|
|---|
|
USDOT Fiscal Year 2023 Safe Streets and Roads for All Funding Publication: Federal Register Department: Department of Transportation Byline: Christopher Coes Date: 12 April 2023 Subjects: American Government  , Roads & Highways
|
[Federal Register Volume 88, Number 70 (Wednesday, April 12, 2023)]
[Notices]
[Pages 22090-22111]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07716]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
[DOT-OST-2023-0048]
USDOT Fiscal Year 2023 Safe Streets and Roads for All Funding
AGENCY: Office of the Secretary of Transportation, U.S. Department of
Transportation (DOT or the Department).
ACTION: Notice of funding opportunity (NOFO), assistance listing #
20.939.
-----------------------------------------------------------------------
SUMMARY: The purpose of this notice is to solicit applications for Safe
Streets and Roads for All (SS4A) grants. Funds for the fiscal year (FY)
2023 SS4A grant program are to be awarded on a competitive basis to
support planning, infrastructure, behavioral, and operational
initiatives to prevent death and serious injury on roads and streets
involving all roadway users, including pedestrians; bicyclists; public
transportation, personal conveyance, and micromobility users;
motorists; and commercial vehicle operators.
DATES: Applications must be submitted by 5:00 p.m. EDT on Monday, July
10, 2023. Late applications will not be accepted.
ADDRESSES: Applications must be submitted via Valid Eval, an online
submission proposal system used by USDOT, at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for Implementation Grant
applicants, and https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration
Grants. Customer support for Valid Eval can be reached at
support@valideval.com.
FOR FURTHER INFORMATION CONTACT: Please contact the SS4A grant program
staff via email at SS4A@dot.gov, or call Paul Teicher at 202-366-4114.
A telecommunications device for the deaf (TDD) is available at 202-366-
3993. In addition, DOT will regularly post answers to questions and
requests for clarifications, as well as schedule information regarding
webinars providing additional guidance, on DOT's website at https://www.transportation.gov/grants/SS4A. The deadline to submit technical
questions is June 16, 2023. The NOFO is listed under opportunity number
DOT-SS4A-FY23-01 at grants.gov.
SUPPLEMENTARY INFORMATION: Each section of this notice contains
information and instructions relevant to the application process for
SS4A grants, and all applicants should read this notice in its entirety
so that they have the information they need to submit eligible and
competitive applications.
------------------------------------------------------------------------
Section Content
------------------------------------------------------------------------
N/A.......................... Summary Information.
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.
------------------------------------------------------------------------
Signed in Washington, DC, April 7, 2023.
Christopher Coes,
Assistant Secretary for Transportation Policy.
Section A (Program Description) describes the Department's goals
and purpose in making awards, and Section E (Application Review
Information) describes how the Department will select from eligible
applications. To support applicants through the process, the Department
will provide technical assistance and resources at https://www.transportation.gov/grants/SS4A.
Definitions
------------------------------------------------------------------------
Term Definition
------------------------------------------------------------------------
Applicant's Jurisdiction(s)............ The U.S. Census tract/tracts
where the applicant operates
or performs their safety
responsibilities. If an
applicant is seeking funding
for multiple jurisdictions,
all of the relevant Census
tracts for the jurisdictions
covered by the application
should be included.
[[Page 22091]]
Complete Streets....................... Standards or policies that
ensure the safe and adequate
accommodation of all users of
the transportation system,
including pedestrians,
bicyclists, personal
conveyance and micromobility
users, public transportation
users, children, older
individuals, individuals with
disabilities, motorists, and
freight vehicles.\1\
Comprehensive Safety Action Plan....... A comprehensive safety action
plan (referred to as an Action
Plan) is aimed at preventing
roadway fatalities and serious
injuries in a locality or
region or on Tribal land. This
can be either a plan developed
with a Planning and
Demonstration Grant, or a
previously developed plan that
is substantially similar and
meets the eligibility
requirements (e.g., a Vision
Zero plan or similar plan).
See Table 1 for a detailed
description.
Equity................................. The consistent and systematic
fair, just, and impartial
treatment of all individuals,
including individuals who
belong to underserved
communities that have been
denied such treatment, such as
Black, Latino, Indigenous and
Native Americans, Asian
Americans and Pacific
Islanders, and other persons
of color; members of religious
minorities; lesbian, gay,
bisexual, transgender, and
queer (LGBTQ+) persons;
persons with disabilities;
persons who live in rural
areas; and persons otherwise
adversely affected by
persistent poverty or
inequality.
High-Injury Network.................... Identifies the highest
concentrations of traffic
crashes resulting in serious
injuries and fatalities within
a given roadway network or
jurisdiction.
Micromobility.......................... Any small, low-speed, human- or
electric-powered
transportation device,
including bicycles, scooters,
electric-assist bicycles,
electric scooters (e-
scooters), and other small,
lightweight, wheeled
conveyances.\2\
Personal Conveyance.................... A personal conveyance is a
device, other than a transport
device, used by a pedestrian
for personal mobility
assistance or recreation.
These devices can be motorized
or human powered, but not
propelled by pedaling (e.g., a
wheelchair).\3\
Political Subdivision of a State....... A unit of government created
under the authority of State
law. This includes cities,
towns, counties, special
districts, certain transit
agencies, and similar units of
local government. A transit
district, authority, or public
benefit corporation is
eligible if it was created
under State law, including
transit authorities operated
by political subdivisions of a
State.
Rural.................................. For the purposes of this NOFO,
jurisdictions outside an Urban
Area (UA) or located within
Urban Areas with populations
fewer than 200,000 will be
considered rural. Lists of UAs
are available on the U.S.
Census Bureau website at
https://www2.census.gov/geo/docs/reference/ua/2020_Census_ua_list_all.xlsx.
Safe System Approach................... A guiding principle to address
the safety of all road users.
It involves a paradigm shift
to improve safety culture,
increase collaboration across
all safety stakeholders, and
refocus transportation system
design and operation on
anticipating human mistakes
and lessening impact forces to
reduce crash severity and save
lives.\4\ \5\
Underserved Community.................. An underserved community as
defined for this NOFO is
consistent with the Office of
Management and Budget (OMB)
and DOT definitions of a
disadvantaged community
designation, which includes
any Tribal land; any territory
or possession of the United
States; or U.S. Census tracts
identified in one of the
following tools (may only
select one option to identify
underserved communities):
The interim
USDOT Equitable Transportation
Community Explorer (ETCE)
https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/Applicant-Explorer/.
Any subsequent
iterations of the ETCE
released during the NOFO
period; or
The Climate and
Economic Justice Screening
Tool (CEJST) to identify
disadvantaged communities
https://screeningtool.geoplatform.gov/
.
Funds to underserved
communities are spent in, and
provide benefits to,
underserved communities.
------------------------------------------------------------------------
\1\ The definition is based on the ``Moving to a Complete Streets Design
Model: A Report to Congress on Opportunities and Challenges,'' https://highways.dot.gov/sites/fhwa.dot.gov/files/2022-03/Complete%20Streets%20Report%20to%20Congress.pdf. Also see https://highways.dot.gov/complete-streets.
\2\ Source: FHWA, Public Roads Magazine, Spring 2021, ``Micromobility: A
Travel Innovation.'' Publication Number: FHWA-HRT-21-003.
\3\ https://crashstats.nhtsa.dot.gov/Api/Public/ViewPublication/813251,
see page 127 for the full definition as defined in the 2020 FARS/CRSS
Coding and Validation Manual.
\4\ See: https://www.transportation.gov/NRSS/SafeSystem.
\5\ Safety culture can be defined as the shared values, actions, and
behaviors that demonstrate a commitment to safety over competing goals
and demands.
A. Program Description
1. Overview
Section 24112 of the Infrastructure Investment and Jobs Act (Pub.
L. 117-58, November 15, 2021; also referred to as the ``Bipartisan
Infrastructure Law'' or ``BIL'') authorized and appropriated $1 billion
to be awarded by the Department of Transportation for FY 2023 for the
SS4A grant program. This NOFO solicits applications for activities to
be funded under the SS4A grant program. The FY 2023 funding will be
implemented, as appropriate and consistent with law, in alignment with
the priorities in Executive Order 14052, Implementation of the
Infrastructure Investment and Jobs Act (86 FR 64355).
The purpose of SS4A grants is to improve roadway safety by
significantly reducing or eliminating roadway fatalities and serious
injuries through safety action plan development and refinement and
implementation focused on all users, including pedestrians, bicyclists,
public transportation users, motorists, personal conveyance and
[[Page 22092]]
micromobility users, and commercial vehicle operators. The program
provides funding to develop the tools to help strengthen a community's
approach to roadway safety and save lives and is designed to meet the
needs of diverse local, Tribal, and regional communities that differ
dramatically in size, location, and experience administering Federal
funding.
The FY 2023 NOFO incorporates lessons learned from the FY 2022
NOFO, and substantively differs in a few ways:
Applications are submitted through Valid Eval instead of
Grants.gov. The application structure for the key information table and
other application submission details has been standardized through
Valid Eval.
Updated the definition of an underserved community, with
different tools to determine whether a U.S. Census tract is an
underserved community.
Planning and Demonstration Grants replaced Action Plan
Grants from FY 2022, with a number of substantive changes throughout
the NOFO:
[cir] Section A further clarifies eligible planning and
demonstration activities;
[cir] Section B.3 changed the expected minimum and maximum award
range to $100,000 to $10 million;
[cir] Section B.4 has a longer expected period of performance under
certain circumstances;
[cir] Section C.3 has changed eligibility requirements and allows
applicants currently developing a comprehensive safety action plan to
request additional funding for planning and demonstration; and
[cir] Section E has a revised selection criteria requirement for
the ``Additional Safety Context'' narrative, which is now expected to
be between 1 and 2 pages.
Implementation Grants had the following substantive
changes:
[cir] Section B.3 changed the expected minimum and maximum award
range to $2.5 million to $25 million;
[cir] Section E selection criteria were refined, and a fifth
selection criterion specifically for applicants who bundle planning and
supplemental planning was added; and
[cir] Section E award selection considerations were expanded to
include rural areas, whether the applicant is identified as a priority
community within the Federal Thriving Communities Network, requests
less than $10 million, and selections that support diversity amongst
the award recipients, in addition to project readiness and percent of
funds to underserved communities.
2. Grant Options and Deliverables
The SS4A program provides funding for two main types of grants:
Planning and Demonstration Grants for comprehensive safety action
plans, including supplemental safety planning, and/or safety
demonstration activities; and Implementation Grants. Planning and
Demonstration Grants are used to develop, complete, or supplement a
comprehensive safety action plan, as well as carry out demonstration
activities that inform an Action Plan. Implementation Grants are used
to implement strategies or projects that are consistent with an
existing Action Plan and may also bundle funding requests for
supplemental planning and demonstration activities that inform an
Action Plan. To apply for an Implementation Grant, an eligible
applicant must have a qualifying Action Plan; see Section C for what
constitutes a qualifying Action Plan. Applicants for Implementation
Grants can self-certify that they have one or more plans in place by
June 2023 that together are substantially similar to and meet the
eligibility requirements for an Action Plan.
i. Planning and Demonstration Grants
Planning and Demonstration Grants have three different types of
activities:
(a) Develop an Action Plan;
(b) Conduct supplemental safety planning to enhance an Action Plan;
and
(c) Carry out demonstration activities to inform the development
of, or an update to, an Action Plan.
The three different types of activities under Planning and
Demonstration Grants can either be bundled together into one
application, or an applicant may choose to request funding for only one
of the activities. Applicants may only apply for a single grant type,
but both grant types have the option to include Planning and
Demonstration projects under them. The development of, or updates to,
an Action Plan must be the intended end result of each supplemental
planning and demonstration activity. Further information on which
activities can be bundled together are described in Section C.3.i.
(a) Action Plan
An Action Plan is the foundation of the SS4A grant program. Grants
for Action Plans provide Federal funds to eligible applicants to
develop, complete, or enhance an Action Plan.
The primary deliverable is a publicly available Action Plan. For
the purposes of the SS4A grant program, an Action Plan includes the
components in Table 1. DOT considers the process of developing an
Action Plan to be critical for success, and the components reflect a
process-oriented set of activities.
Table 1--Action Plan Components
------------------------------------------------------------------------
Component Description
------------------------------------------------------------------------
Leadership Commitment and Goal Setting. An official public commitment
(e.g., resolution, policy,
ordinance) by a high-ranking
official and/or governing body
(e.g., Mayor, City Council,
Tribal Council, metropolitan
planning organization [MPO],
Policy Board) to an eventual
goal of zero roadway
fatalities and serious
injuries. The commitment must
include a goal and timeline
for eliminating roadway
fatalities and serious
injuries achieved through one,
or both, of the following:
(1) the target date for
achieving zero roadway
fatalities and serious
injuries, OR
(2) an ambitious percentage
reduction of roadway
fatalities and serious
injuries by a specific date
with an eventual goal of
eliminating roadway fatalities
and serious injuries.
Planning Structure..................... A committee, task force,
implementation group, or
similar body charged with
oversight of the Action Plan
development, implementation,
and monitoring.
[[Page 22093]]
Safety Analysis........................ Analysis of existing conditions
and historical trends that
provides a baseline level of
crashes involving fatalities
and serious injuries across a
jurisdiction, locality, Tribe,
or region. Includes an
analysis of locations where
there are crashes and the
severity of the crashes, as
well as contributing factors
and crash types by relevant
road users (motorists,
pedestrians, transit users,
etc.). Analysis of systemic
and specific safety needs is
also performed, as needed
(e.g., high-risk road
features, specific safety
needs of relevant road users,
public health approaches,
analysis of the built
environment, demographics, and
structural issues). To the
extent practical, the analysis
should include all roadways
within the jurisdiction,
without regard for ownership.
