[Federal Register Volume 85, Number 53 (Wednesday, March 18, 2020)]
[Notices]
[Pages 15558-15564]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-05611]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Competitive Funding Opportunity: Accelerating Innovative Mobility
(AIM) Challenge Grants
AGENCY: Federal Transit Administration (FTA), U.S. Department of
Transportation (DOT).
ACTION: Notice of funding opportunity (NOFO).
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SUMMARY: The Federal Transit Administration (FTA) announces the
opportunity to apply for $11 million in fiscal year (FY) 2019 research
funds for Accelerating Innovative Mobility (AIM) Challenge Grants in
the form of cooperative agreements for eligible projects. AIM Challenge
Grants are part of FTA's new AIM Initiative to foster innovative
transit technologies, practices and solutions that incentivize
travelers to choose public transportation, promote economic development
in communities, and enhance public/private partnerships to improve
personal mobility. FTA will competitively award AIM Challenge Grants
for projects that can accelerate the development, implementation and
adoption of innovative technologies, practices, and service models to
improve mobility and enhance the rider experience, with a focus on
innovative service delivery models, creative financing, novel
partnerships, and integrated payment solutions.
The AIM Initiative also includes the launch of a national network
of innovative transit agencies, or AIM Incubators, to test new mobility
solutions and broadly share the results with the public transit
industry. AIM Challenge Grant recipients selected through this Notice
of Funding Opportunity (NOFO) will be designated as the inaugural class
of AIM Incubators.
The FTA may award additional funds, if they are made available to
the program prior to the announcement of project selections.
DATES: Complete proposals must be submitted electronically through the
GRANTS.GOV ``APPLY'' function by 11:59 p.m. Eastern Time on April 17,
2020. Prospective applicants should initiate the process by promptly
registering on the GRANTS.GOV website to ensure completion of the
application process before the submission deadline. Instructions for
applying can be found on FTA's website at http://transit.dot.gov/howtoapply and in the ``FIND'' module of GRANTS.GOV.
The GRANTS.GOV funding opportunity ID is FTA-2020-012-TRI-AIM. Mail
and fax submissions will not be accepted.
FOR FURTHER INFORMATION CONTACT: Please send any questions regarding
this notice to FTA's Research office via email at [email protected].
For other questions contact Ms. Christina Gikakis, Office of Mobility
Innovation, 202-366-2637, or [email protected]. A
Telecommunication Device for the Deaf (TDD) is available for
individuals who are deaf or hard of hearing at 202-366-3993. In
addition, FTA will post answers to questions and requests for
clarifications as well as information about webinars FTA will host to
provide further guidance at www.transit.dot.gov/AIM.
SUPPLEMENTARY INFORMATION: This notice contains information and
instructions relevant to the application process for AIM Challenge
Grants. All applicants should read this notice in its entirety to
obtain the information needed to submit an eligible and competitive
application.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
A. Program Description
Under FTA's Public Transportation Innovation program (49 U.S.C.
5312) FTA may make grants, or enter into contracts or cooperative
agreements, for research, development, demonstration and deployment
projects of national significance to public transportation agencies
that the Secretary determines will improve public transportation
service. The AIM Challenge Grants has been developed under this
authority.
The AIM Challenge Grants are part of FTA's new AIM Initiative to
foster innovative transit technologies, practices and solutions that
incentivize travelers to choose public transportation, promote economic
development in communities, and enhance public/private partnerships to
improve personal mobility. Further, the AIM Initiative seeks to ensure
these new technologies or practices permit interoperability across
systems and modes. The AIM Initiative also seeks to harness Federal,
local and private sector investments in transportation and mobility
innovations. The FTA, in collaboration with the public transportation
industry, has invested significant resources in advancing the state of
the practice as well as developing and demonstrating technologies and
practices to make public transportation safer, more effective and
efficient. The transportation sector and rider expectations have
evolved, with more options and capabilities now available.
The FTA seeks applications for AIM Challenge Grant projects from
public transportation-led teams that can accelerate the development and
adoption of innovative technologies, practices, and service models to
improve mobility and enhance the rider experience, with a focus on
innovative service delivery models, creative financing, novel
partnerships, and integrated payment solutions. AIM Challenge Grant
recipients selected through this NOFO will be designated as the
inaugural class of AIM Incubators, a national network of innovative
transit agencies that test new mobility solutions and broadly share the
results with industry. The FTA provides this funding opportunity based
on the traditional challenge grant concept of
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achieving specific innovation goals and using that achievement to
spotlight a grantee (i.e., AIM Incubators) and disseminate proven
innovative mobility practice(s) in the public transportation industry.
