UTC NOFO 2022.pdf

UNIVERSITY

TRANSPORTATION CENTERS

PROGRAM

FY 2022 NOTICE OF

FUNDING OPPORTUNITY

Opening Date: May 25, 2022

Requested Date for Letter of Intent: July 1, 2022

Required Application Due: August 25, 2022 www.grants.gov Opportunity No. UTCOPENCOMP2022

Assistance Listing (CFDA) 20.701

Office of the Assistant Secretary for Research and Technology

U.S. Department of Transportation

Washington, D.C. 20590-0001 https://www.transportation.gov/content/university-transportation-centers

May 25, 2022

TABLE OF CONTENTS

SECTION A PROGRAM DESCRIPTION

A.1 Introduction A.2 UTC Program Purpose and Center Objectives

A.3 UTC Program History A.4 Relationship to Other US DOT Efforts

SECTION B FEDERAL AWARD INFORMATION

B.1 Number of Awards

B.2 Types of Centers B.2.1 National Centers B.2.2 Regional Centers

B.2.3 Tier 1 Centers

SECTION C ELIGIBILITY INFORMATION

C.1 Eligible Applicants C.2 Cost Sharing or Matching Funds C.3 Multiple Applications

SECTION D APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package D.2 Content and Form of Application Submission D.2.1 Letters of Intent

D.2.2 Applications D.2.2.1 Cover Sheet

D.2.2.2 Research Abstract

D.2.2.3 Written Response D.2.2.3.1 Response to Evaluation Criteria

D.2.2.3.2 Center Director and Key Personnel D.2.2.4 Required Appendices D.2.2.5 Standard Forms SF-424 and SF-424B

D.2.2.6 Confirmation of Negotiated Overhead and Fringe Benefit Rates D.3 System for Award Management (SAM)

D.4 Submission Dates and Times D.4.1 Letters of Intent

D.4.2 Applications D.5 Funding Restrictions D.6 Other Submission Requirements

SECTION E APPLICATION REVIEW INFORMATION

E.1 Criteria E.2 Review and Selection Process

SECTION F FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices F.2 Administrative and National Policy Requirements F.3 Reporting

SECTION G FEDERAL AWARDING AGENCY CONTACT

SECTION H OTHER INFORMATION

ATTACHMENT A

SECTION A PROGRAM DESCRIPTION

A.1 Introduction

The Infrastructure Investment and Jobs Act (IIJA; P. L. 117-58, November 15, 2021) (commonly known as the “Bipartisan Infrastructure Law,” or “BIL”) authorizes the Secretary of

Transportation to make grants to eligible non-profit institutions of higher education1 to establish and operate University Transportation Centers (UTCs or Centers). Non-profit institutions of higher education may include qualifying two-year institutions (20 U.S.C. § 1001(a))2. The

Office of the Assistant Secretary for Research and Technology (OST-R) of the U.S. Department of Transportation (US DOT or DOT) will manage the UTC Program (Assistance Listing, formerly Catalog of Federal Domestic Assistance number, 20.701).

Through this Notice of Funding Opportunity, the US DOT seeks competitive grant applications for National UTCs, Regional UTCs, and Tier 1 UTCs as set forth in the IIJA (detailed descriptions of the three types of UTCs are provided in SECTION B FEDERAL AWARD

INFORMATION). UTCs will be selected by the Secretary, in consultation with the heads of the operating administrations of the US DOT, as appropriate (49 U.S.C. § 5505(b)(4)(B) as amended by the IIJA, Sec. 25017).

UTCs shall support surface transportation through the following US DOT statutory research priorities (49 U.S.C. § 6503(c)(1) as amended by the IIJA, Sec. 25014):

A. Improving Mobility of People and Goods;

B. Reducing Congestion;

C. Promoting Safety;

D. Improving the Durability and Extending the Life of Transportation Infrastructure;

E. Preserving the Environment;

F. Preserving the Existing Transportation System; and

G. Reducing Transportation Cybersecurity Risks.

A UTC and its consortium members must be established and located physically in the United

States or its territories or on Tribal lands. It must be a consortium of two or more nonprofit

1 The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Grants, Title 2 of the Code of Federal Regulations, Part 200 defines “institution of higher education” as that term is established in 20

U.S.C. § 1001(a).

2 Qualifying two-year institutions may include junior or community colleges if they meet the requirements of 20

U.S.C. § 1001(a).

institutions of higher education. Each Center is required to obtain matching funds from non-

Federal sources. National and Regional UTCs must obtain matching funds in an amount equal to the US DOT award amount. The match for Tier 1 UTCs is 50 percent of the US DOT award amount. The US DOT grant funds may be expended up to November 30, 2028, and Centers will have until that date to meet the full match requirement by obtaining and expending those funds.

Specific instructions on how to apply for UTC grant funding under this Notice of Funding

Opportunity are provided in SECTION D APPLICATION AND SUBMISSION

INFORMATION.

A.2 UTC Program Purpose and Center Objectives

As stated in 49 U.S.C. § 5505, the purpose of the UTC Program is for eligible nonprofit institutions of higher education to establish and operate University Transportation Centers.

