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Integrated Corridor Management Deployment Planning Grants

American Government Special Collections Reference Desk

American Government

Integrated Corridor Management Deployment Planning Grants

Victor M. Mendez
Federal Highway Administration
November 1, 2013

[Federal Register Volume 78, Number 212 (Friday, November 1, 2013)]
[Pages 65751-65754]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26057]



Federal Highway Administration

Integrated Corridor Management Deployment Planning Grants

AGENCY: Federal Highway Administration (FHWA), DOT.

ACTION: Notice; Request for applications.


SUMMARY: This notice invites States, Metropolitan Planning 
Organizations (MPO), and local governments that intend to initiate or 
continue Integrated Corridor Management (ICM) development with their 
partners, such as arterial management agencies, tolling authorities, 
and transit authorities, to apply for deployment planning grants. The 
Moving Ahead for Progress in the 21st Century Act (MAP-21) authorized 
the FHWA to encourage Intelligent Transportation Systems (ITS) 
deployment on the national highway system through demonstrations and 
grant programs. The purpose of this program is to promote the 
integrated management and operations of the transportation system, 
thereby improving multimodal transportation system management and 
    This notice seeks applications for available funding for this 
program. This funding will be provided to cover a maximum of 80 percent 
of each proposed program/project. Total costs of each proposed program/
project should not exceed $200,000. Up to 10 awards are anticipated, 
but not guaranteed.
    Optional phase two: FHWA has the discretion to award additional 
funding to successful applicants to further advance their ICM concepts 
within the context of ICM deployment beyond the initial work product 

DATES: Formal applications must be submitted no later than December 31, 
2013 to be assured consideration. Applications should be submitted 
through http://www.grants.gov.

FOR FURTHER INFORMATION CONTACT: For questions about the program 
discussed herein, contact Mr. Robert Sheehan, FHWA Office of 
Transportation Management, (202) 366-6817, or via email at 
Robert.Sheehan@dot.gov, or Mr. Brian Cronin, Team Leader, Research, 
Research and Innovative Technology Administration (RITA) ITS-Joint 
Program Office, (202) 366-8841 or via email at Brian.Cronin@dot.gov. 
For legal questions, please contact Adam Sleeter, Attorney Advisor, 
FHWA Office of the Chief Counsel, (202) 366-8839, or via email at 
adam.sleeter@dot.gov. Business hours for the FHWA are from 8:00 a.m., 
e.t., to 4:30 p.m., e.t., Monday through Friday, except Federal 


Electronic Access

    An electronic copy of this document may be downloaded from the 
Federal Register's home page at: http://www.federalregister.gov.

Additional Information on Applying Through Grants.gov

    Applications for ICM Deployment Planning Grants would 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 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 to prevent delays that may 
preclude submitting an application by the deadlines specified. 
Applications will not be accepted after the relevant due date; delayed 
registration is not an acceptable reason for extensions. In order to 
apply for ICM Deployment Planning Grants under this announcement 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.

[[Page 65752]]

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 sub-recipients. The DUNS number 
will be used throughout the grant life cycle. Obtaining a DUNS number 
is a free, one-time activity that can be completed by calling 1-866-
705-5711 or by applying online at http://fedgov.dnb.com/webform.
    2. Acquire or Renew Registration with the Central Contractor 
Registration (CCR) Database. All applicants for Federal financial 
assistance maintain current registrations in the CCR database. An 
applicant must be registered in the CCR to successfully register in 
Grants.gov. The CCR database is the repository for standard information 
about Federal financial assistance applicants, recipients, and sub-
recipients. Entities that have previously submitted applications via 
Grants.gov are already registered with CCR, as it is a requirement for 
Grants.gov registration. Please note, however, that applicants must 
update or renew their CCR registration at least once per year to 
maintain an active status, so it is critical to check registration 
status well in advance of relevant application deadlines. Information 
about CCR registration procedures can be accessed at: https://www.sam.gov/portal/public/SAM/.
    3. Acquire an Authorized Organization Representative (AOR) and a 
Grants.gov Username and Password. Applicants will need to complete an 
AOR profile on Grants.gov and create a username and password. The 
assigned DUNS Number is required to complete this step. For more 
information about the registration process, go to: www.grants.gov/applicants/get_registered.jsp.
    4. Acquire Authorization for the AOR from the E-Business Point of 
Contact (E-Biz POC). The E-Biz POC for the applicant must log in to 
Grants.gov to confirm the applicant as an AOR. Please note that there 
can be more than one AOR.
    5. Search for the Funding Opportunity on Grants.gov. Applicants for 
this solicitation would use the Catalog of Federal Domestic Assistance 
number 20.205, titled Highway Planning and Construction, when searching 
for the ICM Deployment Planning Grant opportunity on Grants.gov.
    6. Submit an Application Addressing All of the Requirements 
Outlined in this Funding Availability Announcement. 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 has been received and 
validated or rejected, with an explanation. Applicants are encouraged 
to submit applications at least 72 hours prior to the due date of the 
application to allow time to receive the validation message and to 
correct any problems that may have caused a rejection notification.

