Notice of Funding Opportunity for Accelerated Innovation Deployment Demonstration |
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Gregory G. Nadeau
Federal Highway Administration
1 September 2016
[Federal Register Volume 81, Number 170 (Thursday, September 1, 2016)]
[Notices]
[Pages 60403-60407]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-21063]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
[Docket No. FHWA-2013-0048]
Notice of Funding Opportunity for Accelerated Innovation
Deployment Demonstration
AGENCY: Federal Highway Administration (FHWA), Department of
Transportation (DOT).
ACTION: Notice of funding opportunity.
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SUMMARY: This notice announces a funding opportunity and requests grant
applications from eligible entities as FHWA continues the Accelerated
Innovation Deployment (AID) Demonstration authorized within the
Technology and Innovation Deployment Program (TIDP) under the Fixing
America's Surface Transportation (FAST) Act. The AID Demonstration
provides incentive funding for activities eligible for assistance in
any phase of a highway transportation project between project planning
and project delivery including: Planning, financing, operation,
structures, materials, pavements, environment, and construction that
address the TIDP goals. The FHWA expects approximately $10 million to
be made available for AID Demonstration in each of Fiscal Years (FY)
2016 through 2020 from amounts authorized under section 6002 of the
FAST Act.
DATES: The FHWA will use an open, rolling solicitation. The project
must be authorized within 6 months of applying for AID Demonstration
funding. Completed applications will be evaluated and award
determinations made on a rolling basis until the program ends or
funding is no longer available. Applications must be submitted through
http://www.grants.gov. The Grants.gov ``Apply'' function will open on
September 1, 2016.
ADDRESSES: Only applicants who comply with all submission requirements
described in this notice and submit applications through www.grants.gov
will be eligible for award.
FOR FURTHER INFORMATION CONTACT: For questions about the AID
Demonstration program discussed herein, contact Mr. Thomas Harman,
Director, Center for Accelerating Innovation, Federal Highway
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590, (202)
366-6377. For legal questions, contact 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.
Additionally, the notice, answers to questions, requests for
clarification, and information about Webinars for further guidance will
be posted at: http://www.fhwa.dot.gov/accelerating/grants. Applicants
are encouraged to contact FHWA directly to receive information about
AID Demonstration.
SUPPLEMENTARY INFORMATION: This notice solicits applications for AID
Demonstration. Each section of this notice contains information and
instructions relevant to the application process for AID Demonstration
grants. The applicant should read this notice in its entirety to submit
eligible applications.
Electronic Access
An electronic copy of this document may be downloaded from the
Federal Register Web site at http://www.archives.gov and the Government
Printing Office's database at http://www.access.gpo.gov/nara.
Table of Contents
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
A. Program Description
On December 4, 2015, President Obama signed into law the FAST Act
(Pub. L. 114-94), which continues the TIDP under 23 U.S.C. 503 to
implement accelerated innovation deployment. 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. The AID
Demonstration is one aspect of the multifaceted TIDP approach and
provides funding as an incentive for eligible entities to accelerate
the implementation and adoption of proven innovation in highway
transportation.
B. Federal Award Information
Section 6002 of the FAST Act authorized $67,000,000 for TIDP for FY
2016 and $67,500,000 for FY 2017 through 2020. The Funds are subject to
the overall Federal-aid obligation limitation and the obligation
limitation associated with these funds is available for 4 fiscal years.
The amount of TIDP budget authority available in a given year may be
less than the amount authorized for that fiscal year. The TIDP funds
are available at an 80 percent Federal share, which require a minimum
mandatory 20 percent cost share. The Federal share of a project or
activity carried out with funds authorized under section 6002 of the
FAST Act shall be 80 percent unless expressly specified otherwise by
the Act or otherwise determined by the Secretary. [FAST Act Sec.
6002(c)(1)]
The FHWA expects approximately $10 million to be made available for
AID Demonstration in each FY 2016 through 2020 from amounts authorized
under section 6002 of the FAST Act. The planned award type is a grant
that is allocated to a State department of transportation (State DOT)
through project authorization, or for Federal Land Management Agencies
and tribes through existing agreements with FHWA Federal Lands Highways
Division. The FHWA has funding award goals of up to $9 million
available to State DOTs per FY and up to $1 million available to
Federal Land Management Agencies and tribal governments per
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FY. These funding goals will be reviewed annually and may be adjusted
to reflect current priorities and needs.