The objectives of each of these Centers are to:

• Advance transportation expertise and technology in the varied disciplines that comprise the field of transportation through education, research, and technology transfer activities;

• Provide for a critical multimodal transportation knowledge base outside of the US DOT;

and

• Address critical workforce needs and educate the next generation of transportation leaders with respect to the statutory research priorities.

Although every Center has the same broad objectives, the US DOT encourages diversity among the program participants and in the approaches individual Centers take to achieve the program objectives. The US DOT encourages unique approaches to research, education, workforce development and technology transfer, building on or reflecting institutional expertise, facilities, and partnerships. In order to achieve its transformative vision of a fully connected, integrated, accessible, and interoperative multimodal system of systems that is centered on the seamless movement of people and goods, the US DOT desires UTCs to engage in breakthrough, advanced, and transformative research, education and workforce development, and technology transfer activities that cut across disciplines and span multiple modes of transportation. UTCs have an important role to play in helping to transform the Nation’s surface transportation system to achieve this vision, inclusive of rail, maritime, highway, pipelines, transit, and any surface links to aviation.

A.3 UTC Program History

The history of the UTC Program begins with its initial authorization in the Surface

Transportation and Uniform Relocation Assistance Act of 1987. After a nationwide competition, in 1988 the US DOT awarded grants to create a UTC in each of the ten standard Federal regions.

The primary purpose of the program at that time was conducting research.

The Intermodal Surface Transportation Equity Act (ISTEA) of 1991 reauthorized the UTC

Program through Fiscal Year 1997 and expanded its mission to include education and technology transfer, as well as research. In addition to the ten Regional Centers, ISTEA created three

“national” Centers and six University Research Institutes at universities that were named in the

Act. The program expansion led the US DOT to adopt a strategic planning approach to program management based on a unified mission and goal set for all 13 Centers and six Institutes.

In 1998, the Transportation Equity Act for the 21st Century (TEA-21) reauthorized the UTC

Program for an additional six years and increased the total number of Centers to 33. In addition to the ten Regional Centers, which were selected competitively in 1999, TEA-21 created 23 other

Centers at institutions named in the Act. TEA-21 established education as one of the primary objectives of a UTC and institutionalized the use of strategic planning in UTC grant management.

The Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users

(SAFETEA-LU), enacted in 2005, provided the most significant expansion of the UTC program to date. SAFETEA-LU increased the number of UTCs from the 33 established in TEA-21 to 60, including the ten Regional UTCs plus a new group of ten competitive centers called Tier 1

Centers; the other 40 UTCs were located at institutions named in the Act. Annual authorized funding for the UTC program also increased from $32.5 million in TEA-21 to $85.9 million in

SAFETEA-LU.

The Surface Transportation Extension Act of 2010, sec. 411(e)(3), gave the US DOT the discretion to redistribute funds allocated to specified research projects and programs designated in SAFETEA-LU. The Fiscal Year 2011 funds were made available through full and open competition following the framework of the competitive UTC programs under SAFETEA-LU sections 5506(e) and (f). Grants of approximately $3.5 million each were awarded to ten Tier 1

UTCs, two Tier 1 Transit-Focused UTCs, and ten Regional UTCs. Fiscal Year 2012 funds were added to these grants following additional extension legislation.

In 2012, the Moving Ahead for Progress in the 21st Century Act (MAP-21) continued the UTC program, authorizing the competitive selection of 35 UTCs to receive a total of $72.5 million in funding for each of Fiscal Years 2013 to 2014, with continued funding from extension acts through Fiscal Year 2015. Following a competition in 2013, grants of approximately $3 million each were awarded to five National UTCs, $2.75 million each to ten Regional UTCs, and $1.5 million each to twenty Tier 1 UTCs.

The Fixing America’s Surface Transportation (FAST) Act was enacted in December 2015, establishing the UTC Program similarly to MAP-21 with 35 UTCs to receive funding from

Fiscal Years 2016 to 2020. The FAST Act was later extended through Fiscal Year 2021.

Authorized funding increased incrementally from $72.5 million per year to $77.5 million per year. Congress provided one-time funding and authorizations for additional grants in 2018 for two additional National UTCs (total authorization $15 million) and in 2020 for additional Tier 1

UTCs (total authorization $5 million). These grants were competed and awarded in 2019 and

2020 respectively, and they operate similarly to the FAST Act-authorized UTCs except for a shorter period of performance and smaller award amounts.

The Infrastructure Investment and Jobs Act (IIJA) was enacted in November 2021, establishing the UTC Program as it is described throughout this Notice of Funding Opportunity. The IIJA’s reauthorization of the UTC Program both sustains existing and establishes new and vital initiatives in transformational research, education and workforce development, and technology transfer that benefit the U.S. traveling public, freight movement, and the safety and efficiency of the U.S. transportation system, while addressing concerns of climate change and environmental impacts caused by and affecting transportation systems and vulnerable communities, and issues of transportation accessibility and equity.