To that end, the goals of the AIM Challenge Grants are to:
Explore and validate forward-thinking approaches to
improve transit system design, service, and financing.
Provide funding to transit agencies in all types of
communities--urban, suburban, rural--to identify, test, and prove out
new approaches, technologies and service models.
Establish a national network of public transportation
stakeholders that are incorporating innovative approaches and business
models to improve mobility and that will share their project results.
Identify and promote the most promising and effective
innovations that can be implemented more broadly through FTA's capital
programs.
The AIM Challenge Grants emphasize the Department's commitment to
mobility innovation for all communities by incorporating principles of
DOT's new Rural Opportunities to Use Transportation for Economic
Success (R.O.U.T.E.S.) initiative. A strong transportation network is
critical to the functioning and growth of the American economy. The
nation's industry depends on the transportation network to move the
goods that it produces, and facilitate the movements of the workers who
are responsible for that production. When the nation's highways,
railways, and ports function well, that infrastructure connects people
to jobs, increases the efficiency of delivering goods and thereby cuts
the costs of doing business, reduces the burden of commuting, and
improves overall well-being.
Rural transportation networks play a vital role in supporting our
national economic vitality. Addressing the deteriorating conditions and
disproportionately high fatality rates on our rural transportation
infrastructure is of critical interest to the Department, as rural
transportation networks face unique challenges in safety,
infrastructure condition, and passenger and freight usage. Consistent
with the R.O.U.T.E.S. Initiative, FTA encourages applicants to consider
how the project will address the challenges faced by rural areas.
The FTA will seek to fund multiple AIM Challenge Grant projects
that are aligned with the following key underlying principles:
Test innovative technologies, practices, approaches, or
service models that can produce outcomes and knowledge of national
significance and advance the state of the practice for public
transportation in the U.S.
Create a portfolio of projects that consider the needs of
different types of communities and advance technology innovations,
practices and/or partnership models that resonate and are adoptable by
all transit agencies, including those that serve rural areas.
Leverage private sector innovation to improve mobility
through novel public private partnerships.
Advance robust, replicable transit-led business models,
and sustainable public private partnerships that enable expanded
opportunities for innovation beyond the AIM Challenge Grants.
Support the concept of the complete trip to ensure all
travelers benefit from improved mobility regardless of their location,
age, income, or abilities.
B. Federal Award Information
This notice makes available $11 million under the Public
Transportation Innovation Program, 49 U.S.C. 5312(b), to support the
research, development, demonstration, and deployment and evaluation of
research and technology of national significance to transit, that the
Secretary of Transportation determines will improve public
transportation.
There is no minimum or maximum grant award amount. Only proposals
from eligible recipients for eligible activities will be considered for
funding. Due to funding limitations, proposers that are selected for
funding may receive less than the amount originally requested. In those
cases, applicants must be able to demonstrate that the proposed project
is still viable and can be completed with the amount awarded.
Project recipients selected for funding under AIM Challenge Grants
also will be designated as AIM Incubators. Applicants may use no more
than $50,000 of the Federal project funds awarded as part of their AIM
Challenge Grant to support AIM incubator activities, such as peer
outreach and knowledge transfer.
Recipients of the previous FTA mobility innovations demonstration
programs, including Integrated Mobility Innovation (IMI) and Mobility
on Demand (MOD) Sandbox demonstrations recipients, may apply for
funding for additional projects. As FTA is seeking to promote new
innovative service models to increase the efficiency and effectiveness
of transit, applicants should demonstrate the extent to which the newly
proposed project is indeed a new effort. If the proposed project is a
continuation of a prior project, the applicant should describe how the
concept has evolved since it was first implemented.
Funds under this notice cannot be used to reimburse recipients for
otherwise eligible expenses incurred prior to FTA award of a Grant
Agreement or Cooperative Agreement unless FTA has issued pre-award
authority for selected projects. AIM Challenge Grant projects are
research and development efforts and, as such, FTA Research Circular
6100.1E (available at www.transit.dot.gov/regulations-and-guidance/fta-circulars/research-technical-assistance-and-training-program) rules
will apply in administering the program.
C. Eligibility Information
To be selected for the AIM Challenge Grants, an applicant must be
an Eligible Applicant and the project must be an Eligible Project as
defined below.
