[Federal Register Volume 86, Number 216 (Friday, November 12, 2021)]
[Notices]
[Pages 62870-62876]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24671]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FY 2021 Competitive Funding Opportunity: Enhancing Mobility
Innovation
AGENCY: Federal Transit Administration (FTA), Department of
Transportation (DOT).
ACTION: Notice of Funding Opportunity (NOFO).
-----------------------------------------------------------------------
SUMMARY: The Federal Transit Administration (FTA) announces the
opportunity to apply for a total of $2,000,000 in competitive
cooperative agreement awards in fiscal year (FY) 2021 funds for
projects that enhance mobility innovations for transit. Funds will be
awarded competitively for projects that advance emerging technologies,
strategies and innovations in passenger-centric mobility in two
distinct areas. Of the total available funds, $1,000,000 is available
to accelerate innovative mobility and is for projects to improve
mobility and enhance the rider experience with a focus on innovative
service delivery models, creative financing, novel partnerships, and
integrated payment solutions; and $1,000,000 is available for projects
to support the development of software solutions that facilitate the
provision of integrated demand-response public transportation service
that dispatches public transportation fleet vehicles through riders
mobile devices or other means. Projects will be competitively selected
based on criteria outlined in this notice. FTA may award additional
funding that is 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 January 11,
2022.
Prospective applicants should initiate the process by registering
on the GRANTS.GOV website promptly to ensure completion of the
application process before the submission deadline. Instructions for
applying can be found on FTA's website at http://www.transit.dot.gov/howtoapply and in the ``FIND'' module of GRANTS.GOV. The funding
opportunity ID is FTA-2021-010-TRI-EMI. Mail and fax submissions will
not be accepted.
FOR FURTHER INFORMATION CONTACT: Christina Gikakis, FTA Office of
Research, Demonstration and Innovation, 202-366-2637,
[email protected].
SUPPLEMENTARY INFORMATION:
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
H. Other Information
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. This NOFO (Federal Assistance Listing: 20.530) has been
developed under this authority. As directed by the Consolidated
Appropriations Act, 2021 (Pub. L. 116-260), FTA will competitively fund
up to $1,000,000 in cooperative agreements to accelerate innovations
that improve mobility and enhance the rider experience, and will
competitively fund up to $1,000,000 in cooperative agreements for the
development of software solutions to facilitate demand-response public
transportation.
This NOFO implements the provisions of the Consolidated
Appropriations Act, 2021, by seeking targeted projects that advance
emerging technologies, strategies and innovations in passenger-centric
mobility, in these two distinct areas: (a) To develop novel operational
concepts and/or demonstrate innovations that improve mobility and
enhance the rider experience, with a focus on innovative service
delivery models, creative financing, novel partnerships, and integrated
payment solutions; and (b) to support the development of software
solutions that facilitate the provision of demand-response public
transportation service that dispatches public transportation fleet
vehicles, through riders mobility devices or other advanced means.
This effort also supports the President's promotion of increased
access to transit for environmental justice populations and adoption of
equity-focused policies. This NOFO will advance the goals of Executive
Order 13985: Advancing Racial Equity and Support for Underserved
Communities Through the Federal Government.
These research efforts will build upon significant FTA and private
sector investments in mobility innovation through efforts such as the
Mobility on
[[Page 62871]]
Demand (MOD) Sandbox, the Integrated Mobility Innovation (IMI) Program
and the Accelerating Innovative Mobility (AIM) Challenge Grant
Initiative, as well as others. These research efforts will advance a
vision for mobility that leverages innovative technologies, practices,
and novel partnerships to provide safe, reliable, equitable,
accessible, carefree and seamless mobility for all travelers. To that
end, this notice seeks projects that can advance innovative
technologies, practices, approaches or service models that produce
climate smart and equitable mobility outcomes, knowledge of national
significance; and/or robust, interoperable software-based solutions for
innovative mobility services.
FTA will competitively award cooperative agreements to eligible
applicants for projects to either advance mobility innovations or to
develop software solutions for public transportation services, as
described in this notice.
