:

Note on Automatic Reconsideration: Applications submitted before the 2024 deadline that are not selected for an FY 2022 – 2023 award will be automatically reconsidered for an FY 2024 award. Applicants that submitted an application for FY 2022 – 2023 and were not selected may also choose to update their applications and resubmit the updated versions for consideration of a

FY 2024 award. If an applicant updates and resubmits their FY 2022 – 2023 application before the FY 2024 due date, they should clearly state it is an update for consideration of a FY 2024 award and that the originally submitted application should be disregarded.

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

INFORMATIONAL WEBINARS:

FHWA plans to conduct outreach regarding the FY 2022 – 2024 SIRC Program in the form of two informational Webinars on how to apply, one before the FY 2022 – 2023 application deadline and one before the FY 2024 application deadline.

Details for the FY 2022 – 2023 Webinar: The FY 2022 – 2023 informational Webinar will be presented on TBD, 2024 at 1:00 pm (APPROXIMATELY 21 DAYS AFTER NOFO

PUBLICATION) Eastern Time. To join this Webinar, follow the instructions posted on https://ops.fhwa.dot.gov/stsfa/index.htm and https://ops.fhwa.dot.gov/bipartisan-infrastructure-law/index.htm.

The audio portion of the FY 2022 – FY 2023 Webinar can be accessed from this teleconference line: TOLL FREE [NUMBER TBD and will be posted to Grants.gov via an amendment];

[ACCESS CODE TBD and will be posted to Grants.gov via an amendment]. The Webinar will be recorded and posted on FHWA's Websites at https://ops.fhwa.dot.gov/stsfa/index.htm and https://ops.fhwa.dot.gov/bipartisan-infrastructure-law/index.htm. A Telephone Device for the Deaf (TDD) is available for individuals who are deaf or hard of hearing at (202) 366-3993.

mailto:SIRCFHWA@dot.gov mailto:SIRCFHWA@dot.gov https://ops.fhwa.dot.gov/stsfa/index.htm https://ops.fhwa.dot.gov/bipartisan-infrastructure-law/index.htm https://ops.fhwa.dot.gov/bipartisan-infrastructure-law/index.htm https://ops.fhwa.dot.gov/bipartisan-infrastructure-law/index.htm

Details for the FY 2024 Webinar: Access information for the FY 2024 informational Webinar will be provided via an amendment to this NOFO and posted to Grants.gov. Attending these informational Webinars is not required to apply.

FHWA will host two Informational Sessions regarding this funding opportunity focused on the

SIRC Program. These sessions will be conducted as a virtual forum and will focus on specific topics to help potential applicants gather additional information and ask specific questions on the program.

Participation in these sessions is not mandatory in order to submit applications under this NOFO for FY 2022 – 2023, or FY 2024. However, FHWA encourages potential applicants to take advantage of these sessions to gather information regarding this specific funding opportunity.

INFORMATIONAL SESSIONS: SIRC PROGRAM

SESSION 1: Virtual Webcast: Application Information for the SIRC Program: FY

2022 – FY 2023

DATE: TBD - will be posted to Grants.gov via an amendment to the NOFO.

TIME: 1:00 pm Eastern Time

LIVE STREAM: TBD - will be posted to Grants.gov via an amendment to the NOFO.

INFORMATION AND REGISTRATION:

TBD - will be posted to Grants.gov via an amendment to the NOFO.

SESSION 2: Virtual Webcast: Application Information for the SIRC Program: FY

DATE: TBD - will be posted to Grants.gov via an amendment to the NOFO.

TIME: 1:00 pm Eastern Time

LIVE STREAM: TBD - will be posted to Grants.gov via an amendment to the NOFO.

INFORMATION AND REGISTRATION:

TBD - will be posted to Grants.gov via an amendment to the NOFO.

SECTION A – PROGRAM DESCRIPTION

1. OVERVIEW

This NOFO announces the availability of up to $15 million for SIRC Program discretionary grants for each of Fiscal Years (FY) 2022 through 2024 (up to $30 million for FY 2022 – 2023 and $15 million for FY 2024).

