FY 2021 Competitive Funding Opportunity: Enhancing Mobility Innovation, 62870-62876 [2021-24671]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 86, Number 216 (Friday, November 12, 2021)]
[Notices]
[Pages 62870-62876]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24671]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FY 2021 Competitive Funding Opportunity: Enhancing Mobility 
Innovation

AGENCY: Federal Transit Administration (FTA), Department of 
Transportation (DOT).

ACTION: Notice of Funding Opportunity (NOFO).

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SUMMARY: The Federal Transit Administration (FTA) announces the 
opportunity to apply for a total of $2,000,000 in competitive 
cooperative agreement awards in fiscal year (FY) 2021 funds for 
projects that enhance mobility innovations for transit. Funds will be 
awarded competitively for projects that advance emerging technologies, 
strategies and innovations in passenger-centric mobility in two 
distinct areas. Of the total available funds, $1,000,000 is available 
to accelerate innovative mobility and is for projects to improve 
mobility and enhance the rider experience with a focus on innovative 
service delivery models, creative financing, novel partnerships, and 
integrated payment solutions; and $1,000,000 is available for projects 
to support the development of software solutions that facilitate the 
provision of integrated demand-response public transportation service 
that dispatches public transportation fleet vehicles through riders 
mobile devices or other means. Projects will be competitively selected 
based on criteria outlined in this notice. FTA may award additional 
funding that is made available to the program prior to the announcement 
of project selections.

DATES: Complete proposals must be submitted electronically through the 
GRANTS.GOV ``APPLY'' function by 11:59 p.m. Eastern time on January 11, 
2022.
    Prospective applicants should initiate the process by registering 
on the GRANTS.GOV website promptly to ensure completion of the 
application process before the submission deadline. Instructions for 
applying can be found on FTA's website at https://www.transit.dot.gov/howtoapply and in the ``FIND'' module of GRANTS.GOV. The funding 
opportunity ID is FTA-2021-010-TRI-EMI. Mail and fax submissions will 
not be accepted.

FOR FURTHER INFORMATION CONTACT: Christina Gikakis, FTA Office of 
Research, Demonstration and Innovation, 202-366-2637, 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration Information
G. Federal Awarding Agency Contacts
H. Other Information

A. Program Description

    Under FTA's Public Transportation Innovation Program (49 U.S.C. 
5312), FTA may make grants, or enter into contracts or cooperative 
agreements, for research, development, demonstration, and deployment 
projects of national significance to public transportation agencies 
that the Secretary determines will improve public transportation 
service. This NOFO (Federal Assistance Listing: 20.530) has been 
developed under this authority. As directed by the Consolidated 
Appropriations Act, 2021 (Pub. L. 116-260), FTA will competitively fund 
up to $1,000,000 in cooperative agreements to accelerate innovations 
that improve mobility and enhance the rider experience, and will 
competitively fund up to $1,000,000 in cooperative agreements for the 
development of software solutions to facilitate demand-response public 
transportation.
    This NOFO implements the provisions of the Consolidated 
Appropriations Act, 2021, by seeking targeted projects that advance 
emerging technologies, strategies and innovations in passenger-centric 
mobility, in these two distinct areas: (a) To develop novel operational 
concepts and/or demonstrate innovations that improve mobility and 
enhance the rider experience, with a focus on innovative service 
delivery models, creative financing, novel partnerships, and integrated 
payment solutions; and (b) to support the development of software 
solutions that facilitate the provision of demand-response public 
transportation service that dispatches public transportation fleet 
vehicles, through riders mobility devices or other advanced means.
    This effort also supports the President's promotion of increased 
access to transit for environmental justice populations and adoption of 
equity-focused policies. This NOFO will advance the goals of Executive 
Order 13985: Advancing Racial Equity and Support for Underserved 
Communities Through the Federal Government.
    These research efforts will build upon significant FTA and private 
sector investments in mobility innovation through efforts such as the 
Mobility on

[[Page 62871]]

Demand (MOD) Sandbox, the Integrated Mobility Innovation (IMI) Program 
and the Accelerating Innovative Mobility (AIM) Challenge Grant 
Initiative, as well as others. These research efforts will advance a 
vision for mobility that leverages innovative technologies, practices, 
and novel partnerships to provide safe, reliable, equitable, 
accessible, carefree and seamless mobility for all travelers. To that 
end, this notice seeks projects that can advance innovative 
technologies, practices, approaches or service models that produce 
climate smart and equitable mobility outcomes, knowledge of national 
significance; and/or robust, interoperable software-based solutions for 
innovative mobility services.
    FTA will competitively award cooperative agreements to eligible 
applicants for projects to either advance mobility innovations or to 
develop software solutions for public transportation services, as 
described in this notice.