The most significant changes in the UTC Program between the IIJA and the previous FAST Act are:

• a seventh research priority, Reducing Transportation Cybersecurity Risks, is added (see

Section A.1 Introduction above);

• all new candidate topic areas under each of the seven research priorities (see Section

D.2.2.3.1.A Criterion One: Research Activities and Capability below);

• award amounts are expected to be higher throughout the life of the grants (see Section B

FEDERAL AWARD INFORMATION below); and

• an institution of higher education may receive only one grant as the lead of a consortium

(see Section C.3 Multiple Applications below).

Additional information about the UTC Program is available on the UTC Program website

(https://www.transportation.gov/content/university-transportation-centers).

A.4 Relationship to Other US DOT Efforts

The US DOT continues to build on existing efforts to apply research awards and resources in an effective manner, in order to support the DOT mission, “To deliver the world’s leading transportation system, serving the American people and economy through the safe, efficient, sustainable, and equitable movement of people and goods.” As part of preparing their applications, applicants should familiarize themselves with US DOT’s current strategic planning and innovation efforts:

• US DOT has developed a new FY 2022-2026 DOT Strategic Plan. This plan is available on the US DOT website at https://www.transportation.gov/dot-strategic-plan. Note the

Key Performance Indicators under the Transformation strategic goal on page 33 as items especially relevant to UTC Program grants. As noted in D.2.2. Applications below, applicants will need to identify which strategic goals and objectives under this plan the proposed UTC supports.

• US DOT is developing a new Research, Development and Technology (RD&T) Strategic

Plan for Fiscal Years 2022-2026 (as required by the IIJA, Sec. 25014), which aligns with the DOT Strategic Plan and with the revised goals of the IIJA. Information about RD&T https://www.transportation.gov/dot-strategic-plan

Strategic Plan development is available at https://www.transportation.gov/utc/current-competition.

• As a step toward a long-term goal of reaching zero roadway fatalities, US DOT developed its National Roadway Safety Strategy outlining a comprehensive approach to significantly reducing serious roadway injuries and deaths. The strategy is on the US

DOT website at https://www.transportation.gov/NRSS.

• US DOT recently released its new US Department of Transportation Equity Action Plan that highlights work the Department will undertake to expand access and opportunity to all communities while focusing on underserved, overburdened, and disadvantaged communities. The plan is on the US DOT website at https://www.transportation.gov/priorities/equity/actionplan.

• In addition, the Department of Transportation stresses the critical importance of innovation, a concept that is recognized to be a key component of the work done by the nation’s colleges and universities. Information about US DOT’s emphasis on innovation is available on the US DOT website at https://www.transportation.gov/innovation, along with a set of US DOT Innovation Principles

(https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles) developed to guide the Department’s approach toward this desired innovation.

Programs managed by the US DOT and other Federal agencies are charged with supporting and complying with Presidential Executive Orders and Memoranda. US DOT has specific interest in providing research, education, and technology transfer opportunities for historically underserved communities, including those served by minority institutions. US DOT is also interested in accelerating research and technology transfer that addresses transportation’s critical role in climate change and sustainability. Of particular interest for the university community, US DOT is committed to the principles of scientific integrity in research. Applicants should familiarize themselves with the following Executive Orders and Memorandum that will be relevant to applications submitted under any of the seven statutory research priority areas, toward advancing

US DOT goals:

➢ Advancing Racial Equity and Support for Underserved Communities Through the

Federal Government (https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/)

➢ Tackling the Climate Crisis at Home and Abroad (https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/)

➢ Memorandum on Restoring Trust in Government Through Scientific Integrity and

Evidence-Based Policymaking (https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/memorandum-on-restoring-trust-in-government-through-scientific-integrity-and-evidence-based-policymaking/)

Federal agencies including US DOT are each required to develop a Strategic Plan at the beginning of a new Presidential administration, establishing the agency’s overarching goals and https://www.transportation.gov/utc/current-competition https://www.transportation.gov/utc/current-competition https://www.transportation.gov/NRSS https://www.transportation.gov/priorities/equity/actionplan https://www.transportation.gov/innovation https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/memorandum-on-restoring-trust-in-government-through-scientific-integrity-and-evidence-based-policymaking/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/memorandum-on-restoring-trust-in-government-through-scientific-integrity-and-evidence-based-policymaking/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/memorandum-on-restoring-trust-in-government-through-scientific-integrity-and-evidence-based-policymaking/ identifying objectives to reach those goals, as well as key performance indicators to measure results. US DOT is required to track and report its progress through the key performance indicators toward achieving the goals. Because activities conducted by UTCs will contribute toward these goals, objectives, and indicators, elements of US DOT’s Strategic Plan

(https://www.transportation.gov/dot-strategic-plan) are incorporated throughout this Notice of

Funding Opportunity.

SECTION B FEDERAL AWARD INFORMATION

The US DOT will operate the UTC Program based on the principles of full and open competition. Awards will be in the form of grants to successful applicants. The funding and authorization available to OST-R for this Notice of Funding Opportunity at this time are solely from Federal Fiscal Year 2022 funds.

