Document ID: DOT-OST-2009-0092-0546
Agency: dot
Document Type: Notice
Title: Funding Opportunity: Strengthening Mobility and Revolutionizing Transportation Grants
Posted Date: 2022-09-23T04:00Z

[Federal Register Volume 87, Number 184 (Friday, September 23, 2022)]
[Notices]
[Pages 58187-58198]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-20597]

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DEPARTMENT OF TRANSPORTATION

SMART Grants Notice of Funding Opportunity

AGENCY: Office of the Assistant Secretary for Research and Technology 
(OST-R), U.S. Department of Transportation (DOT or the Department).

ACTION: Notice of Funding Opportunity (NOFO), Assistance Listing 
#20.941.

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SUMMARY: The purpose of this notice is to solicit applications for 
Strengthening Mobility and Revolutionizing Transportation (SMART) 
grants. Funds for the fiscal year (FY) 2022 SMART Grants Program are to 
be awarded on a competitive basis to conduct demonstration projects 
focused on advanced smart city or community technologies and systems to 
improve transportation efficiency and safety.

DATES: Applications must be submitted by 5:00 p.m. EST on Friday, 
November 18, 2022. Late applications will not be accepted.

ADDRESSES: Applications must be submitted via Valid Eval, an online 
submission proposal system used by USDOT, at https://usg.valideval.com/teams/USDOT_SMART_2022/signup.

FOR FURTHER INFORMATION CONTACT: Please contact SMART Grant Program 
staff via email at [email protected], or call Roxanne Ledesma at 202-774-
8003. A telecommunications device for the deaf (TDD) is available at 
202-366-3993. In addition, USDOT will regularly post answers to 
questions and requests for clarifications, as well as schedule 
information regarding webinars providing additional guidance, on 
USDOT's website at https://www.transportation.gov/smart. The deadline 
to submit technical questions is Friday, November 4, 2022.

SUPPLEMENTARY INFORMATION: Each section of this notice contains 
information and instructions relevant to the application process for 
SMART grants. All applicants should read this notice in its entirety so 
that they have the information they need to submit eligible and 
competitive applications.

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                                                                   Page
           Section                         Content                 No.
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A...........................  Program Description..............        2
B...........................  Federal Award Information........        4
C...........................  Eligibility Information..........        5
D...........................  Application and Submission              10
                               Information.
E...........................  Application Review Information...       15
F...........................  Federal Award Administration            19
                               Information.
G...........................  Federal Awarding Agency Contacts.       24
H...........................  Other Information................       24
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Office of the Assistant Secretary for Research and Technology (OST-R), 
USDOT

Notice of Funding Opportunity for the Strengthening Mobility and 
Revolutionizing Transportation (SMART) Grants Program

A. Program Description

1. Overview
    Section 25005 of the Infrastructure Investment and Jobs Act (Pub. 
L. 117-58, November 15, 2021; also referred to as the ``Bipartisan 
Infrastructure Law'' or ``BIL'') authorized and appropriated $100 
million to be awarded by the Department of Transportation (DOT) for FY 
2022 for the SMART Grants Program. This NOFO solicits applications for 
activities to be funded under the SMART Grants Program. The FY22 
funding will be implemented, as appropriate and consistent with law, in 
alignment with the priorities in Executive Order 14052, Implementation 
of the Infrastructure Investment and Jobs Act (86 FR 64355).\1\
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    \1\ The priorities of Executive Order 14052, ``Implementation of 
the Infrastructure Investments and Jobs Act'' are as follows: to 
invest efficiently and equitably, promote the competitiveness of the 
U.S. economy, improve job opportunities by focusing on high labor 
standards and equal employment opportunity, strengthen 
infrastructure resilience to hazards including climate change, and 
to effectively coordinate with State, local, Tribal, and territorial 
government partners. https://www.federalregister.gov/documents/2021/11/18/2021-25286/implementation-of-the-infrastructure-investment-and-jobs-act.
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    The purpose of the SMART Grants Program is to conduct demonstration 
projects focused on advanced smart city or community technologies and 
systems in a variety of communities to improve transportation 
efficiency and safety. The program funds projects that are focused on 
using technology interventions to solve real-world challenges and build 
data and technology capacity and expertise in the public sector.\2\
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    \2\ For more information and illustrative use cases, please see 
www.transportation.gov/SMART.
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2. Program Structure
    The SMART Grants Program includes two stages: Stage 1 Planning and 
Prototyping Grants (Stage 1 grants) and Stage 2 Implementation Grants 
(Stage 2 grants). The program structure is based on a belief that 
planning, prototyping, and partnership are critical to advancing the 
state of the practice for data and technology projects in the public 
sector. USDOT anticipates that only recipients of Stage 1 Planning and 
Prototyping Grants will be eligible for Stage 2 Implementation Grants 
and anticipates funding projects of up to $2,000,000 per project for 
Stage 1 and up to $15,000,000 per project for Stage 2.
    Stage 1 recipients should build internal buy-in and partnerships 
with stakeholders to refine and prototype their concepts, and report on 
results. Stakeholders can include public, private, academic, and 
nonprofit organizations; organized labor and workforce organizations; 
and community organizations and networks. At the conclusion of Stage 1, 
recipients should have the information to either create a fully 
realized implementation plan with robust performance metrics; or to 
make an informed decision not to proceed with the concept. Stage 1 
results may uncover previously unknown institutional barriers, 
technical limitations, or poor

[[Page 58188]]

performance relative to conventional solutions. The SMART Grants 
Program expects to document lessons learned from Stage 1 projects, 
knowing that these findings will be broadly beneficial to the 
transportation sector.
    Stage 2 implementation projects should result in a scaled-up 
demonstration of the concept, integrating it with the existing 
transportation system and refining the concept such that it could be 
replicated by others. If demonstration at scale identifies critical 
challenges, gaps, or negative impacts, they should be clearly stated 
and documented so that other communities that take on similar projects 
can learn from them and adapt.
    This NOFO solicits applications only for Stage 1 grants. USDOT 
anticipates that an FY23 SMART Grants Program NOFO will solicit 
applications for both Stage 1 and Stage 2 grants.
3. Departmental Priorities
    The FY 2022-2026 U.S. Department of Transportation Strategic Plan 
establishes USDOT's strategic goals: safety, economic strength and 
global competitiveness, equity, climate and sustainability, 
transformation, and organizational excellence.\3\ The USDOT Innovation 
Principles guide Departmental actions related to innovation generally 
as well as the transformation strategic goal.\4\ Applicants are 
encouraged to review the Innovation Principles, along with other 
resources accessible on the SMART Grants website \5\ and to incorporate 
them into the design of applications for the SMART Grants Program.
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    \3\ See: FY 2022-26 USDOT Strategic Plan (https://www.transportation.gov/dot-strategic-plan), page 6. Last updated 
April 7, 2022.
    \4\ See: USDOT Innovation Principles (https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles). Released January 6, 2022; last updated July 14, 2022.
    \5\ Other resources can be found at www.transportation.gov/SMART, and include the USDOT Strategic Plan, the USDOT Equity Action 
Plan, and the National Roadway Safety Strategy.
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4. SMART Grants Program Priorities
    As established in BIL, projects funded by the SMART Grants Program 
use advanced data, technology, and applications to provide significant 
benefits to a local area, a State, a region, or the United States. 
These benefits are identified in BIL and align to the following 
categories:
     Safety and reliability: Improve the safety of systems for 
pedestrians, bicyclists, and the broader traveling public. Improve 
emergency response.
     Resiliency: Increase the reliability and resiliency of the 
transportation system, including cybersecurity and resiliency to 
climate change effects.
     Equity and access: Connect or expand access for 
underserved or disadvantaged populations. Improve access to jobs, 
education, and essential services.
     Climate: Reduce congestion and/or air pollution, including 
greenhouse gases. Improve energy efficiency.
     Partnerships: Contribute to economic competitiveness and 
incentivize private sector investments or partnerships, including 
technical and financial commitments on the proposed solution. 
Demonstrate committed leadership and capacity from the applicant, 
partners, and community.
     Integration: Improve integration of systems and promote 
connectivity of infrastructure, connected vehicles, pedestrians, 
bicyclists, and the broader traveling public.
    The Department will prioritize SMART grants funding applications 
that demonstrate the following characteristics, identified in BIL:
     Fit, scale, and adoption: Right-size the proposed solution 
to population density and demographics, the physical attributes of the 
community and transportation system, and the transportation needs of 
the community. Confirm technologies are capable of being integrated 
with existing transportation systems, including transit. Leverage 
technologies in repeatable ways that can be scaled and adopted by 
communities.
     Data sharing, cybersecurity, and privacy: Promote public 
and private sharing of data and best practices and the use of open 
platforms, open data formats, technology-neutral requirements, and 
interoperability. Promote industry best practices regarding 
cybersecurity and technology standards. Safeguard individual privacy.
     Workforce development: Promote a skilled and inclusive 
workforce.
     Measurement and validation: Allow for the measurement and 
validation of the cost savings and performance improvements associated 
with the installation and use of smart city or community technologies 
and practices.
    To accomplish these objectives, the SMART Grants Program will fund 
projects that focus on using technology interventions to solve real-
world challenges facing communities.
    SMART will focus on building data and technology capacity and 
expertise for State, local, and Tribal governments. Technology 
investment is most beneficial when tailored to the needs of the 
community. SMART recognizes that many public sector agencies are 
challenged to find the resources and personnel to engage with new 
technologies; this is reflected in the program design, which builds in 
the time and support needed for projects to succeed. SMART will support 
and grow a strong, diverse, and local workforce.
    Successful projects will seek to build sustainable partnerships 
across sectors and levels of government as well as collaborate with 
industry, academia, nonprofits, and other traditional and non-
traditional partners.
    See Section E.1.i for more detail on merit criteria that implement 
priorities outlined above.

