693JJ319BAA0001_Accelerating_Market_Readiness_Final_for_posting.pdf

Broad Agency Announcement:

FHWA Accelerating Market Readiness Program 2019

FHWA Broad Agency Announcement No. 693JJ319BAA0001

FEDERAL HIGHWAY ADMINISTRATION

BROAD AGENCY ANNOUNCEMENT

No. 693JJ3-19-BAA-0001

TABLE OF CONTENTS

SECTION TITLE PAGE No.

A INTRODUCTION & PROGRAM OVERVIEW 3

B PROGRAM SCOPE, THRESHOLD OF INNOVATION,

AND FOCUS AREAS 5

C AWARD INFORMATION 9

D INSTRUCTIONS FOR SUBMISSION OF PROPOSALS 11

E EVALUATION OF BAA PROPOSALS 23

F BAA DOCUMENTS, EXHIBITS, OR ATTACHMENTS 26

A. INTRODUCTION & PROGRAM OVERVIEW

This Broad Agency Announcement (BAA) is contemplated in accordance with FAR 6.102(d)(2) and FAR 35.016. A formal Request for Proposals or other solicitations regarding this announcement will not be issued. This BAA is an expression of interest only, and does not commit the Government to pay any proposal preparation costs. All responsible sources capable of satisfying the Government's needs may submit a proposal. The Government reserves the right to award either contracts, assistance agreements, or other instruments determined to be of benefit to the Government in achieving the goals of this program.

A.1 PROGRAM OVERVIEW

23 U.S. Code § 503(c) of the United States Code establishes the Technology and Innovation Deployment Program (TIDP), which includes four initiatives:

• accelerated innovation deployment (AID);

• implementation of future strategic highway research program (SHRP2) findings and results;

• accelerated implementation and deployment of pavement technologies; and

• advanced transportation innovation deployment.

TIDP relates to all aspects of highway transportation, including planning, financing, operation, structures, materials, pavements, environment, construction, and the duration of time between project planning and project delivery. Existing programs under TIDP, such as Every Day Counts (EDC), enable FHWA to identify for accelerated deployment fully market-ready, proven but underutilized innovations relating to the aspects described above to shorten the project delivery process, enhance roadway safety, reduce congestion and improve environmental sustainability.

Numerous other innovations exist that have not yet been advanced to the fullest level of readiness for adoption by transportation agencies.

The authority to implement this AMR under TIDP falls under 23 U.S. Code § 503 (c)(2)(B) which commands the Secretary to, among other things, “develop improved tools and methods to accelerate the adoption of proven innovative practices and technologies as standard practices.”

Additionally, the authority to administer the AMR is found under 23 U.S. Code § 503 (c)(1) which commands the Secretary to:

[. . . ] carry out a technology and innovation deployment program relating to all aspects of highway transportation, including planning, financing, operation, structures, materials, pavements, environment, construction, and the duration of time between project planning and project delivery, with the goals of—

(A) significantly accelerating the adoption of innovative technologies by the surface transportation community;

(B) providing leadership and incentives to demonstrate and promote state-of-the-art technologies, elevated performance standards, and new business practices in highway construction processes that result in improved safety, faster construction, reduced congestion from construction, and improved quality and user satisfaction;

(C) constructing longer-lasting highways through the use of innovative technologies and practices that lead to faster construction of efficient and safe highways and bridges;

(D) improving highway efficiency, safety, mobility, reliability, service life, environmental protection, and sustainability; and

(E) developing and deploying new tools, techniques, and practices to accelerate the adoption of innovation in all aspects of highway transportation.

Accordingly, with the issuance of this BAA, FHWA launches an Accelerating Market Readiness (AMR) program as part of TIDP. The AMR program will provide resources for the rapid, national assessment of emerging innovations and for the development of objective-written documentation of these assessments. These activities are intended to help advance the innovations to a more complete market-ready status, which in turn should accelerate the adoption of the innovations by transportation agencies. In addition, the launch of AMR program will:

• Provide a shared-risk environment to conduct rapid, national-level, field proof-of-concept activities for emerging innovations and technologies with the maximum potential to shorten the project delivery process, enhance roadway safety, and improve the performance of the transportation infrastructure.

• Provide sound, objective, detailed, and coordinated evaluation of the emerging innovations and technologies that are supported in the AMR program.

• Document and communicate the findings provided above throughout the transportation community to foster the advancement of the emerging innovations and technologies into more widespread adoption and practice.

B. PROGRAM SCOPE, THRESHOLD OF INNOVATION, AND FOCUS

AREAS

Several challenges exist in the transportation industry that impede the successful integration of new innovations into widespread practice. The initial “hand off” of innovative products from the research community to implementers, and the subsequent adoption of these products into practice, can take many years. Once in the domain of the implementers, the products may be piloted, and the results of the pilot documented, but the benefit data compiled is often limited at best and the dissemination of the findings has not traditionally occurred in a fashion that encourages wider piloting (and higher rates of adoption) of a product in the transportation marketplace. In other instances, the opportunities to conduct proof of concept assessments, and pilot these emerging innovations, are limited by unclear and uncertain pathways and a conservative culture within the transportation industry.

