Stage 1 Grantee Resources

Reporting deliverables are required for the SMART grant program. Specific deadlines can be found on the table below and guidance for reports is available in the SMART Reporting Requirements & Deliverables Table.

When submitting reports to smartreports@dot.gov, ensure the email subject has the report type, your organization name, award number, and you have copied your Grants Management Specialist.

Program Reference Guides

• Reporting Requirements Checklist for all grantees
• Evaluation Plan Guidance
• Data Management Plan Guidance
• Implementation Report Guidance
  • Please note: It is recommended that DRAFT Implementation Reports (DIR) be submitted to smartreports@dot.gov in Word (.doc/.docx) format. Final Implementation Reports (FIR) should be submitted in PDF format. These reports must be 508 Compliant in accordance with federal law and DOT policies. Additional guidance on how to check can be found here: How to Check for 508 Compliance.

Submission Portals & Filing Forms

• Quarterly Milestone Progress Report Portal
• Quarterly Milestone Progress Report Template
• Federal Financial Report (SF-425)

Reporting Requirements & Deliverables Table

The SMART program is a reimbursement grant. The recipient may request reimbursement of costs incurred in the performance of this award if those costs do not exceed the funds available and are allowable under the applicable cost provisions of 2 CFR Part 200, the Notice of Funding Opportunity, and the Terms & Conditions.

Reimbursement Requests

Grantees must use the DELPHI e-Invoicing System to request reimbursement. Delphi is the system through which all SMART grant invoice requests and payments will be made. All reimbursements will be reviewed before processing and approval. If a grantee submits a request for reimbursement that does not include or is not supported by sufficient detail, the USDOT may deny the request or withhold processing the request until the grantee provides sufficient detail.

Reimbursement requests should not be submitted more frequently than monthly. Ideally, grantees should not wait more than a quarter to submit a request. All requests must include the following:

• Request for Advance or Reimbursement for Non-Construction Programs (SF-270) or Report and Request for Advance or Reimbursement for Construction Programs (SF-271)
• Invoice from grantee organization to USDOT-OST
• A detailed breakdown of all costs incurred, including direct labor, indirect costs, other direct costs, travel, etc.
• Proof of payment for all expenses
• Summary Expenditure Tracker

Sole Source / Non-Competitive Procurement

Procurement by noncompetitive proposals, referred to as sole source procurement, is procurement through solicitation of a proposal from only one source. If a State or Indian Tribe recipient is conducting a sole source procurement, it must follow the same policies and procedures it uses for procurements from its non-Federal funds, pursuant to 2 CFR § 200.317. Sole source procurements by all other grant recipients, including subrecipients of a State, or Indian Tribe, must adhere to the standards set forth in 2 CFR § 200.320(c) in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

To help determine when a sole source procurement may be used, see SMART’s Sole Source Review Checklist. If a sole source is required, complete the Non-Competitive procurement justification and submit the form with all supporting documentation to your Grants Management Specialist.

SMART Fact Sheet: Non-Competitive Procurement Justification Guidance & Checklist.

BABA Requirements and Domestic Sourcing

For domestic sourcing compliance purposes and to ensure proper procurement, recipients shall coordinate with the SMART Program office to identify if their project is considered an Infrastructure project. If USDOT determines that a project is a "project for infrastructure," the recipient will comply with Build America Buy America (BABA) requirements. If USDOT determines that a project is not a "project for infrastructure," the recipient will comply with Buy American Act (BAA) requirements. The Recipient may participate in planning activities before project identification, as long as it does not include the purchasing of physical materials or a commitment to do so. Additional information can be found in the General Terms and Conditions Articles 7-30.

• SMART Domestic Sourcing Guidance

• BABA Slides from Summit

   

Browse the list of standard forms and templates below.

• Budget Justification Template
• Key Contacts
• Disclosure of Lobbying Activities (SF-LLL)
• Budget Information for Non-Construction Programs (SF-424A)
• Federal Financial Report (SF-425)
• Request for Advance or Reimbursement (SF-270)
• Outlay Report and Request for Reimbursement for Construction Programs (SF-271)

Browse the list of reporting requirements below broken out by fiscal year.

Browse presentations from past webinar and recordings.