2. LEGISLATIVE AUTHORITY

Specific statutory authority for conducting this effort is found in Section 13001 of the Bipartisan

Infrastructure Law (BIL), enacted as the Infrastructure Investment and Jobs Act (IIJA) (Pub. L.

No. 117-58), which authorized the Secretary of Transportation to establish the SIRC Program to provide grants to eligible entities to carry out pilot projects under the section.

3. BACKGROUND

The purpose of the SIRC Program is to provide grants to eligible entities to test the feasibility of a road usage fee and other user-based alternative revenue mechanisms to help maintain the long-term solvency of the Highway Trust Fund. Eligible entities include: a State or a group of States;

a local government or a group of local governments; a Metropolitan Planning Organization

(MPO) or a group of MPOs (as defined in 23 United States Code (U.S.C.) 134(b)); and multi-jurisdictional groups. A multi-jurisdictional group is any combination of States, local governments, or MPOs. BIL authorized $15 million per year for FYs 2022 – 2026 for SIRC grants from funds made available for the Highway Research and Development Program under 23

U.S.C. 503(b).

FY 2022 – FY 2023 is the first year of SIRC Program implementation. FHWA implemented a similar predecessor program, the STSFA Program authorized by section 6020 of the FAST Act

(Pub. L. No. 114-94), for the last several years. Information about awards funded under the

STSFA Program is available at: https://ops.fhwa.dot.gov/stsfa/index.htm. The STSFA was repealed by Section 13001(f) of BIL.

4. PROGRAM OBJECTIVES

SIRC grant funds must be used to carry out a pilot project that addresses one or more of the objectives provided in BIL section 13001(b)(3):

(A) To test the design, acceptance, equity, and implementation of user-based alternative revenue mechanisms, including among— (i) differing income groups;

and (ii) rural and urban drivers, as applicable.

(B) To provide recommendations regarding adoption and implementation of user-based alternative revenue mechanisms.

(C) To quantify and minimize the administrative costs of any potential user-based alternative revenue mechanisms.

(D) To test a variety of solutions, including the use of independent and private third-party vendors, for the collection of data and fees from user-based alternative revenue mechanisms, including the reliability and security of those solutions and vendors.

(E) To test solutions to ensure the privacy and security of data collected for the purpose of implementing a user-based alternative revenue mechanism.

(F) To conduct public education and outreach to increase public awareness regarding the need for user-based alternative revenue mechanisms for surface transportation programs.

(G) To evaluate the ease of compliance and enforcement of a variety of implementation approaches for different users of the surface transportation system.

(H) To ensure, to the greatest extent practicable, the use of innovation.

(I) To consider, to the greatest extent practicable, the potential for revenue collection along a network of alternative fueling stations.

(J) To evaluate the impacts of the imposition of a user-based alternative revenue mechanism on— (i) transportation revenues; (ii) personal mobility, driving patterns, congestion, and transportation costs; and (iii) freight movement and costs.

(K) To evaluate options for the integration of a user-based alternative revenue mechanism with— (i) nationwide transportation revenue collections and regulations; (ii) toll revenue collection platforms; (iii) transportation network company fees; and (iv) any other relevant transportation revenue mechanisms.

FHWA interprets the focus of the SIRC Program to be on broad-based alternative revenue mechanisms that could ultimately be scaled to a national level to help maintain the long-term solvency of the Highway Trust Fund, as opposed to localized solutions that are not scalable. The contributions to the knowledge base of potentially transferrable solutions to maintain the solvency of the Highway Trust Fund must be made clear.

5. ADMINISTRATION GOALS

Safety: The Department is committed to advancing safe, efficient transportation, including in the

SIRC 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.1 The outcomes that are anticipated from the projects funded by the SIRC

Program should align with the NRSS.

Climate Change and Sustainability: The Department seeks to fund projects under the SIRC

Program that reduce greenhouse gas emissions in the transportation sector, incorporate evidence-based climate resilience measures and features, reduce the lifecycle greenhouse gas emissions from the project materials, and avoid adverse environmental impacts to air or water quality, wetlands, and endangered species, and address the disproportionate negative environmental impacts of transportation on disadvantaged communities, consistent with Executive Order (EO)

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

Equity: The Department seeks to award projects under the SIRC Program 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 EO 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009).