B.1 PROGRAM SCOPE

The AMR program is intended to identify and spur the advancement, into the marketplace, of emerging and transformative innovations and technologies in the transportation industry.

Innovation, in this sense, refers to “scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution.”1 This BAA will spur such advancement by soliciting interested transportation organizations to evaluate the innovations’ potential benefits through field experiments or tests, and objectively document the findings to widen the knowledge base on these innovations. The innovations and technologies to be supported by AMR program resources are those that:

• significantly advance conventional practice;

• address knowledge and technological gaps;

• significantly advance the state-of-the-art; or

• constitute a sea change in the development and delivery of transportation projects and programs.

For purposes of this announcement, innovations and technologies may include, but are not limited to:

• project delivery methods that improve work zone safety for motorists or workers and the quality of the facility;

• engineering or design approaches, manufacturing processes, financing, or contracting or project delivery methods that improve the quality of, extend the service life of, or decrease the long-term costs of maintaining highways and bridges;

• practices that accelerate project delivery while complying with other applicable Federal laws (including regulations) and not causing any significant adverse environmental impact; or

1 48 CFR 35.016(a)

• practices that reduce congestion related to highway construction.

To accomplish the program goals, FHWA will provide AMR program funding for the following related activities:

• Conducting field study, evaluation and assessment activities, including necessary data collection and data analysis;

• As appropriate, incorporating the proposed innovation or technology into any phase of a transportation project as a trial or pilot;

• Documenting the findings and results of the field assessment and/or transportation project trial findings

FHWA anticipates that by providing resources to foster innovations and technologies to the deeper level of market readiness, the AMR program will create more strategic linkages between the research community and the transportation field practitioner as well as identify future needs for research and development activities.

The AMR program also serves to advance the goals of the existing Cooperative Agreement between the FHWA Center for Accelerating Innovation and the American Association of State Highway Transportation Officials (AASHTO) Innovation Initiative (AII) by identifying the market readiness of potentially transformative innovations and conducting the steps necessary to get the innovation ready for national deployment. The FHWA-AII collaboration provides an additional opportunity to use existing technology deployment programs and resources to more effectively address the challenge of accelerating market readiness and making the findings of technology deployment efforts more readily available to decision-makers. This BAA will potentially identify AASHTO members interested in testing and evaluating the AMR innovations. For additional information on the AASHTO AII please visit:

http://aii.transportation.org

B.2 THRESHOLD OF INNOVATION

The frame of reference FHWA will use to evaluate the appropriateness of innovations to be advanced through the AMR program is the Technology Readiness Level (TRL). See BAA Attachment F.1 – Technology Readiness Levels. TRLs are formal metrics that support assessments of the maturity of a technology using a set of standard questions to measure progress of a technology toward maturity. The TRL scale considers two aspects of the testing completed for a particular innovation or technology:

• How complete was the technology when it was tested? Was it a paper-and-pen concept, a system of equations, a component, a subsystem, or the complete system?

• How representative was the test environment?

The AMR program will assess and evaluate emerging and transformative innovations and technologies that are at a TRL of 5 or higher, with the goal to advance and accelerate the innovations’ readiness for potential adoption by the transportation community. The AMR http://aii.transportation.org/ program is not intended to serve as resource to initiate or continue ongoing basic research activities, or to support the development of a specific system or hardware innovation or technology. The purpose of AMR is to increase understanding on the readiness of innovations or technologies as they emerge from the research activities and document what is necessary to bring them to a more market-ready status.

More information about Technology Readiness Levels is located at:

http://www.fhwa.dot.gov/advancedresearch/trl_h.cfm.

B.3 PROGRAM FOCUS AREAS

The AMR program shall be established with sufficient flexibility to enable awards to support key U.S. Department of Transportation and FHWA goals in safety, accelerating project delivery, and infrastructure performance. Additionally, this solicitation is intended to address specific technology and knowledge gaps that will help reduce transportation related fatalities and serious injuries; accelerate project delivery, reduce project life cycle costs and optimize the operation and performance of existing transportation facilities.

In support of the program scope and desired outcomes described above, the following topics are intended to guide potential offerors, and are based on authorizing legislation, the strategic needs of the U.S. Department of Transportation and FHWA, and, where appropriate, stakeholder input.

B.3.1 TOPIC 1 - SAFETY

Safety has consistently been the top DOT strategic and organizational goal, and FHWA has long worked to reduce the number of fatalities and serious injuries on U.S. roadways by developing, evaluating, and employing lifesaving countermeasures; advancing data-driven decisions; and promoting an integrated, multidisciplinary (engineering, education, enforcement, and emergency medical services) approach to safety. FHWA is seeking AMR proposals for innovative technologies to save lives and reduce serious injuries in the following areas:

• How can highway design, infrastructure, and traffic control devices be changed to address safety risks?

• How can safety data analysis be improved upon or used in better ways to guide transportation agencies’ decisions?

• How can the disproportionate transportation safety risks on State and locally owned roads in rural communities be mitigated?

