Part III. Application Instructions (Steps 1-3)

The applicant (in the case of a consortium, the lead institution) will submit an application consisting of the following:

• Standard Form SF-424 "Application for Federal Assistance"
• Standard Form SF-424A "Budget Information — Non-Construction Programs"
• Standard Form SF-424B "Assurances — Non-Construction Programs"
• A cover sheet and a written prospectus no more than 35 pages long, plus additional appendices with supporting documentation specified below. Standard Forms, appendices, and additional documentation do not count towards the thirty-five page limit for the prospectus.

1. Standard Forms SF424, SF424A, and SF424B

Prepare and submit Standard Forms SF424, SF424A, and SF424B.

Use Standard Form SF424A to prepare a two-year Center budget that shows how you expect to allocate the Center's total annual resources (federal funds plus required matching funds). Prepare a two-year budget in the same format for each of the participating institutions including the grantee university. Any leveraged funds relevant to the work being proposed in this application but that will not or may not be counted as matching funds should be described in section D.f "Program Efficacy" of the prospectus (see below).

NOTE: Under this solicitation, there is no minimum requirement for concentration of funding at the grantee institution of a consortium.

2. Cover sheet and prospectus

Page Limit: Your prospectus must not exceed a total length of thirty-five (35) 8.5x11 standard-size pages, single-spaced, Times New Roman 11 font, with one-inch margins. For Regional Center or Transit-Focused Center applicants, the additional pages required to address regional or transit capabilities do not count towards the thirty-five page limit.

Prepare and submit a cover sheet and prospectus that includes the following:

• A cover sheet. Please indicate (in bold letters) on the cover page of the prospectus the type of UTC for which you are applying for grant funding: (1) Tier 1 Center; (2) Tier 1 Transit-Focused Center; or (3) Regional Center. You may choose to be considered for more than one type of Center, but may only be selected for one type of Center. It is not necessary to submit additional applications if you are applying to be more than one type of Center--simply denote which Center(s) you are applying for on the cover sheet and provide the required documentation as explained below. The cover sheet does not count towards the thirty-five page limit.
• A narrative statement that addresses the following sections A-G:

A. Applicant Information

In this section, identify by name and city/state, the grantee university, and in the case of a consortium the other universities that will participate in your Center. In order for RITA to comply with federal agency reporting requirements, state whether any of the participating universities is a minority-serving institution.

If you are applying as a Regional Center, please indicate the federal region in which you are located (as shown on Table 1 previously in this document).

B. Demonstration of Eligibility

In this section, you need to demonstrate that your institution meets the following quantifiable selection criteria, which are set forth in the UTC Program's authorizing legislation (SAFETEA-LU, sec. 5402). An application from an institution that fails to satisfy the eligibility criteria will be disqualified from further consideration. In the case of a consortium, the lead university applicant itself must meet these criteria.

Tier 1 and Tier 1 Transit-Focused Centers:

• Demonstrate that your institution has committed at least $400,000 in regularly budgeted institutional amounts to support ongoing transportation research and education programs in preceding years.
• Provide evidence of not less than $1,000,000 in transportation research expenditures each year for each of the preceding 5 years or not less than $6,000,000 in such expenditures during the preceding 5 years.
• Provide evidence of not fewer than 5 graduate degrees awarded in professional fields closely related to transportation each year for each of the preceding 5 years.
• Provide evidence of not fewer than 3 tenured or tenure-track faculty members who specialize on a full-time basis in professional fields closely related to transportation and who, as a group, have published a total of at least 20 refereed journal publications on transportation research during the preceding 5 years.

Regional Centers:

• Demonstrate that your institution has committed at least $400,000 in regularly budgeted institutional amounts to support ongoing transportation research and education programs in preceding years.
• Provide evidence of not less than $2,000,000 in transportation research expenditures each year for each of the preceding 5 years.
• Provide evidence of not fewer than 10 graduate degrees awarded in professional fields closely related to transportation each year for each of the preceding 5 years.
• Provide evidence of not fewer than 5 tenured or tenure-track faculty members who specialize on a full-time basis in professional fields closely related to transportation and who, as a group, have published a total of at least 50 refereed journal publications on transportation research during the preceding 5 years.

