Notice of Funding Availability for Accelerated Innovation Deployment Demonstration |
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Victor M. Mendez
Federal Highway Administration
November 1, 2013
[Federal Register Volume 78, Number 212 (Friday, November 1, 2013)]
[Notices]
[Pages 65747-65751]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26053]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
[Docket No. FHWA-2013-0048]
Notice of Funding Availability for Accelerated Innovation
Deployment Demonstration
AGENCY: Federal Highway Administration (FHWA), Department of
Transportation (DOT).
ACTION: Notice of funding availability; request for comments.
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SUMMARY: This notice announces the availability of funding for
Accelerated Innovation Deployment (AID) Demonstration authorized within
the Technology and Innovation Deployment Program (TIDP) under the
Moving Ahead for Progress in the 21st Century Act (MAP-21). This notice
is addressed to organizations that are interested in applying and
proposes selection criteria and application requirements for AID
Demonstration funding. The FHWA requests comments on the content of
this notice. The FHWA will take all comments into consideration and
publish a final notice of funding availability.
The FHWA will solicit grant applications through the governmentwide
electronic grants Web site at http://www.grants.gov.
DATES: All public comments must be received on or before November 22,
2013. Late-filed comments will be considered to the extent practicable.
The FHWA plans to conduct outreach regarding the AID Demonstration
in the form of a Webinar within 2 weeks of this notice being issued.
Participants can pre-register online at: https://connectdot.connectsolutions.com/tidp/event/. Information on the Webinar
date and time will be emailed to registered participants. The Webinar
will be recorded and posted on FHWA's Web site at http://www.fhwa.dot.gov/accelerating/grants.
ADDRESSES: You may submit comments, identified by docket number FHWA-
2013-0048, by any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov and
follow the online instructions for submitting comments.
Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
Hand Delivery: West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590-0001, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays.
Instructions: You must include the agency name and docket number
FHWA-2013-0048 on your comments. All comments received will be posted,
without change, to http//www.regulations.gov, including any personal
information provided.
FOR FURTHER INFORMATION CONTACT: Ms. Ewa Flom, Program Coordinator,
Center for Accelerating Innovation, Federal Highway Administration,
1200 New Jersey Avenue SE., Washington, DC 20590, (202) 366-2169; or
Ms. Seetha Srinivasan, Office of the Chief Counsel, Federal Highway
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590, (202)
366-4099. Office hours are from 8:00 a.m. to 4:30 p.m., e.t., Monday
through Friday, except Federal holidays. A TDD is available for
individuals who are deaf or hard of hearing at (202) 366-3993.
In addition, the FHWA will regularly post answers to questions and
requests for clarifications on FHWA's Web site at http://www.fhwa.dot.gov/accelerating/grants. Applicants are encouraged to
contact FHWA directly to receive information about AID Demonstration.
SUPPLEMENTARY INFORMATION:
[[Page 65748]]
Electronic Access
This document may be viewed online through the Federal eRulemaking
portal at: http://www.regulations.gov. Regulations.gov is available 24
hours each day, 365 days each year. Electronic submission and retrieval
help and guidelines are available under the help section of the Web
site. An electronic copy of this document may also be downloaded by
accessing the Office of the Federal Register's home page at: http://www.archives.gov/federal_register/, or the Government Printing
Office's Web page at: http://www.gpo.gov/fdsys.
Request for Comments on Proposed Selection Criteria and Application
Requirements
This notice invited interested parties to submit comments on the
proposed selection criteria and application requirements described
below. The FHWA will consider these comments and publish a final notice
of funding availability.
Table of Contents
I. Background
II. Program Funding and Award
III. Eligibility
A. Entities Eligible to Apply for Funding
B. Eligible Uses of Funds
IV. Selection Criteria
V. Evaluation Process
VI. Application Process
A. Contents of Applications
B. Standard Form 424
C. Narrative
D. Contact Information
E. Protection of Confidential Business Information
F. Additional Information
G. Experiencing Technical Issues With Grants.gov
VII. Performance Measurement
VIII. Questions and Clarifications
I. Background
On July 6, 2012, President Obama signed into law MAP-21 (Pub. L.
112-141), which amends 23 U.S.C. 503 for TIDP to implement accelerated
innovation deployment; future strategic highway research program
findings and results; and accelerated implementation and deployment of
pavement technologies. The TIDP relates to all aspects of highway
transportation including planning, financing, operation, structures,
materials, pavements, environment, and construction.