• How should the infrastructure be changed to facilitate faster deployment of automated vehicles?

B.3.2 TOPIC 2 - SHORTENING PROJECT DELIVERY

By making efficient and effective infrastructure decisions, using innovative forms of financing, and encouraging partnerships between public and private sectors, DOT can maximize the returns http://www.fhwa.dot.gov/advancedresearch/trl_h.cfm.

to the Nation’s economy and people. FHWA is seeking AMR proposals for innovative technologies to be used at any stage during the project development and delivery cycle to address the following:

• How can project development and delivery processes be improved or streamlined to provide timely benefits to users while safeguarding our communities and maintaining a healthy environment?

• How can Federal investments be better targeted toward transportation projects that address high priority infrastructure needs?

• How can State and local resources and private sector engagement be better leveraged?

B.3.3 TOPIC 3: INFRASTRUCTURE PERFORMANCE

Targeted transportation investments are needed to preserve mobility and accessibility of the traveling public and freight movements. FHWA is seeking AMR proposals for innovative technologies to address the following:

• How can our transportation system’s operations and performance be improved through the entire life cycle of the infrastructure facilities?

• How can the use of innovative maintenance and preservation strategies help restore the transportation infrastructure and assets to a state of good repair?

• How can the infrastructure be planned, constructed and maintained using best operational and risk management practices?

B.4.4 ADDITIONAL/FUTURE TOPIC AREAS

FHWA continues to investigate other specific areas for potential breakthrough opportunities.

FHWA welcomes questions or thoughts about opportunities and other areas of focus that could lead to transformational changes in transportation program and project delivery. Through future BAAs, FHWA may change or modify the topic areas listed above or add topic areas to best address the strategic objectives of the U.S. Department of Transportation and the FHWA.

C. AWARD INFORMATION

C.1 AWARD TYPES

The Government may award allocations to States DOTs, contracts or assistance agreements, as a result of this BAA. In consultation with the technical evaluators, the Contracting Officer (CO) will make the determination whether a contract or assistance agreement will be awarded. Three factors affect the decision to award a procurement contract or assistance award, and if an assistance award, a grant or cooperative agreement. The three factors are:

• Legislative authority

• Principal purpose

• Degree of federal involvement

The authority to enter into assistance agreements for this effort and the costs sharing requirements is found under 23 U.S.C. § 502 - Surface Transportation Research, Development, and Technology, paragraph (b)(3)(C), which states: “The Secretary may carry out research, development, and technology transfer activities related to transportation…by making grants to, or entering into contracts and cooperative agreements.”

Assistance agreements differ from contracts in several key ways:

1) The primary goal of a procurement contract is to procure goods or services for the use of or to directly benefit the federal awarding agency; the primary goal of an assistance agreement is to further a public purpose.

2) Procurement contracts allow for the vendor/supplier to make a profit, while assistance agreements are cost-reimbursable agreements in that the only permissible charges are actual costs that are directly related to the project and an amount of indirect costs based on an agreed-upon rate.

3) Procurement contracts require “deliverables” that the CO/Contracting Officer’s

Representative must test and accept; assistance agreements do not include deliverables, but may require other submissions described in the award document.

C.2 COST SHARE

Due to the requirements of Public Law 114-94, Section 6002(a), for allocations to States or assistance agreements, the Government requires a non-federal cost share of at least 20 percent from non-federal sources of funding.

C.3 FUNDING

Funding is available in the total amount of $3 million dollars for all awards under this BAA. The Government anticipates up to eight (8) contracts, cooperative agreements or funding allocations may be awarded. The Government estimates that AMR awards will range in value between $200,000 and $500,000.

C.4 ANTICIPATED AWARD DATE

The Government anticipates that proposals funded would have an approximate award date beginning in Fiscal Year 2019 through Fiscal Year 2020.

C.5 PERIOD OF PERFORMANCE

The Government anticipates a 12 to 24-month period of performance for individual awards to conduct the AMR program activities dependent on the technologies identified.

C.6 OTHER AWARD INFORMATION

Awards under this program may be subject to the requirements of Section 508 of the Rehabilitation Act, depending on the type of final products or reports to be delivered under each award. The Act requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments. Proposers can view Section 508 of the Rehabilitation Act (http://www.access-board.gov/508.htm) and the Federal IT Accessibility Initiative (Home Page) (http://section508.gov/) for detailed information.

The Paperwork Reduction Act of 1995 (PRA): Offerors are advised that any activities involving information collection (i.e., surveys, questionnaires, etc.) from 10 or more non- Federal entities, including States, are subject to PRA requirements and may require the FHWA to coordinate an OMB Information Collection Clearance, a process that generally takes six months or more.

D. INSTRUCTIONS FOR SUBMISSION OF PROPOSALS

The Offeror is required to follow the guidance contained herein. The following sections provide information on proposal format, the submission process, evaluation and funding processes, and other general information. The Offeror may submit more than one proposal; however, each submittal must be in response to a complete and standalone innovation that supports a topic on the BAA. The topic of the proposal must be clearly identified in the proposal title on the cover page.