    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.

Experiencing Unforeseen Grants.gov Technical Issues

    If an applicant experiences unforeseen Grants.gov technical issues 
beyond its control that prevent the submission of an application by the 
established deadline, such applicant must contact Grants.gov.
    To ensure a fair competition for limited ICM Deployment Planning 
Grants, the following conditions are not valid reasons to permit late 
submissions: (1) Failure to complete the registration process before 
the deadline date; (2) failure to follow Grants.gov instructions on how 
to register and apply as posted on its Web site; (3) failure to follow 
all of the instructions in the funding availability notice; and (4) 
technical issues experienced with the applicant's computer or 
information technology environment.


    Section 53001 of MAP-21 (Pub. L. 112-141) created Section 513 of 
title 23, United States Code (23 U.S.C. 513) that authorizes the 
Secretary of Transportation to encourage and fund grants that support 
the deployment of ITS. The objective of the ICM Deployment Planning 
Grant program is to advance ICM planning and development efforts. With 
ICM, the various partner agencies manage the transportation corridor as 
a system, rather than the more traditional approach of managing 
individual assets. They work together to manage the corridor as an 
integrated system in order to improve travel time reliability and 
predictability, help manage congestion, and empower travelers through 
better information and more choices. This objective is consistent with 
the MAP-21 emphasis on accelerating technology and innovation 
deployment, and will contribute to agencies' ability to meet the system 
performance goals called for in MAP-21. It will be achieved by 
providing funding to support the recipients' application of ICM 
Knowledge and Technology Transfer (KTT) products including: ICM 
Implementation Guidance; Analysis, Modeling, and Simulation Guidance; 
Model System Engineering documents; and technology transfer activities 
such as technical support workshops and peer-to-peer support.
    The expected output from a grant recipient would be one or more of 
the following:
     ICM Concept of Operations (ConOps);
     ICM System Requirements Specifications (SyRS);
     ICM Analysis, Modeling, and Simulation (AMS) Plan;
     ICM AMS Activity Findings Report; or
     ICM Implementation Plan.
    Each funding recipient should also develop or update a Project 
Management Plan (PMP) and a System Engineering Management Plan (SEMP). 
These plans should be finalized and provided to the FHWA before 
initiation of any other activity funded through the formal agreement.
    Each funding recipient should also provide a brief final report 
summarizing the effectiveness of the applicable KTT products in 
supporting their ICM development efforts.
    Only one entity should be identified as the funding recipient for 
grant administration purposes. This entity is expected to coordinate 
with all appropriate transportation stakeholders, and is responsible 
for managing the grant and meeting the grant requirements to be defined 
in a formal agreement. Potential funding recipients may differ in their 
immediate technical or institutional need or challenge; therefore, the 
approach to advancing ICM and the expected output may differ.
    More information on the ICM research initiative can be found at 
    Grant recipients are expected to meet a variety of basic 
qualifications. These ensure that grant recipients are capable of 
implementing ICM in their chosen corridor. Basic qualifications cover 
requisite technology and characteristics of the corridor such as:
    1. Existing System Technology Base--participating agencies should 
have a basic level of management and operations capability upon which 

[[Page 65753]]

build. Applicants should describe the base level of technology in place 
in the specified corridor (See items 2 and 5 under How to Apply). This 
could include communications, data, data sharing, traffic management 
strategies, demand management strategies, traveler information, real-
time corridor performance measurement, and analytical tools.
    2. Alternate Routes or Modal Alternatives--the specified corridor 
should contain alternate routes to enable rerouting of traffic or 
alternative modes of travel (e.g., transit bus, rail, or HOV/HOT 
lanes). The applicant should discuss and address this requirement in 
the proposal (see items 1 and 2 under How to Apply).
    3. Performance Issues--the specified corridor should have a variety 
of performance issues that can be addressed by integrated corridor 
management strategies. These issues should be identified and assessed 
by the applicant in the proposal (see item 3 under How to Apply). 
Examples include:
    a. Congestion and system reliability--the specified corridor may 
contain considerable periods of congestion and unreliable travel times 
along critical corridor routes including transit routes; travelers may 
not have sufficient access to corridor performance information in order 
to make informed travel choices routinely or in certain situations.
    b. Transit system reliability--performance of transit services in 
the specified corridor may be degraded due to other factors affecting 
performance of the corridor; the transit system may not have sufficient 
capacity or capability to meet unusual spikes in demand.
    c. Commercial Vehicles--the specified corridor may contain 
considerable freight demands affecting the performance of the corridor.
    d. Safety--the specified corridor may contain considerable safety 
issues caused by variable traffic demand, incidents, construction, 
weather, or other environmental or operational conditions affecting the 
performance of the corridor.
    4. Institutional relationships and agreements--the transportation 
agencies with operational responsibility in the corridor should have a 
minimum level of institutional coordination that would indicate the 
potential success of ICM.