Section 503(c)(1) specifies the following TIDP goals: (A)
Significantly accelerate the adoption of innovative technologies by the
surface transportation community; (B) provide leadership and incentives
to demonstrate and promote state-of the-art technologies, elevated
performance standards, and new business practices in highway
construction processes that result in improved safety, faster
construction, reduced congestion from construction, and improved
quality and user satisfaction; (C) construct longer-lasting highways
through the use of innovative technologies and practices that lead to
faster construction of efficient and safe highways and bridges; (D)
improve highway efficiency, safety, mobility, reliability, service
life, environmental protection, and sustainability; and (E) develop and
deploy new tools, techniques, and practices to accelerate the adoption
of innovation in all aspects of highway transportation.
II. Program Funding and Award
Section 51001 of MAP-21 authorized $62,500,000 for the TIDP for
each of Fiscal Years (FY) 2013 and 2014. The FY 2013 and FY 2014 funds
are subject to an annual obligation limitation that is established in
appropriations law. The amount of TIDP budget authority available in a
given year may be less than the amount authorized for that fiscal year.
The AID Demonstration is one aspect of the multifaceted TIDP
approach. The FHWA expects approximately $15,000,000 to be made
available in each of FY 2013 and FY 2014 for AID Demonstration. The
FHWA expects to award AID Demonstration funds to multiple projects in
each fiscal year. The FHWA has funding award goals of up to $14,000,000
available to State departments of transportation (State DOT) and up to
$1,000,000 available to Federal Land Management Agencies and tribal
governments. Initially, awards will be limited to one project per
applicant, subject to the number of eligible applications and the
availability of funds.
The amount of the award may be up to the full cost of the
innovation, but only to a maximum of $1,000,000. States are also
encouraged to use Section 1304 of MAP-21 ``Innovative Project Delivery
Methods'' (23 U.S.C. 120(c)(3)) to increase the Federal share on these
projects up to 5 percent. Information on the ``Innovative Project
Delivery Methods'' provision is available at http://www.fhwa.dot.gov/map21/qandas/qaipd.cfm. These funding goals will be reviewed annually
and may be adjusted to reflect current priorities and needs.
The FHWA will use an open, rolling solicitation. Applicants are
encouraged to apply as soon as the eligible project is within 6 months
of being initiated. Funds will be allocated upon award selection. Award
recipients must obligate the awarded funds to the project within 6
months of allocation.
Award recipients must submit a final report to the FHWA within 6
months of project completion that documents the process, benefits, and
lessons learned including development and/or refinement of guidance,
specifications or other tools and methods to support rapid adoption of
the innovation(s) as standard practice, as well as level of commitment
by recipient to deploy the innovation as standard practice.
III. Eligibility
A. Entities Eligible To Apply for Funding
The AID Demonstration provides incentive funding for eligible
entities to accelerate the implementation and adoption of innovation in
highway transportation. Section 502(b)(3) of title 23, U.S.C.,
authorizes the Secretary to award research grants to a wide range of
entities. The FHWA proposes to provide AID Demonstration grants to
eligible State DOTs, Federal Land Management Agencies, and tribal
governments. We believe these entities are the most likely to fulfill
the deployment goals of the AID Demonstration program, since they are
actively engaged in the deployment of new technologies. Consistent with
other FHWA funding provided to tribes, any federally recognized tribe
identified on the list of ``Indian Entities Recognized and Eligible to
Receive Services from the Bureau of Indian Affairs'' (published at 77
FR 47868) is eligible to apply. Metropolitan planning organizations and
local governments may apply through State DOTs as subrecipients.
Applicants must submit applications electronically through Grants.gov.
The FHWA has funding award goals of up to $14,000,000 available to
State DOTs and up to $1,000,000 available to Federal Land Management
Agencies and tribal governments. Initially, awards will be limited to
one project per applicant, subject to the number of eligible
applications and the availability of funds. These funding goals will be
reviewed annually and may be adjusted to reflect current priorities and
needs.
B. Eligible Uses of Funds
The AID Demonstration funds are available for any project eligible
for assistance under title 23, United States Code. Eligible projects
may involve any aspect of highway transportation including planning,
financing, operation, structures, materials, pavements, environment,
and
[[Page 65749]]
construction that address the TIDP goals mentioned in the
``Background'' section. Projects eligible for funding shall include
proven innovative practices or technologies, including infrastructure
and non-infrastructure strategies or activities, which the applicant or
subrecipient intends to implement and adopt as a significant
improvement from the applicant's or the subrecipient's conventional
practice.