The amount of each award may be up to the full cost of the
innovation, but only to a maximum of $1 million. Awards are limited per
FY of up to two per State DOT applicant, with up to one award for a
State DOT and up to one award for a subrecipient applying through the
State DOT, and limited to one award per applicant for Federal Land
Management Agencies and tribal governments, subject to the number of
eligible applications and the availability of funds.
Award recipients shall submit a final report to FHWA within 6
months of project completion based on the plan described in Section F
(Federal Award Administration Information), 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, as
well as level of commitment by recipient to deploy the innovation as
standard practice.
C. Eligibility Information
Entities Eligible To Apply for Funding
The AID Demonstration provides incentive funding for eligible
entities to accelerate the implementation and adoption by the applicant
of proven innovation in highway transportation. Section 502(b)(3) of
title 23, U.S.C., authorizes the Secretary to award grants to a wide
range of entities. The FHWA will provide AID Demonstration grants to
eligible State DOTs, Federal Land Management Agencies, and tribal
governments. 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 for AID Demonstration. Metropolitan
planning organizations and local governments may apply through the
State DOT as a subrecipient.
Eligible Uses of Funds
The AID Demonstration funds are available for any project
activities eligible for assistance under title 23, U.S.C. Eligible
activities may involve any phase of a highway transportation project
between project planning and project delivery, including planning,
financing, operation, structures, materials, pavements, environment,
and construction that address the TIDP goals mentioned in Section A
(Program Description). Projects eligible for funding must pilot and
demonstrate for the applicant proven innovative practices or
technologies, which the applicant or subrecipient intends to implement
and adopt as a significant improvement from the applicant's or the
subrecipient's conventional practice.
D. Application and Submission Information
Applications must be submitted through http://www.grants.gov. The
FHWA will award TIDP AID Demonstration funds to projects based on
eligibility outlined in Section C (Eligibility Information) and the
selection criteria outlined in Section E (Application Review
Information).
The FHWA will use an open, rolling solicitation, until the program
ends or funding is no longer available. Project readiness will be
treated as primary selection criteria in FHWA's evaluation process. The
project must be authorized within 6 months of applying for AID
Demonstration funding. An eligible project must be a pilot deployment
for the applicant of a proven innovation previously deployed by others
and align with the previously described TIDP goals. The innovation must
be proven in real-world highway transportation application with
documented benefits (in a form that is publicly available or
verifiable), not routinely used by the applicant or the subrecipient,
and represent a 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 and benefits of EDC
innovations: https://www.fhwa.dot.gov/innovation/everydaycounts/.
Initially, to ensure a wide variety of innovations and project
types, FHWA will limit awards to three projects per innovation. The
FHWA intends to give priority funding consideration to projects using
innovations that have not previously received TIDP funding.
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.
Application Process (I. thru IV.)
I. Contents of Applications
The applicant shall 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.
II. Standard Form 424, Application for Federal Assistance
Applicants should refer to http://apply07.grants.gov/apply/forms/sample/SF424_2_1-V2.1pdf. for instructions on completing the SF 424,
which is part of the standard Grants.gov submission.
III. Narrative (Attachment to SF 424)
The applicant or subrecipient shall include the supplemental
narrative in the attachments section of the SF 424 mandatory form in
Grants.gov to successfully complete the application process.
The applicant or subrecipient shall respond to the application
requirements described below. The supplemental narrative shall 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 5 pages.
An application shall include information needed to verify that the
project meets the statutory eligibility criteria as described in
Section C (Eligibility Information) as well as other information
required for FHWA to assess each of the selection criteria specified in
Section E (Application Review Information). The applicant or
subrecipient 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 or
subrecipient shall 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
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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 (note:
a project cost estimate may be the best source for providing this data
and may be provided as an additional attachment). The applicant should
also include the total project cost, identifying Federal and non-
Federal shares of project costs.
6. Eligibility and Selection Criteria: Brief description of how the
project meets the statutory eligibility criteria as described in
Section C (Eligibility Information) and the selection criteria
identified in Section E (Application Review Information).
IV. Contact Information
The applicant or subrecipient 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
award determination. 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.
Additional Information on Applying Through Grants.gov
Applications for AID Demonstration shall 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 System for Award
Management (SAM) Database. All applicants for Federal financial
assistance maintain current registrations in the SAM database. An
applicant must be registered in the SAM to successfully register in
Grants.gov. The SAM 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 SAM, as it is a requirement for
Grants.gov registration. Please note, however, that applicants must
update or renew their SAM 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 SAM 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 Opportunity. 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 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.