B. Federal Award Information
This notice makes available a total of $2 million for cooperative
agreements as authorized 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 determines will
improve transit. The Consolidated Appropriations Act, 2021, Public Law
116-260, appropriated up to $1,000,000 for competitive awards to
develop novel operational concepts and/or demonstrate innovations that
improve mobility and enhance the rider experience, with a focus on
innovative service delivery models, creative financing, novel
partnerships, and integrated payment solutions; and up to $1,000,000
for the development of software to facilitate the provision of demand-
response public transportation service that dispatches public
transportation fleet vehicles, through riders mobile devices or other
advanced means. Additional funds made available prior to project
selection may be allocated to eligible projects.
To ensure the most impactful projects for each project area, FTA is
seeking projects that require a minimum award amount of $250,000 with
maximum award of $1,000,000. Due to funding limitations, applicants
that are selected for funding may receive less than the amount
originally requested. Only proposals from eligible recipients for
eligible activities will be considered for funding.
Pre-award authority is subject to FTA approval and is only
available for costs incurred after the announcement of project
selections on FTA's website.
Projects under this competition are for research and development
efforts and, as such, FTA Research Circular 6100.1E (available at
https://www.fta.dot.gov/regulations-and-guidance/fta-circulars/research-technical-assistance-and-training-program) guidance will apply
in administering the program.
An applicant whose proposal is selected for funding will receive a
cooperative agreement award with FTA to be administered according to
Circular 6100.1E, and as set forth in 31 U.S.C. 6305. FTA will have
substantial involvement in the administration of the cooperative
agreement. FTA's role includes the right to participate in decisions to
redirect and reprioritize project activities, goals, and deliverables.
C. Eligibility Information
1. Eligible Applicants
Eligible applicants under this notice include the following:
Providers of public transportation, including public
transportation agencies, state or local government DOTs, and federally
recognized Indian tribes;
Private for-profit and not-for-profit organizations,
including shared-use mobility providers, private operators of
transportation services, technology system suppliers and integrators,
bus or vehicle manufacturers or suppliers, software and technology
developers, financial institutions, consultants, research consortia,
and industry organizations;
State, city or local government entities, including multi-
jurisdictional partnerships, and organizations such as Metropolitan
Planning Organizations; or
Institutions of higher education including large research
universities, particularly those with Minority Serving Institution
status.
On the application form, eligible applicants are encouraged to
identify one or more project partners with a substantial interest and
involvement in the project to participate in the implementation of the
project.
If an application that involves such a partnership is selected for
funding, the competitive selection process will be deemed to satisfy
the requirement for a competitive procurement under 49 U.S.C. 5325(a)
for the named entities. Applicants are advised that any changes to the
proposed partnership will require FTA written approval, must be
consistent with the scope of the approved project, and may necessitate
a competitive procurement.
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. 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 maximum 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 non-Federal share of the
net project cost in cash, or in-kind, and must document in its
application the source of the non-Federal match. Eligible sources of
non-Federal match are detailed in FTA Circular 6100.1E.
3. Eligible Projects
This notice solicits applications in two topical areas: (a)
Projects that develop novel operational concepts and/or demonstrate
innovations that improve mobility and enhance the rider experience,
with focus on innovative service delivery models, creative financing,
novel partnerships, and integrated payment solutions, or other
innovative solutions; and (b) projects that develop software to
facilitate the provision of demand-response public transportation
service that dispatches public transportation fleet vehicles, through
riders' mobile devices or other advanced means.
Applicants must clearly indicate on the supplemental form the
topical area for which the application is seeking funding.
This effort seeks to harness Federal, local, and private sector
investments in transportation and mobility innovations. As such, FTA
seeks applications for projects that enhance the current state of
mobility innovation research or build on existing successful projects
and partnership efforts.