To the extent practical, FHWA encourages programs and research that are consistent with the

Administration’s commitments to a fair, equitable tax system.

Section E of this NOFO outlines the FY 2022 – 2024 SIRC Program grant selection criteria and describes the process for selecting projects that further the program and Administration goals.

6. DELIVERABLES – STATEMENT OF WORK

The Recipient must perform the following tasks and submit the following deliverables. An electronic copy of all reports must be submitted to the SIRC mailbox at SIRCFHWA@dot.gov.

Task Deliverable Due Date (after effective date of award)

Section 508

Compliant?

#1 Preliminary Kick-off Meeting – Conduct a preliminary kick-off meeting with DOT at mutually-agreed-upon location.

Within 4 weeks after the announcement of project selection.

No

#2 Draft Grant Agreement

FHWA will provide a template for the grant agreement, which will be completed by the applicant. The grant agreement shall include a Project Management Plan. The Project

Management Plan, shall include, at a minimum:

Within 45 days after the announcement of project selection and prior to kick-off meeting.

No

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

• Statement of Work (SOW), with a description of Tasks and Sub-Tasks by which the project work activities will be organized, executed, and monitored.

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

• A description of major Project

Milestones, including key reports, the start of operations of important systems or subsystems, and other important deliverables or events.

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

• A Project Budget, displaying planned expenditures for each Task, with a further breakdown by Cost Element for each

Task and by the Federal share vs. non-

Federal share.

#3 Fully Executed Grant Agreement Within 6 weeks after completion of the draft grant agreement.

No

#4 Kick-off Meeting – Conduct a kick-off meeting with DOT at a mutually-agreed-upon location.

Within 4 weeks after the effective date of the fully executed grant agreement.

No

#5 Quarterly Progress Reports – Submit progress reports to document activities performed, anticipated activities, and any changes to the schedule or anticipated issues.

Quarterly No

#6 Systems Engineering Documents – For any

ITS construction projects funded under this program, in accordance with 23 Code of

Federal Regulations (CFR) 940.11, the

Recipient shall submit electronic copies of the Milestone Systems Engineering documents applicable to this project for approval by FHWA. This shall include, at a

As applicable, 90 days after the effective date of the fully executed grant agreement and prior to the

Project Evaluation

Plan submittal

• Systems Engineering Review Form

• Concept of Operations or

• Systems Engineering Management

Plan

#7 Project Evaluation Plan – The Recipient shall submit to FHWA for approval a Project

Evaluation Plan, which shall include, at a

• Statement of Project Objectives,

• List of Evaluation Criteria (e.g., quantitative performance metrics and/or qualitative assessments) tailored to the Project Objectives.

• Description of Data-Collection procedures tailored to these criteria, which could include, for example, before/after data, surveys, interviews, system-monitoring data, or other data needed to report on the achievement of project objectives.

• Outline of Evaluation Report (1-page, draft list of topics to be addressed)

Within 90 days after the effective date of the fully executed grant agreement

#8 Data Management Plan (DMP)

The Recipient shall submit to FHWA for approval a DMP that provides a preliminary overview of data that may be collected or created through the project, which shall include, at a minimum:

• Data description

• Data access policies

• Data storage and retention approach

The Recipient shall then update the DMP throughout the project with more details on the data that is collected or created, including information on data rights and standards.

Additional information on DMPs can be found at:

https://ntl.bts.gov/ntl/public-access/creating-data-management-plans-extramural-research.

Within 90 days after the effective date of the fully executed grant agreement, to be updated as needed throughout the project.

No https://ntl.bts.gov/ntl/public-access/creating-data-management-plans-extramural-research https://ntl.bts.gov/ntl/public-access/creating-data-management-plans-extramural-research

The Recipient must make available to

FHWA copies of all work developed in performance with the grant agreements, including but not limited to software and data.

#10 Annual Budget Review and Program

Plan Reporting

Submit the Annual Budget Review and

Program Plan Report. The report should describe:

• Overview and schedule of tasks, activities, milestones, and deliverables for the upcoming year, to include:

o the latest deliverables table or project management schedule;

and o a discussion of whether the current approved Technical

Application attached to the award needs to be updated or not. If an update is warranted, propose the updates.