How To Apply

    Formal proposals should include the following:
    1. Description of the corridor--geography, State(s) involved, 
metropolitan area(s) encompassed, and other relevant information which 
the proposer deems important.
    2. Transportation assets--describe the transportation assets, 
modes, and facilities within the corridor that the proposal will 
impact, including major highways, arterials, transit facilities, and 
existing ITS infrastructure.
    3. Performance issues facing the corridor--types of transportation 
challenges facing the efficient and effective operation and management 
of transportation facilities and services in the corridor.
    4. Membership of the existing or proposed organization that will 
lead to the development and operation of ICM--including specific 
organizations such as transportation agencies, State safety enforcement 
agencies, MPOs, tolling authorities, transit operators, etc., and 
existing or proposed charter, governance, and/or procedural 
documentation. All transportation agencies with operational 
responsibility in the corridor should be included. The application 
should demonstrate an inclusion and coordination of transportation 
facility owners and operators within and adjacent to the proposed 
corridor. Proposers do not necessarily have to have formed an existing 
corridor organization or coalition but should show evidence that a 
cooperative agreement, memorandum of understanding, or other 
organizational mechanism can be executed in a reasonable timeframe 
after selection.
    5. Extent to which member agencies have integrated decisionmaking, 
operational, and data systems. This includes, but is not limited to, 
coordination or integration for routine operations, incident 
management, and other operational situations.
    6. Related projects or programs in the Long Range Statewide 
Transportation Plan (LRSTP), Statewide Transportation Improvement 
Program (STIP), Metropolitan Transportation Plan (MTP), Transportation 
Improvement Plan (TIP), or Unified Planning Work Program (UPWP).
    7. The vision of the organization and goals, objectives, and 
activities to be pursued in addressing the identified issues and 
challenges facing the corridor including a discussion of how the grant 
will accelerate or facilitate the achievement of the overall vision.
    8. In order to demonstrate the success of the grant program the 
proposals should define project success factors and key performance 
    9. Initial Scope and Funding request--A complete list of activities 
to be funded by the request. The applicant must follow the systems 
engineering process as presented in FHWA's System Engineering Guidebook 
(http://www.fhwa.dot.gov/cadiv/segb/). The applicant must have in place 
a Project PMP and SEMP. If a PMP and/or a SEMP are not in place the 
recipient must develop or update a PMP and/or SEMP as part of this 
    10. The applicant should develop one or more of the following: ICM 
Concept of Operations, ICM System Requirements, ICM Analysis, Modeling 
and Simulation Plan, ICM Analysis, Modeling, and Simulation Activity 
Findings Report, or an ICM Implementation Plan.
    a. In order to request funding for ICM Concept of Operations, the 
applicant should demonstrate the development of a multiagency and/or 
multimodal stakeholder group. The establishment of a multiagency and/or 
multimodal stakeholder group for the specified corridor should be 
demonstrated and approved by FHWA prior to reimbursement of any work 
effort on the ICM concept of operations
    b. In order to request funding for ICM System Requirements, the 
applicant should show the development of a Concept of Operations. The 
ConOps should be completed and approved by FHWA prior to FHWA 
reimbursement of any work effort on ICM System Requirements.
    c. In order to request funding for ICM Analysis, Modeling, and 
Simulation Plan or Activity, the applicant should the show the 
initiation or completion of a ConOps. The ConOps should be completed 
and approved by FHWA prior to FHWA reimbursement of any work effort on 
ICM Analysis, Modeling, and Simulation plan or activity.
    d. In order to request funding for ICM Implementation Plan the 
applicant should show the initiation or completion of a ConOps and have 
an analysis approach established.
    11. The proposal should include organizations and key staff 
involved, estimated costs, an identification of all funding sources 
that will supplement the requested funds and will be necessary to fully 
fund the request, and a timeline for completion of the activities to be 
supported. The maximum amount of funding requested from the ICM 
Deployment Planning Grant program should not exceed $200,000 nor should 
it exceed 80 percent of the total cost of the activities proposed to be 
funded by the ICM Deployment Planning Grant program. The proposal 
should identify the party or parties to the award, including a 
description of the entity that will be entering into the agreement with 
FHWA, and a description of how that

[[Page 65754]]

entity will process or manage the program funds. The term ``eligible 
entity'' means a State or local government, tribal government, transit 
agency, public toll authority, MPO, other political subdivision of a 
State or local government, or a multistate or multijurisdictional group 
applying through a single lead applicant.\1\ Only one entity should be 
identified as the lead for grant administration purposes. Other 
transportation agencies are expected to partner with eligible entities 
to submit an application. (FHWA plans to administer these grants 
through the appropriate FHWA Division Offices.)