B. Federal Award Information

    This notice makes available a total of $2 million for cooperative 
agreements as authorized under the Public Transportation Innovation 
Program, 49 U.S.C. 5312(b), to support the research, development, 
demonstration, and deployment and evaluation of research and technology 
of national significance to transit, that the Secretary determines will 
improve transit. The Consolidated Appropriations Act, 2021, Public Law 
116-260, appropriated up to $1,000,000 for competitive awards to 
develop novel operational concepts and/or demonstrate innovations that 
improve mobility and enhance the rider experience, with a focus on 
innovative service delivery models, creative financing, novel 
partnerships, and integrated payment solutions; and up to $1,000,000 
for the development of software to facilitate the provision of demand-
response public transportation service that dispatches public 
transportation fleet vehicles, through riders mobile devices or other 
advanced means. Additional funds made available prior to project 
selection may be allocated to eligible projects.
    To ensure the most impactful projects for each project area, FTA is 
seeking projects that require a minimum award amount of $250,000 with 
maximum award of $1,000,000. Due to funding limitations, applicants 
that are selected for funding may receive less than the amount 
originally requested. Only proposals from eligible recipients for 
eligible activities will be considered for funding.
    Pre-award authority is subject to FTA approval and is only 
available for costs incurred after the announcement of project 
selections on FTA's website.
    Projects under this competition are for research and development 
efforts and, as such, FTA Research Circular 6100.1E (available at 
https://www.fta.dot.gov/regulations-and-guidance/fta-circulars/research-technical-assistance-and-training-program) guidance will apply 
in administering the program.
    An applicant whose proposal is selected for funding will receive a 
cooperative agreement award with FTA to be administered according to 
Circular 6100.1E, and as set forth in 31 U.S.C. 6305. FTA will have 
substantial involvement in the administration of the cooperative 
agreement. FTA's role includes the right to participate in decisions to 
redirect and reprioritize project activities, goals, and deliverables.

C. Eligibility Information

1. Eligible Applicants

    Eligible applicants under this notice include the following:
     Providers of public transportation, including public 
transportation agencies, state or local government DOTs, and federally 
recognized Indian tribes;
     Private for-profit and not-for-profit organizations, 
including shared-use mobility providers, private operators of 
transportation services, technology system suppliers and integrators, 
bus or vehicle manufacturers or suppliers, software and technology 
developers, financial institutions, consultants, research consortia, 
and industry organizations;
     State, city or local government entities, including multi-
jurisdictional partnerships, and organizations such as Metropolitan 
Planning Organizations; or
     Institutions of higher education including large research 
universities, particularly those with Minority Serving Institution 
status.
    On the application form, eligible applicants are encouraged to 
identify one or more project partners with a substantial interest and 
involvement in the project to participate in the implementation of the 
project.
    If an application that involves such a partnership is selected for 
funding, the competitive selection process will be deemed to satisfy 
the requirement for a competitive procurement under 49 U.S.C. 5325(a) 
for the named entities. Applicants are advised that any changes to the 
proposed partnership will require FTA written approval, must be 
consistent with the scope of the approved project, and may necessitate 
a competitive procurement.
    The applicant must be able to carry out the proposed agreement and 
procurements, if needed, with project partners in compliance with all 
applicable Federal, state, and local laws. To be considered eligible, 
applicants must be able to demonstrate the requisite legal, financial, 
and technical capabilities to receive and administer Federal funds 
under this program.

2. Cost Sharing or Matching

    The maximum Federal share of project costs under this program is 
limited to 80 percent. Applicants may seek a lower Federal 
contribution. The applicant must provide the non-Federal share of the 
net project cost in cash, or in-kind, and must document in its 
application the source of the non-Federal match. Eligible sources of 
non-Federal match are detailed in FTA Circular 6100.1E.

3. Eligible Projects

    This notice solicits applications in two topical areas: (a) 
Projects that develop novel operational concepts and/or demonstrate 
innovations that improve mobility and enhance the rider experience, 
with focus on innovative service delivery models, creative financing, 
novel partnerships, and integrated payment solutions, or other 
innovative solutions; and (b) projects that develop software to 
facilitate the provision of demand-response public transportation 
service that dispatches public transportation fleet vehicles, through 
riders' mobile devices or other advanced means.
    Applicants must clearly indicate on the supplemental form the 
topical area for which the application is seeking funding.
    This effort seeks to harness Federal, local, and private sector 
investments in transportation and mobility innovations. As such, FTA 
seeks applications for projects that enhance the current state of 
mobility innovation research or build on existing successful projects 
and partnership efforts.
    For illustrative purposes, some examples of project research areas 
include: Novel data approaches for improved service delivery; data-
driven tools to predict and influence traveler behavior; data-driven 
strategies that balance mobility options to travelers with climate 
smart choices; next generation replicable seamless payments systems and 
solutions that can enhance integrated mobility management and 
operations across a variety of modes; new, smarter business models for 
providing more effective

