Discretionary Funding Opportunity: Zero Emission Research Opportunity |
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Matthew Welbes
Federal Transit Administration
22 November 2016
[Federal Register Volume 81, Number 225 (Tuesday, November 22, 2016)]
[Notices]
[Pages 83923-83928]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-28069]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Discretionary Funding Opportunity: Zero Emission Research
Opportunity
AGENCY: Federal Transit Administration (FTA), DOT.
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ACTION: Notice of Funding Opportunity (NOFO) and Request for Proposals
(RFP).
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SUMMARY: This competitive solicitation is for the Zero Emission
Research Opportunity (ZERO), administered by the Federal Transit
Administration. Available funding is $2.75 million in FTA research
funds and this solicitation also will establish eligibility for
possible future funding, subject to Congressional appropriations and
FTA funding approval, for ZERO. The purpose of the program is to
facilitate the advancement, production, and deployment of zero emission
public transportation vehicle technology and related infrastructure.
FTA intends to select, and enter into cooperative agreements with,
multiple (up to 3) nonprofit consortia to continue building on past
research innovation and development efforts to facilitate the
deployment of zero emission vehicles and associated advanced
technology. Eligibility for future ZERO funding opportunities in fiscal
years 2017-2020 will be limited to those nonprofit consortia selected
under this fiscal year 2017 notice. Potential research partners such as
transit agencies, other nonprofits, vendors, suppliers and systems
integrators may work with multiple consortia. The Federal cost share of
a project carried out under ZERO shall not exceed 80 percent.
DATES: Complete proposals must be submitted electronically through the
GRANTS.GOV ``APPLY'' function by 11:59 EST on February 21, 2017.
Prospective applicants should initiate the process by registering on
the GRANTS.GOV Web site promptly to ensure completion of the
application process before the submission deadline. This announcement
is also available at FTA's Web site at: https://www.transit.dot.gov/funding/grants/notices and in the ``FIND'' module of GRANTS.GOV. The
funding opportunity ID is FTA-2016-009-TRI-ZERO and the Catalog of
Federal Domestic Assistance (CFDA) number for Section 5312 is 20.514.
Mail and fax submissions will not be accepted.
FOR FURTHER INFORMATION CONTACT: Sean Ricketson, FTA Office of Research
Demonstration and Innovation, (202) 366-6678 or ZERO.FTA@dot.gov. A TDD
is available for individuals who are deaf or hard of hearing at 1-800-
877-8339.
SUPPLEMENTARY INFORMATION:
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review
F. Federal Award Administration
G. Federal Awarding Agency Contacts
H. Other Information
A. Program Description
1. Background
Advances in technology are enabling substantial changes in vehicle
propulsion, transportation operations, and transportation service
delivery. These changes are creating opportunities for our nation's
transportation system to deliver higher levels of service at lower cost
and with fewer externalities, benefitting all Americans. Opportunity
for change also carries risk, however. Through the Zero Emission
Research Opportunity (ZERO), FTA seeks to work with the public
transportation industry to solve challenges, increase efficiency, and
reduce the costs and risks of deploying zero emission vehicles in
transit service.
In implementing ZERO, FTA intends to use a cooperative research
model similar to FTA's successful National Fuel Cell Bus Program. Under
this model, research and demonstration projects are defined and
conducted by pre-selected non-profit third parties (non-profit
consortia as defined in 49 U.S.C. 5312(e)(2)(B)) that, under FTA
direction, assemble and manage teams of departments, agencies, and
instrumentalities of the Federal Government, including federal
laboratories; state and local governmental entities; providers of
public transportation; private or non-profit organizations;
institutions of higher education; and technical and community colleges.
The model introduces an enhanced level of research management, program
continuity, and flexibility to federally-funded transit research. It
also provides a higher degree of innovation and resiliency, resulting
in more successful projects. Through ZERO, FTA seeks to refine this
research model with the goal of creating a research environment which
results in greater industry involvement and more innovative and
successful projects.
2. Scope
The purpose of ZERO is to work with U.S. industry to remove
obstacles on the critical path to the wider adoption of zero emission
technology in public transportation. Examples include improving
charging standards for battery-electric transit vehicles, improved
passenger compartment heating systems, or expanding hydrogen
infrastructure. For purposes of this program, zero emission technology
refers to any technology that provides a pathway to the immediate or
eventual adoption of transit vehicles that produce no harmful emissions
in any, and all, operating modes. Battery-electric and hydrogen fuel
cell technology are typical examples. Not all pathways to zero emission
vehicles have to be zero emission, but they have to be shown to be on
an evolutionary pathway to zero emission. For example, hybrid
technology is considered zero emission technology for the purposes of
this program if it can be shown to advance the pathway to improved
vehicle electrification.