1. Eligible Applicants
Eligible applicants under this notice are providers of public
transportation, including public transportation agencies, state/local
government DOTs, and federally recognized Indian tribes. Eligible
applicants may identify one or more strategic project partner(s) with a
substantial interest and involvement in the project. Applications must
clearly identify the eligible applicant and all project partners on the
project team.
Eligible project partners under this program may include, but are
not limited to:
Private for-profit and not-for-profit organizations,
including shared-use mobility providers, technology system suppliers
and integrators, automated vehicle technology providers, property
managers and developers, and others;
private operators of transportation services, such as
employee shuttle services, airport connector services, university
transportation systems, or parking and tolling or airports authorities;
other operators of public transportation, including public
transportation agencies, State/local government DOTs, and Federally
recognized Indian tribes.
bus or vehicle manufacturers or suppliers;
banking or financial institutions;
State or local government entities, including multi-
jurisdictional partnerships, and organizations such as a Metropolitan
Planning Organization; or
other organizations including research consortia or not-
for-profit industry organizations, institutions of higher education,
and others.
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The project team should include all project partners necessary to
successfully carry out the prospective project, and be structured to
best leverage Federal funds.
The applicant must be able to carry out the proposed agreement and
procurements, if needed, with project partners in compliance with all
applicable Federal, State, and local laws.
Key partners can be designated by applicants that share the costs,
risks, and rewards of early deployment, demonstration and operation of
innovative projects. The FTA also may determine that any identified
project partner in the proposal is a key partner and make any award
conditional upon the participation of that key partner. A key partner
is essential to the project as approved by FTA and, therefore, is
eligible for a noncompetitive award by the applicant to provide the
goods or services described in the application. The applicant must
clearly indicate whether each partner is a key partner. A key partner's
participation on a selected project may not be substituted later
without FTA's approval.
To be considered eligible, applicants must be able to demonstrate
the requisite legal, financial, and technical capabilities to receive
and administer Federal funds under this program.
2. Cost Sharing or Matching
The Federal share of project costs under this program is limited to
80 percent. Applicants may seek a lower Federal contribution. The
applicant must provide the local share of the net project cost in cash,
or in-kind, and must document in its application the source of the
local match. Eligible sources of local match are detailed in FTA
Research Circular 6100.1E. (available at www.transit.dot.gov/regulations-and-guidance/fta-circulars/research-technical-assistance-and-training-program).
3. Eligible Projects
This notice solicits applications for AIM Challenge Grant projects
that demonstrate innovative technologies, applications, practices, and/
or service models that can lead to more efficient public transportation
service, better mobility for individuals, and enhance the overall rider
experience, with special emphases on innovative service delivery
models, creative financing, novel partnerships and integrated payment
solutions. Applicants are also encouraged to submit applications with
other innovative models and ideas that may not fall into one of these
areas.
To help shape AIM Challenge Grants, the following list provides
some examples of innovative technologies, practices and solutions for
consideration. Please note that the list is provided for examples only,
and not meant to be exhaustive or prescriptive.
Integrated scheduling, reservation, and payments across
all mobility providers in a region.
Innovative dynamic mobility hubs in rural areas.
Innovative data tools to predict movement of all travelers
on a transportation network to target transit services and provide more
comprehensive traveler information.
New operational models of bus service that are more
flexible, better integrated into the community, and more appealing.
Emerging approaches or technologies that enable access for
all populations to take advantage of mobility advances, including older
Americans, school-aged populations traveling independently, and persons
with disabilities.
Innovative projects to demonstrate market-ready or near
market-ready transit automation for revenue service.
Novel partnerships with private, public, or nonprofit
entities that connect riders to high-demand services or destinations.
Eligible activities include all activities leading to the
development and testing of innovative mobility, such as planning and
developing business models, obtaining equipment and service, acquiring
or developing software and hardware interfaces to implement the
project, operating or implementing the new service model, and
evaluating project results. Transit agencies selected for AIM Challenge
Grants awards will be designated as AIM Incubators, and will serve as
experts and provide support to other agencies seeking to improve
transit service and mobility in their communities, through activities
such as peer exchanges and knowledge sharing. AIM Incubator activities
are eligible and required activities under the AIM Challenge Grants up
to the funding previously established.
4. Project Timelines
Projects funded under the AIM Challenge Grants will be allowed a
maximum of 12 months for project planning. Project innovations or
demonstration of new business models should be fully launched within 12
months of award.