Based on the analysis
performed, a geospatial
identification of higher-risk
locations is developed (a High-
Injury Network or equivalent).
Engagement and Collaboration........... Robust engagement with the
public and relevant
stakeholders, including the
private sector and community
groups, that allows for both
community representation and
feedback. Information received
from engagement and
collaboration is analyzed and
incorporated into the Action
Plan. Overlapping
jurisdictions are included in
the process. Plans and
processes are coordinated and
aligned with other
governmental plans and
planning processes to the
extent practicable.
Equity Considerations.................. Plan development using
inclusive and representative
processes. Underserved
communities are identified
through data and other
analyses in collaboration with
appropriate partners. Analysis
includes both population
characteristics and initial
equity impact assessments of
the proposed projects and
strategies.
Policy and Process Changes............. Assessment of current policies,
plans, guidelines, and/or
standards (e.g., manuals) to
identify opportunities to
improve how processes
prioritize transportation
safety. The Action Plan
discusses implementation
through the adoption of
revised or new policies,
guidelines, and/or standards,
as appropriate.
Strategy and Project Selections........ Identification of a
comprehensive set of projects
and strategies--shaped by
data, the best available
evidence and noteworthy
practices, and stakeholder
input and equity
considerations--that will
address the safety problems
described in the Action Plan.
These strategies and
countermeasures focus on a
Safe System Approach and
effective interventions and
consider multidisciplinary
activities. To the extent
practicable, data limitations
are identified and mitigated.
Once identified, the projects
and strategies are prioritized
in a list that provides time
ranges for when the strategies
and countermeasures will be
deployed (e.g., short-, mid-,
and long-term timeframes). The
list should include specific
projects and strategies, or
descriptions of programs of
projects and strategies, and
explains prioritization
criteria used. The list should
contain interventions focused
on infrastructure, behavioral,
and/or operational safety.
Progress and Transparency.............. Method to measure progress over
time after an Action Plan is
developed or updated,
including outcome data. A
means to ensure ongoing
transparency is established
with residents and other
relevant stakeholders. The
approach must include, at a
minimum, annual public and
accessible reporting on
progress toward reducing
roadway fatalities and serious
injuries and public posting of
the Action Plan online.
------------------------------------------------------------------------
Applicants requesting funds to develop an Action Plan may also
request funding for supplemental planning and demonstration activities
subsequently described in Section A.2.i.b and A.2.i.c below. The goal
of an Action Plan is to develop a holistic, well-defined strategy to
prevent roadway fatalities and serious injuries in a locality, Tribe,
or region. Further information on eligibility requirements is in
Section C.
(b) Supplemental Planning
Supplemental action plan activities support or enhance an existing
Action Plan. To only fund supplemental Action Plan activities through
the SS4A program, an applicant must have an existing Action Plan; have
a plan that is substantially similar and meets the eligibility
requirements for having an existing plan; or be in the process of
completing an Action Plan described in Table 1. Examples of
supplemental planning include:
Topical safety sub-plans focused on topics such as speed
management, vulnerable road users, accessibility for individuals with
disabilities, Americans with Disabilities Act of 1990 (ADA) transition
plans, health equity, safety-focused Intelligent Transportation System
implementation, lighting, or other relevant safety topics.
Road safety audits.
Additional safety analysis and expanded data collection
and evaluation using integrated data.
Targeted equity assessments.
Required supplemental planning as a condition to receiving
an
[[Page 22094]]
Implementation Grant award as described in Section A.2.ii:
[cir] Updating Action Plans finalized and last updated in 2020 or
earlier.
[cir] Broadening the road user focus to include all road users.
[cir] Updating plan components laid out in Table 1 and missing in
an eligible plan.
Follow-up stakeholder engagement and collaboration.
Reporting on the progress from Action Plan implementation
for transparency.
Other roadway safety planning activities that enhance an
Action Plan.
The final deliverable for supplemental planning is a written
product that connects to, and enhances, an Action Plan. Final products
shall be made publicly available. Additional information on
supplemental planning is located at https://www.transportation.gov/grants/SS4A.
(c) Demonstration Activities
Demonstration activities inform an Action Plan by testing proposed
project and strategy approaches to determine their potential benefits
and future scope; demonstration activities are temporary. Demonstration
activities must measure potential benefits through data collection and
evaluation and inform an Action Plan's list of selected projects and
strategies and their future implementation. To receive funds only for
demonstration activities through the SS4A program, an applicant must
have an existing Action Plan, have a plan that is substantially similar
and meets the eligibility requirements for having an existing plan, or
be in the process of completing an Action Plan described in Table 1.
Demonstration activities could include:
Feasibility studies using quick-build strategies that
inform permanent projects in the future (e.g., use of paint and plastic
delineator posts to experiment with impermanent roadway design changes,
use of removable barriers to re-allocate roadway space).
Various MUTCD Engineering Studies that further safety
applications of the MUTCD (e.g., evaluating warrants for traffic signal
installation, high-visibility crosswalk markings, bike lane treatments,
etc.).
Pilot programs for behavioral or operational activities
that include at least one element of the Safe System Approach (e.g.,
test out a new education campaign's messaging at a small scale, trial
changes to how Emergency Medical Services respond to crashes).
Pilot programs that demonstrate safety benefits of
technologies not yet adopted in the community (e.g., variable speed
limits, technology for adaptive signal timing, adaptive lighting,
Intelligent Transportation Systems, vehicle-to-infrastructure
technology, etc.).\6\ Eligible technologies must be commercially
available and at a prototype or advanced technological readiness
level.\7\
---------------------------------------------------------------------------
\6\ Eligible vehicle-to-infrastructure demonstrations use
interoperable vehicle-to-infrastructure (V2X) communications
capabilities using 4G LTE cellular V2X (C-V2X) technology in the
5.905-5.925 GHz spectrum frequency band to enable safety
applications for public fleet vehicles.
\7\ The corresponding level would be ``Development,'' level 7
Prototype demonstrated in operational environment. See https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf.
---------------------------------------------------------------------------
Demonstration activities and pilot programs must inform Action
Plans through small-scale tests with finite trial periods intended to
gauge potential project and strategy effectiveness that will lead to
project and strategy selection at a systemic level. The final
deliverable is an assessment of the demonstration activities and an
updated Action Plan that incorporates the information gathered from the
demonstration activities into the Action Plan's list of projects or
strategies and/or informs another part of the Action Plan. DOT intends
to prioritize demonstration activities that are set up within 18 months
(e.g., quick-builds on the roadway, pilot project established).
ii. Implementation Grants
Implementation Grants fund projects and strategies identified in an
Action Plan that address roadway safety problems. Implementation Grants
may also fund supplemental planning and demonstration activities as
described in Section A.2.i, as well as planning, design, and
development activities for projects and strategies identified in an
Action Plan. DOT encourages Implementation Grant applicants to include
supplemental planning and demonstration activities in their
application. Applicants must have an existing Action Plan to apply for
Implementation Grants or have an existing plan that is substantially
similar and meets the eligibility requirements of an Action Plan. If
applicants do not have an existing Action Plan, they should apply for
Planning and Demonstration Grants and NOT Implementation Grants.
The Action Plan components may be contained within several plans.
DOT requires applicants who have an Action Plan that is missing
components required in Table 1 but still have a substantially similar
plan based on the Self-Certification Eligibility Worksheet outlined in
Section C to update an Action Plan to contain all components in a
Comprehensive Safety Action Plan as outlined in Table 1. Updating an
existing Plan to address missing components is a condition to receive
Implementation Grant funding, and applicants applying for
Implementation Grants can request to use SS4A supplemental planning
funds to update an existing Action Plan to conform with all the
components in Table 1. Additional information on eligibility
requirements and eligible activities is in Section C below.
3. SS4A Grant Priorities
This section discusses priorities specific to SS4A and those
related to the Department's overall mission, which are reflected in the
selection criteria and NOFO requirements. Successful grant applications
will:
Promote safety to prevent death and serious injuries on
public roadways;
Employ low-cost, high-impact strategies that can improve
safety over a wide geographic area;
Ensure equitable investment in the safety needs of
underserved communities, which includes both underserved urban and
rural communities;
Incorporate evidence-based projects and strategies and
adopt innovative technologies and strategies;
Demonstrate engagement with a variety of public and
private stakeholders; and
Align with the Department's mission and Strategic Goals
such as safety; climate change and sustainability; equity and
Justice40; and workforce development, job quality, and wealth
creation.\8\
---------------------------------------------------------------------------
\8\ FY 2022-2026 USDOT Strategic Plan https://www.transportation.gov/dot-strategic-plan.
---------------------------------------------------------------------------
The Department seeks to award Planning and Demonstration Grants
based on safety impact, equity, and other safety considerations. For
Implementation Grants, DOT seeks to make awards to projects and
strategies that save lives and reduce roadway fatalities and serious
injuries; incorporate equity, engagement, and collaboration into how
projects and strategies are executed; use effective practices and
strategies; consider climate change, sustainability, and economic
competitiveness in project and strategy implementation; and will be
able to complete the full scope of funded projects and strategies
within five years after the establishment of a grant agreement.
Additional award consideration will be made for Implementation Grant
applicants that have a high percentage of funds that
[[Page 22095]]
benefit underserved communities, are in rural areas, request less than
$10 million in Federal funds, and/or support geographic diversity
amongst the Implementation Grant award recipients. Section D provides
more information on the specific measures an application should
demonstrate to support these goals.
The SS4A grant program aligns with both Departmental and Biden-
Harris Administration activities and priorities. The National Roadway
Safety Strategy (NRSS, issued January 27, 2022) commits the Department
to respond to the current crisis in roadway fatalities by ``taking
substantial, comprehensive action to significantly reduce serious and
fatal injuries on the Nation's roadways,'' in pursuit of the goal of
achieving zero roadway deaths through a Safe System Approach.\9\ DOT
recognizes that zero is the only acceptable number of deaths on our
roads, and SS4A program outcomes align with the NRSS and support the FY
2022-2026 DOT Strategic Plan safety performance goals such as a medium-
term goal of a two-thirds reduction in roadway fatalities by 2040.\10\
DOT also incentivizes communities to adopt and implement Complete
Streets policies that prioritize the safety of all users in
transportation network planning, design, construction, and operations,
and encourages applicants to use a Complete Streets design model on
roadways where adjacent land use suggests that trips could be served by
varied modes.\11\ For applicants seeking to use innovative technologies
and strategies, the Department's Innovation Principles serve as a guide
to ensure innovations reduce deaths and serious injuries while
committing to the highest standards of safety across technologies.\12\
---------------------------------------------------------------------------
\9\ https://www.transportation.gov/NRSS.
\10\ https://www.transportation.gov/dot-strategic-plan.
\11\ More information on Complete Streets can be found at
https://highways.dot.gov/complete-streets.
\12\ https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles. Released January 6, 2022.
---------------------------------------------------------------------------
This NOFO aligns with and considers Departmental policy priorities
that have a nexus to roadway safety and grant funding. Consistent with
the Department's implementation of Executive Order 14008, Tackling the
Climate Crisis at Home and Abroad (86 FR 7619), the Department seeks to
fund applications that address equity and environmental justice,
particularly for communities that have experienced decades of
underinvestment and are most impacted by climate change, pollution, and
environmental hazards.\13\ Additionally, DOT seeks to fund projects
that reduce greenhouse gas emissions in the transportation sector,
including those that improve safety for low- and zero-emission modes of
travel. Applicants should also consider the incorporation of evidence-
based climate resilience measures and features; reduce the lifecycle
greenhouse gas emissions from project materials; avoid adverse
environmental impacts to air or water quality, wetlands, and endangered
species; and address the disproportionate negative environmental
impacts of transportation on disadvantaged communities.
---------------------------------------------------------------------------
\13\ See the definition of an underserved community, which
includes Census tracts identified in the OMB CEJST and DOT ETCE
tools.
---------------------------------------------------------------------------
Consistent with Executive Order 13985, Advancing Racial Equity and
Support for Underserved Communities Through the Federal Government (86
FR 7009), the Department seeks to award funds under the SS4A grant
program that will create proportional impacts to all populations in a
project area, remove transportation related disparities to all
populations in a project area, and increase equitable access to project
benefits. An important area for DOT's focus is the disproportionate,
adverse safety impacts that affect certain groups on our roadways,
particularly people walking, biking, and rolling in underserved
communities. In accordance with the Americans with Disabilities Act of
1990 (ADA), awards focused on infrastructure and demonstration
activities must ensure that newly constructed facilities in the public
right-of-way are accessible to, and usable by, individuals with
disabilities to the extent that it is not structurally impracticable to
do so. The ADA also requires that, when an existing facility is
altered, the altered facility be made accessible to and usable by
individuals with disabilities to the maximum extent feasible (28 CFR
35.151[a] and 35.151[b]). See Section E of this NOFO for climate and
equity-related selection criteria and Section F for related award
administration requirements.
The Department intends to use the SS4A program to support the
creation of good-paying jobs with the free and fair choice to join a
union and the incorporation of strong labor standards and training and
placement programs, especially registered apprenticeships, in project
planning stages, consistent with Executive Order 14025, Worker
Organizing and Empowerment (86 FR 22829), and Executive Order 14052,
Implementation of the Infrastructure Investment and Jobs Act (86 FR
64335). The Department also intends to use the SS4A program to support
wealth creation, consistent with the Department's Equity Action Plan
through the inclusion of local inclusive economic development and
entrepreneurship such as the utilization of Disadvantaged Business
Enterprises, Minority-owned Businesses, Women-owned Businesses, or 8(a)
firms.