This program focuses on one aspect of transportation emissions--
those of systems under the control of a typical domestic transit
agency, such as vehicles and fueling or charging systems. With the
exception of applications such as solar panels on a maintenance garage
roof, emissions from energy production are not targeted in this
program. Programs addressing the emissions of energy production are
carried out by the Department of Energy (DoE) and the Environmental
Protection Agency (EPA). FTA coordinates with the DoE and EPA to
eliminate duplication of effort and to ensure strategic consistency.
The projects under ZERO may address aspects of the following
subject areas:
a. Technology Research and Development--improving the efficiency,
reducing costs, and improving the performance of vehicles, vehicle
systems, and subsystems.
b. Transit Fleet Operations--improving the efficiency, reducing
costs, and improving the performance of vehicle fleets including
maintenance and operations practices.
c. Energy Infrastructure--addressing challenges of supporting zero
emission technology including hydrogen fueling, electric charging, and
relationships with suppliers and electric utilities.
d. Standards and Policy--research to support standards development
and testing protocols and to identify policies and policy changes to
reduce costs and risks of adopting zero emission vehicle technology.
e. Other--FTA is open to considering other research subjects or
combinations of subjects to advance zero emission technology.
B. Federal Award Information
Section 5312 of title 49, United States Code (Section 5312),
authorizes FTA's Public Transportation Innovation program. Through this
program, FTA may make grants, or enter into contracts, cooperative
agreements and other agreements for research, development,
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demonstration and deployment projects, and evaluation of research and
technology of national significance to public transportation that the
Secretary of Transportation determines will improve public
transportation.
ZERO is funded under Section 5312 program authority. A total of
$2.75 million in funds from FY 2014 and 2015 appropriations are
available for awards under this announcement. FTA intends to award
multiple projects under this announcement.
FTA may, at its discretion, provide additional funds for selections
made under this announcement or for additional meritorious proposals
from funds made available for 49 U.S.C. Section 5312.
C. Eligibility Information
1. Eligible Applicants
Eligible applicants and recipients under this program are limited
to non-profit organizations leading a consortium of entities as listed
below. All consortia must include at least one provider of public
transportation. As defined in Section 5312, the following entities may
be part of a consortium:
a. Departments, agencies, and instrumentalities of the Federal
Government, including Federal laboratories;
b. State and local governmental entities;
c. Providers of public transportation;
d. Private or non-profit organizations;
e. Institutions of higher education; and
f. Technical and community colleges.
2. Cost Sharing or Matching
The federal share of project costs under this program is limited to
80 percent. Applicants may seek a lower Federal contribution. The
applicant must provide the required local share in cash or in-kind, and
must document in its application the source of the local share.
Eligible sources of local share are detailed in FTA Research Circular
6100.1E. (available at http://www.fta.dot.gov/legislation_law/12349_16434.html).
3. Eligible Projects
Eligible projects include those defined under 49 U.S.C. 5312(c),
(d), and (e) that will build on successful research, innovation, and
development efforts to facilitate the deployment of low or no emission
vehicles, zero emission vehicles, or associated advanced technology.
Each consortium may propose up to three projects in its
application. These are projects the consortium proposes for the first
iteration of Federal funding under ZERO. For projects requesting more
than $500,000, proposals should include one or more alternative funding
schedules allowing the project to be funded incrementally in
anticipation of additional future funding. However, given that future
funding is not guaranteed, project proposals must provide meaningful
deliverables for this first iteration of funding. The proposed projects
must advance zero emission technology in public transportation by
addressing one or more of the following subject areas:
a. Technology Research and Development--improving the efficiency,
reducing costs, and improving the performance of vehicles, vehicle
systems, and subsystems.
b. Transit Fleet Operations--improving the efficiency, reducing
costs, and improving the performance of vehicle fleets including
maintenance and operations practices.
c. Energy Infrastructure--addressing challenges of supporting zero
emission technology including hydrogen fueling, electric charging, and
relationships with suppliers and electric utilities.
d. Standards and Policy--research to support standards development
and testing protocols and to identify policies and policy changes to
reduce costs and risks of adopting zero emission vehicle technology.
e. Other--FTA is open to considering other research subjects or
combinations of subjects to advance zero emission technology.