D. Application and Submission Information
1. Address To Request Application Package
Instructions for applying can be found on the FTA website at http://transit.dot.gov/howtoapply. Applications must be submitted
electronically through GRANTS.GOV. General information for submitting
applications through GRANTS.GOV can be found at www.transit.dot.gov/howtoapply along with specific instructions for the forms and
attachments required for submission. Mail and fax submissions will not
be accepted.
2. Content and Form of Application Submission
Addressing the deteriorating conditions and disproportionately high
fatality rates on our rural transportation infrastructure is of
critical interest to the Department, as rural transportation networks
face unique challenges in safety, infrastructure condition, and
passenger and freight usage. Consistent with the R.O.U.T.E.S.
Initiative, the Department will consider how the project will address
the challenges faced by rural areas.
A complete proposal submission consists of two forms: the SF-424
Application for Federal Assistance (available at GRANTS.GOV) and the
supplemental form for the 2020 AIM Challenge Grants (downloaded from
GRANTS.GOV or the FTA website at www.transit.dot.gov/AIM).
A complete application must include responses to all sections of
the SF-424 Application for Federal Assistance and the supplemental
form. The information on the supplemental form will be used to
determine applicant and project eligibility for the program, and to
evaluate the proposal against the selection criteria described in part
E of this notice. Applicants may attach additional supporting
information to the SF-424 submission, including but not limited to
letters of support, project budgets, or excerpts from relevant planning
documents. Supporting documentation must be described and referenced by
file name in the appropriate response section of the supplemental form,
or it may not be reviewed.
Information such as applicant name, Federal amount requested, local
match amount, description of areas served, etc., may be requested in
varying degrees of detail on both the SF-424 form and supplemental
form. An applicant must fill in all fields unless stated otherwise on
the forms. If
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copying information into the supplemental form from another source, the
applicant should verify that the supplemental form has fully captured
pasted text and that it has not truncated the text due to character
limits built into the form. An applicant should use both the ``Check
Package for Errors'' and the ``Validate Form'' validation buttons on
both forms to check all required fields on the forms. An applicant
should also ensure that the Federal and local amounts specified are
consistent throughout the application.
The SF-424 Mandatory Form and the supplemental form will prompt
applicants for the required information, including:
a. Applicant name.
b. Dun and Bradstreet (D&B) Data Universal Numbering System
(DUNS) number.
c. Key contact information (including contact name, address,
email address, and phone).
d. Congressional district(s) where project will take place.
e. Project information (including title, an executive summary,
and type).
f. Information on areas served by project (i.e., indicate urban,
rural, or both) including current state of public transportation and
mobility in the area served.
g. A description of the need for the project (research need or
opportunity project addresses).
h. A description of all innovative technologies, practices or
business models proposed as part of the project scope.
i. Evidence on how the project will support the AIM Challenge
Grants goals and underlying principles as described in Section A of
this NOFO ``Program Description,'' and the overall significance of
the project to advancing mobility innovation.
j. A description of how the proposed project would address the
unique challenges facing rural transportation networks, regardless
of the geographic location of those activities.
k. Details on any partners, their roles and anticipated
contributions. Indicate which partners are ``key partners''
essential to the success of the proposed project. Indicate which
partners provided letter of commitment that are attached to the
application.
l. A description of the overall project implementation strategy.
m. A description of how the applicant will fulfill the role of
AIM Incubator, and activities that it will undertake.
n. A description of how the project will be evaluated and any
details on the types of data that will be generated and how the
project team will provide access for FTA or its designee to this
project-related data for purposes of evaluation.
o. Project budget.
p. Project timeline.
q. Evidence that the applicant can provide the local cost share.
r. A description of the technical, legal and financial capacity
of the applicant, and team members to successfully implement
project.
s. An explanation of the scalability of the project.
t. Whether the project impacts an Opportunity Zone, designated
pursuant to 26 U.S.C. 1400Z-1.
3. Unique Entity Identifier and System for Award Management (SAM)
Each applicant is required to: (1) Be registered in SAM before
submitting an application; (2) provide a valid unique entity identifier
in its application; and (3) continue to maintain an active SAM
registration with current information at all times during which the
applicant has an active Federal award or an application or plan under
consideration by FTA. These requirements do not apply if the applicant
has an exemption approved by FTA under Federal grants and agreements
Uniform Guidance (2 CFR 25.110(d)). FTA may not make an award until the
applicant has complied with all applicable unique entity identifier and
SAM requirements. If an applicant has not fully complied with the
requirements by the time FTA is ready to make an award, FTA may
determine that the applicant is not qualified to receive an award and
use that determination as a basis for making a Federal award to another
applicant. All applicants must provide a unique entity identifier
provided by SAM. SAM registration takes approximately 3-5 business
days, but FTA recommends allowing ample time, up to several weeks, for
completion of all steps. For additional information on obtaining a
unique entity identifier, please visit www.sam.gov.