B. Federal Award Information
1. Total Funding Available
The BIL established the SS4A program with $5,000,000,000 in
advanced appropriations in Division J, including $1,000,000,000 for FY
2023. Additionally, DOT has $177,213,000 in FY 2022 carryover funds set
aside for Planning and Demonstration Grants as well as certain eligible
safety planning and demonstrative activities that may be included under
an Implementation Grant request. Therefore, this Notice makes available
up to $1,177,213,000 for FY 2023 grants under the SS4A program. Refer
to Section D for greater detail on additional funding considerations
and Section D.5 for funding restrictions.
2. Availability of Funds
Grant funding obligation occurs when a selected applicant and DOT
enter into a written grant agreement after the applicant has satisfied
applicable administrative requirements. Unless authorized by DOT in
writing after DOT's announcement of FY 2023 SS4A grant awards, any
costs incurred prior to DOT's obligation of funds for activities
(``pre-award costs'') are ineligible for reimbursement and may not be
used as matching funds. All SS4A funds must be expended within five
years after the grant agreement is executed and DOT obligates the
funds.
3. Award Size and Anticipated Quantity
In FY 2023, DOT expects to award hundreds of Planning and
Demonstration Grants and up to one hundred Implementation Grants. The
Department reserves the right to make more, or fewer, awards. DOT
reserves the discretion to alter minimum and maximum award sizes upon
receiving the full pool of applications and assessing the needs of the
program in relation to the SS4A grant priorities in Section A.3.
Federal funding requests must be made in whole dollar amounts (no
cents).
iii. Planning and Demonstration Grants
For Planning and Demonstration Grants, award amounts will be based
on estimated costs, with an expected
[[Page 22096]]
minimum of $100,000 and an expected maximum of $10,000,000 for all
applicants. The Department expects larger award amounts for a
metropolitan planning organization (MPO), an application comprised of a
multijurisdictional group of entities that is regional in scope (e.g.,
a multijurisdictional group of counties, a council of governments and
cities within the same region), or those who are conducting activities
in a large geographic area. The Department will consider applications
with funding requests under the expected minimum award amount. DOT
reserves the right to make Planning and Demonstration Grant awards less
than the total amount requested by the applicant.
An application that engages multiple jurisdictions in the same
region is encouraged in order to ensure collaboration across multiple
jurisdictions and leverage the expertise of agencies with established
financial relationships with DOT and knowledge of Federal grant
administration requirements. For applicants developing a new Action
Plan, the application may propose the development of a single Action
Plan covering all jurisdictions, several plans for individual
jurisdictions, or a system to administer sub-awards to entities within
its jurisdiction.
Of the total amount available, DOT anticipates that it will award
at least $250 million for demonstration activities that will inform the
development of an Action Plan, as described in Section A.
iv. Implementation Grants
For Implementation Grants, DOT expects the minimum award will be
$2,500,000 and the maximum award will be $25,000,000. DOT reserves the
right to make Implementation Grant awards less than the total amount
requested by the applicant.
4. Start Dates and Period of Performance
DOT expects to obligate SS4A award funding via a signed grant
agreement between the Department and the recipient, as flexibly and
expeditiously as possible, within 12 months after awards have been
announced. Applicants who have never received Federal funding from DOT
before are encouraged to partner with eligible applicants within the
same region, such as an MPO, that have established financial
relationships with DOT and knowledge of Federal grant administration
requirements. While States are not eligible applicants and cannot be a
co-applicant (which includes State Departments of Transportation and
similar State-level entities), eligible applicants are encouraged to
separately coordinate with States and other entities experienced with
administering Federal grants, outside of the SS4A grant award process,
to ensure effective administration of a grant award. The expected
period of performance for Planning and Demonstration Grant agreements
is between 12 months and 5 years, depending on the scope and extent of
the grant activities. The period of performance for Planning and
Demonstration Grant and Implementation Grant agreements may not exceed
five years.
5. Data Collection Requirements
Under BIL, the Department shall post on a publicly available
website best practices and lessons learned for preventing roadway
fatalities and serious injuries pursuant to strategies or interventions
implemented under SS4A. Additionally, DOT shall evaluate and
incorporate, as appropriate, the effectiveness of strategies and
interventions implemented under the SS4A grant program.\14\ The
Department intends to measure safety outcomes through a combination of
grant agreement activities and data collections, DOT data collections
already underway, and program evaluations separate from the individual
grant agreements in accordance with Section F.3.iii. The grant data-
collection requirements reflect the need to build evidence of
noteworthy strategies and what works. The Department expects to use the
data and outcome information collected before and after evaluations.
See Section F for more information about post-award reporting
requirements.
---------------------------------------------------------------------------
\14\ BIL specifically cites Countermeasures That Work: A Highway
Safety Countermeasure Guide for State Highway Safety Offices, Ninth
Edition or any successor document, but DOT also is to consider
applied research focused on infrastructure and operational projects
and strategies.
---------------------------------------------------------------------------
C. Eligibility Information
1. Eligible Applicants
Eligible applicants for SS4A grants are:
(1) a metropolitan planning organization (MPO);
(2) a political subdivision of a State or territory;
(3) a federally recognized Tribal government; and
(4) a multijurisdictional group of entities described in any of the
aforementioned three types of entities.
A multijurisdictional group of entities described in (4) should
identify a lead applicant as the primary point of contact. For the
purposes of this NOFO, a political subdivision of a State under (2),
above, is defined as a unit of government under the authority of State
law. This includes cities, towns, counties, special districts, and
similar units of local government. A transit district, authority, or
public benefit corporation is eligible if it was created under State
law, including transit authorities operated by political subdivisions
of a State. States are not eligible applicants, but DOT encourages
applicants to coordinate with State entities, as appropriate. Eligible
MPOs, transit agencies, and multijurisdictional groups of entities with
a regional scope are encouraged to support subdivisions of a State such
as cities, towns, and counties with smaller populations within their
region. The Department strongly encourages applications that involve
multijurisdictional partnerships for Planning and Demonstration Grants
and for applicants who have never received Federal funding and can
apply with entities experienced in executing DOT grants.
An eligible applicant for an Implementation Grant must also meet at
least one of these conditions:
(1) have ownership and/or maintenance responsibilities over a
roadway network;
(2) have safety responsibilities that affect roadways; or
(3) have agreement from the agency that has ownership and/or
maintenance responsibilities for the roadway within the applicant's
jurisdiction.
For the purposes of this NOFO, an applicant's jurisdiction is
defined as the U.S. Census tracts where the applicant operates or
performs their safety responsibilities.
2. Cost Sharing or Matching
The Federal share of a SS4A grant may not exceed 80 percent of
total eligible activity costs. Recipients are required to contribute a
local matching share of no less than 20 percent of eligible activity
costs. Unless otherwise authorized by statute, all matching funds must
be from non-Federal sources. Matching funds may include funding from
the applicant, or other eligible non-Federal sources. In accordance
with 2 CFR 200.306, grant recipients may use in-kind or cash
contributions toward local match requirements so long as those
contributions meet the requirements under 2 CFR 200.306(b). Any in-kind
contributions used to fulfill the cost-share requirement for both
Planning and Demonstration Grants and Implementation Grants must:
[[Page 22097]]
Be in accordance with the cost principles in 2 CFR 200
subpart E;
Include documented evidence of completion within the
period of performance; and
Support the execution of the eligible activities in
Section C.4.
SS4A funds will reimburse recipients only after a grant agreement
has been executed, allowable expenses are incurred, and valid requests
for reimbursement are submitted. Grant agreements are expected to be
administered on a reimbursement basis, and at the Department's
discretion alternative funding arrangements may be established on a
case-by-case basis.
3. Grant Eligibility Requirements
If an applicant is eligible for both a Planning and Demonstration
Grant and an Implementation Grant, the applicant may only apply for a
Planning and Demonstration Grant or an Implementation Grant, not both.
An eligible applicant may only submit one application to the funding
opportunity. Implementation Grant applicants may request funds to
bundle supplemental planning and demonstration activities as described
in Section A.2.i to update an Action Plan, with funds to implement
projects and strategies. Planning and Demonstration Grant funding
recipients are not precluded from applying for Implementation Grants in
future funding rounds. SS4A award recipients from FY 2022 are eligible
to apply in FY 2023.
i. Planning and Demonstration Grant Eligibility Requirements
Eligibility requirements are contingent on whether an applicant is
requesting funds to develop a new Action Plan, conduct supplemental
planning to update an existing Action Plan, and/or carry out
demonstration activities to inform the development of or update to an
Action Plan. Any applicant that meets the eligibility requirements may
apply for a Planning and Demonstration Grant to develop an Action Plan.
Applicants applying to develop an Action Plan may also bundle
supplemental planning and demonstration activities into their funding
request. Applicants with an existing Action Plan may also apply to
update their Action Plan. The development of an Action Plan must
include all relevant road users and be at a broad, systemic geographic
level (e.g., the entire eligible applicant's jurisdiction, and cannot
be for a few road segments within a jurisdiction).
If a higher-level jurisdiction (e.g., an MPO or county would be a
higher-level jurisdiction for a city or town) has an existing plan in
place, or is in the process of completing an Action Plan, an eligible
applicant can apply for supplemental planning or demonstration
activities without its own plan as long as: (1) the higher-level
jurisdiction's Action Plan's geographic boundaries covers the eligible
applicant's jurisdiction; (2) the proposed activities are coordinated
with the high-level jurisdiction, and the application demonstrates such
coordination; and (3) the activities will inform the Action Plan of the
higher-level jurisdiction. Duplicative efforts (e.g., requesting funds
to develop an Action Plan even though a higher-level jurisdiction
already received an FY 2022 award that covers the same area, multiple
applicants requesting to carry out the same types of demonstration
activities in the same area) will be identified and assessed for merit
within the context of other jurisdictions and their planning and
demonstration activities. The Department encourages complementary but
distinctive activities, including but not limited to demonstration
activities that will help inform the development of an Action Plan in
an FY 2022 award.
ii. Implementation Grant Eligibility Requirements
To apply for an Implementation Grant, the applicant must certify
that they have an existing plan that is substantially similar to an
Action Plan. The plan or plans must be uploaded as an attachment to the
application or provided as web links to publicly available sites.
Applicants should use the Self-Certification Eligibility Worksheet to
determine eligibility.\15\ The existing plan must be focused, at least
in part, on the roadway network within the applicant's jurisdiction.
The components required for an existing plan to be substantially
similar to an Action Plan may be found in multiple plans. State-level
Action Plans (e.g., a Strategic Highway Safety Plan required in 23
U.S.C. 148, State Highway Safety Plans required in 23 U.S.C. 402,
Commercial Vehicle Safety Plans required in 49 U.S.C. 31102, etc.) as
well as Public Transportation Agency Safety Plans in 49 U.S.C. 5329
cannot be used as an established plan to apply for an Implementation
Grant. If a higher-level jurisdiction (e.g., an MPO, county, etc.) has
an existing plan in place that meets the plan eligibility requirements,
an eligible applicant covered within the Action Plan's geographic
boundaries could apply without its own plan as long as the other
eligibility requirements are met.
---------------------------------------------------------------------------
\15\ https://www.transportation.gov/grants/ss4a/self-certification-worksheet.
---------------------------------------------------------------------------
Further, Implementation Grant applicants who meet any of the
following conditions must update their Action Plan during the execution
of a grant agreement to align with all the Comprehensive Safety Action
Plan components in Table 1 as a condition to receiving SS4A funds:
Self-Certification Eligibility Worksheet areas that
include a ``no'' response;
Safety focus in the qualifying Action Plan does not
include all road users, including pedestrians, bicyclists, and motor
vehicle safety; or
Action Plans last updated more than three years ago (to
apply in the first place, applicants must have a plan that was
finalized and/or last updated between 2018 and June 2023).
Implementation Grant applicants are encouraged to request
supplemental planning funding in their application to complete missing
components of an existing plan but may choose to complete such
activities without Federal funding.
4. Eligible Activities and Costs
i. Eligible Activities
Broadly, eligible activity costs must comply with the cost
principles set forth in 2 CFR, Subpart E (i.e., 2 CFR 200.403 and
200.405). DOT reserves the right to make cost eligibility
determinations on a case-by-case basis. Eligible activities for grant
funding include the following three elements:
A. Developing a comprehensive safety action plan or Action Plan
(i.e., the activities in Table 1, as well as the supplemental planning
and demonstration activities described in Section A.2);
B. Conducting planning, design, and development activities for
projects and strategies identified in an Action Plan; and
C. Carrying out projects and strategies identified in an Action
Plan.
For Implementation Grants, activities must include element (C)
``carrying out projects and strategies identified in an Action Plan,''
and may include element (B) ``conducting planning, design, and
development activities for projects and strategies identified in an
Action Plan'' and/or element (A) ``supplemental planning or
demonstration activities.'' Projects and strategies identified in
element (C) must be either infrastructure, behavioral, or operational
activities identified in the Action Plan, and must be directly related
to addressing the safety problem(s) identified in the application and
Action
[[Page 22098]]
Plan. Applicants may ``bundle'' different projects, strategies,
supplemental planning, and/or demonstration activities into one
Implementation Grant application, even if they address different safety
problems or are located in different areas. Examples of eligible
Implementation Grant activities are listed on the SS4A website located
at https://www.transportation.gov/grants/SS4A. The following activities
are not eligible for element (C) ``projects and strategies'' nor
demonstration activity funding:
Projects and strategies whose primary purpose is not
roadway safety.