The Infrastructure Investment and Jobs Act (IIJA, sec. 11101(c)(1)(E)) authorizes $80 million for Federal Fiscal Year 2022 (FY 2022), $80.5 million for Fiscal Year 2023 (FY 2023), $81 million for Fiscal Year 2024 (FY 2024), $81.5 million for Fiscal Year 2025 (FY 2025), and $82 million for Fiscal Year 2026 (FY 2026) for 35 competitive grants to UTCs. In addition, the IIJA

(Division J, Title VIII) provides $19.0 million per fiscal year “to remain available until expended for amounts made available for each of fiscal years 2022 through 2026…to carry out the

University Transportation Centers Program.”

Authorized FY 2022 through FY 2026 funds are subject to appropriations and to an annual obligation limitation, and 49 U.S.C. § 5505(d)(3) allows US DOT to expend not more than 1.5 percent of the funding amounts made available for the UTC Program to carry out coordination, evaluation, and oversight activities for the program, the combination of which may reduce grant award amounts. The amount of budget authority available in a given year may be, and has been in recent years, less than the amount authorized for that fiscal year, resulting in reductions of award amounts. As of the release date of this Notice of Funding Opportunity, US DOT anticipates being able to award in FY 2022 the full amounts shown for that year in Section B.1

Number of Awards below.

Current UTC Program grant recipients are eligible to apply for, and to receive if selected, grant funding through this competition. If a current UTC Program grant recipient is selected to be a new UTC under this Notice of Funding Opportunity, the new grant will be managed as a separate entity from any previous grant(s).

Funds made available under this Notice of Funding Opportunity may be expended from an anticipated start date of November 15, 2022 through November 30, 2028.

B.1 Number of Awards

Three types of Centers will be selected under this Notice of Funding Opportunity:

• Five National UTCs;

• Ten Regional UTCs, one of which will be a Center focusing its efforts in the field of comprehensive transportation safety, congestion, connected vehicles, connected infrastructure, and autonomous vehicles, including the cybersecurity implications of technologies relating to connected vehicles, connected infrastructure, and autonomous vehicles; and

• 20 Tier 1 UTCs.

The expected fiscal year funding amounts for each type of Center, based on the authorized amount of funding before any of the reductions noted in SECTION B FEDERAL AWARD

INFORMATION above and assuming selection of 20 Tier 1 UTCs, are up to the following amounts:

Nationals $4,000,000 each X 5 $20,000,000

Regionals $3,000,000 each X 10 $30,000,000

Tier 1s $2,000,000 each X 20 $40,000,000

TOTAL FY22 $90,000,000

TOTAL FY23 $90,000,000

TOTAL FY24 $90,000,000

TOTAL FY25 $90,000,000

TOTAL FY26 $90,000,000

Through this Notice of Funding Opportunity, the US DOT is competing UTC grants in fixed amounts within the ranges enabled by 49 U.S.C. § 5505(c) for each type of UTC (National, Regional and Tier 1) in order that applicants for each type of grant may be evaluated fairly against a fixed level of effort.

B.2 Types of Centers

B.2.1 National Centers

The five National Centers must focus their efforts on national transportation issues as identified by one of the statutory research priority areas (49 U.S.C. § 6503(c)(1) as amended by IIJA sec.

25014): Improving Mobility of People and Goods; Reducing Congestion, Promoting Safety;

Improving the Durability and Extending the Life of Transportation Infrastructure; Preserving the

Environment; Preserving the Existing Transportation System; and Reducing Transportation

Cybersecurity Risks. Although there are seven research priority areas, only five National

Centers may be funded; selection within the seven research priority areas will be determined by the relative merits of applications received and in order to achieve a balanced portfolio across all selected Centers as discussed in SECTION E APPLICATION REVIEW INFORMATION below.

SECTION D APPLICATION AND SUBMISSION INFORMATION provides additional information on non-exclusive candidate topic areas categorized under each research priority area.

National Centers may be based in any region and may include consortium members that are not in the same Federal region as the lead institution.

B.2.2 Regional Centers

The ten Regional Centers must focus their efforts on national transportation issues as identified by one or more of the seven statutory research priority areas: Improving Mobility of People and

Goods; Reducing Congestion; Promoting Safety; Improving the Durability and Extending the

Life of Transportation Infrastructure; Preserving the Environment; Preserving the Existing

Transportation System; and Reducing Transportation Cybersecurity Risks. SECTION D

APPLICATION AND SUBMISSION INFORMATION provides additional information on non-exclusive candidate topic areas categorized under each research priority area.

The IIJA (sec. 25017, amending 49 U.S.C. § 5505(c)(3)(E)) also requires that one of the ten

Regional UTC awards be given to a Center focusing its efforts in the field of comprehensive transportation safety, congestion, connected vehicles, connected infrastructure, and autonomous vehicles, including the cybersecurity implications of technologies relating to connected vehicles, connected infrastructure, and autonomous vehicles. Other than this specific focus area, this UTC will perform the other functions of a Regional Center.