    \1\ 23 U.S.C. 513(a)(1).

    12. Proposals should include a description of the basic approach 
for an optional phase two deployment project. This should include, at a 
minimum, an implementation plan (or the approach to develop the 
implementation plan), and the relationship to the success factors 
identified above. If the DOT elects to proceed with phase two, it will 
provide a complete request for applications at that time. Proposals 
should not exceed 25 pages in length. Additional information supporting 
the application, such as maps, completed ICM planning documents, 
technical information, and letters of endorsement may be submitted as 
addenda to the application and will not count against the application 
page limit.
    To ensure that all proposals receive fair and equal consideration 
for the limited available funds, the Department requires formal grant 
applications to be submitted to http://www.grants.gov by close of 
business December 31, 2013.

Application for Optional Phase Two: How To Apply

    Upon the request of the DOT, successful initial recipients may 
submit an application for optional phase two funding. In addition to 
the information included in the initial application, the phase two 
application is expected to include, at a minimum:
    1. Deployment project goals and objectives;
    2. Description of deployment;
    3. Approach to deployment design, build, and operate;
    4. Development and application of analytical tools;
    5. Schedule;
    6. Risk mitigation summary; and
    7. Scope.

Evaluation Criteria for Phase One

    The ICM program has identified a series of criteria to help assess 
the potential for ICM in a corridor or region, and prioritize grant 
applicants. These criteria are intended to gauge how successful a 
potential grant recipient will be in delivering the expected output as 
described above. In addition, these criteria are intended to enable the 
ICM Program to prioritize among grant applicants. Listed in order of 
    1. Overall effectiveness--how well the vision of the organization 
and the activities proposed address the transportation issues and 
challenges in the corridor, provide an integrated management 
perspective, and align with DOT goals.
    2. Institutional collaboration--depth, clarity, and potential 
effectiveness of the organization's structure; evidence of commitments 
by key partners to participate.
    3. Integrated strategies and systems--the level of integration and 
coordination already demonstrated for routine operations, incident 
management, and other operational conditions of the corridor. This 
criterion also incorporates data sharing among involved agencies.
    4. Performance issues assessment--the identification and 
qualitative or quantitative assessment of the performance issues in the 
specified corridor to be addressed by the integrated corridor 
management system.
    5. Availability and diversity of alternative routes or modes of 
travel in the specified corridor--enabling realistic options for 
travelers or freight providers.
    6. Safety and weather--inclusion of safety issues on corridor; and 
safety and mobility impacts due to weather or environmental conditions 
considerations in the program or project.
    7. Commercial vehicles--inclusion of commercial vehicle demand and 
freight movement considerations in the program or project.
    8. Past Performance Related to ITS deployment--relevant examples of 
how the applicants have deployed, operated, and maintained ITS 
solutions that continue to provide safety, efficiency, mobility, and 
other benefits to corridor stakeholders and the general public.

Evaluation Criteria for Optional Phase Two Funding

    In addition to the evaluation criteria for the initial funding, the 
following criteria may be used to evaluate optional phase two funding.
    1. Performance indicators--How well did the phase one deliverable 
meet the project success factors and key performance indicators 
identified in the initial application.
    2. Potential benefits--Potential of the system to demonstrate 
measureable benefits including availability of measurable objectives 
for ICM within the corridor; use of appropriate ITS strategies for 
implementation, matched to goals and objectives for the Demonstration 
System; and well-defined and appropriate corridor-level performance 
    3. Alignment of deployment project to goals and objectives in the 
    4. Quality of the proposed deployment--Clarity and depth of 
understanding documented in the ConOps; Quality of the SyRS; Documented 
understanding of the complexity of the proposed integration of all new 
and existing subsystems for an ICMS; Description and availability of 
data required to calculate performance measures; Clear identification 
of standards necessary to support an ICMS.
    5. ICM Implementation Plan--Overall approach for the implementation 
of ICM including the quality of the implementation schedule; i.e., the 
realism of the project schedule, and the relative size of the risks 
associated with the system implementation and clear ability to mitigate 
the risk factors.

Post-Submission Process

    Applicants may be contacted for additional information or 
clarification. The application should include a primary point of 
contact and provide complete contact information for this individual.
    The Department may pursue partial funding of applications.
    If selected for funding, a formal agreement will be prepared 
between the Department and the lead agency applicant. The agreement 
will include information in addition to what has already been provided 
in the applications, such as a refined and more detailed scope of work.

    Issued on: October 21, 2013.
Victor M. Mendez,
FHWA Administrator.
[FR Doc. 2013-26057 Filed 10-31-13; 8:45 am]

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