For illustrative purposes, some examples of project research areas
include: Novel data approaches for improved service delivery; data-
driven tools to predict and influence traveler behavior; data-driven
strategies that balance mobility options to travelers with climate
smart choices; next generation replicable seamless payments systems and
solutions that can enhance integrated mobility management and
operations across a variety of modes; new, smarter business models for
providing more effective
[[Page 62872]]
transportation and mobility options in underserved communities; use of
Artificial Intelligence (AI) tools to personalize mobility options to
travelers; mobility payment integration with dynamic pricing
strategies; and public private partnerships with non-traditional
transportation providers.
For topical area (a), concepts development and/or demonstration
projects, eligible activities may include all activities leading to
uncovering the next iteration of promising technologies, practices and
strategies to accelerate innovations in mobility for transit,
including, but not limited to, planning, acquiring essential equipment
or services, project implementation, and evaluating project results.
The purchase of a vehicle that will be used for revenue service with
research funds is prohibited unless the project makes significant
technological advancements in the vehicle.
For projects that develop novel operational concepts without
demonstration, eligible project activities may include data collection,
technology scanning and feasibility analysis, stakeholder engagement
and outreach, benefits and costs analysis, and modeling forecast of
climate and equity impacts of proposed novel concepts.
For topical area (b) software development projects, eligible
activities may include establishing user needs; defining system
requirements; development, validation and verification of the software;
modeling and simulation; and/or pilot implementation, with a software
solution that can be demonstrated to FTA. Software products developed
will be subject to the provisions of FTA's Master Agreement (version
28, February 9, 2021) available at https://www.transit.dot.gov/sites/fta.dot.gov/files/2021-02/FTA-Master-Agreement-v28-2021-02-09.pdf and
may be disseminated to public transit agencies for their use. Software
developed under this program should be interoperable, adaptable,
secure, and able to be seamlessly integrated into other transportation
and transit management systems. Further the project team should
consider how the development effort could support the development or
use of open standards, specifications or protocols. FTA will evaluate
the potential for software developed under this NOFO to be shared for
use by public transportation agencies.
It is FTA's intent to advance innovations that are of national
significance and can provide benefit to transit agencies, cities and
communities across the United States. As such, project teams should
consider how to structure development efforts to ensure the resulting
research outputs are broadly relevant and can lead to adoption or use
by other transit agencies or transportation providers.
D. Application and Submission Information
1. Address To Request Application
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. 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
FY 2021 Mobility Innovation NOFO (downloaded from GRANTS.GOV or the FTA
website at https://www.transit.dot.gov/funding/grants/EMI. Failure to
submit the information as requested can delay review or disqualify the
application.
2. Content and Form of Application Submission
a. Proposal Submission
A complete proposal submission consists of two forms: (1) The SF-
424 Application for Federal Assistance; and (2) the supplemental form
for the FY 2021 Enhancing Mobility Innovation NOFO. The supplemental
form and any supporting documents must be attached to the
``Attachments'' section of the SF-424. The application must include
responses to all sections of the SF-424 Application for Federal
Assistance and the supplemental form, unless indicated as optional. 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 Section E of this
notice. If an applicant chooses to apply for both topical areas ((a)
concepts development and/or demonstration, and (b) software
development), the applicant must submit separate proposals for
individual consideration by FTA, with a separate SF-424 and
supplemental form for each project area.
FTA will accept only one supplemental form per SF-424 submission.
Applicants may attach additional supporting information to the SF-424
submission, including but not limited to letters of support, project
budgets, visual aids, excerpts from relevant planning documents, or
project narratives. Any 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, and description of areas served may be requested in
varying degrees of detail on both the SF-424 and supplemental form.
Applicants must fill in all fields unless stated otherwise on the
forms. If information is copied into the supplemental form from another
source, applicants should verify that pasted text is fully captured on
the supplemental form and has not been truncated by the character
limits built into the form. Applicants 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 and ensure that
the Federal and local amounts specified are consistent.
b. Application Content
The SF-424 Application for Federal Assistance and the supplemental
form will prompt applicants for the required information, including:
1. Applicant name.
2. Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)
number.
3. Key contact information (including name, address, email address,
and phone).