The ten Regional Centers are to be located one in each of the ten standard Federal regions listed in Table 1 below. They are distinct from the National and Tier 1 Centers in that they must also address what the Regional UTC identifies as regional needs. While a National or

Tier 1 Center may be based in any region and may form a consortium with universities that are not located in its region, a Regional Center, including all consortium members, must be located within the Federal region to be served. Each Regional Center must serve as a focal point within its respective region to help coordinate UTC transportation research and education programs with regional needs and initiatives. At a minimum, a Regional Center should work with the other UTCs in its region to maximize the effectiveness of the region’s collective services and programs.

Table 1. Standard Federal Regions

Standard Federal Regions

Region 1 Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont

Region 2 New Jersey, New York, Puerto Rico, U.S. Virgin Islands

Region 3 Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia

Region 4 Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee

Region 5 Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin

Region 6 Arkansas, Louisiana, New Mexico, Oklahoma, Texas

Region 7 Iowa, Kansas, Missouri, Nebraska

Region 8 Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming

Region 9 Arizona, California, Guam, Hawaii, Nevada

Region 10 Alaska, Idaho, Oregon, Washington

B.2.3 Tier 1 Centers

The twenty Tier 1 Centers must focus their efforts on national transportation issues as identified by one of the seven statutory research priority areas: Improving Mobility of People and Goods;

Reducing Congestion; Promoting Safety; Improving the Durability and Extending the Life of

Transportation Infrastructure; Preserving the Environment; Preserving the Existing

Transportation System; and Reducing Transportation Cybersecurity Risks. SECTION D

APPLICATION AND SUBMISSION INFORMATION provides additional information on non-exclusive candidate topic areas categorized under each research priority area.

Tier 1 Centers may be based in any region and may include consortium members that are not in the same Federal region as the grantee university.

SECTION C ELIGIBILITY INFORMATION

C.1 Eligible Applicants

Only U.S. non-profit institutions of higher education as defined under 20 U.S.C. § 1001(a) are eligible to apply. Non-profit institutions of higher education may include qualifying two-year institutions that meet the requirements of 20 U.S.C. § 1001(a). Any application submitted by or including in its consortium an entity other than a U.S. non-profit institution of higher education will not be considered for selection.

As noted in SECTION B FEDERAL AWARD INFORMATION, current UTC Program grant recipients are eligible to apply for grant funding. If a current UTC Program grant recipient is selected to be a new UTC under this Notice of Funding Opportunity, the new grant will be managed as a separate entity from any previous grant(s).

Under 49 U.S.C. § 5505(b)(1), a UTC must be a consortium of two or more non-profit institutions of higher education led by one lead institution, all located in the United States or its territories or on Tribal lands. Typically, a consortium is a meaningful arrangement with all members involved in planning the overall direction of the Center’s activities and participating in most aspects of the Center; the consortium is a long-term relationship lasting the full life of the grant. Any application submitted by a sole non-profit institution of higher education that is not part of a consortium will not be considered for selection.

Universities may collaborate with State, Tribal, and local Departments of Transportation and

Departments of Public Works, metropolitan and regional planning organizations, the private sector, the philanthropic sector, and non-profit organizations; however, organizations that are not defined as U.S. non-profit institutions of higher education will not be considered members of the consortium. Organizations that are not members of a consortium may collaborate with a Center on a particular project or provide a service that assists in accomplishing that Center’s activities.

The grantee/recipient institution will be the direct and primary recipient of the US DOT funds and must perform a substantive role in carrying out Center activities; it may not serve solely or primarily as a conduit for awards to another party. Under this Notice of Funding

Opportunity, there is no minimum requirement for concentration of funding at the grantee institution or for consortium institutions.

C.2 Cost Sharing or Matching Funds

Total funding for a Center’s operation must include the US DOT funding plus non-Federal matching funds. The matching funds may include Federal funds provided to a recipient under 23

U.S.C. § 504(b) or 505 (local technical assistance and State planning and research programs managed by the Federal Highway Administration). No other sources of Federal funds, including from non-US DOT Departments and Agencies, may be counted toward the match requirement.

The non-Federal matching funds may be cash or in-kind, must be used to accomplish program objectives and the purpose of the grant, and must be fully documented in the Center’s records.

Grantees will have the length of the grant period to obtain and to spend the full amount of required matching funds. Any restrictions under the grant or in Federal grant regulations 2 CFR

Part 200 on allowability of costs apply to matching funds as well as the Federal funds.

National and Regional UTCs must obtain matching funds in an amount equal to the US DOT grant award amount. The match for Tier 1 UTCs must be 50 percent of the US DOT grant award amount.

Letters of commitment are neither required nor permitted in the application for space reasons.

Instead, applicants wishing to identify such commitments should note in the text of the application if you have received such commitments, keeping any letters of commitment on file for audit purposes. If copies of such letters are included, they will count toward the application’s page limit.

C.3 Multiple Applications

Institutions may apply for multiple grants by submitting separate applications for each, and they may choose to submit separate applications for grants under more than one type of UTC category

(National, Regional or Tier 1). However, 49 U.S.C. § 5505(b)(2) (as amended by IIJA, Sec.

25017) restricts the number of UTC grants that an institution may receive through this competition as a lead institution of a consortium to one UTC grant (previously a lead institution could receive one grant under each type of center, but now only one UTC grant in total may be received). In this competition, there are no restrictions on the numbers or types of UTCs of which an institution may be a non-lead consortium member; an institution could be selected as the lead on one UTC and as a non-lead consortium member on another selected UTC.