4. Submission Dates and Times
Project proposals must be submitted electronically through
GRANTS.GOV by 11:59 p.m. Eastern Time on April 17, 2020. Mail and fax
submissions will not be accepted. FTA urges applicants to submit
applications at least 72 hours prior to the due date to allow time to
correct any problems that may have caused either GRANTS.GOV or FTA
systems to reject the submission. Proposals submitted after the
deadline will only be considered under extraordinary circumstances not
under the applicant's control. Deadlines will not be extended due to
scheduled website maintenance. GRANTS.GOV scheduled maintenance and
outage times are announced on the GRANTS.GOV website.
Within 48 hours after submitting an electronic application, the
applicant should receive an email message from GRANTS.GOV with
confirmation of successful transmission to GRANTS.GOV. If a notice of
failed validation or incomplete materials is received, the applicant
must address the reason for the failed validation, as described in the
email notice, and resubmit before the submission deadline. If making a
resubmission for any reason, applicants must include all original
attachments regardless of which attachments were updated and check the
box on the supplemental form indicating this is a resubmission.
Applicants are encouraged to begin the process of registration on
the GRANTS.GOV site well in advance of the submission deadline.
Registration is a multi-step process, which may take several weeks to
complete before an application can be submitted. Registered applicants
may still be required to take steps to keep their registration up to
date before submissions can be made successfully: (1) Registration in
the System for Award Management (SAM) is renewed annually; and, (2)
persons making submissions on behalf of the Authorized Organization
Representative (AOR) must be authorized in GRANTS.GOV by the AOR to
make submissions.
5. Funding Restrictions
Funds under this NOFO cannot be used to reimburse applicants for
otherwise eligible expenses incurred prior to FTA award of a grant
agreement until FTA has issued pre-award authority for selected
projects.
6. Other Submission Requirements
The FTA encourages applicants to identify scaled funding options in
case insufficient funding is available to fund a project at the full
requested amount. If an applicant indicates that a project is scalable,
the applicant must provide an appropriate minimum funding amount that
will fund an eligible project that achieves the objectives of the
program and meets all relevant program requirements. The applicant must
provide a clear explanation of how a reduced reward would affect the
project budget. The FTA may award a lesser amount regardless of whether
the applicant provides a scalable option.
E. Application Review Information
The FTA will evaluate project proposals for AIM Challenge Grants
based on the criteria described in this notice. Projects will be
evaluated primarily on the responses provided in the supplemental form.
Additional information may be provided to support the responses;
however, any additional documentation must be directly referenced on
the supplemental form,
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including the file name where the additional information can be found.
1. Criteria
Project proposals will be evaluated by FTA per the following six
selection criteria. FTA strongly encourages each applicant to
demonstrate the responsiveness of a project to all criteria shown below
with the most relevant information that the applicant can provide. The
selection criteria are as follows:
a. Demonstration of Innovation
The FTA is seeking projects that address innovation related to
exploring and testing new technologies, practices, approaches or
business models for public transportation that can lead to greater
operational efficiency, greater personal mobility, more efficient
operations, or insights into new system design, service, financing or
partnering mechanisms. Projects should clearly identify a specific
innovative premise which serves a need, the proposed project approach
to addressing the need, and how the proposed project will provide
outcomes or new insights that expand the public transportation
industry's understanding of new mobility innovations. The FTA will
assess the extent to which the applicant uses innovative strategies,
including (i) innovative technologies, (ii) innovative financing, and/
or (iii) innovative operations and identifies specific needs in the
area of mobility innovation that can produce outcomes and knowledge of
national significance and advance the state of the practice for public
transportation in the U.S.
b. Demonstration of Benefit
The application should demonstrate the utility of the proposed
project to accelerate the transit industry's ability to implement new
technologies, operational innovations, approaches or service models
that support FTA's AIM Challenge Grants goals, and are consistent with
the AIM Challenge Grants guiding principles, as detailed in this NOFO.