Projects and strategies exclusively focused on non-roadway
modes of transportation, including air, rail, marine, and pipeline.
Roadway intersections with other modes of transportation (e.g., at-
grade highway rail crossings, etc.) are eligible activities.
Capital projects to construct new roadways used for motor
vehicles. New roadway facilities exclusively for non-motorists (e.g., a
shared use path) is an eligible activity if the primary purpose is
safety related.
Infrastructure projects primarily intended to expand
capacity to improve Levels of Service for motorists on an existing
roadway, such as the creation of additional lanes.
Maintenance activities for an existing roadway primarily
to maintain a state of good repair. However, roadway modifications on
an existing roadway in support of specific safety-related projects
identified in an Action Plan are eligible activities.
Development or implementation of a public transportation
agency safety plan (PTASP) required by 49 U.S.C. 5329. However, a PTASP
that identifies and addresses risks to pedestrians, bicyclists,
personal conveyance and micromobility users, transit riders, and others
may inform Action Plan development.
Projects, strategies, and demonstration activities must have
equity--the consistent, fair, just, and impartial treatment of all
people--at their foundation. This includes traffic enforcement
strategies. As part of the Safe System Approach adopted in the USDOT's
National Roadway Safety Strategy, any activities related to compliance
or enforcement efforts to make our roads safer should affirmatively
improve equity outcomes as part of a comprehensive approach to achieve
zero roadway fatalities and serious injuries. The SS4A program can be
used to support safety projects and strategies that address serious
safety violations of drivers (e.g., speeding, alcohol and drug-impaired
driving, etc.), so long as the proposed strategies are data-driven and
demonstrate a process in alignment with goals around community policing
and in accordance with Federal civil rights laws and regulations.\16\
Funds may not be used, either directly or indirectly, to support or
oppose union organizing.
---------------------------------------------------------------------------
\16\ For one such example, see https://cops.usdoj.gov/RIC/Publications/cops-p157-pub.pdf.
---------------------------------------------------------------------------
ii. Project and Strategy Location
For Implementation Grants, applications must identify the problems
to be addressed, the relevant geographic locations (e.g., corridors,
intersections, etc.), and the projects and strategies they plan to
implement based on their Action Plan or established plan. This should
include specific intervention types, address common safety risk
characteristics, and be located on the Action Plan's High-Injury
Network to the extent practicable. To provide flexibility in the
implementation of projects and strategies that involve systemic safety
strategies or bundling of similar countermeasures, an applicant may
wait to finalize site locations as part of executing the grant
agreement, if necessary, upon approval of the Department, and as long
as the identified site locations are primarily on the High-Injury
Network and designs remain consistent with the intent of the award.
A. Application and Submission Information
1. Address To Request Application Package
All grant application materials can be accessed at grants.gov under
opportunity number DOT-SS4A-FY23-01. Applicants must submit their
applications via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for Implementation Grant
applicants, and https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration
Grants under the Notice of Funding Opportunity Number cited herein.
Potential applicants may also request paper copies of materials at:
Telephone: 202-366-4114
Mail: U.S. Department of Transportation, 1200 New Jersey Avenue SE,
W84-322, Washington, DC 20590.
2. Content and Form of Application Submission
The Planning and Demonstration Grant, and the Implementation Grant,
respectively, have different application submission and supporting
document requirements.
i. Planning and Demonstration Grant Application Submissions
The application must include the following: Standard Forms (SF);
Key Information Questions; Project Narrative and Summary Budget
Narrative. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup. More
detailed information about each application material is provided below.
The necessary file formats for each application component will be
displayed on the Valid Eval intake site.
Standard forms: All applicants must submit the following
Standard Forms: Application for Federal Assistance (SF-424), Budget
Information for Non-Construction Programs (SF-424A), Assurances for
Non-Construction Programs (SF-424B), and Disclosure of Lobbying
Activities (SF-LLL).
Key Information Questions: Below is a preview list of the
questions that are asked on USDOT's automated proposal website at
https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup.
After registering in the system, the applicant will be prompted to
answer these questions on the website.
Table 2--Example Planning and Demonstration Application Key Information
Table
------------------------------------------------------------------------
Title Instructions
------------------------------------------------------------------------
Lead Applicant Name.................... This should be consistent with
Q. 8.a. of the SF-424.
Lead Applicant Unique Entity Identifier See Section D.3 below for more
(UEI). information about obtaining a
UEI from SAM.gov.
Eligible Entity Type................... See Section C.1.
[[Page 22099]]
Do you have additional applicants as List of additional applicants.
part of a multijurisdictional group of
eligible entities?
Total Applicant Jurisdiction Population 2020 U.S. Census American
Community Survey.
Total Applicant Jurisdiction Applicant List of all Census tracts
Census Tract(s). covered by the jurisdiction.
Census Tract(s) of any pilot or Census tracts where pilot or
demonstration projects (if applicable). demonstration projects would
take place.
Total Count Motor Vehicle-Involved From the Fatality Analysis
Roadway Fatalities that includes the Reporting System (FARS) for
last five years of data made available the applicant jurisdiction.
in the Fatality Analysis Reporting Use 2016-2020 data; or if
System (FARS) during the NOFO period. available, 2017-2021 data.
NOTE: The 2021 FARS data is
expected to be released early
in the NOFO period.
Total Average Annual Fatality Rate (per The fatality rate calculated
100,000 population. using the 5-year annual
average from the total count
of fatalities based on FARS
data, divided by the
population of the applicant's
jurisdiction based on 2020
U.S. Census ACS population
data.
Total Percent of Population in The population in underserved
Underserved Communities Census communities should be a
Tract(s). percentage obtained by
dividing the population living
in Census tracts with an
Underserved Community
designation divided by the
total population living in the
jurisdiction.
Project Title.......................... A concise, descriptive title
for the project. This should
be the same title used in the
SF-424 form and the
application narrative.
Application Type (select all that Develop a new Action Plan;
apply). Conduct Supplemental Planning
to update an Action Plan;
Demonstration Activities to
inform development of an
Action Plan.
Description of Supplemental Planning See Section A.2.i.
and Demonstration Activities (if
relevant).
Total Federal Funding Request.......... Must be a whole number (no
cents).
Total Local share/Match................ Must be equal to, or greater
than, 20% of total project
cost.
Total Project Cost..................... Sum of Total Federal Funding
Request and Total Local share/
Match.
Regional Coordination.................. Questions on your application
in relation to overlapping
jurisdictions that received an
award in FY 2022 or are
applying for a grant in FY
2023.
------------------------------------------------------------------------
Narrative: In narrative form, the applicant must respond
to the Planning and Demonstration Grant selection criteria described in
Section E.1.i to affirm its alignment with SS4A safety considerations
and address the criteria. The narrative must be no longer than 2 pages.
For applicants requesting funding for demonstration activities to
inform an Action Plan: you must provide a brief schedule showing when
the activities will be in place (e.g., hardware installed, when the
pilot would begin, etc.), and the start/end dates of the work. If
anticipated to be a schedule constraint, applicants should include in
the narrative any potential timeline implications of meetings
administration requirements in Section F such as domestic preference
and any required waivers, the National Environmental Policy Act
requirements, as well as any applicable permitting and approval
timeframes.
Self-Certification Eligibility Worksheet: If only applying
for supplement planning and/or demonstration activities that will
inform the update of an existing plan, applications must either
demonstrate their existing plan is eligible by attaching the filled out
Self-Certification Eligibility Worksheet, or be in the process of
developing a comprehensive safety action plan. If applying to develop a
new Action Plan, applicants do not need to include the worksheet even
if supplemental planning and/or demonstration activities are included.
Map: The applicant must submit a map in a PDF format that
shows the location of the jurisdiction and highlights the roadway
network under the applicant's jurisdiction.
Budget: Applicants are required to provide a brief budget
summary and a high-level overview of estimated activity costs, as
organized by all major cost elements. Funding sources should be grouped
into two categories: Federal Funding share, and non-Federal share
funds. The costs or value of in-kind match should also be provided.
This budget shall not include any previously incurred expenses, or
costs to be incurred before the time of award. DOT requires applicants
use SF-424A to provide this information. Additionally, applicants must
summarize the amount of funding going towards the three eligible
activities for a Planning and Demonstration Grant (developing a new
Action Plan, conducting supplemental planning to update an existing
plan, and carrying out demonstration activities to inform the
development or update of an Action Plan).
ii. Implementation Grant Application Submissions
The application must include the following: Standard Forms (SF);
Key Information Questions; Project Narrative and Summary Budget
Narrative. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup. More
detailed information about each application material is provided below.
The necessary file formats for each application component will be
displayed on the Valid Eval intake site.
Standard forms: All applicants must submit the following
Standard Forms: Application for Federal Assistance (SF-424), Budget
Information for Construction Programs (SF-424C), Assurances for
Construction Programs (SF-424D), and Disclosure of Lobbying Activities
(SF-LLL).
Key Information Questions: This is a preview list of the
questions that are asked on USDOT's automated proposal website at
https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup.
After registering in the system, the applicant will be prompted to
answer these questions on the website.
[[Page 22100]]
Table 3--Example Implementation Grant Application Key Information Table
------------------------------------------------------------------------
Title Instructions
------------------------------------------------------------------------
Lead Applicant Name.................... This should be consistent with
Q. 8.a. of the SF-424.
Lead Applicant Unique Entity Identifier See Section D.3 below for more
(UEI). information about obtaining a
UEI from SAM.gov.\17\
Eligible Entity Type................... See Section C.1.
Do you have additional applicants as List of additional applicants.
part of a multijurisdictional group of
eligible entities?.
Total Applicant Jurisdiction Population 2020 U.S. Census American
Community Survey.
Total Applicant Jurisdiction Applicant List of all Census tracts
Census Tract(s). covered by the jurisdiction.
Total Applicant Jurisdiction Count of From the Fatality Analysis
Motor Vehicle-Involved Roadway Reporting System (FARS) for
Fatalities that includes the last five the applicant jurisdiction.
years of data made available in FARS Use 2016-2020 data; or if
during the NOFO period. available, 2017-2021 data.
Note: The 2021 FARS data is
expected to be released early
in the NOFO period.
Total Jurisdiction Average Annual The fatality rate calculated
Fatality Rate (per 100,000 population). using the 5-year annual
average from the total count
of fatalities based on FARS
data, divided by the
population of the applicant's
jurisdiction based on 2020
U.S. Census ACS population
data.
Census Tract(s) of the project(s)...... Census tract(s) where
project(s) would take place.
Specific project location(s)........... Names of corridors or
intersections, latitude/
longitude coordinates, or
other description of project
limits.
Percent of Population in Underserved The population in underserved
Communities in the project area Census communities should be a
Tract(s). percentage obtained by
dividing the population living
in Census tracts with an
Underserved Community
designation divided by the
total population living in the
jurisdiction.
Project Area Fatalities 2017-2021...... Count of fatalities in the
project area(s). May use
source other than FARS.
Project Area Serious Injuries 2017-2021 Count of serious injuries in
OR. the project area(s).
Project Area Injuries Severity Unknown Applicants without reliable
2017-2021. serious injury data may use
suspected serious injury
figures. Please cite source.
Project Title.......................... A concise, descriptive title
for the project. This should
be the same title used in the
SF-424 form and the
application narrative.
Project Goals.......................... One sentence summary of the
safety problem(s) this project
will address.
Applicant roadway safety responsibility Ownership and/or
(select all that apply):. maintenance responsibilities
over a roadway network;
Safety
responsibilities that affect
roadways;
Have an agreement from
the agency that has ownership
and/or maintenance
responsibilities for the
roadway within the applicant's
jurisdiction.
Primary project purpose (select one)... Infrastructure
Projects and Strategies.
Behavioral Project and
Strategies.
Operational or
Technology Projects and
Strategies.
Roadway users that this project will Pedestrians.
significantly benefit (check all that Bicyclists.
apply). Micromobility Users
(e.g., scooters, etc.).
Transit Users.
Commercial Motor
Vehicles.
Motorists.
Emergency Medical
Services.
Other (please
specify).
Does this project include major Major construction
construction, minor construction, or projects.
both? Minor construction
projects.
Neither major nor
minor constructions projects.
Does your project include Demonstration See Section A.2.i.
Activities?.
Would you consider accepting funding Yes, no, n/a.
for only demonstration activities and/
or supplemental planning?.
Total Federal Funding Request.......... Must be a whole number (no
cents).
Total Local share/Match................ Must be equal to, or greater
than, 20% of total project
cost.
Total Project cost..................... Sum of Total Federal Funding
Request and Total Local share/
Match.
Total Federal Funds Allocated to Funds to be spent in Census
Underserved Communities. tracts identified as
underserved through the DOT
Equitable Transportation
Community Explorer tool.
Supplemental Planning Activities (A) ...............................
Federal Funding Request.
Supplemental Planning Activities (A) ...............................
Total Project Costs.
Planning, Design, and Development ...............................
Activities for Projects/Strategies (B)
Federal Funding Request.
Planning, Design, and Development ...............................
Activities for Projects/Strategies (B)
Total Project Costs.
Carrying Out Projects and Strategies ...............................
(C) Federal Funding Request.
Carrying Out Projects and Strategies ...............................
(C) Total Project Costs.
Existing Comprehensive Safety Action Link to or attachment.
Plan (or equivalent).
------------------------------------------------------------------------
\17\ https://sam.gov/content/home.