D. Application and Submission Information
1. Address and Form of Application Submission
Project proposals must be submitted electronically through
GRANTS.GOV (www.grants.gov) by February 21, 2017. Mail and fax
submissions will not be accepted. A complete proposal submission will
consist of at least two files: (1) The SF-424 Mandatory form
(downloaded from GRANTS.GOV) and (2) the Applicant and Proposal Profile
for the ``Zero Emission Research Opportunity'' (ZERO Supplemental Form)
found on GRANTS.GOV and the FTA Web site by clicking (or copying and
pasting) the ZERO Program link at www.transit.dot.gov/funding/grants/grant-programs/zero-emission-research-opportunity-ZERO. The
Supplemental Form provides guidance and a consistent format for
proposers to respond to the criteria outlined in this NOFO.
2. Content and Form of Application Submission
a. Proposal Submission
A complete proposal submission consists of two forms: The SF-424
Mandatory Form, and the ZERO Supplemental Form. FTA will evaluate only
complete applications.
The Supplemental Form must be placed in the attachments section of
the SF-424 Mandatory Form. Proposers must use the Supplemental Form
designated for ZERO and attach it to the submission in GRANTS.GOV to
successfully complete the application process.
A proposal submission may contain additional supporting
documentation as attachments. If an applicant elects to attach an
additional narrative, it must not exceed 10 numbered pages. Submissions
must be presentable and use standard fonts, font sizing, and at least
one-inch margins so reviewers can easily read the information.
Within 48 hours after submitting an electronic application, the
applicant should receive three email messages from GRANTS.GOV: (1)
Confirmation of successful transmission to GRANTS.GOV, (2) confirmation
of successful validation by GRANTS.GOV, and (3) confirmation of
successful validation by FTA. If confirmations of successful validation
are not received or a notice of failed validation or incomplete
materials is received, the applicant must address the reason for the
failed validation, as described in the email notice, and resubmit
before the submission deadline. If making a resubmission for any
reason, include all original attachments regardless of which
attachments were updated and check the box on the Supplemental Form
indicating this is a resubmission.
FTA urges proposers to submit applications at least 72 hours prior
to the due date to allow time to receive the validation messages and to
correct any problems that may have caused a rejection notification. FTA
will not accept submissions after the stated deadline. GRANTS.GOV
scheduled maintenance and outage times are announced on the GRANTS.GOV
Web site. Deadlines will not be extended due to scheduled Web site
maintenance.
Proposers are encouraged to begin the process of registration on
the GRANTS.GOV site well in advance of the submission deadline.
Registration is a multi-step process, which may take several weeks to
complete before an application can be submitted. Registered proposers
may be required to take steps to keep their registration up to date
before submissions can be made
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successfully: (1) Registration in the System for Award Management (SAM)
is renewed annually; and, (2) persons making submissions on behalf of
the Authorized Organization Representative (AOR) must be authorized in
GRANTS.GOV by the AOR to make submissions. Instructions on the
GRANTS.GOV registration process are provided in the Appendix.
Information such as the proposer's name, Federal amount requested,
local match amount, description of areas served, etc. may be requested
in varying degrees of detail on both the SF-424 form and Supplemental
Form. Proposers must fill in all fields unless stated otherwise on the
forms. The Supplemental Form template supports pasting copied text with
limited formatting from other documents; applicants should verify that
pasted text is fully captured on the Supplemental Form and has not been
truncated by the character limits built into the form. Proposers should
use both the ``Check Package for Errors'' and the ``Validate Form''
validation buttons on both forms to check all required fields on the
forms, and ensure that the Federal and local amounts specified are
consistent.
b. Application Content
The SF-424 Mandatory Form and the Supplemental Form will prompt
applicants for the required information, including the:
(i) Applicant name;
(ii) Dun and Bradstreet (D&B) Data Universal Numbering System
(DUNS) number if available. (Note: If selected, the applicant will be
required to provide its DUNS number prior to award);
(iii) Key contact information including contact name, address,
email address, and phone number;
(iv) Congressional district(s) of the applicant;
(v) A list of consortium organizational members, by organization
name and address;
(vi) Documentation of membership of each organizational member of
the consortium (e.g., memorandum of understanding, letter of
commitment, or other documentation);
(vii) A schedule outlining steps and milestones for each project;
(viii) A detailed description of the consortium's project
experience, providing details of the projects the consortium has led
and how those details support the evaluation criteria;
(ix) A detailed description of the consortium's experience working
with zero emission technology and any related technology;
(x) A detailed description of the consortium's public
transportation experience;
(xi) A detailed description of the consortium's experience working
with the Federal research programs;
(xii) A detailed description of the consortium's experience
functioning as a research organization;
(xiii) Descriptions of up to three proposed projects, including
project deliverables, schedule and budget; and
(xiv) A detailed description of technical, financial and legal
capacity to administer the proposed projects.