The FTA will evaluate proposals based on their capacity to
accelerate the development and adoption of innovative technologies,
practices, and service models to improve mobility and enhance the rider
experience. There will be a focus on innovative service delivery
models, creative financing, novel partnerships, and integrated payment
solutions.
The FTA will consider the extent to which each proposal explores
innovative technologies, practices, approaches or service models that
produce outcomes and knowledge of national significance and advance the
state of the practice for public transportation in the U.S; advances
technologies, innovations, practices or partnership models that
resonate with all transit agencies, including those in rural areas;
leverages private sector innovation; advances robust, replicable
business models, and sustainable public private partnerships; and
ensures that all travelers benefit from enhanced mobility regardless of
location, age, income, or abilities.
c. Planning and Partnerships
For applications that include project partners, applicants must
detail all project partners and their specific role. The FTA will
evaluate the extent to which the project contains strong, cohesive
partnerships and the collaboration necessary to successfully implement
the proposed project. Applications should describe how project partners
plan to work collaboratively and should show evidence of strong
commitment and cooperation among project partners through letters of
support or agreements among the partners. Applications should describe
how partners will participate in each aspect of project planning,
implementation and evaluation. The FTA also will evaluate the
experience, capacity, and demonstrated partnership commitment of the
named project partners as pertains to successful implementation of the
proposed project. Applicants are advised to submit information on the
partners' qualifications and experience as a part of the application,
and documentation of their commitment to the project.
Any project partner can be designated by the applicant as a key
partner that shares the costs, risks, and rewards of early deployment
and demonstration of innovation. The applicant must explicitly indicate
whether each partner is a key partner. A key partner's participation on
a selected project may not be substituted later without FTA's approval.
Entities who are involved in the project but not named in the
application will be required to be selected through a competitive
procurement.
d. Local Financial Commitment
The FTA will fund up to 80 percent of the net project cost; a local
share of at least 20 percent of the net project cost is required.
Applicants must identify the source of the local cost share and
describe whether such funds are currently available for the project or
will need to be secured if the project is selected for funding. The FTA
will consider the availability of the local cost share as evidence of
local financial commitment to the project. Additional consideration
will be given to those projects for which local funds have already been
made available or reserved. Applicants should submit evidence of the
availability of funds for the project, for example by including a board
resolution, letter of support from the State or other documentation of
the source of local funds such as a budget document highlighting the
line item or section committing funds to the proposed project. In
addition, as evidence of local financial commitment, an applicant may
propose a local cost share that is greater than the minimum
requirement.
e. Project Implementation Strategy
Projects will be evaluated based on the extent to which the project
is ready to start within a reasonable period of time and whether the
applicant's proposed implementation plans are reasonable and complete,
with project innovations or demonstration of new business models fully
launched within 12 months of award.
In assessing whether the proposed implementation plans are
reasonable and complete, FTA will review the proposed project
implementation plan, including all necessary project milestones and the
overall project timeline. The FTA will consider if the project's
implementation strategy addresses how the project will support FTA's
independent project evaluation efforts, data access and sharing of
project results, project evaluation against mobility-specific metrics,
and the AIM Incubator efforts.
For projects that will require formal coordination, approvals or
permits from other agencies or project partners, the applicant must
demonstrate coordination with these organizations and their support for
the project, such as through letters of support. The FTA also will
consider the risks to project implementation, and the extent to which
the project implementation strategy addresses these risks.
f. Technical, Legal, and Financial Capacity
The FTA will evaluate proposals on the capacity of the lead agency
and any partners to successfully execute the project. The FTA may
review relevant oversight assessments and records to determine whether
there are any outstanding legal, technical or financial issues with the
applicant that would affect the outcome of the proposed project.
Applicants with outstanding
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legal, technical or financial compliance issues from an FTA compliance
review or Federal Transit grant-related Single Audit finding must
explain how corrective actions taken will mitigate negative impacts on
the proposed project.
For applications that include named project partners, FTA will also
consider the technical, legal and financial capacity of the partner to
successfully implement the proposed project. Applicants are advised to
submit information on the partners' qualifications and experience as a
part of the application.
2. Review and Selection Process
A technical evaluation panel comprising FTA and other Departmental
and/or Federal agency staff will review project proposals against the
selection criteria listed above. The technical evaluation committee may
seek clarification from any applicant about any statement made in a
proposal. The FTA also may request additional documentation or
information to be considered during the evaluation process. After the
evaluation of all eligible proposals, the technical evaluation
committee will provide project recommendations to the FTA
Administrator. The FTA Administrator will determine the final list of
project selections, and the amount of funding for each project.