The SAFETEA-LU legislation did not specify what type of evidence to show for these criteria, so reviewers will be instructed to accept any evidence that they find to be credible. Be advised that making false statements to the federal government is a crime.

C. Potential Sources of Matching Funds

In this section, describe where you anticipate obtaining the required non-federal match to the federal funds to be awarded. Although the consortium may include only non-profit institutions of higher learning, non-federal funds may be provided by such entities as state/local governments, private industry, and foundations as well as universities.

All Centers are required to obtain matching funds from non-federal sources in an amount at least equal to the amount of the US DOT grant. NOTE: The non-federal share of Center costs may include funds provided to a recipient under section 503, 504(b) or 505 of title 23, United States Code. (Those sections refer to the technology deployment, local technical assistance, and state planning and research programs managed by the Federal Highway Administration.)

Discussion of leveraged resources relevant to the work being proposed in this prospectus but that will not or may not be counted as matching funds should be included in section D.f "Program Efficacy" of the prospectus (see below).

D. Response to Evaluation Criteria: All Centers

All applicants must respond to the following evaluation criteria, in the order specified below.

a. Research Capability (25 points)

In this section, you must, first, describe the key research activities that you will undertake and second, demonstrate your capability and experience to carry out these activities and achieve the objectives of the UTC Program.

In previous years, each UTC awardee was required to develop a multiyear Strategic Plan describing specific outcomes and activities to be undertaken during the life of the grant. Given the time constraints of this competition, Strategic Plans will not be required. Therefore, you must provide sufficient detail in this prospectus to enable the reviewers to understand what you intend to accomplish with your Center, to see how you plan to carry out the projects financed with your grant, and to evaluate the feasibility of your proposed approach as well as your capability to achieve the proposed outcomes within the designated grant time frame.


This section must include the following:


• A description of your Center's planned research activities and their relationship to DOT's Strategic Goals and research priorities. You must provide information on the key research activities that you plan to undertake to achieve the objectives of the UTC Program. These activities must support one or more of the Secretary's Strategic Goals: Safety, State of Good Repair, Economic Competitiveness, Livable Communities and Environmental Sustainability.
  
  The US DOT modal administrations have also identified specific research topics of interest under each of the DOT Strategic Goals (see Appendix A). In addition to describing your own ideas for research activities, you should discuss how you would approach addressing two or more of these topics and where these would fit within your planned research program. DOT welcomes a focused Center that will make dramatic impacts on one or a few closely related topics and is not necessarily looking for Centers trying to demonstrate the ability to connect to a large number of goals or topics.
  
  In describing your research activities, you should discuss how you will use peer review and other research best practices in the selection and management of research projects.
  
  NOTE: If you are applying to be a Tier 1 Transit-Focused Center, your research activities should reflect transit priorities. You will have an opportunity to expand on your contribution to transit goals in Section F below.
  
  
• A demonstration of your capability and prior experience in conducting related transportation research activities. Capability may be demonstrated through evidence of the research excellence, innovation, and impact of prior research activities and outputs such as peer-reviewed publications and conferences.
  
  
• A description of the desired outcomes of your research activities, the performance metrics that you will use to measure the effectiveness of these activities, and how you will obtain the information to track these outcomes.


b. Leadership (10 points)

In this section, you must describe your plans for providing leadership in making national and regional contributions to the solution of immediate and long range transportation problems and advancing transportation expertise and technology. You should provide examples of:


• Your high standing within the national and international arena of transportation research as evidenced by activities such as presentations at national and international conferences and widely-referenced publications in established and peer-reviewed periodicals
• Your prior experience in contributing to the solution of regional and national transportation problems
• The performance metrics that you will use to measure your Center's leadership and how you will obtain the information to track these outcomes


c. Education and Workforce Development (25 points)

Education and workforce development efforts should relate to the development of a transportation workforce that is prepared to design, deploy, operate, and maintain the complex transportation systems of the future. In describing your Center's planned education and workforce development activities, you must demonstrate:


• The existence of an established degree-granting transportation program with high academic standards
• Programs of course work and experiential learning that reinforce your Center's planned research activities
• A commitment to transportation workforce development through training seminars for practicing professionals, outreach activities to attract new entrants into the transportation field, and primary and secondary school transportation workforce outreach
• Significant numbers of graduates and placement of students in industry, academia, and government jobs related to transportation
• The performance metrics that you will use to measure the effectiveness of the Center's education and workforce development activities, and how you will obtain the information to track these outcomes


d. Technology Transfer (15 points)