D.1 BAA QUESTIONS

Questions concerning the BAA shall be submitted via e-mail to the FHWA Contracting Officer. Questions shall be provided using Attachment F.3 – BAA Question and Answer Model. All questions should be provided to:

Matthew Carr Contracting Officer Federal Highway Administration Telephone: (202) 366-8404 Email: Matthew.Carr@dot.gov

Questions regarding this BAA solicitation shall be submitted no later than 10:00 AM (EST), March 14, 2019. Responses to questions received will be provided via an amendment to the

BAA.

D.2 BAA PROPOSAL DUE DATES

D.2.1 WHITE PAPER PROPOSAL SUBMISSION DUE DATE

The Offeror shall submit a signed and dated white paper proposal in accordance with Section D.5.1 of this BAA no later than 10:00 AM (EST), April 13, 2019. Proposals shall be submitted in an electronic format (Word, Excel, and PDF) to the following email address:

Matthew.Carr@dot.gov. BAA White Papers shall be provided at or before the exact time specified in this section of the BAA.

D.2.2 FINAL PROPOSAL SUBMISSION DUE DATE

The Offeror shall submit a signed and dated final proposal in accordance with Section D.5.2 of this BAA by the data and time specified in the Government’s request for the final proposal submission. The Government anticipates that this request will be made within one-month of the White Paper submission date. Proposals shall be submitted in an electronic format (Word, Excel, and PDF) to the following email address: Matthew.Carr@dot.gov. The final proposal shall be provided at or before the exact time specified in this section of the BAA.

mailto:Matthew.Carr@dot.gov

D.3 BAA INFORMATIONAL WEBINAR

The Government will host an Informational Session regarding this BAA for the Accelerating Market Readiness Program. This session will be conducted as a virtual forum and will focus on specific topics to help interested parties gather additional information and ask specific questions.

Participation in this session is not mandatory to submit a proposal under this BAA solicitation.

INFORMATIONAL SESSION:

SESSION: Virtual Webcast: Background and Information Accelerating Market Readiness

Program.

DATE: TBD

TIME: TBD

INFORMATION AND REGISTRATION: https://connectdot.connectsolutions.com

*An amendment to the BAA will be issued to update the date, time and webinar link.

D.4 PROPOSAL FORMATTING

The Offeror shall adhere to the following format requirements in the White Paper and Final Proposals:

(a) Proposal title shall adhere to the following naming convention: “Topic #, Proposer –

FHWA AMR BAA 2019”

(b) Proposals shall be prepared on 8½ x 11-inch paper.

(c) A page is defined as one side of an 8 ½ by 11-inch sheet of paper. Therefore, a sheet with printing on both sides is considered two pages.

(d) Text shall be printed using a Times New Roman or Arial font, size no less than 12-point font.

(e) Page margins (exclusive of headers and footers) shall be a minimum of 1inch top, bottom and each side. Columns shall not be used as they are difficult to read electronically.

(f) Footnotes, legends, or labels associated with tables or diagrams, and other information that is ancillary to the main text, may be presented in a

(g) Font size smaller than 12-point font---provided that any such smaller font is fully legible.

D.5 PROPOSAL CONTENT REQUIREMENTS

D.5.1 WHITE PAPER (6 - PAGE LIMIT)

The White Paper shall not be longer than six pages in length, and any additional pages exceeding the limit will not be reviewed or evaluated. Any appendices or other documents submitted shall https://connectdot.connectsolutions.com/e4x9x0mcr0a/event/registration.html count against the page limit and shall be limited to figures that directly support items discussed in the text of the White Paper. White Papers with less than the maximum number of allowed pages will not be penalized. Offerors are encouraged to submit concise, but descriptive, proposals.

The White Paper shall include the following:

A. Cover Page: This must include (1) the BAA number, (2) proposal title, (3) type of organization (State DOT, local public agency, private sector/industry, public/private sector partnership, etc.) (4) estimated project duration, (5) technical and administrative points of contact including addresses, telephone numbers, electronic mail addresses, (6) type of award anticipated (allocation, contract, or assistance agreement) and (7) a project abstract of no more than 200 words. The cover page does not count against the page limit for the proposal.

B. Executive Summary: The summary should include:

1. A description of the proposed innovation to be tested/evaluated and how the innovation meets the objectives of the program; a discussion of the relevance to Department and FHWA strategic initiatives and national goals;

2. A discussion of the conventional practice relevant to the proposed AMR innovation, and description of the how the innovation provides a significant advancement to this practice; a description of how a more widespread use of the AMR innovation will advance the current practice when the innovation is market ready;

3. A discussion of the innovation’s current market place and anticipated market demand following inclusion in the AMR program, including the potential for the innovation to be advanced through the FHWA EDC program. Proposal should address the following:

a) Approach proposed to conduct the assessment of the innovation; identification of

State DOTs or other transportation organizations as committed to participating or partnering in the field assessment and evaluation activities;

b) Applicability of the innovation in diverse settings (e.g., urban/rural, large and small states/regions, diverse climates and conditions); and

c) Opportunity for the innovation to spur complementary advances.