• Overview and forecast budget for the upcoming year, including a discussion of whether the current approved Budget

Application attached to the award needs to be updated or not. If an update is warranted, propose the updates.

90 days prior to the anniversary date that the grant agreement was fully executed.

No

Final Report –The FHWA Agreement

Officer’s Representative (AOR), in consultation with the Recipient, will determine the final design and scope of the

Final Report.

Within 90 days after the termination or expiration of the grant agreement

Yes

NOTE: Section 508 requirements are included in the General Terms and Conditions available online at: https://www.fhwa.dot.gov/cfo/contractor_recip/gtandc_after2023aug07.cfm. Section

508 information can also be found at the following link: https://www.fhwa.dot.gov/508/.

https://www.fhwa.dot.gov/cfo/contractor_recip/gtandc_after2023aug07.cfm https://www.fhwa.dot.gov/508/

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING

The total amount of funding available for awards under this NOFO is up to $15 million per fiscal year (up to $30 million FY 2022 – FY 2023 and $15 million FY 2024). The amount of

SIRC funding available for award and obligation is reduced from the authorized set-aside level based on the imposition of the Federal-aid highway program obligation limitation contained in each fiscal year’s annual appropriations act. Based on the obligation limitation calculations, the amount available for award for FY 2022 is $13,695,000 and the amount available for award for

FY 2023 is $13,170,000. The amount available for award for FY 2024 will be determined upon enactment of the FY 2024 annual appropriations act.

No legal liability on the part of the Government for any payment may arise until funds are available and obligated to an award. The Government reserves the right to make no awards under this NOFO.

2. ANTICIPATED NUMBER OF AWARDS

The Government anticipates making not less than five awards for each fiscal year of funding

(FY22, FY23, and FY24) as a result of this NOFO.

3. RESTRICTIONS ON FUNDING

The type of alternative revenue mechanism proposed is flexible, as long as it is user-based. BIL

Section 13001(c) states that any revenue collected through a user-based alternative revenue mechanism established using SIRC funds shall not be considered a toll under 23 U.S.C. 301. In order to impose a toll on a Federal-aid highway under the SIRC, the public authority seeking to impose the toll must be authorized to do so under an applicable toll authorizing program.

If authorized to impose a toll, then Section 13001(c) applies, and any revenue generated pursuant to the user-based alternative revenue mechanism that is established using funds under the SIRC

Program shall not be subject to the restrictions on toll revenue use under the relevant toll authorizing program. However, while the specific revenue use provisions do not apply, the public authority must use such revenues only for surface transportation activities that could be funded from the Highway Trust Fund in order to comply with the purpose of the SIRC

Program—to demonstrate user-based alternative revenue mechanisms to maintain the long-term solvency of the Highway Trust Fund. This use would include any activities eligible under Title

23 and Chapter 53, Title 49, United States Code, as well as any uses that would otherwise be an eligible use of revenue under these provisions, such as operations and maintenance of highway and transit infrastructure.

Sec. 13001(b)(6) requires consideration of geographic diversity in awarding grants.

4. TYPE OF AWARD

The planned award type is a cost-reimbursement grant with cost-sharing. If a grant recipient will be a State DOT or if a State DOT will serve as a pass-through to a non-State DOT entity, funds will be awarded upon the execution of a project agreement, which is a type of grant agreement for administration of funds to a State DOT using the DOT Payment System referred to as the Fiscal Management Information System (FMIS). If the award Recipient is a non-State

DOT, funds will be awarded upon the execution of a grant agreement with FHWA.

5. PERIOD OF PERFORMANCE

The period of performance shall not exceed 5 years. The period of performance will be determined based on the proposed work tasks outlined in the work plan and defined in the grant agreement or in FMIS, if applicable.