[[Page 62872]]

transportation and mobility options in underserved communities; use of 
Artificial Intelligence (AI) tools to personalize mobility options to 
travelers; mobility payment integration with dynamic pricing 
strategies; and public private partnerships with non-traditional 
transportation providers.
    For topical area (a), concepts development and/or demonstration 
projects, eligible activities may include all activities leading to 
uncovering the next iteration of promising technologies, practices and 
strategies to accelerate innovations in mobility for transit, 
including, but not limited to, planning, acquiring essential equipment 
or services, project implementation, and evaluating project results. 
The purchase of a vehicle that will be used for revenue service with 
research funds is prohibited unless the project makes significant 
technological advancements in the vehicle.
    For projects that develop novel operational concepts without 
demonstration, eligible project activities may include data collection, 
technology scanning and feasibility analysis, stakeholder engagement 
and outreach, benefits and costs analysis, and modeling forecast of 
climate and equity impacts of proposed novel concepts.
    For topical area (b) software development projects, eligible 
activities may include establishing user needs; defining system 
requirements; development, validation and verification of the software; 
modeling and simulation; and/or pilot implementation, with a software 
solution that can be demonstrated to FTA. Software products developed 
will be subject to the provisions of FTA's Master Agreement (version 
28, February 9, 2021) available at https://www.transit.dot.gov/sites/fta.dot.gov/files/2021-02/FTA-Master-Agreement-v28-2021-02-09.pdf and 
may be disseminated to public transit agencies for their use. Software 
developed under this program should be interoperable, adaptable, 
secure, and able to be seamlessly integrated into other transportation 
and transit management systems. Further the project team should 
consider how the development effort could support the development or 
use of open standards, specifications or protocols. FTA will evaluate 
the potential for software developed under this NOFO to be shared for 
use by public transportation agencies.
    It is FTA's intent to advance innovations that are of national 
significance and can provide benefit to transit agencies, cities and 
communities across the United States. As such, project teams should 
consider how to structure development efforts to ensure the resulting 
research outputs are broadly relevant and can lead to adoption or use 
by other transit agencies or transportation providers.

D. Application and Submission Information

1. Address To Request Application

    Applications must be submitted electronically through GRANTS.GOV. 
General information for submitting applications through GRANTS.GOV can 
be found at www.transit.dot.gov/howtoapply. A complete proposal 
submission consists of two forms: The SF-424 Application for Federal 
Assistance (available at GRANTS.GOV) and the supplemental form for the 
FY 2021 Mobility Innovation NOFO (downloaded from GRANTS.GOV or the FTA 
website at https://www.transit.dot.gov/funding/grants/EMI. Failure to 
submit the information as requested can delay review or disqualify the 
application.

2. Content and Form of Application Submission

a. Proposal Submission
    A complete proposal submission consists of two forms: (1) The SF-
424 Application for Federal Assistance; and (2) the supplemental form 
for the FY 2021 Enhancing Mobility Innovation NOFO. The supplemental 
form and any supporting documents must be attached to the 
``Attachments'' section of the SF-424. The application must include 
responses to all sections of the SF-424 Application for Federal 
Assistance and the supplemental form, unless indicated as optional. The 
information on the supplemental form will be used to determine 
applicant and project eligibility for the program, and to evaluate the 
proposal against the selection criteria described in Section E of this 
notice. If an applicant chooses to apply for both topical areas ((a) 
concepts development and/or demonstration, and (b) software 
development), the applicant must submit separate proposals for 
individual consideration by FTA, with a separate SF-424 and 
supplemental form for each project area.
    FTA will accept only one supplemental form per SF-424 submission. 
Applicants may attach additional supporting information to the SF-424 
submission, including but not limited to letters of support, project 
budgets, visual aids, excerpts from relevant planning documents, or 
project narratives. Any supporting documentation must be described and 
referenced by file name in the appropriate response section of the 
supplemental form, or it may not be reviewed.
    Information such as applicant name, Federal amount requested, local 
match amount, and description of areas served may be requested in 
varying degrees of detail on both the SF-424 and supplemental form. 
Applicants must fill in all fields unless stated otherwise on the 
forms. If information is copied into the supplemental form from another 
source, applicants should verify that pasted text is fully captured on 
the supplemental form and has not been truncated by the character 
limits built into the form. Applicants should use both the ``Check 
Package for Errors'' and the ``Validate Form'' validation buttons on 
both forms to check all required fields on the forms and ensure that 
the Federal and local amounts specified are consistent.
b. Application Content
    The SF-424 Application for Federal Assistance and the supplemental 
form will prompt applicants for the required information, including:
    1. Applicant name.
    2. Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) 
number.
    3. Key contact information (including name, address, email address, 
and phone).
    4. Congressional district(s) where the project will take place.
    5. Project information (including title, an executive summary, and 
type).
    6. Information on areas served by the project including current 
state of public transportation and state of mobility in the area 
served.
    7. A detailed description of the project and how it will either (a) 
advance innovative mobility technologies that focus on innovative 
service delivery models, creative financing, novel partnerships, and 
integrated payment solutions, or other innovative solutions; or (b) 
develop interoperable software solutions to facilitate the provision of 
demand-response public transportation service.
    8. A description of each innovative technology, practice or 
strategy proposed as part of the project scope.
    9. A description of the national significance of the project to 
advance innovative, carefree mobility solutions.
    10. A description of how the project may advance climate smart 
solutions and equity.
    11. Information on any project partners, their role, and 
anticipated contributions.
    12. A description of the project implementation strategy.
    13. A description of the approach to data, data access and project 
evaluation,