B. Federal Award Information

1. Total Funding Available
    The BIL established the SMART Grants Program with $500,000,000 in 
advanced appropriations, including $100,000,000 for FY 2022. Therefore, 
this Notice makes available up to $100,000,000 for FY 2022 grants under 
the SMART Grants Program. USDOT anticipates using up to 2% of this 
funding for administrative costs. Refer to Section D for greater detail 
on additional funding considerations and Section D.7 for funding 
restrictions.
2. Availability of Funds
    Grant funding obligation occurs when a selected applicant and USDOT 
enter into a written grant agreement after the applicant has satisfied 
applicable administrative requirements. Any costs incurred prior to 
USDOT's obligation of funds for activities (``pre-award costs'') are 
ineligible for reimbursement. SMART Program Grant funds are available 
until expended. USDOT retains the right to prioritize projects for 
selection that are most likely to achieve an efficient timeline and be 
completed within the expected period of performance (18 months).
3. Award Size and Anticipated Quantity
    USDOT expects to award between 30 and 50 Stage 1 grants of up to 
$2,000,000 per award. The Department reserves the right to make more, 
or fewer, awards. USDOT reserves the discretion to alter maximum award 
sizes upon receiving the full pool of applications and assessing the 
needs of the program in relation to the priorities in Section A.3 and 
A.4. USDOT also reserves the right not to award the full funding amount 
requested by an applicant.
4. Start Dates and Period of Performance
    USDOT expects to obligate SMART award funding via a signed grant 
agreement between the Department and the recipient, as flexibly and 
expeditiously as possible, within 12

[[Page 58189]]

months after project selections have been announced. The expected 
period of performance for Stage 1 SMART grant agreements is up to 18 
months.
5. Data Collection Requirements
i. Data Management
    To fulfill the reporting requirements and in accordance with the 
USDOT Public Access Plan, award recipients must consider, budget for, 
and implement appropriate data management for data and information 
outputs acquired or generated during the grant. Applicants are expected 
to account for data and performance reporting in their budget 
submission. Requirements include a project:
     Defaulting to open access when appropriate (exceptions 
include protecting personally identifiable information [PII], 
Indigenous data sovereignty, or confidential business information 
[CBI]);
     Protecting PII, intellectual property rights, and CBI;
     Utilizing, when possible, open licenses and protecting 
USDOT's non-exclusive copyright to data and corresponding outputs;
     Making the source code or tools necessary to analyze the 
data available to the public, if relevant;
     Providing relevant metadata (in a DCAT-US file, and, 
optionally, a discipline-appropriate metadata standard file), and data 
documentation (README.txt files, data dictionaries, code books, 
supporting files, imputation tables, etc.); and
     Where applicable, considering contributing data to 
voluntary resources such as NHTSA's AV TEST Initiative.
    Projects should implement data management best practices including, 
but not limited to, implementation of published data specifications and 
standards (formal and informal); increasing data discoverability and 
data sharing; and enabling interaction of systems, interoperability, 
and integration of data systems.

C. Eligibility Information

1. Eligible Applicants
    Eligible applicants for the SMART Grants Program include:
    A. a State; \6\
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    \6\ U.S. territories are eligible applicants.
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    B. a political subdivision of a State; \7\
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    \7\ For the purposes of the SMART Grants Program Notice of 
Funding Opportunity, a political subdivision of a State is defined 
as a unit of government created under the authority of State law. 
This includes cities, towns, counties, special districts, and 
similar units of local government, such as public port or airport 
authorities, if created under State law.
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    C. a federally recognized Tribal government;
    D. a public transit agency or authority;
    E. a public toll authority;
    F. a metropolitan planning organization; or
    G. a group of two or more eligible entities listed above in Section 
C.1 applying through a single lead applicant (Group Application).
Collaborative Applications
    Eligible entities may choose to collaborate across different 
regions or geographies on projects with similar characteristics, 
addressing similar problems and with similar technologies, potentially 
sharing common resources such as partnerships with industry, 
nonprofits, academic institutions, or community foundations. If these 
entities choose not to apply as a group with a single lead applicant, 
they should identify their application as a collaborative application.
     Each organization in a collaborative application must 
submit an individual application.
     Collaborative applications can include any type of 
eligible entity.
     Each individual application in a collaborative application 
will be evaluated on its own merits and USDOT reserves the right to 
fund all, some, or none of the associated applications, with the same 
anticipated funding (i.e., up to $2,000,000 per individual award).
2. Cost Sharing or Matching
    Cost sharing or matching is not required for Stage I: Planning and 
Prototyping.
3. Eligible Activities
    The SMART Grants Program funds multiple technology areas, as listed 
below. Projects must demonstrate at least one technology area and may 
demonstrate more than one technology area. USDOT will evaluate each 
application on its merits, and there is no expectation that 
applications demonstrate more than one technology area.
    As stated in BIL Section 25005 (e)(1), the following technology 
areas are eligible projects under SMART.