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

Eligible entities include a State or a group of States; a Metropolitan Planning Organization

(MPOs) or a group of Metropolitan Planning Organizations (as defined in 23 U.S.C. 134(b)); a local government or a group of local governments; and multi-jurisdictional groups. An eligible multi-jurisdictional group is any combination of States, local governments, or Metropolitan

Planning Organizations for which each member of the group has signed a written agreement to participate in the SIRC pilot project across jurisdictional boundaries. If the applicant is a multi-jurisdictional group, one entity in the group will be required to administer the Federal funding, which may also entail providing project oversight. Where applicable, FHWA expects that all relevant State agencies (e.g., Department of Motor Vehicles, Department of Revenue) needed to initiate a full-scale deployment of the proposed revenue mechanism will be actively involved in the planning and operation of a pilot project.

If a State has previously proven the viability of an alternative revenue mechanism in a limited capacity through its own research, it may still be a candidate for funding under the SIRC

Program. Applications for full, new pilot projects and for extensions or enhancements of previous pilot or demonstration projects are both eligible if they meet the other eligibility requirements.

2. COST SHARING OR MATCHING

Cost sharing or matching is required. The Federal share of the cost of a SIRC project may not exceed:

A. 80 percent of the total cost of a project carried out by an eligible entity that has not otherwise received a SIRC grant; and

B. 70 percent of the total cost of a project carried out by an eligible entity that has received at least one SIRC grant.

The remainder of the total project cost must come from non-Federal sources. Overall project cost consists of the total value of Federal share and non-Federal cost share combined. Applicants must propose at least a (A) 20 percent matching share for first time applicants, or (B) 30 percent matching share if an applicant has received a previous SIRC award(s).

Other Federal funds using their appropriate matching share may be leveraged for a pilot project but cannot be considered as part of the required SIRC matching funds, which must come from non-Federal sources, unless otherwise allowed by statute.

All forms of cost sharing must adhere to the Uniform Administrative Requirements, Cost

Principles, and Audit Requirements for Federal Awards – 2 CFR Part 200, including section

200.306 on Cost Sharing or Matching.

FHWA will consider the following funds or contributions as contributing to the non-Federal cost share requirement:

• Non-Federal funds

• Toll credits under 23 U.S.C.

• Soft match and in-kind services

Further, State DOTs may use matching strategies available to them under the Federal- aid highway program such as “tapered match.” Detailed information is located at:

https://www.fhwa.dot.gov/ipd/finance/tools_programs/federal_aid/matching_strategies/tapered_ match.aspx.

However, FHWA cannot consider the following funds or contributions as a match:

• Funds already expended prior to execution of the grant agreement or project agreement (or otherwise encumbered)

• Funds for which the source is ultimately a Federal program (unless otherwise allowed by statute)

Additional information on non-Federal matching requirements can be found at https://www.fhwa.dot.gov/legsregs/directives/policy/memonfmr_tapered20190515.htm.

See Section D.2 (Volume 2, Section III) for information about documenting cost sharing in the application.

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

3. OTHER

There is no limitation on the number of applications that may be submitted by an eligible applicant. However, only one project may be included in each application.

https://www.fhwa.dot.gov/ipd/finance/tools_programs/federal_aid/matching_strategies/tapered_match.aspx https://www.fhwa.dot.gov/ipd/finance/tools_programs/federal_aid/matching_strategies/tapered_match.aspx https://www.fhwa.dot.gov/legsregs/directives/policy/memonfmr_tapered20190515.htm

SECTION D – APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

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

Number cited herein. All application materials may be found on Grants.gov at http://www.grants.gov.

Once at Grants.gov, select the Search Grants tab. Then enter one of the following (for best results use the Opportunity Number):

• Opportunity Number: 693JJ324NF00014

• Opportunity Name: Strategic Innovation for Revenue Collection Program

• Assistance Listing Number: 20.200

Select the Opportunity, which will open to a page with several tabs. The first tab is a synopsis of the opportunity.

Select the “Package” tab to download the forms needed to submit a SIRC application.

If potential applicants are unable to download the application package from the Internet, they may send a written request for a paper copy to the points of contact email addresses below.