[[Page 22101]]
(a) Narrative
The Department recommends that the narrative follows the outline
below to address the program requirements and assist evaluators in
locating relevant information. The narrative may not exceed 12 pages in
length, excluding cover pages and the table of contents. The Self-
Certification Eligibility Worksheet and Budget sections do not count
towards the 12-page limit. Appendices may include documents supporting
assertions or conclusions made in the 12-page narrative and also do not
count towards the 12-page limit. If possible, website links to
supporting documentation should be provided rather than copies of these
supporting materials. If supporting documents are submitted, applicants
should clearly identify within the narrative the relevance of each
supporting document. Letters of support will only be considered if they
are submitted with the application as one consolidated set of support
letters in one supporting attachment.
I. Overview See D.2.ii.a.I
II. Location See D.2.ii.a.II
III. Response to Selection Criteria See D.2.ii.a.III and Section E.1.ii
IV. Project Readiness See D.2.ii.a.IV
I. Overview
This section should provide an introduction, describe the safety
context, jurisdiction, and any high-level background information that
would be useful to understand the rest of the application.
II. Location
This section of the application should describe the jurisdiction's
location, the jurisdiction's High-Injury Network or equivalent
geospatial identification (geographic or locational data using maps) of
higher risk locations, and potential locations and corridors of the
projects and strategies. Note that the applicant is not required to
provide exact locations for each project or strategy; rather, the
application should identify which geographic locations are under
consideration for projects and strategies to be implemented and what
analysis will be used in a final determination.
III. Response to Selection Criteria
This section should respond to the criteria for evaluation and
selection in Section E.1.ii of this Notice and include a compelling
narrative to highlight how the application aligns with criteria #1
Safety Impact; #2 Equity, Engagement, and Collaboration; #3 Effective
Practices and Strategies; #4 Other DOT Strategic Goals; #5 Additional
Safety Context (only if applying for supplemental planning and/or
demonstration activities).
Note, criterion #1 Safety Impact assesses ``implementation cost''
information, which will be described in SF-424C, Budget of the
narrative, and the Key Information Table. The Federal funding requested
per person(s) killed or seriously injured from 2017-2021 in the Key
Information Table should be itemized by separating different locations
and/or different sets of proposed projects and strategies that address
a similar safety problem and match the itemization in the Budget.
The applicant must respond to each of the four criteria 1-4 and
respond to criterion #5 if applying for supplemental planning and/or
demonstration activities. Applicants are not required to follow a
specific narrative format, but the structure should clearly identify
the narrative associated with each selection criterion. To the extent
practical, DOT encourages applicants to incorporate existing content
from their Action Plan/established plan(s).
IV. Project Readiness
The applicant must provide information to demonstrate the
applicant's ability to substantially execute and complete the full
scope of work in the application proposal within five years of when the
grant is executed, with a particular focus on design and construction,
as well as environmental, permitting, and approval processes.
Applicants should indicate if they will be seeking permission to use
roadway design standards that are different from those generally
applied by the State in which the project is located. As part of this
portion of the narrative, the applicant must include a detailed
activity schedule that identifies all major project and strategy
milestones. Examples of such milestones include State and local
planning approvals; start and completion of National Environmental
Policy Act (NEPA) and other Federal environmental reviews and approvals
including permitting; design completion; right of way acquisition;
approval of plans, specifications, and estimates; procurement; State
and local approvals; public involvement; partnership and implementation
agreements; and construction. Environmental review documentation should
describe in detail known project impacts, and possible mitigation for
those impacts. When a project results in impacts, an award recipient
must take steps to engage the public. At a minimum, the project
readiness narrative and detailed project activity schedule must include
the applicability and disposition of: NEPA and Federal environment
reviews and approvals; utility relocation; and right-of-way
acquisition. For additional guidance and resources, visit https://www.transportation.gov/grants/SS4A.
(b) Self-Certification Eligibility Worksheet
Attach a completed Self-Certification Eligibility Worksheet.
(c) Budget
This section of the application should describe the budget for the
SS4A proposal. Applicants are required to provide a brief budget
summary and provide a high-level overview of estimated activity costs,
as organized by all major cost elements. The budget shall provide
itemized estimates of the costs by separating different locations and/
or different sets of proposed projects and strategies that address a
similar safety problem, and then providing additional details about
those from the itemized list at the component level. This information
should include capital costs for infrastructure safety improvements and
costs associated with behavioral and operational safety projects and
strategies. The section should also distinguish between the three
eligible activity areas: (A) supplemental planning and demonstration
activities in support of an existing Action Plan; (B) conducting
planning, design, and development activities for projects and
strategies identified in an Action Plan; and (C) carrying out projects
and strategies identified in an Action Plan.
Funding sources should be grouped into two categories: SS4A funding
Federal share, and non-Federal share funds. Estimated costs or value of
in-kind matches should also be provided. The budget should show how
each source of funds will be spent. This budget should not include any
previously incurred expenses, or costs to be incurred before the time
of award and obligation because these expenses are not eligible for
reimbursement or cost-sharing. DOT requires applicants use form SF-
424C, and the applicant must also provide the information in Table 4
below.
[[Page 22102]]
Table 4--Supplemental Estimated Budget
----------------------------------------------------------------------------------------------------------------
Federal Federal funds
Activities funding Total project to underserved
request cost communities
----------------------------------------------------------------------------------------------------------------
Itemized Estimated Costs of the (A) supplemental action plan activities
----------------------------------------------------------------------------------------------------------------
Item #1......................................................... $0.00 $0.00
Item #2......................................................... 0.00 0.00
-----------------------------------------------
Subtotal Budget for (A) supplemental action plan 0.00 0.00 $0.00
activities.............................................
----------------------------------------------------------------------------------------------------------------
Itemized Estimated Costs of the (B) planning, design, and development activities
----------------------------------------------------------------------------------------------------------------
Location or Project #1.......................................... 0.00 0.00 0.00
Individual Component for #1................................. 0.00 0.00
Individual Component for #1................................. 0.00 0.00
Location or Project #2.......................................... 0.00 0.00 0.00
Individual Component for #2................................. 0.00 0.00
Individual Component for #2................................. 0.00 0.00
-----------------------------------------------
Subtotal Budget for (B) conducting planning, design, and 0.00 0.00 0.00
development activities.................................
----------------------------------------------------------------------------------------------------------------
Itemized Estimated Costs of the (C) proposed projects and strategies
----------------------------------------------------------------------------------------------------------------
Location or Project #1.......................................... 0.00 0.00 0.00
Individual Component for #1................................. 0.00 0.00
Individual Component for #1................................. 0.00 0.00
Location or Project #2.......................................... 0.00 0.00 0.00
Individual Component for #2................................. 0.00 0.00
Individual Component for #2................................. 0.00 0.00
-----------------------------------------------
Subtotal Budget for (C) carrying out projects and 0.00 0.00 0.00
strategies.............................................
----------------------------------------------------------------------------------------------------------------
3. Unique Entity Identifier and System for Award Management (SAM)
Each applicant is required to: (i) be registered in SAM (https://sam.gov/content/home) before submitting its application; (ii) provide a
valid unique entity identifier in its application; and (iii) continue
to maintain an active SAM registration with current information at all
times during which it has an active Federal award or an application or
plan under consideration by a Federal awarding agency. DOT may not make
a Federal award to an applicant until the applicant has complied with
all applicable unique entity identifier and SAM requirements and, if an
applicant has not fully complied with the requirements by the time DOT
is ready to make an award, DOT may determine that the applicant is not
qualified to receive an award and use that determination as a basis for
making an award to another applicant.
4. Submission Dates and Times
Applications must be submitted by 5:00 p.m. EDT on Monday, July 10,
2023. Late applications will not be accepted.
5. Funding Restrictions
Per BIL requirements, not more than 15 percent of the $1 billion in
FY 2023 funds made available to carry out the SS4A program may be
awarded to eligible applicants in a single State.\18\ In addition, 40
percent of the total funds made available in FY 2023 and all $177
million of the funds carried over from FY 2022 must be awarded for
developing an Action Plan, including supplemental planning to update an
existing Action Plan, or demonstration activities to inform the
development of or update an Action Plan (total $577 million). Due in
part to these restrictions, in FY 2022, nearly all the eligible
applicants requesting funds for Action Plan development were awarded,
while less than 20 percent of Implementation Grant applications were
awarded.
---------------------------------------------------------------------------
\18\ Funding for Tribal lands will be treated as their own State
and will not count toward a State's 15% limit.
---------------------------------------------------------------------------
6. Other Submission Requirements
The format of the Section D.2 application submission should be in
PDF format, with font size no less than 12-point Times New Roman,
margins a minimum of 1 inch on all sides, and include page numbers. The
necessary file formats for each application component will be displayed
on the Valid Eval intake site.
The complete application must be submitted via Valid Eval, an
online submission proposal system used by USDOT at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for
Implementation Grant applicants, and https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration
Grant applicants.
B. Application Review Information
1. Selection Criteria
This section specifies the criteria DOT will use to evaluate and
select applications for SS4A grant awards. The Department will review
merit criteria for all complete applications from eligible applicants.
Planning and Demonstration Grants, and Implementation Grants,
respectively, each have their own set of application review and
selection criteria.
i. Planning and Demonstration Grant Selection Criteria
For Planning and Demonstration Grants, the Department will use
three evaluation criteria. The Department will evaluate quantitative
data in two selection criteria areas: #1 Safety Impact; and #2 Equity.
The Department will also assess the narrative for #3 Additional Safety
Context. Costs will also be considered.
Selection Criterion #1: Safety Impact
The activities are in jurisdictions that will likely support a
significant
[[Page 22103]]
reduction or elimination of roadway fatalities and serious injuries
involving various road users, including pedestrians, bicyclists, public
transportation users, personal conveyance and micromobility users,
motorists, and commercial operators, within the timeframe proposed by
the applicant. The Department will assess safety impact using two
quantitative ratings:
The count of roadway fatalities from the most recent set
of 5-year data \19\ based on DOT's FARS data, an alternative traffic
crash dataset, or a comparable data set with roadway fatality
information.\20\
---------------------------------------------------------------------------
\19\ At the time of NOFO publication this would be 2016-2020
data; however, the 2021 data is expected to be released early in the
NOFO period.
\20\ https://cdan.dot.gov/query.
---------------------------------------------------------------------------
The fatality rate, which is calculated using 5-year annual
average from the total count of fatalities (based on FARS data or an
alternative traffic crash dataset) divided by the 2020 population of
the applicant's jurisdiction based on 2020 ACS population data from the
U.S. Census. The rate should be normalized per 100,000 persons.
Selection Criterion #2: Equity
The activities will ensure equitable investment in the safety needs
of underserved communities in preventing roadway fatalities and
injuries, including rural communities. The Department will assess the
equity criterion using one quantitative rating:
The percentage of the population in the applicant's
jurisdiction that resides in an Underserved Community Census tract.\21\
Population of a Census tract, either a tract that is Underserved
Community or not, must be based on 2020 ACS population data from the
U.S. Census.
---------------------------------------------------------------------------
\21\ https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/Applicant-Explorer/.
---------------------------------------------------------------------------
Selection Criterion #3: Additional Safety Context
The applicant must address these considerations in narrative form.
The Department will assess whether the applicant has: described the
scope of work to be performed; the roadway safety issues that
necessitate further Action Plan development, supplemental planning,
and/or demonstration activities, as applicable; and how the funded
activities will inform an Action Plan and support the identification of
projects and strategies that will:
Lead to a significant reduction or elimination of roadway
fatalities and serious injuries involving various road users;
Employ low-cost, high-impact strategies that can improve
safety over a wider geographical area;
Involve engaging with a variety of public and private
stakeholders;
Adopt innovative technologies to promote safety and
equity; and
Be evidence-based or build evidence around what works.
Applicants applying to carry out demonstration activities to inform
the development of an Action Plan will also be assessed as to whether
their approach to measuring the potential benefits of the demonstration
activities through data collection and evaluation are described, and
the extent to which the activities will be set up (e.g., quick builds
on the roadway, pilot project established) within 18 months of
executing a grant agreement.
Additional Consideration: Budget Costs
The Department will assess the extent to which the budget and costs
to perform the activities required to execute the Planning and
Demonstration Grant are reasonable, necessary, and allocable based on 2
CFR 200.404 and 405, and the extent to which the application delineates
the breakdown of Federal funds requested between developing an Action
Plan, conducting supplemental planning to update an existing plan, and/
or carrying out demonstration activities to inform the development or
update of an Action Plan.
ii. Implementation Grant Selection Criteria
Implementation Grants have five merit criteria: #1 Safety Impact;
#2 Equity, Engagement, and Collaboration; #3 Effective Practices and
Strategies; #4 Other DOT Strategic Goals; and #5 Supplemental Planning
and Demonstration Activities. DOT will only evaluate selection
criterion #5 Supplemental Planning and Demonstration Activities for
Implementation Grant applicants requesting funds to conduct
supplemental planning and/or carry out demonstration activities. Two
considerations will also be used in the selection process: Project
Readiness, and Additional Considerations. The response to each
criterion, to the extent practicable, should be aligned with the
applicant's Action Plan. Below describes the specific content the
applicant should respond to for each of these criteria.
Selection Criterion #1: Safety Impact
DOT will assess whether the proposal is likely to: significantly
reduce or eliminate roadway fatalities and serious injuries; employ
low-cost, high-impact strategies over a wide geographic area; and
include evidence-based projects and strategies. Safety impact is the
most important criterion and will be weighed more heavily in the review
and selection process. The Department will assess the applicant's
description of the safety problem, safety impact assessment, and costs
as part of the Safety Impact criterion:
Description of the safety problem. DOT will assess the
extent to which:
[cir] The safety problem to be addressed is described, including
historical trends, fatal and serious injury crash locations,
contributing factors, and crash types by category of road user.