4. Identification of the innovation’s present TRL, and discussion of how through AMR activities the innovation will achieve a TRL of 7 or greater; a summary of evaluations/assessments previously conducted on in the innovation and by whom;

identification of operational parameters/conditions and any obstacles or challenges encountered in getting the innovation to a market-proven state;

5. A description of the process and metrics proposed to calculate and describe the anticipated return on investment and impact of the innovation (e.g., in terms of roadway safety, project delivery, infrastructure performance); the contribution and relevance of this proposed innovation to related DOT and FHWA goals and programs

6. An overview of the technical approach proposed to conduct the innovation proof of concept/assessment activities and documentation of findings; identification of any organizations (e.g., other State dots, local agencies, etc.) That are committed to participate in the assessment process; discussion of any ongoing efforts to obtain additional partners for assessment process;

7. An identification and description of any patented or proprietary items to be evaluated.

Per the FHWA definition:

Patented or Proprietary Product: A product, specification, or process identified in the plans or specifications as a "brand" or trade name. However, it may also be a product so narrowly specified that only a single provider can meet the specification. A proprietary product must meet one of the conditions listed under 23 CFR 635.411(a) or (c) for Federal funds to participate in its use on a Federal-aid highway construction project.

For more information, please refer to the definitions section of the FHWA’s Questions and Answers Regarding Title 23 CFR 635.411.

C. Business Information: (not included in the 6-page limitation above) All offerors shall include in the Initial Proposal the following mandatory business information regarding your business or institution:

1. Business Type (Small, Large, State, etc.)

2. Federal Tax Identification Number (TIN)

3. Dun & Bradstreet Number

4. Confirmation of a current SAM.gov registration for your organization

5. Name and contact information (mail address, telephone, and email address) of your authorized business representative/point of contact

6. A preliminary and summary level cost estimate to accomplish the technical approach described; identification of required non-Federal cost share (required for proposed allocations to a State or for assistance agreements)

D.5.2 FINAL PROPOSAL

In accordance with the evaluation methodology procedures outlined in Section E.1 of this BAA, if a White Paper is evaluated and determined to have technical merit for the AMR program, the Government will request the Offeror submit a Final Proposal, which shall include a detailed technical proposal and a budget or cost/price proposal. The Offeror will be allowed to choose whether it elects to submit a budget proposal that will result in the award of an allocation to a State DOT or an assistance agreement, or a cost/price proposal that will result in the award of a https://www.fhwa.dot.gov/programadmin/contracts/011106qa.cfm#_Hlk307505978 https://www.fhwa.dot.gov/programadmin/contracts/011106qa.cfm#_Hlk307505978 contract. A formal contract award document or assistance agreement award document, with all terms and conditions for award, will be provided to the Offeror with the request for the Final Proposal submission.

D.5.2.1 VOLUME I: TECHNICAL PROPOSAL (10 - PAGE LIMIT)

The Offeror shall submit a Final Proposal that provides a detailed technical approach off the concept(s) presented in the initial White Paper. Content and page limits for the technical information in the Final Proposal are as follows:

1. Statement of Work (SOW) (maximum 5 pages): This section must include relevant background, objectives, and the technical approach for assessment and evaluation of the innovation. The assessment plan should include, but not be limited to, a discussion of all supporting activities (e.g., laboratory testing, field trials, incorporation of the innovation in a transportation project, etc.) and evaluation surveys. This section identifies all entities proposed to participate in the work (e.g., a State Department of Transportation conducing a field assessment, state university conducting the assessment documentation, etc.).

2. Management Plan (maximum 2 pages): This section must describe the overall approach to management of this evaluation and assessment, including a brief discussion of the proposed organization and the use of personnel and other resources. This section should also describe any partnership structure between the entity proposing work and other public and private sector entities funding or otherwise substantially participating in the work, including State Departments of Transportation, Metropolitan Planning Organizations, Universities, etc.

3. Schedule, Milestones, and Evaluation Metrics (maximum 2 pages): This section must provide a summary of the schedule, milestones, and associated evaluation metrics for the proposed effort. This section also must describe any critical technical areas and activities related to the proposed assessment and indicate approaches for mitigating technical and schedule risk. This section should provide discussion on how FHWA will know the work conducted or managed by the awardee has been successful.

4. Deliverables and Products (maximum 1 page): This section must describe and enumerate any anticipated deliverables for the proposed effort, including documentation and reporting elements. This section should describe a strategy for how the results will be made sharable to other transportation stakeholders.

D.5.2.2 VOLUME II - CONTRACT COST/PRICE PROPOSAL (NO PAGE LIMIT)

Note to Offerors: This section only applies to an Offeror that elects to submit a proposal for the award of a contract. The Offeror may propose a Cost Reimbursement cost proposal or a Time-and-Materials price proposal. Please note that for cost type contracts, the Offeror must have an acceptable accounting system for cost type Government contracts. An Offeror without an approved accounting system should consider submitting a Time-and-Material price proposal.