[[Page 62873]]

including how the project will support the Department of 
Transportation's public data access requirements.
    14. A description of the technical, legal, and financial capacity 
of the applicant and partners.
    15. A detailed project budget, specifying Federal and local share.
    16. A description of the scalability of the project.
    17. A detailed project timeline.

3. Unique Entity Identifier and System for Award Management (SAM)

    Each applicant is required to: (1) Be registered in SAM before 
submitting an application; (2) provide a valid unique entity identifier 
in its application; and (3) continue to maintain an active SAM 
registration with current information at all times during which the 
applicant has an active Federal award or an application or plan under 
consideration by FTA. FTA may not make an award until the applicant has 
complied with all applicable unique entity identifier and SAM 
requirements. If an applicant has not fully complied with the 
requirements by the time FTA is ready to make an award, FTA may 
determine that the applicant is not qualified to receive an award and 
use that determination as a basis for making a Federal award to another 
applicant. These requirements do not apply if the applicant has an 
exception approved by FTA or the U.S. Office of Management and Budget 
under 2 CFR 25.110(c) or (d). Non-Federal entities that have received a 
Federal award are required to report certain civil, criminal, or 
administrative proceedings to SAM (currently the Federal Awardee 
Performance and Integrity Information System (FAPIIS)) to ensure 
registration information is current and comply with Federal 
requirements. Applicants should reference 2 CFR 200.113, for more 
information. SAM registration takes approximately 3-5 business days, 
but FTA recommends allowing ample time, up to several weeks, for 
completion of all steps. For additional information on obtaining a 
unique entity identifier, please visit https://www.sam.gov.

4. Submission Dates and Times

    Project proposals must be submitted electronically through 
GRANTS.GOV by 11:59 p.m. Eastern Time on January 11, 2022. GRANTS.GOV 
attaches a time stamp to each application at the time of submission. 
Proposals submitted after the deadline will only be considered under 
extraordinary circumstances not under the applicant's control. Mail and 
fax submissions will not be accepted.
    FTA urges applicants to submit applications at least 72 hours prior 
to the due date to allow time to receive the validation messages and to 
correct any problems that may have caused a rejection notification. 
GRANTS.GOV scheduled maintenance and outage times are announced on the 
GRANTS.GOV website. Deadlines will not be extended due to scheduled 
website maintenance.
    Within 48 hours after submitting an electronic application, the 
applicant should receive an email message from GRANTS.GOV with 
confirmation of successful transmission to GRANTS.GOV. If a notice of 
failed validation or incomplete materials is received, the applicant 
must address the reason for the failed validation, as described in the 
email notice, and resubmit before the submission deadline. If making a 
resubmission for any reason, include all original attachments 
regardless of which attachments were updated and check the box on the 
supplemental form indicating this is a resubmission.
    Applicants are encouraged to begin the process of registration on 
the GRANTS.GOV site well in advance of the submission deadline. 
Registration is a multi-step process, which may take several weeks to 
complete before an application can be submitted. Registered applicants 
may still be required to take steps to keep their registration up to 
date before submissions can be made successfully: (1) Registration in 
SAM must be renewed annually, and (2) persons making submissions on 
behalf of the Authorized Organization Representative (AOR) must be 
authorized in GRANTS.GOV by the AOR to make submission.