Requests should be sent to:

Ryan Buck

Agreement Officer

Office of Acquisition and Grants Management

Federal Highway Administration

U.S. Department of Transportation

1200 New Jersey Ave., SE.

Washington, DC 20590

Email: SIRCFHWA@dot.gov (preferred)

Phone: (202) 366-4229

For a Telephone Device for the Deaf (TDD), please call (202) 366-3993.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

Early Notification of Intent to Submit: Applicants interested in applying are encouraged, but not required, to provide early notification of the intent to submit an application by emailing

SIRCFHWA@dot.gov no later than 30 days prior to the submission deadline for the award cycle for which they are applying. This notification should include: the applicant's name, the State in which the project is located, approximate total project cost, amount of the SIRC grant request, and a two-to three-sentence project description. This early notification is not a requirement for http://www.grants.gov/ http://www.grants.gov/ submission of an application. DOT seeks this early notification of interest to inform its allocation of resources for application evaluations and to facilitate timely and efficient awards.

APPLICATION SUBMISSION REQUIREMENTS

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

1. Volume 1: Technical Application.

2. Volume 2: Budget Application, including the Standard Form (SF) 424 (Application for

Federal Assistance); SF-424A (Budget Information for Non-Construction Projects); and

SF-LLL (Disclosure of Lobbying Activities).

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

Volume Section

Page Limitations

Individual page limit Overall page limit

Volume 1. Technical

Application

I – Cover Page None

II – Project Narrative

(including Table of

Contents)

None

One (1) file, 30-page overall limit

III – Responsiveness to

Project Objectives and

Additional Selection

Considerations

None

IV – Management

Structure None

V – Staffing Description 5-page limit

Exhibits and Attachments 5-page limit

Appendix – Résumés*

Individual résumés limited to 4 pages each and do not count against Volume

1’s page limitation.

Volume 2. Budget

I – Application Standard

Forms

One (1) file, no page limit

II – Summary Budget

Information

III – Cost Share

Information (including letters of commitment)

IV – Other Business

Information of 200 megabytes for the entire grant application package is recommended to keep the package aligned with Grants.gov recommendations.

FHWA recommends that applicants use a file naming format of: “[Applicant organization]-

[year]-SIRC-[file ID (e.g., Vol-1, Vol-2)],” where “Applicant organization” reflects the applicant’s legal name (abbreviated as appropriate) and file ID is the volume. If an applicant organization is submitting multiple applications, project names or identifiers may be added to the workspace title in parentheses after the applicant organization. For example, a workspace in

Grants.gov may be titled “Applicant organization (Project 1)-2022-SIRC.” If necessary, the workspace title can be edited per the instructions on Grants.gov.

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.

VOLUME 1 – TECHNICAL APPLICATION

a) Section I - Cover Page Including the following information:

Project Name

Eligible Entity Applying to Receive Federal Funding

Total Project Cost (from all sources) $

SIRC Funding Request (Federal share) $

Non-Federal share for SIRC Funding Request $

Are matching funds restricted to a specific project component? If so, which one?

Yes/No

[FY 2024 application requests only] Has the applicant received previous SIRC Program funding, if so, what fiscal year was funding received?

Yes/No

State(s) in which the project is located

Is the project currently programmed in the:

• Transportation Improvement Program (TIP)

• State Transportation Improvement Program

(STIP)

• MPO Long Range Transportation Plan

• State Long Range Transportation Plan

Yes/No – please specify in which plans the project is currently programmed

Rural Considerations:

a) Is the project serving a rural area(s)?

A rural area is an area not in a Census-designated urbanized area (a Census-designated urban area with 50,000 residents or more).

Yes/No

b) Section II - Project Narrative

The Project Narrative must include all the necessary information required for FHWA to determine that the project satisfies the SIRC Program objectives and requirements described in

Sections A, B, and C, and for FHWA to evaluate the project in relation to the selection criteria specified in Section E.1. To the extent practicable, applicants should provide data and evidence of project merits in a form that is verifiable or publicly available. FHWA expects applications to be complete upon submission.

At a minimum, the Project Narrative should include the following content:

• A table of contents

• A short (50-70 words) summary of the proposed project at the beginning of the Project

Narrative section.

• An introduction that provides a clear, concise description of the project’s proposed alternative revenue mechanism (s) and how it relates to the Program Objectives outlined in Section A. 4. of this NOFO.

• A description of the geographic area or jurisdiction the pilot project will service, including whether or not the area in question is considered rural.