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          Technology area                        Definition
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Coordinated Automation............  Use of automated transportation and
                                     autonomous vehicles while working
                                     to minimize the impact on the
                                     accessibility of any other user
                                     group or mode of travel.
Connected Vehicles................  Vehicles that send and receive
                                     information regarding vehicle
                                     movements in the network and use
                                     vehicle-to-vehicle and vehicle-to-
                                     everything communications to
                                     provide advanced and reliable
                                     connectivity.
Intelligent, Sensor-Based           Deployment and use of a collective
 Infrastructure.                     intelligent infrastructure that
                                     allows sensors to collect and
                                     report real-time data to inform
                                     everyday transportation-related
                                     operations and performance.
Systems Integration...............  Integration of intelligent
                                     transportation systems with other
                                     existing systems and other advanced
                                     transportation technologies.
Commerce Delivery and Logistics...  Innovative data and technological
                                     solutions supporting efficient
                                     goods movement, such as connected
                                     vehicle probe data, road weather
                                     data, or global positioning data to
                                     improve on-time pickup and
                                     delivery, improved travel time
                                     reliability, reduced fuel
                                     consumption and emissions, and
                                     reduced labor and vehicle
                                     maintenance costs.
Leveraging Use of Innovative        Leveraging the use of innovative
 Aviation Technology.                aviation technologies, such as
                                     unmanned aircraft systems, to
                                     support transportation safety and
                                     efficiencies, including traffic
                                     monitoring and infrastructure
                                     inspection.
Smart Grid........................  Developing a programmable and
                                     efficient energy transmission and
                                     distribution system to support the
                                     adoption or expansion of energy
                                     capture, electric vehicle
                                     deployment, or freight or
                                     commercial fleet fuel efficiency.
Smart Technology Traffic Signals..  Improving the active management and
                                     functioning of traffic signals,
                                     including through:
                                     Use of automated traffic
                                     signal performance measures;
                                     Implementing strategies,
                                     activities, and projects that
                                     support active management of
                                     traffic signal operations,
                                     including through optimization of
                                     corridor timing; improved vehicle,
                                     pedestrian, and bicycle detection
                                     at traffic signals; or the use of
                                     connected vehicle technologies;
                                     Replacement of outdated
                                     traffic signals; or
                                     For an eligible entity
                                     serving a population of less than
                                     500,000, paying the costs of
                                     temporary staffing hours dedicated
                                     to updating traffic signal
                                     technology.
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[[Page 58190]]

    Projects must comply with relevant federal, state, and local laws 
and regulations to be eligible. These vary by technology area, and it 
is the responsibility of the applicant to understand the requirements 
for their application. This section briefly discusses a few notable 
examples and is not comprehensive.
    Innovative aviation projects must show understanding and awareness 
of, and comply with, all FAA and other federal, state, and local 
regulations relevant to the technologies and usages thereof. For 
instance, in the case of innovative aviation projects involving small, 
unmanned aircraft systems (UAS), applicants are responsible for 
complying with regulations which may include, and are not limited to 
the following, as necessary to achieve desired outcomes: \8\
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    \8\ Other terminologies exist, using the FAA terminology 
``unmanned aircraft systems'' for simplicity;
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 14 CFR part 91 General Operating and Flight Rules \9\
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    \9\ 14 CFR part 91 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-91.
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 14 CFR part 107 small UAS rule; Small UAS \10\
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    \10\ 14 CFR part 107 https://www.ecfr.gov/current/title-14/chapter-I/subchapter-F/part-107.
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 UAS Operations over People rule; Operations Over People 
General Overview \11\
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    \11\ FAA Operations Over People General Overview https://www.faa.gov/uas/commercial_operators/operations_over_people. Last 
updated November 17, 2021.
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 UAS Remote identification rule; UAS Remote Identification 
Overview \12\
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    \12\ FAA Final Rule on Remote ID https://www.faa.gov/uas/
getting_started/
remote_id#:~:text=Remote%20ID%20will%20provide%20information,drone's%
20owner%20from%20the%20FAA. Last updated July 13, 2022.
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    Proponents of innovative aviation projects are also responsible for 
using U.S. government tools and resources which may include, and are 
not limited to the following, as necessary to fulfill requirements to 
operate technologies and achieve desired outcomes:

 FAA DroneZone, used to register UAS \13\
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    \13\ FAA DroneZone; https://faadronezone. faa.gov/.
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 FAA Low Altitude Authorization and Notification Capability 
(LAANC), used to obtain airspace authorization to fly in controlled 
airspace \14\
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    \14\ FAA UAS Data Exchange (LAANC); https://www.faa.gov/uas/programs_partnerships/data_exchange.
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 Part 107 Waiver Resources,\15\ used to enable more complex UAS 
operations \16\
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    \15\ Part 107 Waiver resources; https://www.faa.gov/uas/commercial_operators/part_107_waivers.
    \16\ For additional questions or information, please contact the 
FAA UAS Support Center at https://www.faa.gov/uas/contact_us.
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    Projects that use communications technologies must either (1) use 
Vehicle-to-Everything (V2X) services that utilize Cellular Vehicle-to-
Everything (C-V2X) based technology designed to operate within the 30 
MHz of spectrum (5.895-5.925 GHz) that are consistent with the final 
rules established in relation to Federal Communications Commission 
(FCC) ET Docket No. 19-138 and future Report and Orders effective at 
the time when the Department selects projects for funding under the 
FY22 SMART Grants Program, or (2) leverage other communications 
technologies that can support V2X services and operate in spectrum 
outside of the 5.895-5.925 GHz range.
    Projects that involve equipping or retrofitting motor vehicles with 
additional technologies are only eligible if the vehicles are publicly 
owned, leased or used in a contracted service; equipping privately 
owned and operated vehicles outside of a leased or contracted service 
is not an eligible activity. Projects involving motor vehicles must 
involve only vehicles that comply with all applicable Federal Motor 
Vehicle Safety Standards (FMVSSs) and Federal Motor Carrier Safety 
Regulations (FMCSRs), or vehicles that are exempt from the requirements 
in a manner that allows for the legal acquisition and operation of the 
vehicles in the proposed project.
    For all technology areas, if an exemption, waiver, permit, or other 
special permission is required in order to conduct the proposed 
project, it will strengthen a Stage 1 application if the applicant can 
affirm that it has already received such permission. If the project is 
selected for award, the lack of a required exemption, waiver, permit, 
or special permission may impact the Department's funding timeline or 
result in special conditions in the grant agreement. For future rounds 
of SMART that include Stage 2 applications, Stage 2 applicants will be 
required to obtain all necessary exemptions, waivers, permits, or 
special permissions before submitting an application and provide such 
affirmation. The selection of a project to receive a SMART grant is not 
a determination of the merit of any waiver or exemption.
4. Eligible Costs
    Broadly, eligible activity costs must comply with the cost 
principles set forth in 2 CFR part 200, subpart E (i.e., 2 CFR 200.403 
and Sec.  200.405). USDOT reserves the right to make cost eligibility 
determinations on a case-by-case basis. Eligible development and 
construction activities for grant funding are the following:
     planning;
     feasibility analyses;
     revenue forecasting;
     environmental review;
     permitting;
     preliminary engineering and design work;
     systems development or information technology work;
     acquisition of real property (including land and 
improvements to land relating to an eligible project);
     construction;
     reconstruction;
     rehabilitation;
     replacement;
     environmental mitigation;
     construction contingencies; and
     acquisition of equipment, including vehicles.
    The following are not eligible costs for SMART Grants Program 
funding:
     reimbursement of any pre-award costs or application 
preparation costs of the SMART grant application;
     traffic or parking enforcement activity; or
     purchase or lease of a license plate reader.
    Federal funds may not be used to support or oppose union 
organizing, whether directly or as an offset for other funds.
    For grant recipients receiving an award, project evaluation costs 
are allowable costs (either as direct or indirect), unless prohibited 
by statute or regulation, and such costs may include the personnel and 
equipment needed for data infrastructure and expertise in data 
analysis, performance, and evaluation. (2 CFR part 200). For more 
information on required reporting, see Section F.3. An eligible entity 
may not use more than 3 percent of the amount of a SMART grant for each 
fiscal year to achieve compliance with applicable planning and 
reporting requirements.

D. Application and Submission Information

1. Address To Request Application Package
    All grant application materials can be accessed at grants.gov under 
the Notice of Funding Opportunity Number DOT-SMART-FY22-01. Applicants 
must submit their applications via Valid Eval

[[Page 58191]]

at https://usg.valideval.com/teams/USDOT_SMART_2022/signup. Potential 
applicants may also request paper copies of materials at:
    Telephone: 202-366-4114.
    Mail: U.S. Department of Transportation, 1200 New Jersey Avenue SE, 
W84-322, Washington, DC 20590.
2. Content and Form of Application Submission
    The application must include the following: Standard Forms (SF); 
Key Information Questions; Project Narrative and Summary Budget 
Narrative. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/USDOT_SMART_2022/signup. More detailed 
information about each application material is provided below.
    i. Standard Forms: All applicants must submit the following 
Standard Forms: Application for Federal Assistance (SF-424), Budget 
Information for Non-Construction Programs (SF-424A), Assurances for 
Non-Construction Programs (SF-424B). If applicable, also include 
Assurances for Construction Programs (SF-424D), Budget Information for 
Construction Programs (SF-424C) and/or Disclosure of Lobbying 
Activities (SF-LLL).
    ii. Key Information Questions: This is a preview list of the 
questions that are asked on USDOT's automated proposal website at 
https://usg.valideval.com/teams/USDOT_SMART_2022/signup. After 
registering in the system, the applicant will be prompted to answer 
these questions on the website.