SECTION D APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

Applicants may view this Notice of Funding Opportunity and other supporting materials on www.grants.gov (the Federal electronic grant identification and application system) and the UTC

Program website, https://www.transportation.gov/content/university-transportation-centers. For www.grants.gov, applicants should log onto that system and then search for Assistance Listing

(Catalog of Federal Domestic Assistance number) 20.701 or Opportunity No.

UTCOPENCOMP2022 in order to find this Notice of Funding Opportunity. Although this

Notice will be available for viewing on the UTC Program website, applications themselves must be submitted through Grants.gov.

This Notice of Funding Opportunity and previous UTC grant terms and conditions (including reporting requirements) that are similar to those that will be in effect for the upcoming grants may also be found on the UTC Program website, https://www.transportation.gov/content/university-transportation-centers. OST-R will post final versions of the terms and conditions for the new UTC Program grants on that website as soon as they are available.

D.2 Content and Form of Application Submission

D.2.1 Letters of Intent

This Notice of Funding Opportunity requires that each applicant submit a Letter of Intent which http://www.grants.gov/ https://www.transportation.gov/content/university-transportation-centers

OST-R requests be received by 5:00 PM EDT, FRIDAY, JULY 1, 2022 (late submission of a

Letter of Intent will be accepted if received before the deadline for applications); any application not preceded by a Letter of Intent submitted in the manner described here will be rejected. The

Letter of Intent must be submitted to OST-R as a PDF attachment in an e-mail, sent to

UTCgrants@dot.gov.

The Letter of Intent must identify the following items:

1. the non-profit institution of higher education that will submit the application as the lead of the consortium;

2. the type of UTC for which you are applying as shown in Section B.2 Types of Centers above: (1) National Center; (2) Regional Center; or (3) Tier 1 Center;

o if you are applying as a Regional Center, please indicate the Federal region in which you are located (as shown on Table 1 previously in this document)

3. the statutory research priority area (see Section B.2 Types of Centers above) that will be your primary focus; and

4. contact information for a person at your institution that the US DOT may e-mail or call with questions about the Letter of Intent.

Letters of Intent are required so that the US DOT review panels, comprised of relevant subject matter experts, may be organized in advance of receipt of final applications.

After submitting a Letter of Intent, you may change the type of Center being applied for and describe the change in the final application. However, you may not change the statutory research priority area identified in the Letter of Intent as your primary focus.

If you are intending to apply for more than one UTC grant, either within a category of

Centers or across categories of Centers, you must submit a separate Letter of Intent (and a separate application) for each grant. An institution applying for more than one grant may not submit preferences as to which grant it would prefer to receive; the US DOT will make the selections.

D.2.2 Applications

If you are eligible to receive an award under this Notice of Funding Opportunity, your (non-profit institution of higher education’s) authorized representative must submit the application through www.grants.gov; any application submitted other than through www.grants.gov will not be considered for funding. You will want to ensure well in advance that your institution is registered with www.grants.gov, as registration is not instantaneous. Eligible entities must have or must secure a Unique Entity Identifier (UEI, formerly DUNS number) for the purposes of formal application; a university’s sponsored-programs or research office typically is the entity within a university that submits applications and so should be able to assist with this. The mailto:UTCgrants@dot.gov http://www.grants.gov/

Unique Entity Identifier is a unique, 12-character alphanumeric value that identifies your organization. Each applicant’s Unique Entity Identifier will be maintained as part of the applicant’s profile. This number can be obtained through the Federal government’s System for

Award Management or SAM.gov system https://sam.gov/content/home.

You are responsible for the accuracy and validity of all the administrative, fiscal, and technical information in your application. The application must consist of:

1. A cover sheet;

2. A two-page research abstract;

3. A written response to the evaluation criteria, and identification of the proposed Center

Director and key staff (this portion of the application must not exceed 35 pages);

4. Required appendices (minority institution enrollment, CVs, and budget plans);

5. Standard Forms SF-424 “Application for Federal Assistance” and SF-424B

“Assurances – Non-Construction Programs;” and

6. A copy of each of your consortium institutions’ most recent negotiated overhead and fringe benefit rates.

►►► PLEASE ENSURE THAT YOUR APPLICATION DOES NOT CONTAIN ANY

PERSONALLY IDENTIFIABLE INFORMATION ◄◄◄

(such as Social Security numbers, birth dates, home addresses, etc.)

Information submitted in the application may be subject to the

Freedom of Information Act (FOIA).

D.2.2.1 Cover Sheet

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

1. The name of the proposed UTC, and names and locations (city, State, and zip code) of the lead/grantee institution and the other members of the Center’s consortium. In order for OST-R to comply with Federal agency reporting requirements, state whether any of the participating non-profit institutions of higher education is a Minority Institution as that term is defined in Section D.2.2.4.1 Enrollment Information for Any Minority

Institution(s).