[cir] Crashes and/or crash risk are displayed in a High-Injury
Network, hot spot analysis, or similar geospatial risk visualization.
[cir] Project and strategy locations are described in relation to
the High-Injury Network and geospatial information.
[cir] Safety risk is summarized from risk models, hazard analysis,
the identification of high-risk roadway features, road safety audits/
assessments, near miss data, and/or other proactive safety analyses.
Safety impact assessment. DOT will assess the extent to
which projects and strategies:
[cir] Align with and comprehensively address the identified safety
problems.
[cir] Are primarily on a High-Injury Network or address high-risk
roadway features correlated with severe crash types.
[cir] Significantly reduce or eliminate roadway fatalities and
serious injuries involving various road users.
[cir] Use low-cost, high-impact strategies and projects over a wide
geographical area.
[cir] Use evidence-based, Proven Safety Countermeasures or other
effective safety countermeasures to significantly improve existing
roadways.\22\
---------------------------------------------------------------------------
\22\ https://safety.fhwa.dot.gov/provencountermeasures/.
---------------------------------------------------------------------------
[cir] Use evidence-based Countermeasures that Work with four or
five stars to address persistent behavioral safety issues and consider
equity in their implementation.\23\
---------------------------------------------------------------------------
\23\ https://www.nhtsa.gov/sites/nhtsa.gov/files/2021-09/Countermeasures-10th_080621_v5_tag.pdf.
---------------------------------------------------------------------------
[cir] Measure safety impact through models, studies, reports,
proven noteworthy practices, Crash Modification Factors (CMF), and
other information on project and strategy effectiveness.
[[Page 22104]]
[cir] Will have safety benefits that persist over time.\24\
---------------------------------------------------------------------------
\24\ https://highways.dot.gov/safety/data-analysis-tools.
---------------------------------------------------------------------------
Implementation Costs. DOT will assess the extent to which
the projects and strategies:
[cir] Are itemized and summarized in a logical manner, including
capital costs for infrastructure, behavioral, and operational safety
improvements.
[cir] Fund locations with past traffic fatalities and serious
injuries and is expected to prevent fatalities and serious injuries per
funds requested. Injuries will be weighted and combined with fatalities
to assess this figure in relation to the Federal funding request.\25\
---------------------------------------------------------------------------
\25\ The weighting will use the Benefit Cost Analysis Guidance
2023 Update: https://www.transportation.gov/sites/dot.gov/files/2023-01/Benefit%20Cost%20Analysis%20Guidance%202023%20Update.pdf.
One fatality equals 20.9 serious injuries, or 55.2 injured severity
unknowns.
---------------------------------------------------------------------------
Selection Criterion #2: Equity, Engagement, and Collaboration
This criterion supports the legislative requirements to assess the
extent to which the application ensures the equitable investment in the
safety needs of underserved communities and demonstrates engagement
with a variety of public and private stakeholders. The response to this
criterion should focus on equity, engagement, and collaboration in
relation to the implementation of the projects and strategies. DOT will
assess the extent to which projects and strategies:
Ensure equitable investment in underserved communities in
preventing roadway fatalities and serious injuries, including rural
communities.
Are designed to decrease existing disparities identified
through equity analysis.
Consider key population groups (e.g., people in
underserved communities, children, seniors, Black, Latino, Indigenous
and Native Americans, Asian Americans and Pacific Islanders, other
persons of color, persons with disabilities, persons who live in rural
areas, and persons otherwise adversely affected by persistent poverty
or inequality) to ensure the impact to these groups is understood and
addressed.
Include equity analysis, both quantitative and
qualitative, and stakeholder engagement in underserved communities as
part of the development and implementation process.\26\
---------------------------------------------------------------------------
\26\ See Table 1 under ``Equity Considerations'' for what equity
analysis entails.
---------------------------------------------------------------------------
Include meaningful engagement with the public, including
public involvement for underserved communities, community benefit
agreements, and relevant stakeholders such as private sector and
community groups, as part of implementation.
Leverage partnerships within their jurisdiction, with
other government entities, non-governmental organizations, the private
sector, academic institutions, and/or other relevant stakeholders to
achieve safety benefits while preventing unintended consequences for
persons living in the jurisdiction.
Inform representatives from areas impacted on
implementation progress and meaningfully engage over time to evaluate
the impact of projects and strategies on persons living in the
jurisdiction.
Align with the equity analysis performed as part of the
development of an existing Action Plan.
Selection Criterion #3: Effective Practices and Strategies
DOT will assess the extent to which the applicant demonstrates how
it applies policies, guidelines, standards, and practices to promote
systemic safety improvements. DOT will assess the extent to which the
projects and strategies reflect effective safety practices that:
Demonstrate how updated policies, guidelines, and
standards improve safety decision making.
Are supported by an existing Complete Streets Policy that
prioritizes safety in standard agency procedures and guidance, or other
roadway safety policies that have eliminated barriers to prioritizing
the safety of all users.
Incorporate practices that promote efficiency within the
planning and road management lifecycle (e.g., dig once, etc.).
Consider the impacts of land use and the built environment
to promote transportation efficient design.
Leverage a Safe System Approach that uses multiple
activities and interventions to address safety problems.
Encompass at least three of the five Safe System Approach
elements in the National Roadway Safety Strategy (Safer People, Safer
Roads, Safer Speeds, Safer Vehicles, and Post-Crash Care) to address
the identified safety problem.
Include a mix of infrastructure, behavioral, operational,
and/or post-crash safety activities.
Involve widely implemented improvements based on high-risk
roadway features correlated with particularly severe crash types,
including design features that reinforce appropriate motor vehicle
speeds.
Incorporate technologies that promote safety and/or
equity.
Improve safety for all road users along a roadway by
providing accessible facilities (e.g., Public-Rights-of-Way
Accessibility Guidelines [PROWAG]) and correcting barriers to
individuals with disabilities.\27\
---------------------------------------------------------------------------
\27\ https://www.access-board.gov/prowag/.
---------------------------------------------------------------------------
Improve multimodal networks for people outside of a motor
vehicle, including people who are walking, biking, rolling, public
transit users, and have disabilities.
Selection Criterion #4: Other DOT Strategic Goals
This program's focus on equity and safety is also advanced by
considerations of how applications address climate and sustainability
considerations, as well as whether applications support economic
competitiveness. DOT will assess the extent to which the projects and
strategies use safety strategies to support the Departmental strategic
goals of climate change, sustainability, workforce, and economic
competitiveness, and the extent to which the proposal is expected to:
Climate and Sustainability
Reduce motor vehicle-related pollution such as air
pollution and greenhouse gas emissions.
Increase safety of lower-carbon travel modes such as
public transit, micromobility and active transportation (e.g., people
biking and walking).
Improve multimodal transportation systems that incorporate
affordable transportation options such as public transit,
micromobility, and active transportation such as walking and biking to
transit stops and stations.
Reduce the lifecycle greenhouse gas emissions from the
project materials such as the use of lower-carbon pavement and
construction materials.
Support fiscally responsible land use and transportation
efficient design that reduces greenhouse gas emissions through land use
and zoning reform, rural main street revitalization, growth management,
and equitable transit-oriented development.
Includes evidence-based climate resilience measures or
features such as enhanced storm water management practices, upgrading
infrastructure using the Federal Flood Risk Management Standard, and
nature-based solutions that improve the built and/or natural
environment.
[[Page 22105]]
Economic Competitiveness
Lead to increased economic or business activity due to
enhanced safety features for all road users.
Increase mobility and expand connectivity for all road
users to critical community services such as education and healthcare,
jobs, and business opportunities, especially for people in underserved
communities.
Address the unique challenges rural and Tribal communities
face related to mobility and economic development, including isolation
and transportation cost burden.
Workforce
For skilled construction labor needed on the project,
incorporate strong labor standards (e.g., wages and benefits at or
above prevailing; use of project labor agreements, registered
apprenticeship programs).
For non-construction work on the project, commit to
supporting training opportunities as part of the project, including
pre-apprenticeship or apprenticeship readiness programs and youth
service, with a description of how training and job opportunities on
the project will lead into registered apprenticeship or good-paying
jobs.
Track and publish aggregate workforce data, including
information on demonstrating that employment opportunities are
available to historically underserved workers in the community.
Include Local inclusive economic development and
entrepreneurship such as utilization of Disadvantaged Business
Enterprises, Minority-owned Businesses, Women-owned businesses, or 8(a)
firms.
Selection Criterion #5: Supplemental Planning and Demonstration
Activities
Implementation Grant applicants should only respond to this
selection criterion if supplemental planning and/or demonstration
activities are included in the application. DOT will assess whether the
applicant has described the scope of supplemental planning or
demonstration work to be performed; the roadway safety issues that
necessitate further Action Plan development, including supplemental
planning, and/or demonstration activities, as applicable; and how the
funded activities will inform an Action Plan and support the
identification of projects and strategies that will:
Lead to a significant reduction or elimination of roadway
fatalities and serious injuries involving various road users;
Employ low-cost, high-impact strategies that can improve
safety over a wider geographical area;
Involve engaging with a variety of public and private
stakeholders;
Adopt innovative technologies to promote safety and
equity; and
Be evidence-based or build evidence around what works.
Applicants applying to carry out demonstration activities will also
be assessed as to whether their approach to measuring the potential
benefits of the demonstration activities through data collection and
evaluation are described, and the extent to which the activities will
be set up (e.g., quick builds on the roadway, pilot project
established) within 18 months of executing a grant agreement.
Consideration: Project Readiness
Applications will be reviewed for Project Readiness, which will be
a consideration for application selection. Project Readiness focuses on
the extent to which the applicant will be able to substantially execute
and complete the full scope of work in the Implementation Grant
application within five (5) years of when the grant is executed. This
includes information related to required design and construction
standards, as well as environmental, permitting, and approval
processes. DOT will evaluate the extent to which the application:
Documents all applicable local, State, and Federal
requirements.
Includes information on activity schedule, required
permits and approvals, the National Environmental Policy Act (NEPA)
class of action and status, State Transportation Improvement Program
(STIP) and Transportation Improvement Program (TIP) status (if
applicable), public involvement, right-of-way acquisition plans,
procurement schedules, multi-party agreements, utility relocation plans
and risk and mitigation strategies, as appropriate.
Is reasonably expected to begin any construction-related
projects in a timely manner consistent with all applicable local,
State, and Federal requirements.
Additional Considerations
The Department may consider the following when SS4A Implementation
Grant awards:
The percentage of Implementation Grant funds that will be
spent in, and provide safety benefits to, locations in Census tracts
designated as underserved communities as defined by this NOFO.\28\
---------------------------------------------------------------------------
\28\ See the definition of an underserved community, which
includes Census tracts identified in the OMB CEJST and DOT ETCE
tools.
---------------------------------------------------------------------------
Whether the applicant is in a rural area.
Whether the applicant is identified as a priority
community within the federal Thriving Communities Network.\29\
---------------------------------------------------------------------------
\29\ Thriving Community Networks include the Rural Partner
Network, Energy Communities, or DOT Thriving Communities Initiative.
---------------------------------------------------------------------------
Whether the applicant would enhance the geographic
diversity of Implementation Grant award recipients.
Federal funding requests under $10 million.
2. Review and Selection Process
This section addresses the BIL requirement to describe the
methodology for evaluation in the NOFO, including how applications will
be rated according to selection criteria and considerations, and how
those criteria and considerations will be used to assign an overall
rating. The SS4A grant program review and selection process consists of
eligibility reviews, merit criteria review, and Senior Review. The
Secretary makes the final selections.
Among well-rated applicants, the Secretary may prioritize
applicants and jurisdictions that did not receive an SS4A grant in FY
2022 over applicants that did receive an FY 2022 award. The Secretary
may also prioritize applications that will use demonstration activities
or supplemental planning as part of the development of, or update to,
an Action Plan.
i. Planning and Demonstration Grant Review and Selection Process
(a) Overall Selection Process and Ratings
The process for the application review is described below:
Teams of Department and contractor support staff will review all
applications to determine eligibility based on the eligibility
information in Section C.
Eligible Action Plan applications received by the deadline
will be reviewed for their merit based on the selection criteria in
Section E.1.i.
If multiple applications are received from the same
applicant, the last one submitted will be reviewed.
Applications are rated numerically based on Merit Criteria
#1 Safety Impact and #2 Equity Criteria.
The #3 Additional Safety Context criterion narrative will
be reviewed and assessed, and then receive a rating of
[[Page 22106]]
``High,'' ``Medium,'' ``Low,'' or ``Not Qualified.'' Applications that
do not address the #3 Additional Safety Context are deemed ``not
qualified'' and will not be considered for award.
The Teams will note which of the three Planning and
Demonstration Grant activities--develop a new Action Plan, conduct
supplemental planning to update an existing plan, and carry out
demonstration activities to inform the development or update of an
Action Plan--are requested in an application.
In order to ensure that final selections will meet the
statutory requirement that no more than 15 percent of program funds may
be awarded to eligible applicants in one State, applications will have
their State location denoted. Awards to Federally recognized Tribal
governments are not counted towards this 15 percent maximum.
The Teams will examine the locations of the applicants to
identify if an applicant is requesting funds in a geographic area that
received an Action Plan Grant in FY 2022, as well as any potential
overlap in geographic boundaries in funding requests for FY 2023. DOT
will assess the extent to which the application is duplicative of
existing or proposed activities and reserves the right to request
applicants with duplicative funding requests to consolidate their
efforts as one multijurisdictional group prior to receiving an award.
DOT may decline to fund duplicative applications irrespective of their
individual merits.