------------------------------------------------------------------------
                 Title                             Instructions
------------------------------------------------------------------------
1. Project Name........................  Enter a concise, descriptive
                                          title for the project. This
                                          should be the same title used
                                          in the Grants.gov SF-424
                                          submission and the application
                                          narrative.
2. Lead Applicant Name.................  This should be consistent with
                                          Q. 8.a. of the SF-424.
3. Lead Applicant Unique Entity          See Section D.3 below for more
 Identifier (UEI).                        information about obtaining a
                                          UEI from SAM.gov.
4. Eligible Entity Type................  Indicate the eligible entity
                                          type for your application: A.
                                          a State; B. a political
                                          subdivision of a State; C. a
                                          federally recognized Tribal
                                          government; D. a public
                                          transit agency or authority;
                                          E. a public toll authority; F.
                                          a metropolitan planning
                                          organization; or G. A group
                                          application of 2 or more
                                          eligible entities described in
                                          (A) through (F).
5. Was a similar application submitted   (If yes, please include the
 in the past two years, or do you         name of the discretionary
 anticipate a similar application will    grant program, the project
 be submitted for funding in the coming   title of similar grant
 year for this project under any other    application, and the name of
 USDOT discretionary grant programs?.     the lead applicant, if
                                          different than the lead
                                          applicant on this
                                          application.)
6. Was federal funding previously        (If yes, indicate the amount of
 received for this project?.              federal funding received and
                                          the relevant grant number.)
7. Is this a group application, through  (If yes, please provide
 a single, lead-applicant?.               organizational name(s) of sub-
                                          recipient(s) that will receive
                                          funds and other key partners.)
8. Is this a collaborative application,  (If yes, please indicate the
 with each applicant applying             organizational name(s) of the
 separately?.                             other eligible applicant(s)
                                          with which you are
                                          collaborating.)
9. What additional organizations will    (List all critical project
 be considered partners on this           partners, including partners
 project?.                                that are not eligible
                                          applicants. This could include
                                          industry, academia,
                                          nonprofits, and other
                                          traditional and non-
                                          traditional partners.) \17\
10. Brief Project Description..........  Describe the project in plain
                                          language, using no more than
                                          100 words. Please do not
                                          describe the project's
                                          benefits, background, or
                                          alignment with the selection
                                          criteria in this description
                                          field. A longer, narrative
                                          description will be provided
                                          in the Project Narrative. The
                                          Brief Project Description of
                                          successful applicant may be
                                          published by USDOT and,
                                          therefore, must not contain
                                          classified, proprietary or
                                          confidential information.
11. Primary Project Location...........  Indicate the primary location
                                          at which the project will take
                                          place. If more than one
                                          location, please list
                                          additional locations in the
                                          next question.
12. Other Project Locations............  Identify additional project
                                          locations, if applicable.
13. Community Size.....................  Indicate the size of the
                                          community to be supported
                                          (large community; midsized
                                          community; regional
                                          partnership; or rural
                                          community). See definitions in
                                          Section F.1 that your project
                                          primarily benefits.
14. Project Location Primary Census      Identify the primary
 Tract.                                   anticipated census tract
                                          number(s) of the planned
                                          project.
15. Other Project Census Tracts........  Identify Census tract
                                          information for other
                                          anticipated areas of the
                                          planned project location, if
                                          applicable.
16. Is the project located (entirely or  Indicate yes or no, and which
 partially) in an Historically            one of the following two
 Disadvantaged Community?.                designation methods you are
                                          using:
                                         (1) Federally designated
                                          community development zones
                                          (for example: Opportunity
                                          Zones, Empowerment Zones,
                                          Promise Zones, Choice
                                          Neighborhoods, or Rural
                                          Partners Network-designated
                                          Community Networks).
                                         (2) The Climate and Economic
                                          Justice Screening Tool (CEJST)
                                          via
                                          screeningtool.geoplatform.gov.
17. Project Cost: Amount Requested.....  Total dollar amount requested.
18. Project Cost: Total Project Cost...  Total project cost, including
                                          dollar amount requested and
                                          other funding contributions.
19. Proposed Duration of Stage 1         May be up to 18 months.
 Project (in months).
20. Technology area(s).................  Select the primary technology
                                          area with which your project
                                          aligns and, if applicable, any
                                          secondary technology areas:
                                         A. coordinated automation;

[[Page 58192]]

 
                                         B. connected vehicles;
                                         C. intelligent, sensor-based
                                          infrastructure;
                                         D. systems integration;
                                         E. commerce delivery and
                                          logistics;
                                         F. leveraging use of innovative
                                          aviation technology;
                                         G. smart grid; or
                                         H. smart technology traffic
                                          signals.
                                         Note that applications are not
                                          scored on the number of
                                          technology areas indicated, so
                                          it is important to only select
                                          the area(s) with which your
                                          project aligns.
21. Does this project relate to traffic  Indicate ``Yes'' or ``No.''
 or parking enforcement; or license       Note that SMART grants shall
 plate reader activities?.                not be used for any traffic or
                                          parking enforcement activity,
                                          or to purchase or lease a
                                          license plate reader.
22. Is an exemption, waiver, permit, or  (If yes, indicate the
 special permission required to conduct   exemption, waiver, permit, or
 the proposed project?.                   special permission obtained.
                                          If waiver has not been
                                          obtained, please indicate the
                                          plan or process for obtaining
                                          it in your Project Narrative.)
------------------------------------------------------------------------

    iii. Project Narrative: The primary purpose of the Narrative is for 
the applicant to state their case for meeting the merit criteria laid 
out in Section E. The Narrative should not exceed seven pages; this 
does not include the Appendices. The Narrative should be in PDF format, 
with font size of no less than 12-point Times New Roman, single spaced, 
minimum 1-inch margins on all sides, and with page numbers. Suggested 
approximate lengths for each subsection are noted in parentheses.
---------------------------------------------------------------------------

    \17\ Letters of Commitment should be written for critical 
partners only. For a Letter of Commitment template, see 
www.transportation.gov/SMART.
---------------------------------------------------------------------------

a. Overview/Project Description (1-2 Pages)
    This section should provide a clear, concise description of the 
project, the real-world issues and challenges to be addressed, and the 
proposed technology(ies) to be used. Include a brief discussion of 
desired outcomes for a potential Stage 2 grant. Applicants should also 
briefly discuss how the proposed project addresses the goals of the 
SMART program and how the project plans to improve upon the status quo 
of the transportation system.
b. Project Location (1 Paragraph)
    This section should provide a description of the geographic area or 
jurisdiction the project will service, including whether or not the 
area in question is considered a large, midsized or rural community; 
whether or not the applicant is a regional partnership; and to what 
extent the project is located (entirely or partially) in an 
Historically Disadvantaged Community.\18\ Note that while applicants 
are asked to provide exact locations for each project in the key 
information table above, if selected for an award, the exact location 
may be adjusted during the Stage 1 planning process; therefore this 
section should explain and identify which geographic locations are 
under consideration for projects to be implemented and what analysis 
will be used in a final determination. Refer to Section D.2.ii of the 
Notice to provide specific location data.
---------------------------------------------------------------------------