• A detailed statement of work including a detailed schedule for feasibility research, tests, evaluations, and/or deployment activities for completion of all proposed deliverables, in addition to achievable timeframes for successful execution of project milestones.

• The applicant’s past initiatives conducting feasibility research, tests, evaluations, and/or deploy activities related to user-based alternative revenue mechanisms, if applicable, and current plan to contact and coordinate with adjacent and nearby communities.

• A data collection plan that provides an overview of data that may be obtained or created through the project.

• Identify and rate what User-Based Alternative Revenue Mechanism (UB-ARM)

Technology Readiness Maturity Scale level the proposed pilot project will be rated at the beginning of the project and the rating upon completion, using the scale provided below.

The UB-ARM maturity level scale is a systematic way to assess the readiness of a technology for implementation or deployment. The rating should denote either Basic

Feasibility Research (Level 1 or 2), Proof of Concept (Level 3) Applied Test Research

(Level 4), Evaluation (Level 5), System Testing and Refinement (Level 6 – 8), or

Deployment (Level 9). Explain how the technology design plan will progress along the

UB-ARM maturity level scale during the grant period. Describe any proposed approaches to addressing regulatory, environmental, or other requirements that may be necessary for advancing the maturity or readiness of the mechanism.

User-Based Alternative Revenue Mechanism (UB-ARM) Technology Readiness Maturity

Level Scale

b) If yes, how much SIRC funding is being requested to be put toward serving the rural area(s)?

Phase Level Name Description

Basic

Feasibility

Research

Level 1

Feasibility

Studies

Conducting initial research, analysis, and formulation of a user-based alternative revenue mechanism, including but not limited to benefit cost, public acceptance outreach, awareness, and education.

Level 2

System

Formulated

Conceptualizing technology applications and assessing their potential.

Potential system applications identified, and system components user interface are at least partly described.

Preliminary analyses confirms that the technology application might meet the user need.

Proof of

Concept

Level 3

Establish Pilot

Program

Conducting proof-of-concept studies to demonstrate the technical feasibility of proposed user-based alternative revenue mechanism solutions.

Modeling and simulation conducted to validate performance predictions of system capability.

System user interface feasibility and performance metrics established.

Technology addresses a need or introduce an innovation in the field of user-based alternative revenue mechanisms.

Applied

Test

Research

Level 4

Components Validated on a

Roadway Network

Implementing pilot programs to validate and evaluate components of a user-based alternative revenue mechanism on a transportation network.

End-user requirements and component compatibility demonstrated and documented.

A plausible draft integration plan exists, and individual components are successfully tested on a roadway network.

External and internal user system interfaces are documented.

Evaluation

Level 5 System

Prototype Demonstration

Demonstrating and operating a prototype of the user-based alternative revenue mechanism simulated continuously on a roadway network for at least a one-year period.

User-based system has been a fully integrated prototype demonstrated in an operational environment (i.e., real-world conditions, including the user community) on a roadway network and the prototype satisfies all

c) Section III – Responsiveness to Program Objectives and Additional Selection

Considerations

FHWA encourages applicants to describe how their proposed project addresses (1) the Program

Objectives detailed in Section A.4 above and, (2) if applicable, the Additional Selection

Considerations detailed in Section E.2: Administration Goals (see below), Program Topics of Interest, and Maturity or Readiness of the User Based Revenue Mechanism Technology

Integration. Identify each Program Objective and Additional Selection Consideration by name and include data (qualitative or quantitative) or evidence (newspaper articles, public meetings, etc.) that supports how the project will respond to each identified item. Insufficient information to assess the responsiveness of the proposed project to these objectives and considerations may negatively impact the project rating. To minimize redundant information in the application, FHWA encourages applicants to cross-reference relevant substantive information in other sections of the application.

In addressing the Administration Goals Additional Selection Consideration (see Section E.2), provide the following information, as applicable.

operational requirements when confronted with realistic operational challenges (public acceptance, administrative complexity, privacy and enforcement compliance, equity and fairness, technology infrastructure is compatible across different vehicle types and year models).

System

Testing and

Refinement

Level 6 Prototype Refined

System prototype refined based on feedback and lessons learned from the prototype demonstration evaluation.