The Offeror shall provide Volume II of its Final Proposal organized by the following sections:

Part A – Cover Letter Part B – Cost/Price Information Part C – Other Financial/Organizational Information Part D – Small Business Subcontracting Plan (not included for assistance agreement)

The sections of Volume II – Contract Cost/Price proposal shall include the following information:

A. Cover Letter: The proposal shall include a cover letter that is signed and dated by the Offeror, and contains the following information:

a. Proposal title: “Topic #, Proposer – FHWA AMR BAA 2019”

b. Business Type (Small, Large, State, etc.)

c. Federal Tax Identification Number (TIN)

d. Dun & Bradstreet Number

e. Confirmation of a current SAM.gov registration for your organization

f. Name and contact information (mail address, telephone, and email address) of your authorized business representative/point of contact

B. Cost/Price Information: The Offeror shall provide detailed cost/price information. The Offeror shall present cost/price information using the Cost Reimbursement or Time-and- Materials workbooks in Attachment F.3 – Budget or Cost/Price Proposal Models.

The Offeror’s cost/price information shall include the total costs for the proposed period of performance. The detailed cost and price information in the Contract Cost/Price Proposal must also include a separate breakdown of costs by major SOW task areas. The Offeror shall use the same task or subtask numbers as described in the SOW submitted in its technical proposal. If necessary, the Government will request additional back-up information, as appropriate.

Note: The total amount of federal funding that is available for all awards resulting under this BAA is $3 million. FHWA estimates that individual AMR proposals and awards will range in total cost between $200,000 and $500,000.

Cost Reimbursement Cost Proposal

If the Offeror elects to submit a cost reimbursable proposal, the Offeror shall provide a detailed cost break-down showing all its proposed costs by each major cost category, including (as applicable) direct labor, fringe benefits, subcontract costs, other direct costs (travel, equipment, etc.), and indirect costs for the proposed effort.

For each major cost category, the Offeror’s price proposal shall include:

Direct Labor:

o Personnel by name or labor category o Number of hours proposed (commercial organizations) or percent of effort

(organizations subject to OMB Circulars) o Hourly unburdened labor rate (commercial organizations) or salary rate and basis (9- or 12-month basis) (organizations subject to OMB Circulars) o Fringe Benefits Rates applied o Profit/Fee percentage and amount

Other Direct Costs. Other Direct Costs shall be supported by explanation of estimating factors and other relevant supporting details. For example, travel costs shall be supported by detail on the estimated trips, number of travelers, and associated costs for airfare, per diem, other transportation, etc. A similar level of detail shall be provided for any meeting costs, equipment, duplication/printing charges, and other direct costs.

Indirect Costs. Discuss your proposed rates for all years. Identify the various specific indirect rates and what they are based on (e.g., labor overhead based on direct labor dollars) and how they are applied/calculated. State any differing rate applications (for example if there is a different proposed rate when applied to travel or material purchases than when applied to subcontractor costs). Offerors must provide dollar values as well as percentages.

Subcontractor costs should be fully detailed, and the information used by the proposer to analyze the price of the subcontract shall be provided. An SF1411 is not required for this submission of your proposal.

Details of any cost sharing to be undertaken by the Offeror shall also be included in the cost section. Describe the type of funds (cash, in-kind, etc.) and its contribution and relationship in enhancing the proposed effort.

Time-and-Materials Price Proposal

If the Offeror elects to submit a Time-and-Materials price proposal, the Offeror shall provide a detailed itemized break-down of all the proposed prices, including: fully loaded direct labor hours and rates, the number of hours proposed for each category by the SOW tasks proposed, any proposed sub-contractor prices, and all other direct costs (e.g. travel, equipment, etc.).

Assumptions

For all cost/price proposals, the Offeror shall submit, under a separate tab, all (if any) assumptions or conditions upon which the cost/price proposal is based.

C. Other Financial / Organizational Information: The Offeror shall provide the following financial and organizational information in its Volume II – Contract Cost/Price Proposal:

1. Standard Form LLL - Submit a completed Standard Form LLL, Disclosure of

Lobbying Activities. See Attachment F.4 – Standard Form LLL, Disclosure of Lobbing Activities

2. Terminated Contracts - List any contract that was terminated for convenience of the Government within the past 3 years, and any contract that was terminated for default within the past 5 years. Briefly explain the circumstances in each instance.

3. A completed copy of the Offeror’s Representations and Certifications if the Offeror is not registered and in the System for Award Management with completed representations and certifications.

4. Conflicts of Interest - The Offerors shall provide a brief statement in its proposal that describes in a concise manner all past, present or planned organizational, contractual or other interest(s), which may affect the Offerors' ability to perform the proposed contract in an impartial and objective manner. The Contracting Officer will review the statement and may require additional relevant information from the Offerors. In accordance with FAR Subpart 9.5, all such information, and any other relevant information known to DOT, will be used to determine whether an award to the Offerors may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the Contracting Officer may (a) disqualify the Offerors, or

(b) determine that it is otherwise in the best interest of the United States to contract with the Offerors and include appropriate provisions to mitigate or avoid such conflict in the contract awarded.