    \18\ In support of Executive Order 14008, USDOT has been 
developing a geographic definition of Disadvantaged Communities as 
part of its implementation of the Justice40 Initiative. Consistent 
with OMB's Interim Guidance for the Justice40 Initiative, 
Disadvantaged Communities include (a) certain qualifying Census 
tracts, (b) any Tribal land, or (c) any territory or possession of 
the United States.
---------------------------------------------------------------------------

c. Community Impact (1 Paragraph)
    This section should provide a description of how the project 
anticipates it will provide and measure benefits to the Historically 
Disadvantaged Communities detailed in the Project Location Section (If 
applicable). This section may also outline benefits that would accrue 
to Historically Disadvantaged Communities outside of the specific 
project location. Applicants should also briefly discuss potential 
negative externalities of the proposed projects, who would experience 
them, and how they might be measured over time.
d. Technical Merit Overview (2 Pages)
    This section should provide an overview of the technical merit of 
the proposed project, responding to the criteria for evaluation and 
selection in Section E.1.i of this Notice and including a compelling 
narrative to highlight how the application addresses the following 
Technical Merit criteria:

 Identification and Understanding of the Problem to Be Solved
 Appropriateness of Proposed Solution
 Expected Benefits
e. Project Readiness Overview (2 Pages)
    This section should provide an overview of the project readiness, 
responding to the criteria for evaluation and selection in Section 
E.1.ii of this Notice and including a compelling narrative to highlight 
how the application addresses the following Project Readiness criteria:

 Feasibility of Workplan
 Community Engagement and Partnerships
 Leadership and Qualifications
iv. Appendices
a. Appendix I--Resumes
    Applicants should submit the abbreviated resumes of the key 
individuals involved in the project. This appendix should be no more 
than three pages.
b. Appendix II--Summary Budget Narrative
    Applicants shall provide a summary budget narrative that 
corresponds to and describes information contained in the applicant's 
SF-424A. The narrative should describe all planned project costs for 
Stage 1 (i.e., direct labor, travel, equipment, supplies, contractual, 
construction, and other) and how these planned costs relate to the 
project scope. The summary budget narrative must be sufficiently clear, 
concise, and detailed to describe how funds will be spent on the 
project. Applicants are expected to account for data and performance 
reporting in their budget submission, consistent with section B.5.i of 
this NOFO.
c. Appendix III--Letters of Commitment
    Applicants should submit letters of commitment for critical 
partners involved in the project. This appendix should be no more than 
10 pages, and each letter should be no more than 2 pages.

[[Page 58193]]

3. Unique Entity Identifier and System for Award Management (SAM)
    Each applicant is required to: (i) be registered in SAM (https://sam.gov/content/home) before submitting its application; (ii) provide a 
valid unique entity identifier in its application; and (iii) continue 
to maintain an active SAM registration with current information at all 
times during which it has an active federal award or an application or 
plan under consideration by a federal awarding agency. USDOT may not 
make a Federal award to an applicant until the applicant has complied 
with all applicable unique entity identifier and SAM requirements and, 
if an applicant has not fully complied with the requirements by the 
time USDOT is ready to make an award, USDOT may determine that the 
applicant is not qualified to receive an award and use that 
determination as a basis for making an award to another applicant.
4. Submission Date and Time
    Applications must be submitted by 5:00 p.m. EST on Friday, November 
18, 2022.
5. Funding Restrictions
    Per BIL requirements, of the funds awarded each fiscal year for the 
SMART Grants Program, not more than 40 percent shall be used to provide 
SMART grants for eligible projects that primarily benefit large 
communities; not more than 30 percent shall be provided for eligible 
projects that primarily benefit midsized communities; and not more than 
30 percent shall be used to provide SMART grants for eligible projects 
that primarily benefit rural communities or regional partnerships.
    In addition, an eligible entity may not use more than three percent 
of the amount of a SMART grant for each fiscal year to achieve 
compliance with applicable planning and reporting requirements.
6. Other Submission Requirements
    The complete application must be submitted via Valid Eval, an 
online submission proposal system used by USDOT at https://usg.valideval.com/teams/USDOT_SMART_2022/signup.

E. Application Review Information

1. Criteria
    This section specifies the criteria USDOT will use to evaluate and 
select applications for Stage 1 SMART grant awards. These include 
Technical Merit Criteria, Project Readiness and Other Considerations.
i. Technical Merit Selection Criteria
    Stage 1 Grants will be evaluated against three technical merit 
criteria:

 Technical Merit Criterion #1: Identification and Understanding 
of the Problem to Be Solved
    [cir] The applicant demonstrates a thorough understanding of 
existing conditions
    [cir] The proposed solution addresses a documented and critical 
problem or need
 Technical Merit Criterion #2: Appropriateness of Proposed 
Solution
    [cir] Technologies proposed are sufficiently developed such that 
there is good reason to anticipate public benefits from their use
    [cir] The proposed solution is repeatable and could rapidly be 
scaled
    [cir] The proposed solution represents a demonstrable improvement 
over the status quo
    [cir] The proposed solution is appropriate for the location's 
population density and existing transportation system, including public 
transportation
 Technical Merit Criterion #3: Expected Benefits
    [cir] The application clearly explains the rationale for expecting 
that the proposed project will use advanced data, technology, and 
applications to provide significant benefits in alignment with 
Departmental and Program Priorities in Section A.3 and A.4.
    [cir] Departmental Priorities include the FY22-26 Strategic Goals 
and Innovation Principles and Program Priorities include safety, 
reliability, and resiliency; equity and access; climate; partnerships; 
and integration
ii. Project Readiness Selection Criteria
    Project Readiness focuses on the extent to which the applicant will 
be able to substantially execute and complete the full scope of work in 
the Stage 1 Grant application within 18 months of when the grant is 
executed.

 Project Readiness Criterion #1: Feasibility of Workplan
    [cir] The application clearly describes a thorough and realistic 
workplan and timeline. The application should also demonstrate the 
ability to complete the project in the proposed period of performance.
    [cir] The application identifies and understands the legal, policy, 
and regulatory requirements and identifies and accounts for any 
relevant exemptions, waivers, permits, or special permissions required 
to conduct the proposed project.
    [cir] The application identifies ways to measure and validate the 
project's expected benefits and community impacts, as well as 
performance improvements and cost savings.
    [cir] The application identifies a practical approach to developing 
internal workforce capacity regarding data and technology projects, 
including a plan for an approporiately skilled and trained workforce to 
carry out the project.

 Project Readiness Criterion #2: Community Engagement and 
Partnerships
    [cir] The proposed solution demonstrates a community-centered 
approach that includes meaningful, continuous, accessible engagement 
with a diverse group of public and private stakeholders. The proposed 
solution articulates strategies to provide access to persons with 
disabilities and limited English proficient individuals.
    [cir] The application shows plans to build sustainable partnerships 
across sectors and governmental jurisdictions and collaborate with 
industry, academia, and nonprofits, such as community, workforce 
development, and labor organizations.
    [cir] The applicant engages relevant private sector stakeholders 
and technical experts and elicits their perspective on implementation 
of the proposed solution.
    [cir] The application establishes commitment of one or more key 
partner(s), if relevant, as identified in the project narrative. This 
should be demonstrated by a Letter of Commitment submitted as an 
attachment to the proposal, as well as a Memorandum-of-Understanding 
signed prior to any Grant Agreement. A key partner may be a public 
agency, utility company, private sector company, or some other entity 
that is central, and critical, to the project.