5. Funding Restrictions

    Funds available under this NOFO cannot be used to reimburse 
applicants for otherwise eligible expenses incurred prior to FTA 
issuing pre-award authority for selected projects.
    Refer to Section C.3., Eligible Projects, for information on 
activities that are allowable. Allowable direct and indirect expenses 
must be consistent with the Governmentwide Uniform Administrative 
Requirements and Cost Principles (2 CFR part 200) and FTA Circular 
5010.1E.

6. Other Submission Requirements

    Applicants are encouraged to identify scaled funding options in 
case insufficient funding is available to fund a project at the full 
requested amount. If an applicant indicates that a project is scalable, 
the applicant must provide an appropriate minimum funding amount that 
will fund an eligible project that achieves the objectives of the 
program and meets all relevant program requirements. The applicant must 
provide a clear explanation of how the project budget would be affected 
by a reduced award. FTA may award a lesser amount regardless of whether 
a scalable option is provided.
    All applications must be submitted via the GRANTS.GOV website. FTA 
does not accept applications on paper, by fax machine, email, or other 
means. For information on application submission requirements, please 
see Section D.1., Address to Request Application. If the applicant 
encounters system problems or technical difficulties using the 
Grants.gov website, the applicant should address those technical issues 
to Grants.gov.

E. Application Review Information

1. Criteria

    Projects will be evaluated primarily on the responses provided in 
the supplemental form. Additional information may be provided to 
support the responses; however, any additional documentation must be 
directly referenced on the supplemental form, including the file name 
where the additional information can be found. FTA will evaluate 
proposals based on the criteria described in this notice.
    If an applicant is proposing to deploy autonomous vehicles or other 
innovative motor vehicle technology, the application should demonstrate 
that all vehicles will comply with applicable safety requirements, 
including those administered by the National Highway Traffic Safety 
Administration (NHTSA) and Federal Motor Carrier Safety Administration 
(FMCSA). Specifically, the application should show that vehicles 
acquired for the proposed project will comply with applicable Federal 
Motor Vehicle Safety Standards (FMVSS) and Federal Motor Carrier Safety 
Regulations (FMCSR). If the vehicles do not comply, the application 
should either (1) show that the vehicles and their proposed operations 
are within the scope of an exemption or waiver that has already been 
granted by NHTSA, FMCSA, or both agencies, or (2) directly address 
whether the project will require exemptions or waivers from the FMVSS, 
FMCSR, or any other regulation and, if the project will require 
exemptions or waivers, present a plan for obtaining them.
a. Demonstration of Innovation
    FTA is seeking projects focused on the next iteration of the most 
promising technologies, practices, and strategies to

[[Page 62874]]