4. Congressional district(s) where the project will take place.
5. Project information (including title, an executive summary, and
type).
6. Information on areas served by the project including current
state of public transportation and state of mobility in the area
served.
7. A detailed description of the project and how it will either (a)
advance innovative mobility technologies that focus on innovative
service delivery models, creative financing, novel partnerships, and
integrated payment solutions, or other innovative solutions; or (b)
develop interoperable software solutions to facilitate the provision of
demand-response public transportation service.
8. A description of each innovative technology, practice or
strategy proposed as part of the project scope.
9. A description of the national significance of the project to
advance innovative, carefree mobility solutions.
10. A description of how the project may advance climate smart
solutions and equity.
11. Information on any project partners, their role, and
anticipated contributions.
12. A description of the project implementation strategy.
13. A description of the approach to data, data access and project
evaluation,
[[Page 62873]]
including how the project will support the Department of
Transportation's public data access requirements.
14. A description of the technical, legal, and financial capacity
of the applicant and partners.
15. A detailed project budget, specifying Federal and local share.
16. A description of the scalability of the project.
17. A detailed project timeline.
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. 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. These requirements do not apply if the applicant has an
exception approved by FTA or the U.S. Office of Management and Budget
under 2 CFR 25.110(c) or (d). Non-Federal entities that have received a
Federal award are required to report certain civil, criminal, or
administrative proceedings to SAM (currently the Federal Awardee
Performance and Integrity Information System (FAPIIS)) to ensure
registration information is current and comply with Federal
requirements. Applicants should reference 2 CFR 200.113, for more
information. 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 https://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 January 11, 2022. GRANTS.GOV
attaches a time stamp to each application at the time of submission.
Proposals submitted after the deadline will only be considered under
extraordinary circumstances not under the applicant's control. 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 receive the validation messages and to
correct any problems that may have caused a rejection notification.
GRANTS.GOV scheduled maintenance and outage times are announced on the
GRANTS.GOV website. Deadlines will not be extended due to scheduled
website maintenance.
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, 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
SAM must be 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 submission.
5. Funding Restrictions
Funds available under this NOFO cannot be used to reimburse
applicants for otherwise eligible expenses incurred prior to FTA
issuing pre-award authority for selected projects.
Refer to Section C.3., Eligible Projects, for information on
activities that are allowable. Allowable direct and indirect expenses
must be consistent with the Governmentwide Uniform Administrative
Requirements and Cost Principles (2 CFR part 200) and FTA Circular
5010.1E.
6. Other Submission Requirements
Applicants are encouraged 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 the project budget would be affected
by a reduced award. FTA may award a lesser amount regardless of whether
a scalable option is provided.
All applications must be submitted via the GRANTS.GOV website. FTA
does not accept applications on paper, by fax machine, email, or other
means. For information on application submission requirements, please
see Section D.1., Address to Request Application. If the applicant
encounters system problems or technical difficulties using the
Grants.gov website, the applicant should address those technical issues
to Grants.gov.
E. Application Review Information
1. Criteria
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, including the file name
where the additional information can be found. FTA will evaluate
proposals based on the criteria described in this notice.
If an applicant is proposing to deploy autonomous vehicles or other
innovative motor vehicle technology, the application should demonstrate
that all vehicles will comply with applicable safety requirements,
including those administered by the National Highway Traffic Safety
Administration (NHTSA) and Federal Motor Carrier Safety Administration
(FMCSA). Specifically, the application should show that vehicles
acquired for the proposed project will comply with applicable Federal
Motor Vehicle Safety Standards (FMVSS) and Federal Motor Carrier Safety
Regulations (FMCSR). If the vehicles do not comply, the application
should either (1) show that the vehicles and their proposed operations
are within the scope of an exemption or waiver that has already been
granted by NHTSA, FMCSA, or both agencies, or (2) directly address
whether the project will require exemptions or waivers from the FMVSS,
FMCSR, or any other regulation and, if the project will require
exemptions or waivers, present a plan for obtaining them.