 Project Readiness Criterion #3: Leadership and Qualifications
    [cir] The application demonstrates relevant and necessary technical 
expertise of the project team.
    [cir] The application details relevant experience of leadership in 
managing multi-stakeholder projects.
    [cir] The application shows continuity of committed leadership and 
the applicant's functional capacity to carry out the proposed project 
and, where applicable, to maintain and

[[Page 58194]]

operate the project after the conclusion of Stage 2.
iii. Additional Consideration: Benefit to Historically Disadvantaged 
Communities
    The Department seeks to award projects under the SMART Grants 
Program that address environmental justice, particularly for 
communities that disproportionally experience climate change-related 
consequences. Environmental justice, as defined by the Environmental 
Protection Agency, is the fair treatment and meaningful involvement of 
all people regardless of race, color, national origin, or income, with 
respect to the development, implementation, and enforcement of 
environmental laws, regulations, and policies.\19\ As part of the 
Department's implementation of Executive Order 14008, Tackling the 
Climate Crisis at Home and Abroad (86 FR 7619), the Department seeks to 
fund projects that, to the extent possible, target at least 40 percent 
of resources and benefits towards low-income communities, disadvantaged 
communities, communities underserved by affordable transportation, or 
overburdened communities. Projects that have not sufficiently 
considered climate change and environmental justice in their planning, 
as determined by the Department, will be required to do so before 
receiving funds.
---------------------------------------------------------------------------

    \19\ Environmental Justice at the EPA, http://www.epa.gov/environmentaljustice/.
---------------------------------------------------------------------------

2. Review and Selection Process
    This section addresses the BIL requirement to include a full 
description in the NOFO of the method by which applicants will be 
evaluated. The SMART Grant Program review and selection process 
consists of eligibility reviews, Technical Merit and Project Readiness 
criteria review, and Senior Review Team review. The Secretary will make 
the final selections for award.
i. Eligibility Review
    For each application, an initial review will assess whether the 
applicant is eligible (based on eligibility information in Section C) 
and contains all of the information requested in Section D for a 
complete application. Eligible and complete applications received by 
the deadline will be reviewed for their merit based on the selection 
criteria in Section E.1.i and E.1.ii.
ii. Technical Merit and Project Readiness Criteria Ratings
    Teams comprising USDOT staff, Federal inter-agency partner staff, 
and contractor staff review all eligible and complete applications 
received by the deadline for a Technical Merit and Project Readiness 
Review and assign ratings as described in the table below. For each 
criterion, USDOT will consider whether the application narrative is 
responsive to the selection criterion focus areas which will result in 
a rating of `High,' `Medium,' `Low,' or `Non-Responsive:'

----------------------------------------------------------------------------------------------------------------
     Rating scale                High                  Medium                  Low             Non-Responsive
----------------------------------------------------------------------------------------------------------------
Description...........  The application is     The application is     The application is    The application is
                         substantively and      moderately             minimally             counter to the
                         comprehensively        responsive to the      responsive to the     criterion or does
                         responsive to the      criterion. It makes    criterion. It makes   not contain
                         criterion. It makes    a moderate case        a weak case about     sufficient
                         a strong case about    about advancing the    advancing the         information. It
                         advancing the          program goals as       program goals as      does not advance or
                         program goals as       described in the       described in the      may negatively
                         described in the       criterion              criterion             impact criterion
                         criterion              descriptions.          descriptions.         goals.
                         descriptions.
----------------------------------------------------------------------------------------------------------------

    Based on the criteria ratings, an overall application merit rating 
of `Highly Recommended,' `Recommended,' `Not Recommended,' or 
`Ineligible' will be assigned as a result of evaluation team consensus 
discussion. Only applications rated as `Highly Recommended' or 
`Recommended' will be reviewed by a Senior Review Team (SRT). 
Applications rated `Not Recommended' or `Ineligible' will not be 
evaluated further and will not be considered for award.
iii. Senior Review Team (SRT) Phase
    Once every eligible and complete application has been assigned an 
overall rating based on the methodology above, all ``Highly 
Recommended'' applications will be included in a list of Applications 
for Consideration. The SRT will review whether the list of ``Highly 
Recommended'' applications is sufficient to ensure that of the funds 
awarded each fiscal year for the SMART Grants Program, not more than 40 
percent will be used to provide SMART grants for eligible projects that 
primarily benefit large communities; not more than 30 percent will be 
used to provide SMART grants for eligible projects that primarily 
benefit midsized communities; and not more than 30 percent will be used 
to provide SMART grants for eligible projects that primarily benefit 
rural communities or regional partnerships. ``Recommended'' 
applications may be added to the proposed list of Applications for 
Consideration until a sufficient number of applications are on the list 
to ensure that all the legislative requirements can be met. The 
Department will consider the diversity of technology areas across all 
applications when reviewing recommendations.
iv. Highly Rated Applications for USDOT Secretary's Review
    The SRT will present the list of Applications for Consideration to 
the Secretary, either collectively or through a representative of the 
SRT. The SRT may advise the Secretary on any application on the list of 
Applications for Consideration, including options for reduced or 
increased awards, and the Secretary will make final selections. The 
Secretary's selections identify the applications that best address 
program requirements and are most worthy of funding. The Secretary will 
consider contributions to geographic diversity among grant recipients, 
including the need for balancing the needs of rural communities, 
midsized communities, and large communities. The Secretary also may 
consider benefits to economically disadvantaged communities, Federally 
Recognized Tribes, and geographic and organizational diversity when 
selecting SMART Grants Program awards.
3. Additional Information
    Prior to entering into a grant agreement, each selected applicant 
will be subject to a risk assessment as required by 2 CFR 200.206. The 
Department must review and consider any information about the applicant 
that is in the designated integrity and performance system accessible 
through

[[Page 58195]]

SAM (currently the Federal Awardee Performance and Integrity 
Information System [FAPIIS]). An applicant may review information in 
FAPIIS and comment on any information about itself that a Federal 
awarding agency previously entered. The Department will consider 
comments by the applicant, in addition to the other information in 
FAPIIS, 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. Because award recipients under 
this program may be first-time recipients of Federal funding, USDOT is 
committed to implementing the program as flexibly as permitted by 
statute and to providing assistance to help award recipients through 
the process of securing a grant agreement and delivering SMART Grant 
projects. Award recipients are encouraged to identify any needs for 
assistance in delivering the projects and strategies so that USDOT can 
provide directly, or through a third party, sufficient support and 
technical assistance to mitigate potential execution risks.

F. Federal Award Administration Information

1. Federal Award Notices
    Following the evaluation outlined in Section E, the Secretary will 
announce awarded applications by posting a list of selected recipients 
at www.transportation.gov/smart. The posting of the list of selected 
award recipients will not constitute an authorization to begin 
performance. Following the announcement, the Department will contact 
the point of contact listed in the applicant SF-424 to initiate 
negotiation of a grant agreement.
2. Administrative and National Policy Requirements
i. Critical Infrastructure Security, Cybersecurity, and Resilience
    It is U.S. policy to strengthen the security and resilience of its 
critical infrastructure against both physical and cyber threats. Each 
applicant selected for Federal funding under this notice must 
demonstrate, prior to the signing of the grant agreement, effort to 
consider and address physical and cybersecurity risks relevant to the 
transportation mode and type and scale of the project. Projects that 
have not appropriately considered and addressed physical and 
cybersecurity and resilience in their planning, design, and project 
oversight, as determined by USDOT and the Department of Homeland 
Security, will be required to do so before receiving funds for 
deployment, consistent with Presidential Policy Directive 21--Critical 
Infrastructure Security and Resilience and the National Security 
Presidential Memorandum on Improving Cybersecurity for Critical 
Infrastructure Control Systems.
ii. Prohibited Telecommunications Equipment and Services
    Federal award recipients and sub-recipients are prohibited from 
obligating or expending grant funds to procure or obtain; extend or 
renew a contract to procure or obtain; or enter into a contract (or 
extend or renew a contract) to procure or obtain equipment, services, 
or systems that use ``covered telecommunications equipment or 
services'' as a substantial or essential component of any system, or as 
critical technology as part of any system. ``Covered telecommunications 
equipment or services'' means telecommunications and video surveillance 
equipment or services produced by Huawei Technologies Company, ZTE 
Corporation, Hytera Communications Corporation, Hangzhou Hikvision 
Digital Technology Company, or Dahua Technology Company (or any 
subsidiary or affiliate of such entities). ``Covered telecommunications 
equipment or services'' also includes telecommunications or video 
surveillance equipment or services provided by an entity that the 
Secretary of Defense, in consultation with the Director of the National 
Intelligence or the Director of the Federal Bureau of Investigation, 
reasonably believes to be an entity that is owned or controlled by the 
government of the People's Republic of China. Entities added to this 
list will be incorporated into the excluded parties list in the System 
for Award Management (SAM) (www.sam.gov). When a user conducts a search 
of the excluded parties list, a record will appear describing the 
nature of the exclusion for any entity identified as covered by this 
prohibition. See Section 889 of Public Law 115-232 (National Defense 
Authorization Act for Fiscal Year 2019) and 2 CFR 200.216 & 200.471.
iii. Domestic Preference Requirements
    As expressed in Executive Order 14005, Ensuring the Future Is Made 
in All of America by All of America's Workers (86 FR 7475),\20\ it is 
the policy of the Executive Branch to maximize, consistent with law, 
the use of goods, products, and materials produced in, and services 
offered in, the United States. Projects under this notice will be 
subject to the domestic preference requirements at Sec.  70914 of the 
Build America, Buy America Act, as implemented by OMB and USDOT, and 
any awards will contain the award terms specified in OMB Memorandum M-
22-11, Initial Implementation Guidance on Application of Buy America 
Preference in Federal Financial Assistance Programs for 
Infrastructure.\21\
---------------------------------------------------------------------------

