693JJ323NF00006_NOFO_5-11-23.pdf

693JJ323NF00006

NOTICE OF FUNDING OPPORTUNITY FOR “ADVANCING SUSTAINABILITY AND

RESILIENCE IN PAVEMENTS”

AGENCY: U.S. Department of Transportation (DOT), Federal Highway Administration

(FHWA).

ACTION: Notice of Funding Opportunity (NOFO) for “Advancing Sustainability and Resilience in Pavements”.

FUNDING OPPORTUNITY NUMBER: 693JJ323NF00006 issued May 11, 2023.

ASSISTANCE LISTING NUMBER: 20.200 Highway Research & Development

TOTAL AMOUNT AVAILABLE: This NOFO will result in the award of one (1) cost-reimbursable cooperative agreement. The FHWA anticipates Federal funding up to a total amount of $1,500,000 per year may be made available for this Agreement, subject to the availability of funds, for a total potential Federal share of $7,500,000.

DEADLINE FOR APPLICATIONS: June 26, 2023, at 11:59 PM (Eastern).

QUESTIONS DUE DATE: Any questions regarding this NOFO are due to FHWA Point of Contact, Freida Byrd, Agreement Specialist at Freida.Byrd@dot.gov, no later than May 22, 2023, at 4:00 PM (Eastern).

SUBMIT APPLICATIONS TO: The FHWA uses www.grants.gov for receipt of all applications. Applicants must register and use the system to submit applications electronically.

Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this Notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor for any updates to this Notice.

FHWA POINT OF CONTACT:

Freida Byrd Agreement Specialist Office of Acquisition and Grants Management Federal Highway Administration U.S. Department of Transportation 1200 New Jersey Ave., SE.

Washington, DC 20590 Email: Freida.Byrd@dot.gov Phone: (202) 366-6547 mailto:Freida.Byrd@dot.gov http://www.grants.gov/

Alternate:

Hector Santamaria Agreement Officer Office of Acquisition and Grants Management Federal Highway Administration U.S. Department of Transportation 1200 New Jersey Ave., SE.

Washington, DC 20590 Email: Hector.Santamaria@dot.gov Phone: (202) 493-2402

Each section of this notice contains information and instructions relevant to the application process. The applicant should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications.

The FHWA will not review applications in advance, but FHWA staff are available for technical questions and assistance. In addition, FHWA will post answers to questions and requests for clarifications at Grants.gov under this NOFO’s page.

mailto:Hector.Santamaria@dot.gov

TABLE OF CONTENTS

SECTION TITLE PAGE

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 CONTACT(S)

H

OTHER INFORMATION

NOTE: This notice contains collection-of-information requirements subject to the Paperwork Reduction Act.

The collection of information through the use of Standard Forms 424, 424A, 424B, 424C, 424D, and SF-LLL has been approved by OMB under 2105-0520. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the Paperwork Reduction Act, unless that collection displays a currently valid OMB control number.

SECTION A - PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this Notice of Funding Opportunity (NOFO) is to solicit applications to result in the award of a new Cooperative Agreement, entitled, “Advancing Sustainability and Resilience in Pavements.”

This opportunity is being issued under assistance listing number 20.200, Highway Research & Development.

For more than 10 years, Sustainable Pavements Program (SPP) has been working to advance the knowledge and practice of sustainability related to pavement systems, encourage infrastructure sustainability, including quantification of environmental impacts through the use of lifecycle assessment (LCA) and environmental product declarations (EPDs).

The Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), which passed in 2021, included a Carbon Reduction Program. Furthermore, the Inflation Reduction Act of 2022 includes $2 billion grant program for low-carbon transportation materials.

FHWA awarded funds to 27 agencies as part of the Climate Challenge, Quantifying Emissions of Sustainable Pavements. The FHWA Climate Challenge provides resources to these agencies to explore the use of LCAs and EPDs as a standard practice to inform pavement material and design selection for enhancing sustainable pavement practices and quantify the emissions and impacts of those practices.

The FHWA Low-Carbon Materials Grant Program authorized in IRA will build upon programs such as the FHWA’s Climate Challenge) and Every Day Counts (EDC) Initiative on EPDs for Sustainable Project Delivery.

The purpose of this cooperative agreement (Agreement) is to further the SPP by exploring topics related to sustainability and resilience, including, but not limited to, sustainable and resilience infrastructure, equity, life cycle cost analysis (LCCA), LCA, social LCA, vulnerability assessment, use of low-carbon materials that are suitable to use in the US public road system, and other related topics.