Applicants may also support their applications by including an
example of a statement of work, budget, or project plan from an
existing or previously funded research project.
c. Unique Entity Identifier and System for Award Management (SAM)
Registration can take as little as 3-5 business days, but since
there could be unexpected steps or delays (for example, if the
applicant needs to obtain an Employer Identification Number), FTA
recommends allowing ample time, up to several weeks, for completion of
all steps.
Step 1: Obtain DUNS Number
If requested by phone (1-866-705-5711) DUNS is provided
immediately.
If your organization does not have one, you will need to go to the
Dun & Bradstreet Web site at http://fedgov.dnb.com/webform to obtain
the number. * Information for Foreign Registrants. * Webform requests
take 1-2 business days.
Step 2: Register with SAM
If you already have an Employer Identification Number, your SAM
registration will take 3 to 5 business days to process. If you are
applying for an Employer Identification Number please allow up to two
weeks. Ensure that your organization is registered with the System for
Award Management (SAM). If your organization is not registered, an
authorizing official of your organization must register at www.sam.gov.
Step 3: Username & Password
Complete your AOR (Authorized Organization Representative) profile
on GRANTS.GOV and create your username and password. You will need to
use your organization's DUNS Number to complete this step. https://apply07.grants.gov/apply/OrcRegister.
Step 4: AOR Authorization
The E-Business Point of Contact (E-Biz POC) at your organization
must login to GRANTS.GOV to confirm you as an Authorized Organization
Representative (AOR). Please note that there can be more than one AOR
for your organization. In some cases the E-Biz POC is also the AOR for
an organization. * Time to complete this step depends on the
responsiveness of your E-Biz POC.
Step 5: Track AOR Status
At any time, you can track your AOR status by logging in with your
username and password. Login as an Applicant (enter your username &
password you obtained in Step 3) using the following link:
applicant_profile.jsp.
d. Submission Dates and Times
Project proposals must be submitted electronically through
GRANTS.GOV by February 21, 2017. Mail and fax submissions will not be
accepted.
e. Funding Restriction
FTA will issue specific guidance to recipients regarding pre-award
authority at the time of selection. FTA does not provide pre-award
authority for competitive funds until projects are selected and even
then there are Federal requirements that must be met before costs are
incurred. Preparation of proposals is not an eligible pre-award
expense.
E. Application Review
1. Evaluation Criteria
FTA will use the following criteria when evaluating applications:
a. Project Experience--Consortia will be evaluated based on their
experience and track record in designing, leading and executing
transportation research or demonstration projects. The applicant must
demonstrate the experience and ability to bring together both private
and public industry partners to design and execute research or
demonstration projects with multi-million dollar budgets.
b. Technology experience--Consortia will be evaluated based on
their knowledge and experience working with zero emission technology,
including in various public transportation modes.
c. Public transportation experience--Consortia will be evaluated
based on their experience and ability working with U.S. public
transportation agencies, and in the field of public transportation.
Applicants should name the public transportation agencies they have
worked with in their applications.
d. Federal Research or Demonstration Experience--Consortia will be
evaluated based on their experience and ability managing Federal
research or demonstration projects, and
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understanding and meeting Federal requirements.
e. Organizational Experience--Consortia will be evaluated based on
their experience operating as a team with regard to the above areas.
Where some consortia may have member organizations with experience and
expertise, the expertise and experience of the consortium as a team
working together is also important. This criterion addresses this
issue.
f. Proposed Projects (A consortium may submit up to three proposed
projects) Applications will be evaluated based on the following:
(i) The extent to which the proposed projects will advance zero
emission technology in public transportation applications, and
(ii) The effectiveness of the proposed project in advancing zero
emission technology relative to the amount of FTA investment.
2. Review and Selection Process
FTA staff will comprise the technical evaluation committee and will
review applications against the described evaluation criteria. The
technical evaluation committee reserves the right to evaluate proposals
it receives and to seek clarification from any proposer about any
statement that is made in a proposal that FTA finds ambiguous. FTA may
also request additional documentation or information to be considered
during the evaluation process. After the evaluation of all eligible
proposals, the technical evaluation committee will provide
recommendations to the FTA Administrator or designee. The FTA
Administrator or designee will determine the final list of consortia
and the amount of funding for each consortium's proposed projects. FTA
may choose to fund some, all, part, or none of a selected consortium's
proposed projects. To better evaluate technologies in a variety of
conditions and locales, FTA may select a portfolio of geographically
diverse projects.