5. If subcontractors and/or individual consultants will be used in carrying out the requirements of this project, the following minimum information concerning the subcontractor shall be furnished: Name and address of the subcontractor or consultant.

D. Subcontracting Plan: The evaluation of Small Business Subcontracting Plan will be conducted in Phase 2 of the evaluation, and it will only be evaluated for those Offeror’s that elect to submit a Final Proposal that will result in a contract award over $700,000. A Small Business Subcontracting Plan is only required from entities that are other than small businesses. Proposals submitted from other than small businesses that exceed $700,000 in total value, must include a Small Business Subcontracting Plan in accordance with the Federal Acquisition Regulation Part 19.7. Each prime Offeror who is other than a small business shall include within its proposal a complete copy of the prime offeror’s Master Subcontracting Plan, satisfactorily addressing all of the administrative requirements set forth in FAR section 52.219-9. The Offeror shall also submit a subcontracting plan in accordance with the instructions/format in Attachment F.5 - Small Business Subcontracting Plan to this BAA. In the event that the Offeror has no such plan, the form shall be submitted with “no plan identified” indicated on the form as applicable and the offeror shall submit a statement of circumstances supporting that determination.

D.4.2.3 VOLUME II – BUDGET PROPOSAL (NO PAGE LIMIT)

Note to Offerors: This section only applies to an Offeror who elects to submit a proposal for the award of an assistance agreement. In addition, this section applies to the award of an assistance agreement that will results in an allocation to a State DOT. The Offeror shall provide Volume II of its Final Proposal organized by the following sections:

Part A – Cover Letter Part B – Application Forms (SF 424, SF 424A, SF 424B and the SF LLL) Part C – Itemized Cost Detail and Budget Narrative Part D – Other Financial/Organizational Information

The sections of Volume II – Budget Proposal shall include the following information:

A. Cover Letter: The proposal shall include a cover letter that is signed and dated by the Offeror, and contains the following information:

a. Entity Name

b. Federal Tax Identification Number (TIN)

c. Dun & Bradstreet Number

d. Confirmation of a current SAM.gov registration for your organization

e. Name and contact information (mail address, telephone, and email address) of your authorized business representative/point of contact

B. Application Forms: The proposal shall include a copy of the SF 424, SF 424A, SF 424B and the SF LLL. Copies of these forms can be found at the following link:

https://www.grants.gov/web/grants/forms/sf-424-family.html. When filling out these forms, the Offeror shall note:

a. SF424 - Applicants may leave fields 5a, 5b, 6, 7, and 13 blank on the form.

b. SF424A - Section A:

1. Block 1(a): Print opportunity title listed on page 1;

2. Block 1(b): Print CFDA No. 20.200 number on page 1;

3. Block 1(c): Print Total Federal Funds Requested in dollars;

4. Block 1(d): Print Total Cost Share in dollars, and leave columns (e), (f), and (g) and rows 2, 3, and 4 blank; and

5. SFLLL - The form must be completed and submitted even if no lobbying to report. If no lobbying to report insert none or N/A in the relevant blocks.

https://www.grants.gov/web/grants/forms/sf-424-family.html

C. Cost/Price Information: The Offeror shall provide a detailed cost/price information.

The Offeror shall present the cost/price information using the Budget Proposal workbook in Attachment F.3 - Budget or Cost/Price Proposal Models. The Offeror’s cost/price information shall include the total budgeted costs for the proposed period of performance.

The detailed cost and price information in the budget proposal must also include a separate breakdown of anticipated costs by major SOW task areas. The Offeror shall use the same task or subtask numbers as described in the SOW submitted in its technical proposal. If necessary, the government will request additional cost back-up information, as appropriate.

Note: The total amount of federal funding that is available for all awards resulting under this BAA is $3 million. FHWA estimates that individual AMR proposals and awards will range in total cost between $200,000 and $500,000.

For each major cost category in the SF 424A, the Offeror’s shall provide itemized cost data and budget narrative, including:

1. Detailed Excel (or compatible) workbook containing the information in Budget

Proposal workbook in Attachment F.3 - Budget or Cost/Price Proposal Models.

The Offeror must provide cost and price information supporting all estimated costs, and clearly delineate total cost, federal share and non-federal cost share. The Offeror shall provide budget narrative support its cost and price information, include:

a. Labor Rates- Direct labor-by-labor categories to include hours, rates and escalation. Anticipated promotions for any personnel must be included with the escalation calculation. The annual direct labor escalations rate and its basis should be clearly stated with the proposal. Discuss your proposed rate as compared to historical experience and include when and how escalation will be calculated/implemented.

b. Indirect Rates- Discuss your proposed rates for all years. Identify all the various specific indirect rates including what they are (pool and base), and what they are based on (e.g.; labor overhead based on direct labor dollars) and how they are applied/calculated. Provide dollar values as well as percentages. Please also provide any audit information to support these rates (for example, a copy of signed Department of Health of Human Services rate agreement).