accelerate innovations in mobility for transit. Projects will be 
evaluated on the extent to which they develop and deploy novel, 
innovative, or transformative mobility technologies and solutions, and 
advance the state of the practice. A proposal should clearly identify a 
specific innovative premise which serves a need, the proposed project 
approach to addressing the need, and how the proposed project will 
provide outcomes or new insights that expand the public transportation 
industry's understanding of mobility innovation. FTA will assess the 
extent to which the applicant uses innovative strategies, including (i) 
innovative technologies, (ii) innovative financing, or (iii) innovative 
operations to address specific needs in the area of mobility innovation 
that can produce climate smart and equitable mobility outcomes and 
knowledge.
b. Demonstration of Benefits
    The application should demonstrate the utility of the proposed 
project to accelerate the transit industry's ability to implement new 
technologies, operational innovations, approaches or service models 
that support safe, equitable, and climate-smart mobility options for 
all travelers. FTA will evaluate proposals based on their capacity to 
accelerate the development and adoption of innovative technologies, 
practices, and service models to improve mobility and enhance the rider 
experience, better position transit agencies to adapt to unprecedented 
operational challenges, and to meet evolving traveler expectations.
    FTA will consider the extent to which each proposal explores 
innovative technologies, practices, approaches or service models that 
produce outcomes and knowledge of national significance and advance the 
state of the practice for public transportation in the United States; 
advances technologies, innovations, practices or partnership models 
that resonate with all transit agencies; leverages private sector 
innovation; advances robust, replicable business models, and 
sustainable public private partnerships; and advances tools or 
approaches that can enable transportation system carbon reductions and 
promote equity.
    FTA welcomes integrated mobility projects that embrace a holistic 
view of multimodal mobility, with public transportation as the 
backbone, and includes equitable movements of people and goods into 
consideration. FTA also encourages applicants to consider integrated 
mobility from the perspectives of system owners, operators, as well as 
users. FTA seeks projects to produce novel, bold and yet realistic 
concepts to accelerate the transformation of integrated mobility, 
including public transportation, influencing traveler behavior, and 
producing meaningful and lasting impacts on climate and equity goals. 
Please see Section E.2, Review and Selection Process for more 
information about the Executive Orders.
    For software development projects, FTA will consider the extent to 
which the development results in robust, interoperable, and adaptable 
software-based solutions for demand-response transit service dispatched 
through riders' mobile device or other advanced means. Additionally, 
software development projects will be assessed on the extent to which 
the development effort will support strategies for use of open 
standards, specifications, or protocols and would permit the software 
to be shared for use by public transportation agencies.
c. Planning and Partnerships
    Applicants must identify all project partners and their specific 
roles. FTA will evaluate the extent to which the project contains 
strong, cohesive partnerships and the collaboration necessary to 
successfully implement the proposed project. Applications should 
describe how project partners plan to work collaboratively and should 
show evidence of strong commitment and cooperation among project 
partners through letters of support or agreements among the partners. 
Applications should describe how partners will participate in each 
aspect of project planning, implementation and evaluation. FTA will 
also evaluate the experience, capacity, and demonstrated partnership 
commitment of the named project partners as pertains to successful 
implementation of the proposed project. Applicants are advised to 
submit information on the partners' qualifications and experience as a 
part of the application.
    Entities who will be involved in the project but not named in the 
application will be required to be selected through a competitive 
procurement.
d. Local Financial Commitment
    Applicants must identify the source of the non-Federal cost share 
and describe whether such funds are currently available for the project 
or will need to be secured if the project is selected for funding. FTA 
will consider the availability of the non-Federal cost share as 
evidence of the applicant's financial commitment to the project. 
Additional consideration may be given to those projects with a higher 
non-Federal share of costs and for which non-Federal funds have already 
been made available or reserved. Applicants should submit evidence of 
the availability of funds for the project, for example, by including a 
board resolution, letter of support from the State, a budget document 
highlighting the line item or section committing funds to the proposed 
project, or other documentation of the source of non-Federal funds.
e. Project Implementation Strategy
    Projects will be evaluated based on the extent to which the 
applicant's proposed implementation plans are reasonable and complete. 
In assessing whether the proposed implementation plans are reasonable 
and complete, FTA will review the proposed project implementation plan, 
including all necessary project milestones and the overall project 
timeline. FTA will consider if the project's implementation strategy 
addresses how the project will support FTA's independent project 
evaluation efforts, data access and sharing of project results and 
project evaluation against mobility-specific metrics. For projects that 
will require formal coordination, approvals or permits from government 
agencies or project partners, the applicant must demonstrate 
coordination with these organizations and their support for the 
project, such as through letters of support. FTA will also consider the 
risks to project implementation, and the extent to which the project 
implementation strategy addresses these risks.
f. Technical, Legal, and Financial Capacity
    FTA will evaluate proposals on the capacity of the project 
applicant and any partners to successfully execute the project. 
Demonstrated experience by the project applicant or project partners in 
successfully implementing a mobility innovation development and 
demonstration project will be considered.
    FTA may review relevant oversight assessments and records to 
determine whether there are any outstanding legal, technical or 
financial issues with the applicant that would affect the outcome of 
the proposed project. Applicants with outstanding legal, technical or 
financial compliance issues from an FTA compliance review or Federal 
Transit grant-related Single Audit finding must explain how corrective 
actions will mitigate negative impacts on the proposed project.

[[Page 62875]]

    For applications that include named project partners, FTA will also 
consider the technical, legal and financial capacity of the partner to 
successfully implement the proposed project. Applicants are advised to 
submit information on the partners' qualifications and experience as a 
part of the application.