F. Federal Award Administration
1. Federal Award Notice
Subsequent to an announcement by the FTA Administrator or designee
of the final project selections posted on FTA's Web site, FTA will
publish a list of the selected projects, including Federal dollar
amounts and recipients.
All information submitted as part of or in support of a ZERO
application shall use publicly available data or data that can be made
public and methodologies that are accepted by industry practice and
standards, to the extent possible. If the submission includes
information the applicant considers to be trade secret or confidential
commercial or financial information, the applicant should do the
following: (1) On the Supplemental Form, on every relevant page, select
the button to affirm that the submission ``Contains Confidential
Business Information (CBI);'' (2) On any other documentation, mark each
affected page ``CBI;'' and (3) highlight or otherwise denote the CBI
portions. FTA protects such information from disclosure to the extent
allowed under applicable law. In the event FTA receives a Freedom of
Information Act (FOIA) request for the information, FTA will follow the
procedures described in the U.S. DOT FOIA regulations at 49 CFR part 7.
Only information that ultimately is determined to be confidential under
the regulations will be exempt from disclosure under FOIA. Should FTA
receive an order from a court of competent jurisdiction ordering the
release of the information, FTA will provide the applicant timely
notice of such order to allow the applicant the opportunity to
challenge such an order. FTA will not challenge a court order on behalf
of an applicant.
2. Award Administration
Successful proposals will be awarded funding through FTA's Transit
Award Management System (TrAMS) as Cooperative Agreements. The FTA
Research Office will manage those Cooperative Agreements. Apart from
the specific terms and conditions within the Scope of Work, general
terms and conditions for Grant Agreements and Cooperative Agreements
are found at www.transit.dot.gov.
Applicants must sign and submit current Certifications and
Assurances before FTA may award funding under a Cooperative Agreement
for a competitively selected project. If the applicant has already
submitted its annual Certifications and Assurances for the fiscal year
in which the award will be made in TrAMS, it does not need to be
resubmitted.
To enhance the value of the portfolio of the projects to be
implemented, FTA reserves the right to request an adjustment of the
project scope and budget of any proposal selected for funding. Such
adjustments shall not constitute a material alteration of any aspect of
the proposal that influenced the proposal evaluation or decision to
fund the project.
3. Administrative and National Policy Requirements
Except as otherwise provided in this NOFO, cooperative agreements
are subject to the requirements of 49 U.S.C. 5312 as described in the
latest FTA Research Circular, currently 6100.1E, ``Research, Technical
Assistance and Training Program: Application Instructions and Program
Management Guidelines.'' In particular, the recipient(s) of a ZERO
award must submit quarterly Federal Financial Reports and Milestone
Progress Reports in TrAMS.
4. Reporting, Data and Information Exchange, and Data Requirements
In order to achieve a comprehensive understanding of the impacts
and implications of ZERO, FTA, or its designated independent evaluator,
will require direct access to project data. Projects should include a
data capture component that allows for the reliable and consistent
collection of information relevant to gauging the impact and outcomes
of the project.
At any time during the period of performance, the project team may
be requested to coordinate data collection activities in order to
provide interim information under the requirements of this award. A
project team may be asked to provide the data directly to FTA or to a
designated independent evaluator. This information, if requested, will
be used to conduct program evaluations during the execution of the
project and after it has been completed.
G. Federal Awarding Agency Contacts
For further information concerning this NOFO please contact the
ZERO staff via email at ZERO.FTA@dot.gov, or call Sean Ricketson at
202-366-6678. A TDD is available for individuals who are deaf or hard
of hearing at 1-800-877-8339. In addition, FTA will post answers to
questions and requests for clarifications on FTA's Web site at https://www.transit.dot.gov/about/research-innovation/ZERO. To ensure
applicants receive accurate information about eligibility or the
program, the applicant is encouraged to contact DOT directly with
questions, rather than through intermediaries or third parties. DOT
staff may also conduct briefings on the ZERO selection and award
process upon request.
H. Other Information
The applicant must assure that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA Circulars, and
other Federal administrative requirements in carrying out any project
supported by the FTA
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agreement. The applicant must acknowledge that it is under a continuing
obligation to comply with the terms and conditions of the Cooperative
Agreement it executes with FTA for its project. The applicant must
acknowledge that it understands that Federal laws, regulations,
policies, and administrative practices might be modified from time to
time and may affect the implementation of the project. The applicant
must agree that the most recent Federal requirements will apply to the
project, unless FTA issues a written determination otherwise.
Issued in Washington, DC, this sixteenth day of November 2016.
Matthew Welbes,
Executive Director.
[FR Doc. 2016-28069 Filed 11-21-16; 8:45 am]
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