    \20\ https://www.federalregister.gov/documents/2021/01/28/2021-02038/ensuring-the-future-is-made-in-all-of-america-by-all-of-americas-workers.
    \21\ https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf.
_____________________________________-

    Applicants should note that the Department has proposed a Build 
America, Buy America Act waiver for Stage 1 grants awarded in FY 2022 
of the SMART Grants Program for the limited cases where the Buy America 
would apply for planning and prototyping activities. Data will be 
collected for Stage 1 FY 2022 awards that will help inform the 
application of Buy America requirements to the funding of 
implementation activities under the program and identify any current 
gaps in the domestic availability of products that could potentially be 
filled by American suppliers. The Department anticipates finalizing the 
waiver during the open period. Please consult www.transportation.gov/
smart for the most up-to-date information.
iv. Civil Rights and Title VI
    SMART award recipients should demonstrate compliance with civil 
rights obligations and nondiscrimination laws, including Titles VI of 
the Civil Rights Act of 1964, the Americans with Disabilities Act 
(ADA), and Section 504 of the Rehabilitation Act, and accompanying 
regulations. Recipients of Federal transportation funding will also be 
required to comply fully with regulations and guidance for the ADA, 
Title VI of the Civil Rights Act of 1964, Section 504 of the 
Rehabilitation Act of 1973, and all other civil rights requirements. 
The Department's and the applicable Operating Administrations' Offices 
of Civil Rights may work with awarded grant recipients as appropriate 
to ensure full compliance with Federal civil rights requirements.
    Recipients of Federal transportation funding will be required to 
comply fully with regulations and guidance for the ADA, Title VI of the 
Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 
1973, and all other civil rights requirements. The Department's and the 
applicable Operating Administration's Offices of Civil Rights will be 
providing

[[Page 58196]]

resources and technical assistance to ensure full and sustainable 
compliance with Federal civil rights requirements.
v. National Environmental Policy Act of 1969 (NEPA)
    Funding recipients must comply with NEPA under 42 U.S.C. 4321 et 
seq. and the Council on Environmental Quality's NEPA implementing 
regulations at 40 CFR 1500-1508, where applicable.
3. Reporting
    This section discusses reporting requirements for SMART.\22\ USDOT 
will provide additional information and detail regarding reporting 
requirements and formats to recipients. All final reports under this 
agreement will be made publicly available. All publications resulting 
from this program shall follow USDOT publication guidelines and comply 
with the current USDOT Public Access Plan. In addition, data from these 
efforts are expected to be made widely available where appropriate, 
also in accordance with the USDOT Public Access Plan.\23\
---------------------------------------------------------------------------

    \22\ Title I of the Foundations for Evidence-Based Policymaking 
Act of 2018 (Evidence Act), Pub. L. 115-435 (2019) urges federal 
awarding agencies and federal assistance recipients and 
subrecipients to use program evaluation as a critical tool to learn, 
to improve equitable delivery, and to elevate program service and 
delivery across the program lifecycle.
    \23\ https://www.transportation.gov/sites/dot.gov/files/docs/Official%20DOT%20Public%20Access%20Plan.pdf.
---------------------------------------------------------------------------

i. Progress Reporting on Grant Activities
    Each applicant selected for a Stage 1 Grant must submit quarterly 
progress reports and Federal Financial Reports (SF-425) to monitor 
project progress and ensure accountability and financial transparency 
in the SMART grant program. A standard reporting form for the quarterly 
progress reports will be provided for grantees to summarize status 
updates including activities accomplished during the quarter, financial 
and schedule reporting, anticipated activities for the next quarter, 
and a description of project challenges and lessons learned.
ii. Evaluation and Data Management Plan
    Recipients and subrecipients are required to incorporate program 
evaluation including associated data collection activities, from the 
outset of their program design and implementation to meaningfully 
document and measure their progress towards meeting agency priority 
goals.\24\
---------------------------------------------------------------------------

    \24\ Evaluation means ``an assessment using systematic data 
collection and analysis of one or more programs, policies, and 
organizations intended to assess their effectiveness and 
efficiency.'' 5 U.S.C. 311.
---------------------------------------------------------------------------

    Each applicant selected for a Stage 1 Grant must submit an 
evaluation and data management plan no later than three months after 
receiving the grant that provides an overview of how the project will 
be evaluated and how the data being collected will be managed and 
stored.\25\ The plan must describe the anticipated impact areas (i.e., 
goals) of the project if implemented at scale and the methods that will 
be used to estimate the anticipated benefits and costs associated with 
implementation. Based on these project goals, the plan must include 
robust performance metrics and measurable targets to inform whether the 
proof-of-concept or prototype meets expectations and whether full 
implementation would meet program goals. The applicants selected for a 
Stage 2 Grant must update this evaluation and data management plan to 
include robust performance metrics and targets for the at-scale 
implementation, a detailed description of the evaluation methods that 
will be used to measure the anticipated impacts, and an overview of 
data sharing opportunities.\26\ The updated plan must also provide more 
detailed information on the types of data being collected and how that 
data will be managed and stored (e.g., cybersecurity practices, how 
privacy is protected, the entities that have access to the data).
---------------------------------------------------------------------------

    \25\ Credible program evaluation activities are implemented with 
relevance and utility, rigor, independence and objectivity, 
transparency, and ethics (OMB Circular A-11, Part 6 Section 290).
    \26\ Data sharing opportunities may include either interagency 
data sharing or open data sharing with the public.
---------------------------------------------------------------------------

iii. Implementation Report
    Each applicant selected for a Stage 1 Grant must submit an 
implementation report that assesses the anticipated costs and benefits 
of the project and demonstrates the feasibility of at-scale 
implementation. A draft report shall be submitted no later than one 
year after receiving the grant, and the final report shall be submitted 
by the end of the period of performance. This timeline may be adjusted 
for projects with a period of performance that differs from 18 months.
    Per BIL requirements, grant recipients must submit implementation 
reports that describe the deployment and operational costs of each 
project as compared to the benefits and savings from the project. The 
reports must also describe:
    1. the means by which the project has met the original expectation, 
as projected in the grant application, including data describing the 
means by which the project met the specific goals. Examples include:
    a. reducing traffic-related fatalities and injuries;
    b. reducing traffic congestion or improving travel-time 
reliability;
    c. the effectiveness of providing to the public real-time 
integrated traffic, transit, and multimodal transportation information 
to make informed travel decisions; and
    d. reducing barriers or improving access to jobs, education, or 
various essential services;
    2. lessons learned and recommendations for future deployment 
strategies to optimize transportation efficiency and multimodal system 
performance.
    For the implementation reports during Stage 1, grant recipients 
will provide an analysis of the anticipated costs and benefits and 
address project expectations by providing:
    1. data on the performance metrics for the proof-of-concept or 
prototype;
    2. preliminary baseline data for an evaluation of an at-scale 
implementation; \27\
---------------------------------------------------------------------------