Level 7

Testing Refined

System on a Roadway Network

Testing the refined system in real-world conditions on a roadway network and evaluating its performance, functionality, and user acceptance.

Level 8 Final

Refinement

Refine the system based on the results of testing and evaluations to improve its effectiveness, efficiency, and reliability.

Deployment Level 9

Technology Proven and

Adopted

Technology meets its stated purpose and functionality as designed.

Technology is proven in an operational environment (i.e., meets target performance measures) on a roadway network and rigorous testing and evaluation has been completed and documented successfully.

Deploying the user-based alternative revenue mechanism in an operational environment on a roadway network based on operational experience and gaining adoption by the governing body.

1. Safety: Applicants must address how their project provides substantial safety benefits.

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

2. Climate Change and Sustainability: Applicants must address how the project will consider climate change and environmental justice in the planning stage and in project delivery. In particular, applicants must address how the project reduces greenhouse gas emissions in the transportation sector, incorporates evidence-based climate resilience measures and features, and reduces the lifecycle greenhouse gas emissions from the project materials, if applicable. Applicants also must address the extent to which the project avoids adverse environmental impacts to air or water quality, wetlands, and endangered species, as well as address disproportionate negative impacts of climate change and pollution on disadvantaged communities.

3. Equity: Applicants must address how their project will include an equity assessment that evaluates whether a project will create proportional impacts and remove transportation related disparities to all populations in a project area. Applicants should demonstrate how meaningful public engagement will occur throughout a project’s life cycle.

Applicants should address how project benefits will improve safety, fight climate change, and/or improve access to resources and quality of life.

d) Section IV – Management Structure

The applicant shall describe the proposed management structure that will oversee implementation of the project and administer the agreement. The section should include the following information:

1. A description of the organization that would be entering into the agreement (i.e., receiving Federal funding) with FHWA, including a description of how the entity will manage the program, including management of project funding.

2. A plan for partnering with the private sector or public agencies, as applicable, including multimodal and multi-jurisdictional entities, research institutions, organizations representing transportation and technology leaders, or other transportation stakeholders.

3. Designation of all proposed sub-recipients and their role in delivering the project.

See 2 CFR § 200.331 for the definition and distinction between a sub-recipient and a contractor.

4. A diagram or flow chart depicting the organizational structure of the project team.

Organizations that are designated as sub-recipients or contractors should be clearly identified.

5. If the applicant is a multi-jurisdictional group, provide a written agreement with signatures from all group members documenting their agreement to participate in the

SIRC pilot project across jurisdictional bounds. See Section C.1 above for a description of eligible muti-jurisdictional groups.

e) Section V - Staffing Description

Applicants shall provide a staffing description that includes the following information:

1. A description of the staffing to manage and conduct the project, including identification of no more than five key personnel total across participating organizations, including their organization, role, and responsibility. Applicants shall describe key personnel’s past or current experience managing federally funded grants and identify the expected level of involvement for each designated key personnel (e.g., percent of work time to be committed to the project during the period of performance). Key personnel résumés must be provided in the Appendix to Volume 1.

2. A primary point of contact (POC) with complete contact information for this individual, to include name, title, phone number(s), and email address.

f) Exhibits and Attachments

Include only those exhibits or attachments that support the assertions or conclusions made in

Volume 1 and will aid in the review and assessment of the application. All exhibits and attachments must clearly identify which section of the Volume 1 Technical Application the document supports.

g) Appendix - Résumés for Key Personnel

Applicants shall provide résumés for all designated key personnel. Individual résumés shall not exceed 4 pages each and shall only contain relevant experience pertinent to the subject matter of this NOFO.

h) Formatting

FHWA recommends that Volume 1 be prepared with standard formatting preferences: a single-spaced document, using a standard 12-point font such as Times New Roman, with 1-inch margins formatted for 8.5 by 11-inch paper. Applications may include appropriately sized pages for conveying detailed information important for the technical review, such as maps. All application pages shall be consecutively numbered.

i) Page Limitations

In accordance with the table in section D.2, Volume 1, Sections II through V shall not exceed 30 pages in total length, including…