In addition, a key area of the SPP is the development and deployment of new technologies and as such, products may include developing technical documents, case studies and tech brief, marketing/implementation plans, engaging subject matter experts, developing training tools, marketing of case studies, data analysis, compilation of findings, and supporting stakeholder engagement.

https://usdot-my.sharepoint.com/personal/migdalia_carrion_ad_dot_gov/Documents/Microsoft%20Teams%20Chat%20Files/(https:/www.fhwa.dot.gov/infrastructure/climatechallenge/ https://www.fhwa.dot.gov/innovation/everydaycounts/edc_7/sustainable_epds.cfm https://www.fhwa.dot.gov/innovation/everydaycounts/edc_7/sustainable_epds.cfm

2. LEGISLATIVE AUTHORITY

In United States Code Title 23 – Highways, Section 503(c)(1)(A), the purpose of the Technology and Innovation Deployment program “shall be to significantly accelerate the adoption of innovative technologies by the surface transportation community.” Further, Section 503(c)(3), titled Accelerated implementation and deployment of pavement technologies, “[t]he Secretary shall establish and implement a program under the technology and innovation deployment program to promote, implement, deploy, demonstrate, showcase, support, and document the application of innovative pavement technologies, practices, performance and benefits.” The goals (Section 503(c)(3)(B)) of the program that directly apply to this agreement are:

(i) the deployment of new, cost-effective designs, materials, recycled materials, and practices to extend the pavement life and performance and to improve user satisfaction;

(ii) the reduction of initial costs and lifecycle costs of pavements, including the costs of new construction, replacement, maintenance, and rehabilitation;

(iii) the deployment of accelerated construction techniques to increase safety and reduce construction time and traffic disruption and congestion;

(iv) the deployment of engineering design criteria and specifications for new and efficient practices, products, and materials for use in highway pavements;

(v) the deployment of new nondestructive and real-time pavement evaluation technologies and construction techniques; and

(vi) effective technology transfer and information dissemination to accelerate implementation of new technologies and to improve life, performance, cost effectiveness, safety, and user satisfaction.

The funding provided for this program is given in 11101(c)(1)(B) of Public Law 117-58 BIL Section 503(c)(3)(D) of United States Code Title 23 has been amended to state that “The Secretary shall obligate for each of fiscal years 2022 through 2026 from funds made available to carry out this subsection $12,000,000 to accelerate the deployment and implementation of pavement technology.”

In order to carry out this program, Section 502(a)(7) of United States Code Title 23 states: “Except as otherwise provided in this chapter, the Secretary shall award, to the maximum extent practicable, all grants, contracts, and cooperative agreements for research and development under this chapter based on open competition and peer review of proposals.”

The Federal Government’s cost share requirements are provided in PL 117-58, Title I, Section 11101 (c)(3)(A). APPLICABILITY OF TITLE 23, UNITED STATES CODE.— “Amounts authorized to be appropriated by paragraph (1) shall be available for obligation in the same manner as if those funds were apportioned under chapter 1 of title 23, United States Code, except that the Federal share of the cost of a project or activity carried out using those funds shall be 80 percent, unless otherwise expressly provided by this division (including the amendments by this division) or otherwise determined by the Secretary; and (B) remain available until expended and not be transferable, except as otherwise provided by this division.”

3. BACKGROUND

The Agreement will focus on deployment of innovative technologies and strategies to advance sustainable and resilience pavements related topics. A primary goal of the FHWA Accelerated Implementation and Deployment of Pavement Technologies (AIDPT) Program is the advancement of new and innovative technologies to advance the knowledge and practice of designing, constructing, and maintaining more sustainable and resilient pavements. As such, the FHWA supports deployment of advanced research findings in pavements and materials through such programs as the National Cooperative Highway Research Program (NCHRP) and the Strategic Highway Research Programs (SHRP and SHRP2).

Once these research projects are completed, the FHWA requires assistance in the deployment of the technology, which often includes items such as, but not limited to: marketing, material testing, product demonstration showcases, support of field trials, conference presentations, training, webinars, workshops, peer exchanges, videos, and technical assistance to State DOTs. As part of this innovation deployment program, FHWA engages and works collaboratively with subject matter experts and stakeholders through the Sustainable Pavement Technical Working Group (SPTWG) and other stakeholders engagement with representatives from industry;

researchers/academia; consultant; Federal, State, and local government representatives; and others.

In addition, the FHWA requires the assistance of an entity with access to a network of engineers, technical experts, and subject matter experts across the United States to successfully carry out tasks, field projects, and demonstration projects that will provide valuable information to improve sustainability and resilience of pavements.

4. GOALS

Aligned with the U.S. Department of Transportation’s goals for Climate Change and Sustainability, this agreement will support efforts to reduce greenhouse gas emissions in the transportation sector, incorporate evidence-based climate resilience measures and features, reduce the lifecycle greenhouse gas emissions from the project materials, and 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, consistent with Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).”

Specifically, the goals of this Agreement are to promote the deployment and rapid adoption of new and innovative materials, design and construction procedures, specifications, practices, and methods by the sustainable and resilient pavement community.

The Recipient shall support the deployment and rapid adoption, throughout the United States.

These items will include but not be limited to those shown below and in Table A.

The Recipient shall work in cooperation with the SPTWG and other stakeholders associated with the defined Tasks.

5. STATEMENT OF WORK

During the period of performance, the FHWA and the Recipient shall meet, at a minimum, quarterly to discuss project activities. The location of the meeting shall be established in coordination with the Agreement Officer’s Representative (AOR) and with the Recipient.