    \27\ For applicants selected for a Stage 2 Grant, refined or 
updated baseline data may be required for the project evaluation.
---------------------------------------------------------------------------

    3. a detailed description of the communities that would be impacted 
by at scale implementation and the anticipated distribution of 
benefits;
    4. additional quantitative data to substantiate key assumptions;
    5. anticipated and/or estimated impact and effectiveness of the 
project based on the performance metrics; and
    6. anticipated and/or estimated distribution of benefits within the 
community being served.
    During Stage 1, grant recipients may uncover previously unknown 
institutional barriers or technical limitations. In the implementation 
report, grantees will describe the requirements for successful 
deployment and assess the feasibility of an at-scale implementation. 
The assessment will include identified strategies or demonstrated 
progress in addressing the following implementation feasibility and 
readiness factors by the end of the Stage 2 Grant.
    a. Legal, Policy, and Regulatory Requirements (e.g., environmental 
permits and reviews; public outreach; State and local approvals; equity 
and accessibility requirements)
    b. Procurement and Budget (e.g., availability of suppliers and 
equipment; an analysis of the cost differential to comply with Build 
America Buy America; reliability of cost estimates; critical property 
acquisition)

[[Page 58197]]

    c. Partnerships (e.g., MOUs for stakeholder coordination; private 
sector and user adoption and acceptance)
    d. Technology Suitability (e.g., systems engineering including 
Concept of Operations [ConOps] and Detailed Design; reliability and 
maturity of technology; compatibility with existing infrastructure, 
procurement processes)
    e. Data Governance (e.g., storage capability; database analytic 
capability; integration requirements; sharing agreements; cybersecurity 
and privacy protocols)
    f. Workforce Capacity (e.g., availability of workforce from 
development and installation to operations and maintenance; 
availability of workforce training; agency capacity for deployment, 
operation, and evaluation)
    g. Sustainability (e.g., agency/institutional capacity for 
continued operations following the grant funded period; revenue needs 
for continued operations)
    h. Community Impact (e.g., distribution of benefits and negative 
impacts across the community, including Historically Disadvantaged 
Communities; meaningful community engagement efforts, including 
strategies to provide access to persons with disabilities and limited 
English proficient individuals)
    i. Other Relevant Factors.
    The final implementation report must also describe initial project 
goals, challenges and lessons learned related to implementation. It 
should include an analysis of the success, challenges and validity of 
the initial approach; any changes or improvements they would make in 
Stage 2, if recommended for award; and any anticipated challenges to 
continued maintenance and operations (i.e., after the Stage 2 grant 
funds have been expended).
iv. Program Evaluation
    As a condition of grant award, grant recipients may be required to 
participate in an evaluation undertaken by USDOT or another agency or 
partner. The evaluation may take different forms such as an 
implementation assessment across grant recipients, an impact and/or 
outcomes analysis of all or selected sites within or across grant 
recipients, or a benefit/cost analysis or assessment of return on 
investment. USDOT may require applicants to collect data elements to 
aid the evaluation. As a part of the evaluation, as a condition of 
award, grant recipients must agree to: (1) make records available to 
the evaluation contractor or USDOT staff; (2) provide access to program 
records, and any other relevant documents to calculate costs and 
benefits; (3) in the case of an impact analysis, facilitate the access 
to relevant information as requested; and (4) follow evaluation 
procedures as specified by the evaluation contractor or USDOT staff.
v. Reporting of Matters Related to Recipient Integrity and Performance
    If the total value of a selected applicant's currently active 
grants, cooperative agreements, and procurement contracts from all 
Federal awarding agencies exceeds $10,000,000 for any period of time 
during the period of performance of this Federal award, then the 
applicant during that period of time must maintain the currency of 
information reported to the SAM that is made available in the 
designated integrity and performance system (currently FAPIIS) about 
civil, criminal, or administrative proceedings described in paragraph 2 
of this award term and condition. This is a statutory requirement under 
section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As 
required by section 3010 of Public Law 111-212, all information posted 
in the designated integrity and performance system on or after April 
15, 2011, except past performance reviews required for Federal 
procurement contracts, will be publicly available.
vi. Knowledge Transfer Activities
    In order to disseminate lessons learned to the public and to 
encourage collaboration between recipients, USDOT will coordinate 
various knowledge transfer activities which may include webinars, peer 
exchanges or attendance at conferences and meetings. The activities 
will be tailored to address the needs and interests of the grantees and 
serve as a resource for connecting grantees facing similar technical 
and institutional challenges. Recipients will share status updates and 
technical knowledge, and exchange information about their progress, 
challenges, and lessons learned. The SF-424A should include travel 
costs, assuming two in-person meetings in Washington, DC.

G. Federal Awarding Agency Contacts

    For further information concerning this notice, please contact the 
Office of the Assistant Secretary for Research and Technology via email 
at [email protected] no later than ten business days prior to the NOFO 
closing. In addition, up to the application deadline, the Department 
will post answers to common questions and requests for clarifications 
on the Department's website at www.transportation.gov/smart. To ensure 
applicants receive accurate information about eligibility or the 
program, the applicant is encouraged to contact the Department directly 
with questions, rather than through intermediaries or third parties. 
Department staff may also conduct briefings on the SMART grant 
selection and award process upon request. On request of an eligible 
entity that submitted an application per Section D with respect to a 
project that is not selected for a SMART grant, Department staff will 
provide to the eligible entity technical assistance and briefings 
relating to the project.

H. Other Information

    User-friendly information and resources regarding USDOT's 
discretionary grant programs relevant to rural applicants can be found 
on the Rural Opportunities to Use Transportation for Economic Success 
(ROUTES) website at transportation.gov/rural.
1. Definitions

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               Term                              Definition
------------------------------------------------------------------------
Large community...................  A community with a population of not
                                     less than 400,000 individuals, as
                                     determined under the most recent
                                     annual estimate of the Bureau of
                                     the Census.
Midsized community................  Any community that is not a large
                                     community or a rural community.
Political subdivision of a state..  A unit of government created under
                                     the authority of State law. This
                                     includes cities, towns, counties,
                                     special districts, and similar
                                     units of local government, such as
                                     public port or airport authorities,
                                     if created under State law.
Regional partnership..............  A partnership composed of two or
                                     more eligible entities located in
                                     jurisdictions with a combined
                                     population that is equal to or
                                     greater than the population of any
                                     midsized community.
Rural community...................  The term ``rural community'' means a
                                     community that is located in an
                                     area that is outside of an
                                     urbanized area (as defined in
                                     section 5302 of title 49, United
                                     States Code, which defines
                                     ``rural'' as a community with a
                                     population of less than 50,000
                                     individuals).

[[Page 58198]]

 
Resiliency........................  The ability to prepare for and adapt
                                     to changing conditions and
                                     withstand, recover, and reorganize
                                     rapidly from disruptions to a
                                     community (e.g., population,
                                     economy, etc.). Resilience includes
                                     the ability to withstand and
                                     recover from manmade and naturally
                                     occurring threats or incidents,
                                     including widespread and long-term
                                     threats or incidents.
Historically Disadvantaged          For the purposes of the SMART NOFO,
 Community.                          applicants may demonstrate the
                                     ``historical disadvantage'' of the
                                     project area according to ONE of
                                     the following tools:
                                    (1) Federally designated community
                                     development zones (for example:
                                     Opportunity Zones, Empowerment
                                     Zones, Promise Zones, Choice
                                     Neighborhoods, or Rural Partners
                                     Network-designated Community
                                     Networks).
                                    (2) The Climate and Economic Justice
                                     Screening Tool (CEJST) via
                                     screeningtool.geoplatform.gov.
------------------------------------------------------------------------

    Issued in Los Angeles, CA, on September 19, 2022.
Tara Lanigan,
Program Analyst.
[FR Doc. 2022-20597 Filed 9-22-22; 8:45 am]
BILLING CODE P