UTC programs must include an ongoing program of technology transfer to make research results available to potential users in a form that can be implemented, utilized, or otherwise applied. In this section, you must describe the technology transfer activities you will undertake to ensure the handoff of information and technology to those who can use it, especially current transportation practitioners. This includes:


• The activities planned to move the results of research into practice, such as:


• Peer-reviewed journals or academic publications where you plan to showcase research results
• Types of information exchanges you plan to utilize, including new or social media and forums
• Use of technology transfer mechanisms, such as licensing, cooperative research and/or user agreements, creation of new business entities
• Partnerships with or technical assistance to others who might take leadership in applying research results, including cooperation with US DOT/RITA research clusters to facilitate multimodal collaboration.


NOTE: DOT/RITA has established a set of research clusters to promote information sharing among the hundreds of DOT-funded researchers within the DOT and across the nation. The research clusters are comprised of senior research professionals from each mode. Cross-modal research working groups and online forums have been established to foster ongoing collaboration among the DOT operating administrations, UTCs, DOT Centers of Excellence, and other partners. These clusters help ensure that related research is coordinated and foster technology transfer and optimal sharing of research results and products.


• Prior experience in outreach, dissemination, and technology transfer related to transportation research and education, including:


• Academic programs, such as statewide or region-wide continuing education or distance learning
• Seminars, symposia, and workshops related to transportation
• The use of new or social media
• Experience with licensing, commercialization, or creation of new business entities in transportation or related fields
• Examples of partnerships across sectors, with private enterprise or state and local government, to move research into practice


• The performance metrics that you will use to measure the effectiveness of outreach efforts as well as the progress in implementing research results and how you will obtain the information to track these outcomes



e. Collaboration (15 points)

Centers are encouraged to form consortia and other collaborative relationships with other academic and/or research institutions in order to achieve their objectives. Centers must also demonstrate a commitment and capability to form other partnerships with public and private entities, in order to advance transportation expertise and technology and address critical workforce needs.

In this section, you should describe:

• Plans for collaborating with other universities or research institutions. If you are proposing a consortium, describe how the participating universities will draw upon diverse types and/or sizes of institutions, how the members will work together within the proposed consortium, including roles and responsibilities of lead and other organizations, what each university brings to the proposed consortium, and how the presence of multiple parties will enhance your ability to reach your goals.


• Plans for establishing collaborative relationships and linking your research, education, workforce development, and technology transfer activities with other entities in the region, including private sector concerns, Minority Serving Institutions, state Departments of Transportation, Metropolitan Planning Organizations, other public sector organizations at all levels of government, and not-for-profit institutions such as the American Association of State Highway and Transportation Officials (AASHTO), the Transportation Research Board (TRB), and the American Public Transportation Association (APTA).


• The composition of any existing or planned advisory committees


• Your prior experience forming collaborative relationships including the outcomes of these relationships


• The performance metrics that you will use to measure the effectiveness of collaborative efforts and how you will obtain the information to track these outcomes


f. Program Efficacy (10 points)

In this section, you should describe your management approach and procedures, and how you will produce results and implement planned activities in an effective and cost efficient manner. This should include the following:


• A description of the availability of institutional resources to carry out planned activities. If your Center includes more than one institution, describe the institutional resources available from all.


Institutional resources encompass such things as research and training facilities, human resources, physical facilities, and institutional support capabilities. If you are proposing a multiparty arrangement, such as a consortium or partnership with another university, discuss the collective resources that will be available to your Center. NOTE: If there is any pre-existing center of transportation studies or research at the institution[s] comprising your Center, describe how the UTC's activities and accomplishments will relate to, and be distinguishable from, those of the other center[s].


• Plans for overall management and oversight of fiscal and technical activities, including methods for minimizing overhead/facilities, administrative (F&A) shares and overall administrative costs, and plans for leveraging resources other than those provided as matching funds.