Note: Per 2 CFR 200.414(f), Indirect (F&A) Costs, an Applicant may elect to propose a de minims indirect rate of 10% of modified total direct costs.

c. Other Direct Costs- Applicants must provide a breakout and justification of Other

Direct Costs by Category (travel, equipment, etc.)

d. If subcontractors/sub-recipients (lower-tiered organizations and/or individual consultants) will be used in carrying out this project, the following minimum information concerning such, must be furnished:

1. Name and address of the organization or consultant.

2. Description of the portion of work to be conducted by the organization or consultant.

3. Cost details for that portion of work.

4. Applicant’s cost/price analysis of each sub- recipient/contractor(s) showing how their price is fair and reasonable (this includes any sub-recipient/contractor(s) that will be included in the Federal share or the non- Federal share); and

5. Letter of commitment from each sub-recipient/contractor(s) (this includes any sub-recipient/contractor(s) that will be included in the Federal share, the non- Federal share or in a non-paid (volunteer) capacity).

e. Provide supporting information on how the Offeror will fulfill the non-federal cost share requirements, including sources of cost share and letters of commitment.

D. Other Financial / Organizational Information: The Offeror shall provide the following financial and organizational information in its Volume II – Budget Proposal:

1. Identify any preexisting intellectual property the Offeror anticipates using during award performance, and the Offeror’s position on its data rights during and after the award period of performance.

2. A statement to indicate whether the Offeror has previously completed an A-133 Single Audit and, if so, the date that the last A-133 Single Audit was completed.

3. A statement regarding Conflicts of Interest. The Offeror must disclose in writing any actual or potential personal or organizational conflict of interest in its application that describes in a concise manner all past, present or planned organizational, contractual or other interest(s), which may affect the Offeror’s ability to perform the proposed agreement in an impartial and objective manner. Actual or potential conflicts of interest may include but are not limited to any past, present or planned contractual, financial, or other relationships, obligations, commitments or responsibilities, which may bias the Offeror or affect the Offeror’s ability to perform the agreement in an impartial and objective manner. The CO will review the statement(s) and may require additional relevant information from the Offeror. All such information, and any other relevant information known to DOT, will be used to determine whether an award to the Offeror may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the CO may (a) disqualify the Offeror, or (b) determine that it is otherwise in the best interest of the United States to contract with the Offeror and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

4. A statement to indicate whether a Federal or State organization has audited or reviewed the Offeror’s accounting system, purchasing system, and/or property control system. If such systems have been reviewed, provide summary information of the audit/review results to include as applicable summary letter or agreement, date of audit/review, Federal or State point of contact for such review.

Terminated Contracts - List any contract/agreement that was terminated for convenience of the Government within the past 3 years, and any contract/agreement that was terminated for default within the past 5 years. Briefly explain the circumstances in each instance.

7. The Offeror is directed to review Title 2 CFR §170 (http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl) dated September 14, 2010, and Appendix A thereto, and acknowledge in its application that it understands the requirement, has the necessary processes and systems in place, and is prepared to fully comply with the reporting described in the term if it receives funding resulting from this Notice. The text of Appendix A will be incorporated in the award document as a General Term and Condition as referenced under this Notice’s Section F, Federal Award Administration Information.

8. Disclose any violations of Federal criminal law involving fraud, bribery, or gratuity violations. Failure to make required disclosures can result in any of the remedies described in 2 CFR 200.338 entitled Remedies for Noncompliance, including suspension or debarment. (See also 2 CFR Part 180 and 31 U.S.C. 3321).

http://www.ecfr.gov/cgi-bin/text-

E. EVALUATION OF BAA PROPOSALS

The Government reserves the right to select for award any, all, part, or none of the proposals received in response to this announcement. In addition, the Government reserves the right to award either contracts, assistance agreements, or other instruments determined to be of benefit to the Government in achieving the goals of this program.

It is the policy of the FHWA to treat all proposals as competitive information and to disclose the contents only for the purposes of evaluation. The Government may use selected stakeholder organizations as special resources to provide feedback and input into the evaluation of proposal.

All evaluators reviewing proposals from this BAA will be required to sign a conflict of interest statement, and a non-disclosure agreement. By submission of a proposal, the Offeror agrees that proposal information may be disclosed to those selected organizations for the limited purpose stated above.

E.1 EVALUATION METHODOLOGY

The Government will utilize a phased approach for the evaluation of proposals in response to this BAA. The evaluation will consist of two phases. In Phase 1 of the evaluation, the Government will review and assess the technical merit of each Offeror’s White Paper. Based on the Phase 1 evaluation results, the Government will select Offerors to advance to the next phase. Selected Offerors will be invited to submit a Final Proposal. In Phase 2 of the evaluation, the Government will review and assess the technical merit of the Offeror’s Final Proposal. Based on the Phase 2 evaluation results, the Government will select awardees. The required conflict of interest statements and non-disclosure agreements will be utilized to mitigate against possible bias in selection decisions. Additional information on the phased evaluation methodology is delineated below:

Phase 1 –White Paper Evaluation

The Government will review and evaluate Phase 1 proposals in accordance with Factor 1 – Technical Merit of White Paper to determine which proposals best demonstrate the potential for national-level impact by inclusion in the AMR…