2. Review and Selection Process

    A technical evaluation committee will evaluate proposals based on 
the published evaluation criteria. Members of the technical evaluation 
committee may request additional information from applicants, if 
necessary. Based on the findings of the technical evaluation committee, 
FTA will determine the final selection of projects for funding.
    After applying the above criteria, in support of the President's 
January 20, 2021, Executive Order 13900, Protecting Public Health and 
the Environment and Restoring Science to Tackle the Climate Crisis, FTA 
will consider the extent to which applications may provide air quality 
benefits as part of the application review. Applicants should identify 
any nonattainment or maintenance areas under the Clean Air Act in the 
proposed service area. Nonattainment or maintenance areas should be 
limited to the following applicable National Ambient Air Quality 
Standards criteria pollutants: carbon monoxide, ozone, and particulate 
matter 2.5 and 10. The U.S. Environmental Protection Agency's Green 
Book (available at https://www.epa.gov/green-book) is a publicly-
available resource for nonattainment and maintenance area data. This 
consideration will further the goals of the Executive Order, including 
the goal to prioritize environmental justice (EJ).
    In addition, FTA will consider benefits to EJ communities when 
reviewing applications received under this program. Applicants should 
identify any EJ populations located within the proposed service area 
and describe anticipated benefits to EJ populations should the 
applicant receive an award under this NOFO. A formal EJ analysis that 
is typically included in transportation planning or environmental 
reviews is not requested.
    In support of Executive Order 13985, Advancing Racial Equity and 
Support for Underserved Communities Through the Federal Government, FTA 
will also consider the extent to which applications promote racial 
equity and the removal of barriers to opportunity through such 
activities as equity-focused community outreach and public engagement 
of underserved communities, and adoption of an equity and inclusion 
program or plan or equity-focused policies related to the proposed 
project.
    In determining the allocation of program funds, FTA may consider 
geographic diversity, diversity in the size of the grant recipients 
receiving funding, or the applicant's receipt of other competitive 
awards, among other factors. FTA may also consider capping the amount a 
single applicant may receive.
    Prior to making an award, FTA is required to review and consider 
any information about the applicant that is in the FAPIIS accessible 
through SAM. An applicant may review and comment on any information 
about itself that a Federal awarding agency previously entered. FTA 
will consider any comments by the applicant, in addition to the other 
information in the designated integrity and performance system, in 
making a judgment about the applicant's integrity, business ethics, and 
record of performance under Federal awards when completing the review 
of risk posed by applicants as described in the Office of Management 
and Budget's Uniform Requirements for Federal Awards (2 CFR 200.205).

F. Federal Award Administration Information

1. Federal Award Notices

    FTA will announce the final project selections on the FTA website. 
Due to funding limitations, applicants that are selected for funding 
may receive less than the amount originally requested. In those cases, 
applicants must be able to demonstrate that the proposed projects are 
still viable and can be completed with the amount awarded.

2. Administrative and National Policy Requirements

a. Pre-Award Authority
    At the time the project selections are announced, FTA may extend 
pre-award authority for the selected projects. There is no blanket pre-
award authority for these projects before announcement. FTA will issue 
specific guidance to recipients regarding pre-award authority at the 
time of selection. FTA does not consider requests for pre-award 
authority for competitive funds until after projects are selected, and 
additional Federal requirements must be met before costs are incurred. 
For more information about FTA's policy on pre-award authority, please 
see the most recent Apportionments, Allocations and Program Information 
Notice at https://www.transit.dot.gov.
b. Cooperative Agreement Requirements
    If selected, awardees will apply for a cooperative agreement 
through FTA's Transit Award Management System (TrAMS). Successful 
applicants must be prepared to submit a complete statement of work and 
application in TrAMS within 90 days of notification of award. All 
recipients must follow the requirements of FTA Circular 6100.1E. 
Technical assistance regarding these requirements is available from 
FTA.
c. Buy America
    FTA requires that all capital procurements meet FTA's Buy America 
requirements (49 U.S.C. 5323(j) and 49 CFR part 661), which require 
that all iron, steel, or manufactured goods be produced in the United 
States, and set minimum domestic content and final assembly 
requirements for rolling stock.
d. Disadvantaged Business Enterprise
    FTA requires that its recipients receiving planning, capital, or 
operating assistance that will award prime contracts exceeding $250,000 
in FTA funds in a Federal fiscal year comply with the U.S. Department 
of Transportation's Disadvantaged Business Enterprise (DBE) program 
regulations (49 CFR part 26). If an applicant also receives FTA 
planning, capital, or operating assistance, it should expect to include 
any funds awarded, excluding those to be used for vehicle procurements, 
in setting its overall DBE goal. Note, however, that projects, 
including vehicle procurements, remain subject to the DBE program 
regulations.
e. Standard Assurances
    If an applicant receives an award, the applicant must assure that 
it will comply with all applicable Federal statutes, regulations, 
executive orders, directives, FTA circulars, and other Federal 
administrative requirements in carrying out any project supported by 
the FTA award. The applicant acknowledges that it will be under a 
continuing obligation to comply with the terms and conditions of the 
agreement issued for its project with FTA. The applicant understands 
that Federal laws, regulations, policies, and administrative practices 
might be modified from time to time and may affect the implementation 
of the project. The most recent Federal requirements will apply to the 
project, unless FTA issues a written determination otherwise. The 
applicant must submit the most recent FTA Certifications and Assurances 
before receiving an award if it does not have current certifications on 
file.