a. Demonstration of Innovation
FTA is seeking projects focused on the next iteration of the most
promising technologies, practices, and strategies to
[[Page 62874]]
accelerate innovations in mobility for transit. Projects will be
evaluated on the extent to which they develop and deploy novel,
innovative, or transformative mobility technologies and solutions, and
advance the state of the practice. A proposal 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 mobility innovation. FTA will assess the
extent to which the applicant uses innovative strategies, including (i)
innovative technologies, (ii) innovative financing, or (iii) innovative
operations to address specific needs in the area of mobility innovation
that can produce climate smart and equitable mobility outcomes and
knowledge.
b. Demonstration of Benefits
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 safe, equitable, and climate-smart mobility options for
all travelers. 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, better position transit agencies to adapt to unprecedented
operational challenges, and to meet evolving traveler expectations.
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 United States;
advances technologies, innovations, practices or partnership models
that resonate with all transit agencies; leverages private sector
innovation; advances robust, replicable business models, and
sustainable public private partnerships; and advances tools or
approaches that can enable transportation system carbon reductions and
promote equity.
FTA welcomes integrated mobility projects that embrace a holistic
view of multimodal mobility, with public transportation as the
backbone, and includes equitable movements of people and goods into
consideration. FTA also encourages applicants to consider integrated
mobility from the perspectives of system owners, operators, as well as
users. FTA seeks projects to produce novel, bold and yet realistic
concepts to accelerate the transformation of integrated mobility,
including public transportation, influencing traveler behavior, and
producing meaningful and lasting impacts on climate and equity goals.
Please see Section E.2, Review and Selection Process for more
information about the Executive Orders.
For software development projects, FTA will consider the extent to
which the development results in robust, interoperable, and adaptable
software-based solutions for demand-response transit service dispatched
through riders' mobile device or other advanced means. Additionally,
software development projects will be assessed on the extent to which
the development effort will support strategies for use of open
standards, specifications, or protocols and would permit the software
to be shared for use by public transportation agencies.
c. Planning and Partnerships
Applicants must identify all project partners and their specific
roles. 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. FTA will
also 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.
Entities who will be involved in the project but not named in the
application will be required to be selected through a competitive
procurement.
d. Local Financial Commitment
Applicants must identify the source of the non-Federal 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. FTA
will consider the availability of the non-Federal cost share as
evidence of the applicant's financial commitment to the project.
Additional consideration may be given to those projects with a higher
non-Federal share of costs and for which non-Federal 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, a budget document
highlighting the line item or section committing funds to the proposed
project, or other documentation of the source of non-Federal funds.
e. Project Implementation Strategy
Projects will be evaluated based on the extent to which the
applicant's proposed implementation plans are reasonable and complete.
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. 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 and
project evaluation against mobility-specific metrics. For projects that
will require formal coordination, approvals or permits from government
agencies or project partners, the applicant must demonstrate
coordination with these organizations and their support for the
project, such as through letters of support. FTA will also consider the
risks to project implementation, and the extent to which the project
implementation strategy addresses these risks.
f. Technical, Legal, and Financial Capacity
FTA will evaluate proposals on the capacity of the project
applicant and any partners to successfully execute the project.
Demonstrated experience by the project applicant or project partners in
successfully implementing a mobility innovation development and
demonstration project will be considered.
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 legal, technical or
financial compliance issues from an FTA compliance review or Federal
Transit grant-related Single Audit finding must explain how corrective
actions will mitigate negative impacts on the proposed project.
[[Page 62875]]
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 committee will evaluate proposals based on
the published evaluation criteria. Members of the technical evaluation
committee may request additional information from applicants, if
necessary. Based on the findings of the technical evaluation committee,
FTA will determine the final selection of projects for funding.