• Procedures for tracking and coordinating research efforts.


g. Diversity (additional 10 points)

Applications that demonstrate a Center's commitment to broadening participation and enhancing diversity will be granted additional consideration. Categories of diversity may include rural to urban populations, communities underrepresented in transportation research and careers, partnerships comprised of different types of institutions, and demonstrable reliance upon interdisciplinary contributions. Also, describe any planned outreach or workforce development activities designed to increase interest in STEM (science, technology, engineering, and mathematics) disciplines and/or raise awareness of transportation careers among the next generation of the transportation workforce.

E. Regional Centers (additional 10 points)

If you are applying for Regional Center funding, you must submit additional documentation (up to three 8.5x11 standard-size pages, single-spaced, Times New Roman 11 font, with one-inch margins) that provides the following:

• Demonstrate how your Regional Center will serve as a focal point within your region to help coordinate UTC transportation research, education, workforce development, and technology transfer programs with regional needs and initiatives.
• Describe how your Regional Center will work with the other UTCs in the region to maximize the effectiveness of their collective services and programs
• Describe your institution's relevant experience, if any, in leading regional efforts
• Discuss your ideas for how your Center can use regional efforts to further UTC program objectives.

F. Transit-Focused Centers (additional 10 points)

If you are applying to be a Tier 1 Transit- Focused Center, you must submit additional documentation (up to five 8.5x11 standard-sized pages, single-spaced, Times New Roman 11 font, with one-inch margins) that describes:

• The specific transit-oriented research, education, workforce development, and technology transfer activities you plan to undertake. These activities should be of national and/or regional scope (or if locally focused, should have national/regional applicability)
• How these activities will advance research and enhance the workforce of the transit industry
• Your knowledge, capabilities and prior experience in addressing transit issues. This should include details concerning:
• Key areas of expertise
• Past and current research focused on public transit
• Past education, workforce development and technology transfer activities
• The extent and depth of past and current relationships and interactions with stakeholders in the transit industry. These can include, but are not limited to, transit agencies, state departments of transportation, manufacturers in the transit industry, research organizations, trade associations, labor unions, universities and community colleges, and non-profit organizations.
• Past experience working with federal partners in public transit
• How you will align your transit-oriented research, education, workforce and technology transfer activities to support the needs of the transit industry, which receives substantial federal assistance from the Federal Transit Administration. At a minimum, a demonstrable commitment to directly supporting targeted areas of need should be articulated.
• What areas of transit that you plan to support. Please refer to Appendix B for suggested areas of interest

G. Center Director and Key Staff

In this section, name the individual who will lead the Center and the key staff who will support the Center Director. For purposes of management and oversight, RITA requires that a single Center Director be identified and that that person be affiliated with the grantee institution, not any of the sub-grant consortium-member institutions.

• Describe how your Center Director plans to effectively direct and oversee the Center's funds, personnel, and programs.
• State the titles and describe the duties and responsibilities of any other key Center staff that will spend 50% or more of their time on Center activities. Provide the names of those individuals, if known, and briefly discuss their qualifications. Their curriculum vitae may be attached to the application. (See Part IV, below)

The Center Director is the person responsible for ensuring compliance with all UTC Program requirements. This role is particularly important in multiparty consortia involving distant partners. The Center Director is expected to represent the Center and/or the UTC Program at external meetings, and is required to participate in up to two annual meetings convened by US DOT with the directors of all University Transportation Centers.

3. Appendices

Prepare and submit the following in appendices attached to your prospectus:

A. (Required) Curriculum Vitae for Center Director and Key Staff.
Curriculum vitae will be limited to two pages per individual.

B. (Required Confirmation of Negotiated Overhead and Fringe Benefit Rates.

• Provide a legible copy of your institution's most recent negotiated overhead rates and fringe benefit rates, including the name and telephone number of the cognizant federal audit agency representative.
• If your Center is a consortium of two or more universities, obtain the same evidence from each of the consortium institutions and include it as part of your application.

C. (Optional) Other Documentation.
You may include here any other document(s), not to exceed ten 8.5 X 11 standard-size pages, not specifically called for elsewhere in this solicitation that you believe would assist reviewers to understand the significance and quality of your proposal.

Note: RITA uses only the criteria described in this solicitation to evaluate applications. Letters of support from elected officials do not influence RITA's selection; however, RITA welcomes supporting letters from agencies, firms, or other users that describe how these entities actually have used your research results in a practical transportation-related context.