(b) Additional Safety Context Criterion Rating Methodology
For the #3 Additional Safety Context, the Department will assess
the narrative's alignment to the selection criterion, and will
determine a rating of ``high,'' ``medium,'' ``low,'' or ``non-
responsive.''
----------------------------------------------------------------------------------------------------------------
High Medium Low Non-responsive
----------------------------------------------------------------------------------------------------------------
Rating Scale
----------------------------------------------------------------------------------------------------------------
The application is very responsive to The application is The application is The narrative indicates
the criteria and is expected to responsive to the minimally responsive the proposal is
advance safety planning. The criteria and is to the criteria. The counter to the
narrative has clear descriptions of performing safety proposed approach is criteria, does not
the work scope and the roadway planning activities. weakly tied to an contain sufficient
safety problem to be addressed. The The narrative has Action Plan. information, or is not
proposed approach will strongly descriptions of the For demonstration connected to an Action
inform an Action Plan. work scope and the activities only: It is Plan.
For demonstration activities only: roadway safety problem unclear if the For demonstration
The activities are likely to be put to be addressed. The activities will be put activities only: No
in place within 18 months. The proposed approach will in place within 18 timeline schedule is
narrative clearly describes how the inform an Action Plan. months. The narrative provided. Detail on
activities will be measured and For demonstration provides minimal how the activities
evaluated. activities only: The detail on how the will be measured and
activities have a activities will be evaluated are not
possibility of being measured and evaluated. included.
put in place within 18
months. The narrative
describes how the
activities will be
measured and evaluated.
----------------------------------------------------------------------------------------------------------------
ii. Implementation Grant Review and Selection Process
(a) Overall Selection Process and Ratings
Teams of Department and contractor support staff review all
applications to determine whether they are eligible applicants based on
the eligibility information in Section C. If multiple applications are
received from the same applicant, the last one submitted will be
reviewed. All eligible Implementation Grant applications received by
the deadline will be reviewed and receive ratings for each of these
criteria: #1 Safety Impact; #2 Equity, Engagement, and Collaboration;
#3 Effective Practices and Strategies; #4 Other DOT Strategic Goals.
Based on the criteria ratings, the Department will assign an overall
application rating of ``Highly Recommended,'' ``Recommended,''
``Acceptable,'' or ``Not Recommended'' as a result of evaluation team
consensus discussion. The selection criteria are considered in numeric
order of most to least important (e.g., criterion #1 Safety Impact will
be considered most heavily, followed by #2 Equity, Engagement, and
Collaboration as the second most important, etc.).
Implementation Grant applications that include supplemental
planning or demonstration activities will also be reviewed for
criterion #5 Additional Safety Context and quantitative Key Information
Table information on fatality counts, fatality rate per 100,000
persons, and percentage of population in underserved communities, but
it will not affect the overall Implementation Grant rating. Instead,
DOT will use the information to determine whether the supplemental
planning and/or demonstration activities should be funded as part of
the overall project. DOT is more likely to fund, as part of an overall
implementation project, supplemental planning and demonstration
activities that rate well on criterion #5. Alternatively, DOT may award
an Implementation Grant but exclude proposed supplemental planning or
demonstration activities from the scope of the award if those
activities were not rated well under criterion #5.
(b) Safety Impact Criterion Rating Methodology
For the #1 Safety Impact criterion, the Department will assess
three subcomponents, and for each determine a rating of ``high,''
``medium,'' and ``low,'' or ``non-responsive.'' The three subcomponents
are: the description of the safety problem; the safety impact
assessment; and the implementation costs.
The sub-ratings will use the guidelines below:
[[Page 22107]]
----------------------------------------------------------------------------------------------------------------
High Medium Low Non-responsive
----------------------------------------------------------------------------------------------------------------
Description of the Safety Problem
----------------------------------------------------------------------------------------------------------------
The narrative and supporting The narrative and The narrative and The narrative and
information demonstrate the proposal supporting information supporting information supporting information
is addressing a substantial safety demonstrate the demonstrate the do not address a
problem. The narrative is well- proposal is addressing proposal is addressing safety problem.
articulated and is strongly an existing safety a safety problem more
supported by data and analysis. The problem. Narrative minor in scope. The
narrative links the specific safety articulates the narrative is not well-
problem to relevant historical data description, is articulated, and the
at intervention locations and generally supported by supporting data and
describes whether the locations are data and analysis. The analysis are limited.
on their High-Injury Network or narrative links the The narrative provides
equivalent. specific safety an overall connection
problem to relevant between the safety
historical data and problem and the
refers to the High- jurisdiction's
Injury Network or historical data.
equivalent.
----------------------------------------------------------------------------------------------------------------
Safety Impact
----------------------------------------------------------------------------------------------------------------
The projects and strategies have The projects and The projects and The projects and
comprehensively addressed the safety strategies address the strategies address the strategies do not
problem. The projects and strategies safety problem. Most safety problem to a address the safety
proposed are highly effective, based of the projects and limited degree. Some problem.
on evidence, use a systemic strategies proposed or none of the
approach, are mostly on a High- are effective projects and
Injury Network, and have benefits measures, based on strategies proposed
that persist over time. evidence, use a are effective
systemic approach, are measures, based on
at least partially on evidence, use a
a High-Injury Network, systemic approach, or
and have benefits that have benefits that
persist over time. persist over time.
----------------------------------------------------------------------------------------------------------------
Implementation Costs
----------------------------------------------------------------------------------------------------------------
The costs for the implementation of The costs for the The costs for the Cost information and/or
the projects and strategies are implementation of the implementation of the fatality and serious
clearly articulated, well- projects and projects and injury information at
summarized, and reasonable. The strategies are strategies are not the location level are
projects and strategies address summarized and appear well-articulated or not provided.
locations that have many historical to be reasonable. The missing key details,
fatalities and serious injuries, and projects and and it is uncertain
are expected to prevent a strategies address whether the costs are
significant number of fatalities and locations that have reasonable. The
serious injuries per funds requested. some historical projects and
fatalities and serious strategies address
injuries, and are locations that have
expected to prevent very few to no
some fatalities and historical fatalities
serious injuries per and serious injuries
funds requested. and may have minimal
impact.
----------------------------------------------------------------------------------------------------------------
(c) Other Criteria Rating Methodology
For the merit criteria #2 Equity, Engagement, and Collaboration, #3
Effective Practices and Strategies, and #4 Other DOT Strategic Goals,
the Department will consider whether the application narrative is
clear, direct, responsive to the selection criterion focus areas,
logical, and includes specific details and examples, which will result
in a rating of ``high, ``medium,'' ``low,'' or ``non-responsive.''
----------------------------------------------------------------------------------------------------------------
High Medium Low Non-responsive
----------------------------------------------------------------------------------------------------------------
Rating Scale
----------------------------------------------------------------------------------------------------------------
The application is substantively The application is The application is The narrative indicates
responsive to the criteria, with moderately responsive minimally responsive the proposal is
clear, direct, and logical to the criteria, with to the criteria and is counter to the
narrative. Compelling, specific mostly clear, direct, somewhat addressed in criteria or does not
details, as well as quantified or and logical narrative. the narrative. General contain sufficient
illustrative examples, are provided. Some details and information is information.
examples are provided. provided.
----------------------------------------------------------------------------------------------------------------
All applications will receive a Project Readiness evaluation, as
described below. The reviewers will use the application materials
outlined in Section D to assess the applicant's Project Readiness and
will provide a rating of either ``Likely'' or ``Unlikely.''
[[Page 22108]]
------------------------------------------------------------------------
Likely Unlikely
------------------------------------------------------------------------
Rating Scale
------------------------------------------------------------------------
Based on the information provided in Based on the information
the application and the proposed scope provided in the application
of the projects and strategies, it is and the proposed scope of the
likely the applicant can complete all projects and strategies, it is
projects and strategies within a five- uncertain whether the
year time horizon. Application applicant can complete all
provides information on NEPA status, projects and strategies within
utility relocation, and right-of-way a five-year time horizon.
acquisition. Application is missing
information on NEPA status,
and whether utility relocation
and/or right-of-way
acquisition is required.
------------------------------------------------------------------------
Implementation Grant applications that include supplemental
planning and/or demonstration activities will be assessed on the extent
to which the narrative aligns with the selection criterion #5
Additional Safety Context and will be evaluated to determine a rating
of ``high,'' ``medium,'' ``low,'' or ``non-responsive.''
----------------------------------------------------------------------------------------------------------------
High Medium Low Non-responsive
----------------------------------------------------------------------------------------------------------------
Rating Scale
----------------------------------------------------------------------------------------------------------------
The application is very responsive to The application is The application is The narrative indicates
the criteria and is expected to responsive to the minimally responsive the proposal is
advance safety planning. The criteria and is to the criteria. The counter to the
narrative has clear descriptions of performing safety proposed approach is criteria, does not
the work scope and the roadway planning activities. weakly tied to an contain sufficient
safety problem to be addressed. The The narrative has Action Plan. information, or is not
proposed approach will strongly descriptions of the For demonstration connected to an Action
inform an Action Plan. work scope and the activities only: It is Plan.
For demonstration activities only: roadway safety problem unclear if the For demonstration
The activities are likely to be put to be addressed. The activities will be put activities only: The
in place within 18 months. The proposed approach will in place within 18 narrative provides no
narrative clearly describes how the inform an Action Plan. months. The narrative timeline schedule or
activities will be measured and For demonstration provides minimal detail on how the
evaluated. activities only: The detail on how the activities will be
activities have a activities will be measured and
possibility of being measured and evaluated. evaluated.
put in place within 18
months. The narrative
describes how the
activities will be
measured and evaluated.
----------------------------------------------------------------------------------------------------------------
iii. Senior Review Team Phase
(a) Planning and Demonstration Grant Senior Review Team Phase
For the Planning and Demonstration Grants, the Secretary will
review the three quantitative criteria ratings as well as the rating
from the Additional Safety Context and select projects that are most
advantageous to the U.S. Government's interest. The Secretary will
consult with a Senior Review Team (SRT) to make the determinations.
(b) Implementation Grant Senior Review Team Phase
Once every Implementation Grant application has been assigned an
overall rating based on the methodology above, all ``Highly
Recommended'' applications will be included in a list of Applications
for Consideration. The SRT will also review all ``Highly Recommended''
applications that received an ``Unlikely'' project readiness rating,
and either remove those applicants from the Applications for
Consideration or recommend a reduced scope to remove components that
reduced the project's readiness, so that if awarded the applicant would
be likely to complete the scope of work within five years of the grant
agreement execution. The Secretary will consider the applications with
a reduced scope due to the Unlikely project readiness in the same way
as applications with a ``Likely'' rating.
Additionally, to ensure the funding awards align to the extent
practicable to the program goal of equitable investment in the safety
needs of underserved communities, the SRT may review ``Recommended''
applications and set a threshold based on the percentage of funds that
will be spent in, and provide safety benefits to, locations within
underserved communities. Any ``Recommended'' applications at or above
that threshold will be included in the proposed list of Applications
for Consideration.
For applications that would not otherwise be included on the list
of Applications for Consideration, the SRT may include applications
with supplemental planning and demonstration activity funding that
received a ``High'' rating for selection criterion #5 Additional Safety
Context. The SRT may recommend the Secretary to fund a reduced scope of
only the supplemental planning and demonstration activities for these
applications.
For each grant type, the SRT will present the list of Applications
for Consideration to the Secretary, either collectively or through a
representative of the SRT. The SRT may advise the Secretary on any
application on the list of Applications for Consideration, including
options for reduced awards; the Secretary makes final selections. If an
Implementation Grant application includes supplemental planning and
demonstration activities, DOT may award just those activities as a
standalone Planning and Demonstration Grant based on the rating
received in selection criterion #5 Additional Safety Context. The
Secretary's final selections identify the applications that best
address program requirements and are most worthy of funding.
3. Additional Information
Prior to entering into a grant agreement, each selected applicant
will be subject to a risk assessment as required by 2 CFR 200.206. The
Department must review and consider any information about the applicant
that is in the designated integrity and performance system accessible
through SAM (currently the Federal Awardee Performance and Integrity
Information System [FAPIIS]). An applicant may review information in
FAPIIS and comment on any information about itself that a Federal
awarding agency previously entered. The Department will consider
comments by the
[[Page 22109]]
applicant, in addition to the other information in FAPIIS, 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.
Because award recipients under this program may be first-time
recipients of Federal funding, DOT is committed to implementing the
program as flexibly as permitted by statute and to provide assistance
to help award recipients through the process of securing a grant
agreement and delivering both Planning and Demonstration Grant
activities and Implementation Grant projects and strategies. Award
recipients are encouraged to identify any needs for assistance in
delivering the Implementation Grant projects and strategies so that DOT
can provide directly, or through a third party, sufficient support and
technical assistance to mitigate potential execution risks.
4. Anticipated Announcement and Federal Award Dates
The Department anticipates making two rounds of awards for this
NOFO: one earlier round of awards only focused on applications
requesting Planning and Demonstration Grants, and a later round of
awards that will encompass Implementation Grants as well as Planning
and Demonstration Grant applicants who did not receive funding in the
earlier round. The earlier round is anticipated to be in October 2023,
and the later round is anticipated to be in December 2023.
C. Federal Award Administration Information
1. Federal Award Notices
Following the evaluation outlined in Section E, the Secretary will
announce awarded applications by posting a list of selected recipients.
The posting of the list of selected award recipients will not
constitute an authorization to begin performance. Following the
announcement, the Department will contact the point of contact listed
in the SF-424 to initiate negotiation of a grant agreement unless the
applicant notifies DOT of a changed contact via SS4A@dot.gov after July
10.