After applying the above criteria, in support of the President's
January 20, 2021, Executive Order 13900, Protecting Public Health and
the Environment and Restoring Science to Tackle the Climate Crisis, FTA
will consider the extent to which applications may provide air quality
benefits as part of the application review. Applicants should identify
any nonattainment or maintenance areas under the Clean Air Act in the
proposed service area. Nonattainment or maintenance areas should be
limited to the following applicable National Ambient Air Quality
Standards criteria pollutants: carbon monoxide, ozone, and particulate
matter 2.5 and 10. The U.S. Environmental Protection Agency's Green
Book (available at https://www.epa.gov/green-book) is a publicly-
available resource for nonattainment and maintenance area data. This
consideration will further the goals of the Executive Order, including
the goal to prioritize environmental justice (EJ).
In addition, FTA will consider benefits to EJ communities when
reviewing applications received under this program. Applicants should
identify any EJ populations located within the proposed service area
and describe anticipated benefits to EJ populations should the
applicant receive an award under this NOFO. A formal EJ analysis that
is typically included in transportation planning or environmental
reviews is not requested.
In support of Executive Order 13985, Advancing Racial Equity and
Support for Underserved Communities Through the Federal Government, FTA
will also consider the extent to which applications promote racial
equity and the removal of barriers to opportunity through such
activities as equity-focused community outreach and public engagement
of underserved communities, and adoption of an equity and inclusion
program or plan or equity-focused policies related to the proposed
project.
In determining the allocation of program funds, FTA may consider
geographic diversity, diversity in the size of the grant recipients
receiving funding, or the applicant's receipt of other competitive
awards, among other factors. FTA may also consider capping the amount a
single applicant may receive.
Prior to making an award, FTA is required to review and consider
any information about the applicant that is in the FAPIIS accessible
through SAM. An applicant may review and comment on any information
about itself that a Federal awarding agency previously entered. FTA
will 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 Notices
FTA will announce the final project selections on the FTA website.
Due to funding limitations, applicants 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 projects are
still viable and can be completed with the amount awarded.
2. Administrative and National Policy Requirements
a. Pre-Award Authority
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 these projects before announcement. FTA will issue
specific guidance to recipients regarding pre-award authority at the
time of selection. FTA does not consider requests for pre-award
authority for competitive funds until after projects are selected, and
additional Federal requirements must be met before costs are incurred.
For more information about FTA's policy on pre-award authority, please
see the most recent Apportionments, Allocations and Program Information
Notice at https://www.transit.dot.gov.
b. Cooperative Agreement Requirements
If selected, awardees will apply for a cooperative agreement
through FTA's Transit Award Management System (TrAMS). Successful
applicants must be prepared to submit a complete statement of work and
application in TrAMS within 90 days of notification of award. All
recipients must follow the requirements of FTA Circular 6100.1E.
Technical assistance regarding these requirements is available from
FTA.
c. Buy America
FTA requires that all capital procurements meet FTA's Buy America
requirements (49 U.S.C. 5323(j) and 49 CFR part 661), which require
that all iron, steel, or manufactured goods be produced in the United
States, and set minimum domestic content and final assembly
requirements for rolling stock.
d. Disadvantaged Business Enterprise
FTA requires that its recipients receiving planning, capital, or
operating assistance that will award prime contracts exceeding $250,000
in FTA funds in a Federal fiscal year comply with the U.S. Department
of Transportation's Disadvantaged Business Enterprise (DBE) program
regulations (49 CFR part 26). If an applicant also receives FTA
planning, capital, or operating assistance, it should expect to include
any funds awarded, excluding those to be used for vehicle procurements,
in setting its overall DBE goal. Note, however, that projects,
including vehicle procurements, remain subject to the DBE program
regulations.
e. Standard Assurances
If an applicant receives an award, the applicant must assure 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 award. The applicant acknowledges that it will be under a
continuing obligation to comply with the terms and conditions of the
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 most recent Federal requirements will apply to the
project, unless FTA issues a written determination otherwise. The
applicant must submit the most recent FTA Certifications and Assurances
before receiving an award if it does not have current certifications on
file.
[[Page 62876]]
f. Data Access and Data Sharing
FTA seeks to improve public transportation for America's
communities by sharing digital data or source code collected or
developed through its research with the public. This allows research
organizations, transit agencies, and other stakeholders to learn from
and expand upon the insights developed from FTA-funded research.