Geographic diversity, diversity of project type, the applicant's
receipt of other Federal funding, and projects located in or that
support public transportation service in a qualified opportunity zone
designated pursuant to 26 U.S.C. 1400Z-1 may be considered in FTA's
award decisions. The FTA may prioritize projects proposed with a higher
local share.
In addition to the criteria and considerations outlined in this
section, the FTA Administrator will consider the following key
Departmental objectives:
Supporting economic vitality at the national and regional
level;
Leveraging Federal funding to attract other, non-federal
sources of investment, including value capture;
Using innovative approaches to improve safety and expedite
project delivery; and,
Holding grant recipients accountable for their performance
and achieving specific, measurable outcomes identified by grant
applicants.
Addressing the deteriorating conditions and disproportionately high
fatality rates on our rural transportation infrastructure is of
critical interest to the Department, as rural transportation networks
face unique challenges in safety, infrastructure condition, and
passenger and freight usage. Consistent with the R.O.U.T.E.S.
Initiative, the Department will consider how the project will address
the challenges faced by rural areas.
Prior to making an award, FTA is required to review and consider
any information about the applicant that is in the Federal Awardee
Performance and Integrity Information Systems accessible through SAM.
An applicant may review and comment on information about itself that a
Federal awarding agency previously entered. FTA may consider any
comments by the applicant, in addition to the other information in the
designated integrity and performance system, in making a judgment about
the applicant's integrity, business ethics, and record of performance
under Federal awards when completing the review of risk posed by
applicants as described in the Office of Management and Budget's
Uniform Requirements for Federal Awards (2 CFR 200.205).
F. Federal Award Administration Information
1. Federal Award Notice
The FTA Administrator will announce the final project selections on
the FTA website. At the time the project selections are announced, FTA
may extend pre-award authority for the selected projects. There is no
blanket pre-award authority for the selected projects before
announcement.
2. Administrative and National Policy Requirements
a. Pre-Award Authority
The FTA will issue specific guidance to recipients regarding pre-
award authority at the time of selection. FTA does not provide pre-
award authority for discretionary funds until projects are selected,
and even then, there are Federal requirements that must be met before
reimbursable costs are incurred. For more information about FTA's
policy on pre-award authority, please see the FY 2019 Apportionment
Notice published on July 3, 2019 which can be accessed at
www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14248.pdf.
b. Grant Requirements
If selected, awardees will apply for a cooperative agreement
through FTA's Transit Award Management System (TrAMS). All recipients
must follow the requirements of FTA Research Circular 6100.1E.
Technical assistance regarding these requirements is available from
FTA.
c. Buy America
Federal transit law requires that all capital procurements meet Buy
America requirements, which require that all iron, steel, or
manufactured products be produced in the U.S., unless a waiver is
granted. These requirements help create and protect manufacturing jobs
in the U.S. The Fixing America's Surface Transportation (FAST) Act
(Pub. L. 114-94, Dec. 4, 2015) amended the Buy America requirements to
provide for a phased increase in the domestic content for rolling
stock. For FY 2020 and beyond, the cost of rolling stock components and
subcomponents produced in the United States must be more than 70
percent of the cost of all components. There is no change to the
requirement that final assembly of rolling stock must occur in the
United States. The FTA issued guidance on the implementation of the
phased increase in rolling stock domestic content on September 1, 2016.
A copy of the policy guidance may be found in 81 FR 60278 (September 1,
2016), www.govinfo.gov/content/pkg/FR-2016-09-01/pdf/2016-21007.pdf.
Information for other, non-rolling stock, capital procurements is
available on FTA's website www.transit.dot.gov/buyamerica. Any proposal
that will require a waiver must identify the items for which a waiver
will be sought in the application. Applicants should not proceed with
the expectation that waivers will be granted, nor should applicants
assume that selection of a project under the AIM Initiative that
includes a partnership with a manufacturer, vendor, consultant, or
other third party constitutes a waiver of the Buy America requirements
applicable at the time the project is undertaken.
d. Disadvantaged Business Enterprise
The FTA requires that its recipients receiving planning, capital
and/or operating assistance that will award prime contracts exceeding
$250,000 in FTA funds in a Federal fiscal year comply with the
Disadvantaged Business Enterprise (DBE) program regulations at 49 CFR
part 26. Applicants should expect to include any funds awarded,
excluding those to be used for vehicle procurements, in setting their
overall DBE goal. Note, however, that projects including vehicle
procurements remain subject to the DBE program regulations. The rule
requires that, prior to bidding on any FTA-assisted vehicle
procurement, entities that manufacture vehicles, or perform post-
production alterations or retrofitting must submit a DBE Program plan
and goal methodology to FTA.