2. Administrative and National Policy Requirements
i. Climate Change and Environmental Justice
Each applicant selected for SS4A grant funding must demonstrate
effort to consider climate change and environmental justice impacts as
described in Section A. Projects that have not sufficiently considered
climate change and environmental justice in their planning, as
determined by the Department, will be required to do so before
receiving funds, consistent with Executive Order 14008, Tackling the
Climate Crisis at Home and Abroad (86 FR 7619).
ii. Equity and Barriers to Opportunity
Each applicant selected for SS4A grant funding must demonstrate
effort to improve equity and reduce barriers to opportunity as
described in Section A. Projects that have not sufficiently considered
equity and barriers to opportunity in their planning, as determined by
the Department, will be required to do so before receiving funds,
consistent with Executive Order 13985, Advancing Racial Equity and
Support for Underserved Communities Through the Federal Government (86
FR 7009).
iii. Civil Rights and Title VI
As a condition of a grant award, grant recipients should
demonstrate that the recipient has a plan for compliance with civil
rights obligations and nondiscrimination laws, including Title VI of
the Civil Rights Act of 1964 and implementing regulations (49 CFR 21),
the Americans with Disabilities Act of 1990 (ADA), and Section 504 of
the Rehabilitation Act, all other civil rights requirements, and
accompanying regulations. This should include a current Title VI plan,
completed Community Participation Plan, and a plan to address any
legacy infrastructure or facilities that are not compliant with ADA
standards. DOT's and the applicable Operating Administrations' Office
of Civil Rights may work with awarded grant recipients to ensure full
compliance with Federal civil rights requirements.
iv. National Environmental Policy Act of 1969 (NEPA)
Funding recipients must comply with NEPA under 42 U.S.C. 4321 et
seq. and the Council on Environmental Quality's NEPA implementing
regulations at 40 CFR 1500-1508, where applicable.
v. Domestic Preference Requirements
As expressed in Executive Order 14005, Ensuring the Future Is Made
in All of America by All of America's Workers (86 FR 7475), it is the
policy of the executive branch to maximize, consistent with law, the
use of goods, products, and materials produced in, and services offered
in, the United States. Infrastructure projects and demonstration
activities are subject to the Build America, Buy America Act (Pub. L.
117-58, div. G sections 70901-70927) as clarified in OMB Memorandum M-
22-11.\30\ The Department expects all recipients to comply with this
requirement. Projects under this notice will be subject to the domestic
preference requirements at section 70914 of the Build America, Buy
America Act.
---------------------------------------------------------------------------
\30\ Public Law 117-58, division. G, title IX, subtitle A, 135
Stat. 429, 1298 (2021). For additional information on section 70914,
see OMB-22-11. https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf.
---------------------------------------------------------------------------
vi. Labor and Workforce
Each applicant selected for SS4A grant funding must demonstrate, to
the full extent possible consistent with the law, an effort to create
good-paying jobs with the free and fair choice to join a union and
incorporation of high labor standards. To the extent that applicants
have not sufficiently considered job quality and labor rights in their
planning, as determined by the Department of Labor, the applicants will
be required to do so before receiving funds, consistent with Executive
Order 14025, Worker Organizing and Empowerment (86 FR 22829), and
Executive Order 14052, Implementation of the Infrastructure Investment
and Jobs Act (86 FR 64335).
vii. Federal Contract Compliance
As a condition of grant award and consistent with E.O. 11246, Equal
Employment Opportunity (30 FR 12319, and as amended), all Federally
assisted contractors are required to make good faith efforts to meet
the goals of 6.9 percent of construction project hours being performed
by women, in addition to goals that vary based on geography for
construction work hours and for work being performed by people of
color. Under Section 503 of the Rehabilitation Act and its implementing
regulations, affirmative action obligations for certain contractors
include an aspirational employment goal of 7 percent workers with
disabilities.
The U.S. Department of Labor's Office of Federal Contract
Compliance Programs (OFCCP) is charged with enforcing Executive Order
11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam
Era Veterans' Readjustment Assistance Act of 1974. OFCCP has a Mega
Construction Project Program through which it engages with project
sponsors as early as the design phase to help promote compliance with
non-discrimination and affirmative action obligations. OFCCP will
identify projects that receive an award under this notice and are
required to
[[Page 22110]]
participate in OFCCP's Mega Construction Project Program from a wide
range of Federally-assisted projects over which OFCCP has jurisdiction
and that have a project cost above $35 million. DOT will require
project sponsors with costs above $35 million that receive awards under
this funding opportunity to partner with OFCCP, if selected by OFCCP,
as a condition of their DOT award.
viii. Critical Infrastructure Security and Resilience
It is the policy of the United States to strengthen the security
and resilience of its critical infrastructure against both physical and
cyber threats. Each applicant selected for SS4A grant funding must
demonstrate, prior to the signing of the grant agreement, effort to
consider and address physical and cyber security risks relevant to the
transportation mode and type and scale of the activities. Award
recipients that have not appropriately considered and addressed
physical and cyber security and resilience in their planning, design,
and oversight, as determined by the Department and the Department of
Homeland Security, will be required to do so before receiving
Implementation Grant funds for construction, consistent with
Presidential Policy Directive 21, Critical Infrastructure Security and
Resilience and the National Security Presidential Memorandum on
Improving Cybersecurity for Critical Infrastructure Control Systems.
Additionally, funding recipients must be in compliance with 2 CFR
200.216 and the prohibition on certain telecommunications and video
surveillance services or equipment.
ix. Other Administrative and Policy Requirements
All awards will be administered pursuant to the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards found in 2 CFR 200 as adopted by the Department at 2 CFR
1201. Additionally, as permitted under the requirements described
above, applicable Federal laws, rules, and regulations of the relevant
operating administration (e.g., the Federal Highway Administration,
etc.) administering the activities will apply to the activities that
receive SS4A grants, including planning requirements, Stakeholder
Agreements, and other requirements under the Department's other highway
and transit grant programs. DOT anticipates grant recipients to have
varying levels of experience administering Federal funding agreements
and complying with Federal requirements, and DOT will take a risk-based
approach to SS4A program grant agreement administration to ensure
compliance with all applicable laws and regulations.
In connection with any program or activity conducted with or
benefiting from funds awarded under this notice, recipients of funds
must comply with all applicable requirements of Federal law, including,
without limitation, the Constitution of the United States; the
conditions of performance, nondiscrimination requirements, and other
assurances made applicable to the award of funds in accordance with
regulations of the Department of Transportation; and applicable Federal
financial assistance and contracting principles promulgated by the
Office of Management and Budget. In complying with these requirements,
recipients, in particular, must ensure that no concession agreements
are denied, or other contracting decisions made on the basis of speech
or other activities protected by the First Amendment. If the Department
determines that a recipient has failed to comply with applicable
Federal requirements, the Department may terminate the award of funds
and disallow previously incurred costs, requiring the recipient to
reimburse any expended award funds.
3. Reporting
i. Progress Reporting on Grant Activity
Reporting responsibilities include quarterly program performance
reports using the Performance Progress Report (SF-PPR) and quarterly
financial status using the SF-425 (also known as the Federal Financial
Report or SF-FFR).\31\
---------------------------------------------------------------------------
\31\ https://www.grants.gov/forms/post-award-reporting-forms.html.
---------------------------------------------------------------------------
Budget and recipient performance information will be gathered on a
quarterly basis in a Performance Progress Report (SF-PPR). To fulfill
the data collection requirements and in accordance with the USDOT
Public Access Plan, award recipients must consider, budget for, and
implement appropriate data management, for data and information outputs
acquired or generated during the course of the grant.32 33
Federally recognized Tribal governments receiving grants may request
alternative data collection requirements during grant agreement
formulation, as appropriate. Applicants are expected to account for
data and performance reporting in their budget submission.
---------------------------------------------------------------------------
\32\ https://doi.org/10.21949/1520559.
\33\ United States. Department of Transportation. (2022) DOT
Public Access [Home page]. https://doi.org/10.21949/1503647.
---------------------------------------------------------------------------
ii. Post Award Reporting Requirements/Reporting of Matters Related to
Integrity and Performance
All award recipients shall submit a report by the end of the period
of performance that describes:
The costs of each eligible project and strategy carried
out using the grant;
The roadway safety outcomes and any additional benefits
(e.g., increased walking, biking, or transit use without a commensurate
increase in serious and fatal crashes, etc.) that each such project and
strategy has generated, as--
[cir] Identified in the grant application; and
[cir] Measured by data, to the maximum extent practicable;
The percent of funds spent in, and providing benefits to,
underserved communities; and
The lessons learned and any recommendations relating to
future projects or strategies to prevent death and serious injury on
roads and streets.
Implementation Grant recipients must also provide: geo-coordinate
information identifying specific project location(s); crash data on
serious injury and fatalities in the locations where projects and
strategies are implemented on an annual basis and at the end of the
period of performance, which are expected to include crash
characteristics and contributing factor information associated with the
safety problems being addressed; and quantitative and qualitative
project benefits documented in a final report.
Award recipients carrying out demonstration activities must also
measure potential benefits through data collection and evaluative
activities and report to the Department how the demonstration
activities informed an Action Plan's list of projects and strategies
and future implementation.
If the total value of a selected applicant's currently active
grants, cooperative agreements, and procurement contracts from all
Federal awarding agencies exceeds $10,000,000 for any period of time
during the period of performance of this Federal award, then the
applicant during that period of time must maintain the currency of
information reported in SAM that is made available in the designated
integrity and performance system (currently the Federal Awardee
Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of
this award term and condition. This is a statutory requirement under
section 872 of Public
[[Page 22111]]
Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010
of Public Law 111-212, all information posted in the designated
integrity and performance system on or after April 15, 2011, except
past performance reviews required for Federal procurement contracts,
will be publicly available. Additionally, if applicable funding
recipients must be in compliance with the audit requirements in 2 CFR
200, subpart F.
iii. Program Evaluation
As a condition of grant award, SS4A grant recipients may be
required to participate in an evaluation undertaken by DOT, or another
agency or partner. The evaluation may take different forms such as an
implementation assessment across grant recipients, an impact and/or
outcomes analysis of all or selected sites within or across grant
recipients, or a benefit/cost analysis or assessment of return on
investment. The Department may require applicants to collect data
elements to aid the evaluation and/or use information available through
other reporting. As a part of the evaluation, as a condition of award,
grant recipients must agree to: (1) make records available to the
evaluation contractor; (2) provide access to program records, and any
other relevant documents to calculate costs and benefits; (3) in the
case of an impact analysis, facilitate the access to relevant
information as requested; and (4) follow evaluation procedures as
specified by the evaluation contractor or DOT staff.
Recipients and sub-recipients are also encouraged to incorporate
program evaluation including associated data collection activities from
the outset of their program design and implementation to meaningfully
document and measure the effectiveness of their projects and
strategies. Title I of the Foundations for Evidence-Based Policymaking
Act of 2018 (Evidence Act), Public Law 115-435 (2019) urges Federal
awarding agencies and Federal assistance recipients and sub-recipients
to use program evaluation as a critical tool to learn, to improve
equitable delivery, and to elevate program service and delivery across
the program lifecycle. Evaluation means ``an assessment using
systematic data collection and analysis of one or more programs,
policies, and organizations intended to assess their effectiveness and
efficiency'' (codified at 5 U.S.C. 311). For grant recipients,
evaluation expenses are allowable costs (either as direct or indirect),
unless prohibited by statute or regulation, and such expenses may
include the personnel and equipment needed for data infrastructure and
expertise in data analysis, performance, and evaluation (2 CFR 200).
D. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the
Office of the Secretary via email at SS4A@dot.gov. In addition, up to
the application deadline, the Department will post answers to common
questions and requests for clarifications on the Department's website
at https://www.transportation.gov/grants/SS4A. To ensure applicants
receive accurate information about eligibility or the program, the
applicant is encouraged to contact the Department directly, rather than
through intermediaries or third parties, with questions. Department
staff may also conduct briefings on the SS4A grant selection and award
process upon request.
E. Other Information
1. Publication of Application Information
Following the completion of the selection process and announcement
of awards, the Department intends to publish a list of all applications
received along with the names of the applicant organizations and a few
relevant data fields from the application. This includes unsuccessful
applicants. The Department may share application information within the
Department or with other Federal agencies if the Department determines
that sharing is relevant to the respective program's objectives.
2. Department Feedback on Applications
The Department will not review applications in advance, but
Department staff are available for technical questions and assistance.
DOT expects to hold ``virtual-office hours'' to further describe how to
submit a complete application; for more information visit https://www.transportation.gov/grants/SS4A. The deadline to submit technical
questions is June 16, 2023. The Department strives to provide as much
information as possible to assist applicants with the application
process. Unsuccessful applicants may request a debrief up to 30 days
after the selected funding recipients are publicly announced on https://www.transportation.gov/grants/SS4A. Program staff will address
questions to SS4A@dot.gov throughout the application period.
3. Grant Application Resources
The Department will provide resources to help interested applicants
understand the different DOT discretionary grant programs through
webinars, frequently asked questions, and other materials provided such
as the SS4A program website https://www.transportation.gov/grants/SS4A.
Additional grant applications resources for this and other Departmental
grant programs can be found on the DOT Navigator at
www.transportation.gov/dot-navigator. User-friendly information and
resources regarding DOT's discretionary grant programs relevant to
rural applicants can be found on the Rural Opportunities to Use
Transportation for Economic Success (ROUTES) website at
www.transportation.gov/rural.
[FR Doc. 2023-07716 Filed 4-11-23; 8:45 am]
BILLING CODE 4910-9X-P