An award made pursuant to this NOFO will be subject to the latest
version of FTA's Master Agreement (available at https://www.transit.dot.gov/funding/grantee-resources/sample-fta-agreements/fta-grant-agreements), including Section 17 Patent Rights and Section
18 Rights in Data and Copyrights.
All work funded under this NOFO must follow the Department's data
collection and sharing policies outlined in the DOT Public Access Plan
at: https://www.transportation.gov/mission/open/official-dot-public-access-plan-v11. Recipients are required to include these obligations
in any sub-awards or other related funding agreements.
Public Data Access requirements include developing a Data
Management Plan (DMP) and submitting the DMP for FTA review. A DMP is a
document that describes how recipients plan to handle digital datasets,
software, or code generated over the course of a research project
pursuant to federal and Departmental requirements. A DMP must be
provided as a condition of receiving FTA funds under the Section 5312
Research Program and should adequately identify: (1) The data to be
collected, (2) how the data will further the goals of this effort, (3)
how the data will be made accessible, and (4) how the data will be
stored. DMPs can be updated over time if the scope of the project or
the type of data that will be collected changes.
FTA staff is available to assist recipients with complying with
public data access requirements.
g. External Communications
Recipients must communicate with their FTA Project Manager prior to
engaging in any external communications regarding their project. This
includes any work developing news or magazine stories with media
organizations, including print, video, online, or otherwise.
Additionally, the FTA project manager must be notified if project
information, including results and metrics, will be shared during a
webinar or other presentation open to the public produced either by the
recipient itself or another organization. Recipients should consult
with their FTA Project Manager at the beginning of their agreement to
discuss and plan any external communications about their project.
h. 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.
i. 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 mobility-
specific metrics as detailed in the FTA report, Mobility Performance
Metrics (MPM) For Integrated Mobility and Beyond (February 2020),
available at https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/research-innovation/147791/mobility-performance-metrics-integrated-mobility-and-beyond-fta-report-no-0152.pdf.
j. Software Provisions
Any software developed as a part of this solicitation will be
subject to provisions of FTA's Master Agreement (version 28, February
9, 2021) and evaluated for the potential to be shared for use by public
transportation agencies.
3. Reporting
Post-award reporting requirements include the electronic submission
of Federal Financial Reports and Milestone Progress Reports in FTA's
electronic grants management system.
Applicants should include any goals, targets, and indicators
referenced in their application in the Executive Summary of the TrAMS
application.
As part of completing the annual certifications and assurances
required of FTA grant recipients, a successful applicant must report on
the suspension or debarment status of itself and its principals. If the
award recipient's active grants, cooperative agreements, and
procurement contracts from all Federal awarding agencies exceed
$10,000,000 for any period of time during the period of performance of
an award made pursuant to this Notice, the recipient must comply with
the Recipient Integrity and Performance Matters reporting requirements
described in Appendix XII to 2 CFR part 200.
G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact
Christina Gikakis, in the FTA Office of Mobility Innovation, by phone
at 202-366-2637, or by email at [email protected]. A TDD is
available for individuals who are deaf or hard of hearing at 800-877-
8339. In addition, FTA will post answers to questions and requests for
clarifications on FTA's website at https://www.transit.dot.gov/funding/grants/EMI. To ensure applicants receive accurate information about
eligibility or the program, applicants are encouraged to contact FTA
directly, rather than through intermediaries or third parties, with
questions. FTA staff may also conduct briefings on the FY 2021
competitive grants selection and award process upon request.
For issues with GRANTS.GOV, please contact GRANTS.GOV by phone at
1-800-518- 4726 or by email at [email protected].
H. Other Information
This program is not subject to Executive Order 12372,
``Intergovernmental Review of Federal Programs.''
Nuria I. Fernandez,
Administrator.
[FR Doc. 2021-24671 Filed 11-10-21; 8:45 am]
BILLING CODE 4910-57-P