[[Page 62876]]

f. Data Access and Data Sharing
    FTA seeks to improve public transportation for America's 
communities by sharing digital data or source code collected or 
developed through its research with the public. This allows research 
organizations, transit agencies, and other stakeholders to learn from 
and expand upon the insights developed from FTA-funded research.
    An award made pursuant to this NOFO will be subject to the latest 
version of FTA's Master Agreement (available at https://www.transit.dot.gov/funding/grantee-resources/sample-fta-agreements/fta-grant-agreements), including Section 17 Patent Rights and Section 
18 Rights in Data and Copyrights.
    All work funded under this NOFO must follow the Department's data 
collection and sharing policies outlined in the DOT Public Access Plan 
at: https://www.transportation.gov/mission/open/official-dot-public-access-plan-v11. Recipients are required to include these obligations 
in any sub-awards or other related funding agreements.
    Public Data Access requirements include developing a Data 
Management Plan (DMP) and submitting the DMP for FTA review. A DMP is a 
document that describes how recipients plan to handle digital datasets, 
software, or code generated over the course of a research project 
pursuant to federal and Departmental requirements. A DMP must be 
provided as a condition of receiving FTA funds under the Section 5312 
Research Program and should adequately identify: (1) The data to be 
collected, (2) how the data will further the goals of this effort, (3) 
how the data will be made accessible, and (4) how the data will be 
stored. DMPs can be updated over time if the scope of the project or 
the type of data that will be collected changes.
    FTA staff is available to assist recipients with complying with 
public data access requirements.
g. External Communications
    Recipients must communicate with their FTA Project Manager prior to 
engaging in any external communications regarding their project. This 
includes any work developing news or magazine stories with media 
organizations, including print, video, online, or otherwise. 
Additionally, the FTA project manager must be notified if project 
information, including results and metrics, will be shared during a 
webinar or other presentation open to the public produced either by the 
recipient itself or another organization. Recipients should consult 
with their FTA Project Manager at the beginning of their agreement to 
discuss and plan any external communications about their project.
h. Independent Evaluation
    Projects funded under this announcement will be subject to 
evaluation by an independent evaluator selected by FTA. Recipients will 
be required to coordinate with the independent evaluator to assist in 
developing an evaluation plan and collecting, storing and managing data 
required to fulfill that evaluation plan.
i. Mobility Metrics
    Projects funded under this notice will be required to support the 
efforts of FTA or its designee to evaluate the project and its outcomes 
against mobility-specific metrics. FTA will work with the project team 
to implement evaluation plans that are consistent with FTA's mobility-
specific metrics as detailed in the FTA report, Mobility Performance 
Metrics (MPM) For Integrated Mobility and Beyond (February 2020), 
available at https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/research-innovation/147791/mobility-performance-metrics-integrated-mobility-and-beyond-fta-report-no-0152.pdf.
j. Software Provisions
    Any software developed as a part of this solicitation will be 
subject to provisions of FTA's Master Agreement (version 28, February 
9, 2021) and evaluated for the potential to be shared for use by public 
transportation agencies.

3. Reporting

    Post-award reporting requirements include the electronic submission 
of Federal Financial Reports and Milestone Progress Reports in FTA's 
electronic grants management system.
    Applicants should include any goals, targets, and indicators 
referenced in their application in the Executive Summary of the TrAMS 
application.
    As part of completing the annual certifications and assurances 
required of FTA grant recipients, a successful applicant must report on 
the suspension or debarment status of itself and its principals. If the 
award recipient's active grants, cooperative agreements, and 
procurement contracts from all Federal awarding agencies exceed 
$10,000,000 for any period of time during the period of performance of 
an award made pursuant to this Notice, the recipient must comply with 
the Recipient Integrity and Performance Matters reporting requirements 
described in Appendix XII to 2 CFR part 200.

G. Federal Awarding Agency Contacts

    For further information concerning this notice, please contact 
Christina Gikakis, in the FTA Office of Mobility Innovation, by phone 
at 202-366-2637, or by email at [email protected]. A TDD is 
available for individuals who are deaf or hard of hearing at 800-877-
8339. In addition, FTA will post answers to questions and requests for 
clarifications on FTA's website at https://www.transit.dot.gov/funding/grants/EMI. To ensure applicants receive accurate information about 
eligibility or the program, applicants are encouraged to contact FTA 
directly, rather than through intermediaries or third parties, with 
questions. FTA staff may also conduct briefings on the FY 2021 
competitive grants selection and award process upon request.
    For issues with GRANTS.GOV, please contact GRANTS.GOV by phone at 
1-800-518- 4726 or by email at [email protected].

H. Other Information

    This program is not subject to Executive Order 12372, 
``Intergovernmental Review of Federal Programs.''

Nuria I. Fernandez,
Administrator.
[FR Doc. 2021-24671 Filed 11-10-21; 8:45 am]
BILLING CODE 4910-57-P