2. The type of UTC for which you are applying for grant funding: (1) National Center; (2)

Your UTC application must be submitted to www.grants.gov no later than 11:59 PM

EDT, THURSDAY, AUGUST 25, 2022. www.grants.gov will provide you with an acknowledgement of your submission.

Hard copies of the application (see Section D.6 Other Submission Requirements) must be received by OST-R no later than 5:00 PM EDT, TUESDAY, AUGUST 30, 2022 (note that this is later than the www.grants.gov deadline).

https://sam.gov/content/home http://www.grants.gov/

Regional Center; or (3) Tier 1 Center. You may choose to be considered for more than one type of Center, but a separate and unique application must be submitted for each grant for which your institution is applying.

• If you are applying as a Regional Center, please indicate the Federal region in which you are located (as shown on Table 1 previously in this document).

3. The statutory research priority area (49 U.S.C. § 6503(c)(1) as amended by IIJA sec.

25014) that is your primary focus:

A. Improving Mobility of People and Goods;

B. Reducing Congestion;

C. Promoting Safety;

D. Improving the Durability and Extending the Life of Transportation Infrastructure;

E. Preserving the Environment;

F. Preserving the Existing Transportation System; or

G. Reducing Transportation Cybersecurity Risks.

While your planned activities may span more than one priority area, you must select one priority area as your key focus.

4. The DOT Strategic Plan strategic goals (https://www.transportation.gov/dot-strategic-plan) that your proposed UTC supports:

1. Safety;

2. Economic Strength and Global Competitiveness;

3. Equity;

4. Climate and Sustainability;

5. Transformation; and

6. Organizational Excellence.

Select a primary strategic goal and at least one secondary strategic goal.

Prepare the cover sheet as an 8.5x11 standard-size page using Arial 12 font with one-inch margins. Color may be used if desired. The cover sheet does not count toward the 35-page limit that applies to the Written Response section described below.

D.2.2.2 Research Abstract

The research abstract must not be more than two pages in length. It should contain high-level descriptions of the following:

• The research topics on which the proposed UTC intends to focus;

• The motivations for pursuing the research;

• How the topics align with your chosen statutory research priority area and, if applicable, the non-exclusive candidate topic areas that fall within the selected priority area;

• How the topics align with your identified DOT Strategic Goals; and

• The transformational impacts that the proposed research is expected to have on the transportation system and its users.

Prepare the research abstract as no more than two 8.5x11 standard-size pages using Arial 12 font with one-inch margins. The research abstract does not count toward the Written Response’s 35-page limit.

D.2.2.3 Written Response

This Written Response section must address the following:

1. Response to Evaluation Criteria

2. Center Director and Key Personnel.

D.2.2.3.1 Response to Evaluation Criteria

Page Limits and Formatting:

This section of your application must not exceed a total length of thirty-five (35) 8.5x11 standard-size pages, single-spaced, Arial 12 font*, with one-inch margins. Any application that exceeds the page limit or that uses other than the specified spacing, font, or margins will be rejected. Color may be used if desired.

A table of contents is not required; if you choose to include one, it will count toward the

35-page limit.

The cover sheet, abstract, and required appendices do not count toward the 35-page limit.

There are specific page limits for the required appendices, which are stated in Section

D.2.2.4 Required Appendices below.

*Arial 12 should be used throughout the document, except for headers/footers and tables/figures within which the font size may be no smaller than 9. Arial Black is acceptable, but Arial Narrow is not. Any size/type of font may be used in the appendices.

NOTE: Do not include any hyperlinks to external websites that provide supplemental content to the information contained in the application, as reviewers will be instructed not to view them.

The UTC Program’s authorizing legislation (49 U.S.C. § 5505(b)(4)) specifies general selection criteria to be used in this competition. These statutory criteria are included in this Notice of

Funding Opportunity as Criteria One through Five, described below. In addition, the US DOT currently requires all Notices of Funding Opportunity to reflect in selection criteria the

Presidential Executive Orders cited in Section A.4 Relationship to Other US DOT Efforts above; responsiveness to these Executive Orders will be assessed through the applicant’s responses to Criteria One and Three, described below. SECTION E APPLICATION

REVIEW INFORMATION describes how these selection criteria will be used in the selection process. The selecting official will also be looking for applications that support the US DOT FY

2022-2026 Strategic Plan, which will be assessed through the applicant’s responses to Criteria

One through Four.

The application submitted in response to this Notice of Funding Opportunity will serve as the

Strategic Plan for any Center that is selected to receive funding. All the items listed below must be addressed clearly and completely.

If you are applying for a Regional UTC, you must discuss throughout your application how your

Center will address regional issues. The discussion must include the following:

• How your Regional Center will serve as a focal point within your region to help coordinate your UTC’s transportation research, education, workforce development, and technology transfer programs with regional partners and initiatives.

• How your Regional Center will work with other UTC grant recipients that are located in the region to maximize the effectiveness of those UTCs’ collective services and programs.

• Your institution’s relevant experience, if any, in leading regional efforts.

• Your ideas for how the Center can use regional efforts to further UTC program objectives.

If you are applying for a National or Tier 1 UTC, there is no expectation of addressing issues on a regional basis. However, you are free to do so if that is in keeping with your vision for your proposed center.