The amount of the award may be up to the full cost of the
innovation in the project, but only to a maximum of $1,000,000. States
are also encouraged to use Section 1304 of MAP-21 (23 U.S.C. 120(c)(3))
``Innovative Project Delivery Methods'' on projects that may qualify to
increase the Federal share by up to 5 percent. Information on the
``Innovative Project Delivery Methods'' is available at http://www.fhwa.dot.gov/map21/qandas/qaipd.cfm.
IV. Selection Criteria
The FHWA will award TIDP AID Demonstration funds to projects based
on the selection criteria outlined below.
The FHWA will use an open, rolling solicitation. Project readiness
will be treated as primary selection criteria in FHWA's evaluation
process. The project must be ready to be advanced within 6 months of
applying for AID Demonstration funding. An eligible project shall
include an innovation that aligns with the previously described TIDP
goals. The innovation must be proven in real-world application with
documented benefits (in a form that is publicly available or
verifiable), not routinely used by the applicant or the subrecipient,
and of significant improvement from the applicant's or the
subrecipient's conventional practice. The FHWA encourages the use of
innovations included in the Every Day Counts (EDC) initiative. Please
go to the following link to see examples of EDC initiatives: http://www.fhwa.dot.gov/everydaycounts/.
Initially, awards will be limited to one project per applicant,
subject to the number of eligible applications and the availability of
funds. To ensure a wide variety of innovations and project types, the
FHWA will also initially limit awards to three projects per innovation.
If several applications submitted at the same time are rated as
``Qualified'' and exceed the amount of available funding, the FHWA
intends to give priority funding consideration to projects that (1)
have not received TIDP funding, and (2) use an innovation that is
included in the EDC initiative.
In the application, the applicant or the subrecipient must indicate
willingness to: (1) Participate in monitoring and assessment activities
regarding the effectiveness of the innovation(s) and subsequent
technology transfer and information dissemination activities associated
with the project; (2) accept FHWA oversight of the project; and (3)
conduct a before and after customer satisfaction determination for
construction projects.
V. Evaluation Process
The FHWA will evaluate AID Demonstration applications in accordance
with the evaluation process discussed below.
The FHWA will establish an evaluation team of technical and
professional staff with relevant experience and/or expertise to review
each application received by FHWA through Grants.gov. The evaluation
team will be responsible for reviewing, evaluating, and rating the
applications as well as making funding recommendations to FHWA senior
leadership.
After reviewing the application, the evaluation team may contact
the applicant to discuss the application and confirm understanding of
the requirements for participation in AID Demonstration. Based on the
information collected, the evaluation team will prepare a summary
assessment rating the application along with the team's recommendation.
The summary assessment and recommendation will be presented to FHWA
senior leadership to make a final determination on the approval of the
award.
A. Selection Criteria
All applications will be evaluated on a first submitted basis and
be assigned a rating of ``Qualified'' or ``Not Qualified.'' If several
applications submitted at the same time are rated as ``Qualified'' and
exceed the amount of available funding, the FHWA intends to give
priority funding consideration to projects that (1) have not received
TIDP funding and (2) use an innovation that is included in the EDC
initiative.
The ratings are as follows:
1. Qualified
Project ready to initiate within 6 months of applying for
AID Demonstration funding;
project innovation aligns with TIDP goals;
innovation is proven in real-world application with
documented benefits, and not routinely used by the applicant or the
subrecipient;
application describes the innovation's magnitude and scope
of impact on the applicant's or the subrecipient's conventional
practice;
data is included that directly supports the requested
funding amount;
information provided on performance goals and measures for
respective innovation demonstration and deployment activities;
application indicates the applicant's or subrecipient's
willingness to:
(1) participate in monitoring and assessment activities regarding
the effectiveness of the innovation(s) and subsequent technology
transfer and information dissemination activities associated with the
project;
(2) accept FHWA oversight of the project; and
(3) conduct before and after customer satisfaction determinations
for construction projects.
2. Not Qualified
Project does not meet the eligibility requirements;
application does not meet the ``Qualified'' rating;
application fails to address one or more of the
application requirements;
applicant received AID Demonstration funding within the
current fiscal year;
three projects with the innovation were already awarded
AID Demonstration funding.