[[Page 15564]]
Further, to the extent that a vehicle remanufacturer is responding to a
solicitation for new or remanufactured vehicles with a vehicle to which
the remanufacturer has provided post-production alterations or retro-
fitting (e.g., replacing major components such as an engine to provide
a ``like new'' vehicle), the vehicle remanufacturer is considered a
transit vehicle manufacturer and must also comply with the DBE
regulations.
Grant recipients must verify each manufacturer's compliance with
these requirements before accepting its bid. A list of compliant,
certified transit vehicle manufacturers (TVMs) is posted on FTA's web
page at www.fta.dot.gov/regulations-and-guidance/civil-rights-ada/eligible-tvms-list. Please note that this list is nonexclusive and
recipients must contact FTA before accepting bids from entities not
listed on this web-posting. Recipients may also establish project
specific DBE goals for vehicle procurements. FTA will provide
additional guidance as grants are awarded. For more information on DBE
requirements, please contact Monica McCallum, Office of Civil Rights,
206-220-7519, email: [email protected].
e. Standard Assurances
The applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, directives, FTA
circulars, and other Federal administrative requirements in carrying
out any project supported by the FTA grant. The applicant acknowledges
that it is under a continuing obligation to comply with the terms and
conditions of the grant agreement issued for its project with FTA. The
applicant understands that Federal laws, regulations, policies, and
administrative practices might be modified from time to time and may
affect the implementation of the project. The applicant agrees that the
most recent Federal requirements will apply to the project, unless FTA
issues a written determination otherwise. The applicant must submit the
Certifications and Assurances before receiving a grant if it does not
have current certifications on file.
3. Other National Policy Requirements
a. Independent Evaluation
Projects funded under this announcement will be subject to
evaluation by an independent evaluator selected by FTA. Recipients will
be required to coordinate with the independent evaluator to assist in
developing an evaluation plan and collecting, storing and managing data
required to fulfill that evaluation plan.
b. Draft Mobility Metrics
Projects funded under this notice will be required to support the
efforts of FTA or its designee to evaluate the project and its outcomes
against mobility-specific metrics. FTA will work with the project team
to implement evaluation plans that are consistent with FTA's draft
models for Mobility Metrics.
c. Data Access and Data Sharing
All work conducted under the AIM Challenge Grants should make every
attempt to follow USDOT data policies outlined in the DOT Public Access
Plan (www.transportation.gov/mission/open/official-dot-public-access-plan-v11).
d. AIM Incubators and Knowledge Transfer
The AIM Initiative also includes efforts to launch a national
network of innovative transit agencies, or AIM Incubators, to test new
mobility solutions and share the results broadly with industry. AIM
Challenge Grant recipients selected through this NOFO will be
designated as the inaugural class of AIM Incubators. They will work
through the FTA technical assistance program and provide ongoing
outreach. Applicants selected for project awards must be willing to
share project outcomes and methods with FTA and the larger public
transportation community. Recipients may be asked to participate in
information exchange meetings, webinars, or outreach events to support
FTA's goal of advancing mobility innovations. Applicants should
allocate a portion of their budgets, up to $50,000 of the Federal
project budget, to support their work as AIM Incubators, which may
include travel or presentations at key industry gatherings, peer
exchanges and similar knowledge transfer activities.
4. Reporting
Post awards reporting requirements include electronic submission of
Federal Financial Reports and Milestone Progress Reports in FTA's
electronic grants management system.
G. Federal Awarding Agency Contacts
For further information concerning this notice, contact FTA
Research office via email at [email protected], or please contact
Ms. Christina Gikakis, Office of Mobility Innovation, 202-366-2637, or
[email protected]. A TDD is available for individuals who are
deaf or hard of hearing at 202-366-3993. In addition, FTA will post
answers to questions and requests for clarifications as well as
information about webinars for further guidance at www.transit.dot.gov/AIM. To ensure applicants receive accurate information about
eligibility or the program, the applicant is encouraged to contact FTA
directly, rather than through intermediaries or third parties, with
questions.
K. Jane Williams,
Acting Administrator.
[FR Doc. 2020-05611 Filed 3-17-20; 8:45 am]
BILLING CODE 4910-57-P