All applicants must respond to the following evaluation criteria, in the order specified below. Insufficient information to allow reviewers to assess any criterion will negatively impact the application’s rating.

D.2.2.3.1.A Criterion One: Research Activities and Capability

In this section, describe the key breakthrough, advanced, and transformative research activities that you will undertake, and demonstrate your capability and experience to carry out these activities and achieve the objectives of the UTC Program and the vision of a system of systems, which is defined in the forthcoming US DOT Research, Development and Technology Strategic

Plan for Fiscal Years 2022-2026; information about that plan’s development is available at https://www.transportation.gov/utc/current-competition. You must provide sufficient detail in this Written Response to enable the reviewers to understand what you intend to accomplish with your Center; to see how you plan to select, brief OST-R staff about, and carry out the research projects financed with your grant; and to evaluate the feasibility of your proposed approach as well as your capability to achieve the proposed outcomes within the grant’s designated time frame.

The 35-page limit for the Written Response means that you likely will not want to include fully detailed, methodological descriptions of your proposed research projects in the application.

OST-R encourages applicants to include relatively high-level overviews of research projects that include enough detail to make clear a project’s significance to US DOT’s transformative vision for transportation, noting in particular the research project’s intended outcomes and desired impacts.

i. Proposed Research Activities

49 U.S.C. § 6503(c)(1), as amended by IIJA sec. 25014, specifies seven research priorities that

UTCs selected through this competition must address: Mobility of People and Goods; Reducing

Congestion; Promoting Safety; Improving the Durability and Extending the Life of

Transportation Infrastructure; Preserving the Environment; Preserving the Existing

Transportation System; and Reducing Transportation Cybersecurity Risks.

The IIJA charges the Secretary of Transportation with establishing non-exclusive candidate topic areas within these research priorities. OST-R worked with the US DOT operating administrations to develop the candidate topic areas listed below. Per 49 U.S.C. § 6503(c)(2), research activities may include fundamental research pertaining to the applied physical and natural sciences; applied science and research; technology development research; and social science research.

Although applicants are encouraged to consider these topic areas, the US DOT is looking for, and encouraging applicants to propose, new breakthrough ideas, innovations, and transformative research topics that will make significant contributions toward transforming the transportation system into a seamless, connected, and adaptable system of systems that serves the American people and economy through the safe, efficient, sustainable, and equitable movement of people and goods.

US DOT has identified key challenges and candidate technologies and tools, listed below, for potential research considerations for each of the seven statutory research priorities. Some of these are discussed in the forthcoming US DOT Research, Development and Technology

Strategic Plan for Fiscal Years 2022-2026 noted above. Challenges are presented by each research priority area, along with candidate technologies and tools for use among the seven priority areas:

https://www.transportation.gov/utc/current-competition

Challenges:

1. Improving Mobility of People and Goods:

• Freight – logistics, planning, data, workforce, and execution

• Transportation Equity – assessment, investment. enhancement, and coordination

• Multimodal System Planning – seamless system design, planning and execution

• Mobility Innovation – innovative personal mobility services and technologies

• Network Accessibility – mapping and mobility services

• Automated and Connected Vehicles – simulation, testing, systems design

• Positioning, Navigation and Timing and other communication technologies – systems integration, testing and reliability

• Rural Transportation Infrastructure – safety, efficiency, reliability and resiliency

2. Reducing Congestion:

• Demand Management – incentive-based roadway pricing, land use, curb management, mode shift, transportation network gap analysis

• Delivery – first/last mile delivery data, infrastructure, technology, and operations

• Operations – transportation system management and operations

3. Promoting Safety:

• Vulnerable Users – design, data, interventions, usability

• Infrastructure – condition assessment and monitoring, planning and design

• Safety Culture and Behavior – unsafe/distracted driving identification and mitigation, efficacy of traffic-safety enforcement

• Human-Machine Interactions – human factors of transportation technology and design

• Hazardous Material Safety – safety of hazardous materials transportation, impact on communities

• Vehicle and Workforce Safety – safety of drivers, passengers, road users, transportation workers and first responders

• Automated and Connected Vehicles – simulation, testing, systems design

• Positioning, Navigation and Timing and other communication technologies – systems integration, testing and reliability

• Rural Transportation Safety – planning, design, and data

4. Improving the Durability and Extending the Life of Transportation Infrastructure:

• Durability – inspection, maintenance, preservation, sustainability, longevity, and health monitoring

• Construction – materials and structures, construction methods and management

• Finance – innovative revenue and finance

5. Preserving the Environment:

• Noise and Air Quality – measurement and mitigation

• Electrification – transportation operations, infrastructure facilities and other support systems

• Alternative Fuels – energy innovation in high-emissions sectors

• Environmental Analysis and Mitigation – measuring, modeling, and mitigating pollution and preserving ecosystems

• Environmental Justice – assessment and mitigation of harmful environmental effects on vulnerable communities

• Mode Shift – systems design and user experience to reduce environmental impact of transportation

• Resiliency and Climate Adaptation

6. Preserving the Existing Transportation…