VI. Application Process
A. Contents of Applications
The applicant will include all of the information requested below
in their applications. The FHWA may request applicants to supplement
the data in the application, but encourages applicants to submit the
most relevant and complete information they can provide. The applicant
should, to the extent practicable, provide data and evidence of project
merits in a form that is publicly available or verifiable.
A complete application will consist of: (1) The Standard Form 424
(SF 424) available from Grants.gov, and (2) the narrative attachment to
the SF 424 as described below.
B. Standard Form 424, Application for Federal Assistance
Applicants should see www.grants.gov/assets/SF424Instructions.pdf
for instructions on completing the SF 424, which is part of the
standard Grants.gov submission.
C. Narrative (Attachment to SF 424)
The applicant should include the supplemental narrative in the
attachments section of the SF 424 mandatory form in Grants.gov to
[[Page 65750]]
successfully complete the application process.
The applicant should respond to the application requirements
described below. The supplemental narrative should be prepared with
standard formatting (e.g. a single-spaced document, using a standard
12-point font, such as Times New Roman, with 1-inch margins) and should
not exceed five pages.
An application should include information needed to verify that the
project meets the statutory eligibility criteria as described in
Section III (Eligibility) as well as other information required for
FHWA to assess each of the criteria specified in Section IV (Selection
Criteria). The applicant is required to demonstrate the responsiveness
of the proposal to any pertinent selection criteria with the most
relevant information that applicants can provide, regardless of whether
such information is specifically requested or identified. The applicant
should provide concrete evidence of project milestones, financial
capacity, and commitment in order to support project readiness.
For ease of review, the narrative should generally adhere to the
following basic outline, and include relevant maps and graphics:
1. Project Abstract: Describe work that would be completed under
the project, whether the project is a complete project or part of a
larger project with prior investment, and the aspect of highway
transportation and the TIDP goals that the innovation would address
(maximum five sentences). The project abstract should succinctly
describe how this specific request for AID Demonstration funding would
be included in the project.
2. Project Description: Brief description of the project and
project objective(s), the innovation and related documented benefits,
the performance goals and measures for the innovation, current
organizational/institutional experience with the innovation, and the
significant improvement to conventional practice expected.
3. Innovation Performance: Brief description of how the innovation
will be monitored, assessed, and documented to determine if the
performance goals and measures are achieved, including a timeline of
demonstration, deployment, implementation, and/or adoption activities.
4. Applicant information and coordination with other entities:
Identification of applicant, and subrecipient if applicable;
description of cooperation with other entities; and information
regarding any other entities involved in the project.
5. Funding Request: Summary of the funding request including the
basis for determining the cost of the innovation in the project. The
applicant should also include the total project cost.
6. Eligibility and Selection Criteria: Brief description of how the
project meets the statutory eligibility criteria as described in
Section III (Eligibility) and the selection criteria identified in
Section IV (Selection Criteria).
D. Contact Information
The applicant should include contact information requested as part
of the SF-424. The FHWA will use this information to contact applicants
and to inform parties of FHWA's decision regarding selection of
projects. Contact information should be provided for a direct employee
of the applicant. Contact information for a contractor, agent, or
consultant of the lead applicant is insufficient for FHWA's purposes.
E. Additional Information on Applying Through Grants.gov
Applications for AID Demonstration must be submitted through
Grants.gov. To apply for funding through Grants.gov, applicants must be
properly registered. Complete instructions on how to register and apply
can be found at www.grants.gov. If interested parties experience
difficulties at any point during the registration or application
process, they should call the Grants.gov Customer Support Hotline at 1-
800-518-4726, Monday-Friday from 7:00 a.m. to 9:00 p.m. e.t.
Registering with Grants.gov is a one-time process, however,
processing delays may occur and it can take up to several weeks for
first-time registrants to receive confirmation and a user password.
Accordingly, FHWA highly recommends that potential applicants start the
registration process as early as possible. In order to apply for AID
Demonstration under this notice and to apply for funding through
Grants.gov, all applicants are required to complete the following:
1. Acquire a Data Universal Numbering System (DUNS) Number. A DUNS
number is required for Grants.gov registration. The Office of
Management and Budget requires that all applicants for Federal funds
include a DUNS number in their applications for a new award or renewal
of an existing award. A DUNS number is a unique nine-digit sequence
recognized as the universal standard for identifying and keeping track
of entities receiving Federal funds. The identifier is used for
tracking purposes and to validate address and point of contact
information for Federal assistance applicants, recipients, and
subrecipients. The DUNS number will be used throughout the grant life
cycle. Obtaining a DUNS number is a free, one-time activity that can be
completed by calling 1-866-705-5711 or by applying online at http://fedgov.dnb.com/webform.