E. Application Review Information
The FHWA will evaluate AID Demonstration applications in accordance
with the evaluation process described 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,
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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.
I. Selection Criteria
All applications will be evaluated on a rolling basis and be
assigned a rating of ``Qualified'' or ``Not Qualified.''
The ratings are as follows:
1. Qualified--a project must meet all 8 of the following criteria:
i. Project ready to authorize within 6 months of applying for AID
Demonstration funding, including such information as: Evidence of
project milestones, financial capacity, and commitment in order to
support project readiness.
ii. project pilots and demonstrates an innovation with a technology
readiness level of 7 or higher as defined in Table 1;
iii. project aligns with TIDP goals to accelerate the
implementation and delivery of new innovations and technologies that
result from highway research and development to benefit all aspects of
highway transportation.;
iv. innovation is proven in real-world application with documented
benefits, and not routinely used by the applicant or the subrecipient;
v. application describes the innovation's magnitude and scope of
impact on the applicant's or the subrecipient's conventional practice;
vi. cost estimate is included that directly supports the requested
funding amount;
vii. information provided on performance goals and measures for
respective innovation demonstration and deployment activities;
viii. 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;
(3) conduct before and after customer satisfaction determinations;
and
(4) commit to deployment of the innovation as standard practice in
the future, if the deployment is successful.
Table 1--Technology Readiness Levels (TRL)
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Phase TRL Description Examples
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Basic Research.............................. 1 Basic principles and Piezo electric energy
research. harvesting in the
roadway.
Agent-based modeling and
simulations.
2 Application formulated.....
3 Proof of concept...........
Applied Research............................ 4 Components validated in Cooperative adaptive
laboratory environment. cruise control.
Fiber-reinforced concrete
columns.
5 Integrated components
demonstrated in a
laboratory environment.
Development................................. 6 Prototype demonstrated in Nondestructive testing for
relevant environment. concrete bridge decks,
Strategic Highway
Research Program (SHRP)
R06A.
Software tools for sharing
and integrating
Geographic Information
System (GIS) data.
7 Prototype demonstrated in
operational environment.
8 Technology proven in
operational environment.
Implementation.............................. 9 Technology refined and FHWA Every Day Counts
market ready. (EDC) technologies--e.g.
Warm Mix Asphalt, Safety
Edge, Design-Build,
Programmatic Agreements,
Accelerated Bridge
Construction,
Prefabricated Bridge
Elements & Systems:
https://www.fhwa.dot.gov/innovation/everydaycounts/ innovation/everydaycounts/
.
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2. Not Qualified--If a project meets any one of the following
criteria, then it is not qualified for funding:
i. Project does not meet the eligibility requirements;
ii. application fails to address one or more of the application
requirements;
iii. applicant received AID Demonstration funding within the
current fiscal year; or
iv. three AID Demonstration funding awards were already made for
the innovation.
F. Federal Award Administration Information
Each applicant selected for AID Demonstration funding shall 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 or subrecipient of AID
Demonstration funding shall 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 or subrecipient.
Performance indicators may include formal goals or targets, will
include baseline measures as well as post-project outputs, and will
inform the AID Demonstration in working toward best practices,
programmatic performance measures, and future decisionmaking
guidelines. The recipient or subrecipient shall 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.
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G. Federal Awarding Agency Contacts
For further information concerning this final notice please
contact: Mr. Thomas Harman, Director, Federal Highway Administration,
Office of Innovative Program Delivery, Center for Accelerating
Innovation, 1200 New Jersey Avenue SE., E84-547, Washington, DC 20590,
Telephone: (202) 366-6377, or email: tom.harman@dot.gov.
For legal questions, please contact: Ms. Seetha Srinivasan,
Attorney-Advisor, Federal Highway Administration, Office of the Chief
Counsel, 1200 New Jersey Avenue SE., E82-328, Washington, DC 20590,
Telephone: (202) 366-4099, or email: seetha.srinivasan@dot.gov.
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 may post answers to questions and requests for
clarifications on FHWA's Web site at: http://www.fhwa.dot.gov/accelerating/grants. Applicants and subrecipients are encouraged to
contact FHWA directly to receive information about AID Demonstration.
Authority: Section 52003 of Pub. L. 112-141; Section 6003 of
Pub. L. 114-94; 23 U.S.C. 503.
Issued on: August 24, 2016.
Gregory G. Nadeau,
Administrator, Federal Highway Administration.
[FR Doc. 2016-21063 Filed 8-31-16; 8:45 am]
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