2. Acquire or Renew Registration with the Central Contractor
Registration (CCR) Database. All applicants for Federal financial
assistance maintain current registrations in the CCR database. An
applicant must be registered in the CCR to successfully register in
Grants.gov. The CCR database is the repository for standard information
about Federal financial assistance applicants, recipients, and
subrecipients. Entities that have previously submitted applications via
Grants.gov are already registered with CCR, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their CCR registration at least once per year to
maintain an active status, so it is critical to check registration
status well in advance of relevant application deadlines. Information
about CCR registration procedures can be accessed at: https://www.sam.gov/portal/public/SAM/.
3. Acquire an Authorized Organization Representative (AOR) and a
Grants.gov Username and Password. Applicants will need to complete an
AOR profile on Grants.gov and create a username and password. The
assigned DUNS Number is required to complete this step. For more
information about the registration process, go to: www.grants.gov/applicants/get_registered.jsp.
4. Acquire Authorization for the AOR from the E-Business Point of
Contact (E-Biz POC). The E-Biz POC for the applicant must log in to
Grants.gov to confirm the applicant as an AOR. Please note that there
can be more than one AOR for each applicant.
5. Search for the Funding Opportunity on Grants.gov. Applicants can
use the Catalog of Federal Domestic Assistance number for this
solicitation, which is 20.200, titled Technology and Innovation
Development Program, when searching for the AID Demonstration
opportunity on Grants.gov.
6. Submit an Application Addressing All of the Requirements
Outlined in this Notice of Funding Availability. Within 24 to 48 hours
after submitting an electronic application, applicants should receive
an email validation message from Grants.gov. The validation message
will specify whether the
[[Page 65751]]
application was received and validated or rejected, with an
explanation.
Note: When uploading attachments, applicants should use
generally accepted formats such as .pdf, .doc, and .xls. While
applicants may imbed picture files such as .jpg, .gif, .bmp, in your
files, they should not save and submit the attachment in these
formats. Additionally, the following formats will not be accepted:
.com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log,
.ora, .sys, and .zip.
F. Experiencing Technical Issues With Grants.gov
If interested parties experience difficulties at any point during
the registration or application process, they should call the
Grants.gov Customer Support Hotline at 1-800-518-4726, Monday-Friday
from 7:00 a.m. to 9:00 p.m. e.t.
VII. Performance Measurement
Each applicant selected for AID Demonstration funding will need to
work with FHWA on the development and implementation of a plan to
collect information and report on the project's performance with
respect to the relevant outcomes that are expected to be achieved
through the innovation in the project. Each recipient of AID
Demonstration funding will report on specified performance indicators
for its project. Performance indicators will be identified for each
project, and will consider the individual project's stated goals as
well as resource constraints of the recipient. Performance indicators
will not include formal goals or targets, but will include baseline
measures as well as post-project outputs, and will inform the AID
Demonstration program in working toward best practices, programmatic
performance measures, and future decisionmaking guidelines. The
recipient must submit a final report to FHWA within 6 months of project
completion which documents the process, benefits, and lessons learned
including development and/or refinement of guidance, specifications or
other tools and methods to support rapid adoption of the innovation(s)
as standard practice.
VIII. Questions and Clarifications
For further information concerning this notice please contact Ms.
Ewa Flom, Program Coordinator, Center for Accelerating Innovation,
(202) 366-2169, or Ms. Seetha Srinivasan, Office of the Chief Counsel,
(202) 366-4099, Federal Highway Administration, 1200 New Jersey Avenue
SE., Washington, DC 20590. Office hours are from 8 a.m. to 4:30 p.m.,
e.t., Monday through Friday, except Federal holidays. A TDD is
available for individuals who are deaf or hard of hearing at (202) 366-
3993.
In addition, FHWA will post answers to questions and requests for
clarifications on FHWA's Web site at http://www.fhwa.dot.gov/accelerating/grants. Applicants are encouraged to contact FHWA directly
to receive information about AID Demonstration.
Authority: Section 52003 of Pub. L. 112-141; 23 U.S.C. 503.
Issued on: October 21, 2013.
Victor M. Mendez,
FHWA Administrator.
[FR Doc. 2013-26053 Filed 10-31-13; 8:45 am]
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