Quarterly meetings will be held in Washington, DC, the Recipient’s primary office location, a mutually attended industry conference or meeting (e.g., an ETG meeting), or via web conference.

1 Agreement Work Plan Process

1.1 The Recipient shall schedule and facilitate a project kick-off meeting (either virtually or in-person) with FHWA within four (4) weeks of this agreement’s effective date. The location of the kick-off meeting will be determined by FHWA within one week of the agreement effective date. The Recipient shall be responsible for providing a final approved meeting agenda no later than three (3) business days prior to the kickoff meeting as well as providing full meeting minutes within ten (10) business days after the kick-off meeting.

NOTE: The kick-off meeting may be a virtual (e.g., teleconference, webinar), in-person, or hybrid format.

1.2 The Recipient shall submit proposed annual work plans to support subtasks 1.2 and 1.3 for items identified in Table A below. Annual work plans shall be submitted to the AOR for review in order to determine and prioritize which needs shall be addressed each year. The entirety of innovations in Table A does not need to be addressed each year. The Recipient shall submit annual work plans. The AOR will provide comments to the Recipient within 30 days after the receipt of the draft annual work plan. The Recipient shall then revise the work plan(s) within 30 days of receipt of the AOR comments and submit the final version of the work plans to the AOR. Upon notification from the AOR, the Recipient shall proceed with the agreed upon tasks.

1.3 The Recipient shall develop, maintain, and execute an implementation/marketing plan for identified innovations, which may include, but is not limited to any or all of the following elements:

1.3.1 Gap Analysis – Identify critical limitations, gaps, and needs in the current technology.

1.3.2 Risk/Benefit Analysis – What is the risk or loss of not deploying the innovation? What are the benefits and gains to be had by deploying the innovation? This information shall be an integral part of the marketing effort.

1.3.3 Target Audience – Clearly define the target audience. Who are the decision makers in advancing the innovation? Who is the target audience for technical training? Who are the end users?

1.3.4 Market Summary – Within these Federal, State, and local agencies, what are the segments mostly likely to influence the adoption of the innovation?

1.3.5 Key Message – Develop a clear vision, memorable message, and/or tag-line(s) that clearly capture the goal(s) of the deployment effort.

1.3.6 Market Analysis – Benchmark and track current national product/material/process usage and estimate market potential.

1.3.7 Barrier Analysis – Identify potential/perceived barriers with deployment.

1.3.8 S.W.O.T. Analysis – Alternatively to the Barrier Analysis a Strengths-Weaknesses-

Opportunities-Threats Analysis can be conducted.

1.3.9 Performance Measures & Outcomes – Working with FHWA, establish agreed upon performance measures and outcomes for the deployment effort.

1.3.10 Tools for Marketing & Communication – Develop and execute tools to market and communicate the deployment of the innovation effectively. Examples of tools include, but are not limited to: presentations, workshops, conferences, innovation demonstrations, peer-to-peer exchanges, technical briefs, practice guides, articles, Q&A webinars, partnerships, videos, and case studies. These tools shall be made publicly available, either through Recipient or FHWA avenues of communication.

1.3.11 Training – Identify and address training needs for deployment in cooperation with FHWA.

Develop curriculum and recommended training approaches: face-to-face Instructor-Led Training (ILT), distance ILT (webinar), web-based training tools, or a blended approach.

The Recipient shall develop all training materials and supporting documentation.

1.3.12 Refinement of Standards and Specifications – Identify, participate in, and/or lead efforts to enhance design, production, and materials testing standards and specifications. Efforts may include: ruggedness testing, inter-laboratory studies to establish precision and bias statements, as well as technical assistance as part of a FHWA-supported task force in the form of knowledge sharing, data exchange, etc.

1.4 Reporting – The Recipient shall submit an interim report on an annual basis, summarizing the activities, actions, and findings of the subtasks associated with Task 1.1. The interim report shall be submitted to the AOR for technical review and shall be submitted by FHWA to the ETGs and TWG in order for individuals on those advisory groups to provide input.

2 Support Deployment and Rapid Adoption of Innovations

2.1 The Recipient shall conduct the agreed-upon annual work plan(s) according to Task 1.1 for innovations identified and prioritized from Table A.

3 Gathering Input and Information from FHWA Technical Stakeholder Groups

3.1 The Recipient shall work in cooperation with stakeholder groups identified to vet and collaborate in ongoing deployment activities and findings. Activities may include: preparing and delivering presentations on project activities, and obtaining and refining reports and other documents based on input from stakeholder groups identified.

Table A. List of Areas of Interest Sustainability

Advance sustainability performance metrics (Environmental, Social, and Economic Indicators) for pavement investment decision making throughout the pavement life cycle.

Develop guidelines and tools to quantify and demonstrate environmental, social, and economic benefits or costs, such as guidance and tools for LCA, LCCA, and/or Sustainability Rating Systems.

Assist in implementation and advancement of good practices, guidelines, and tools (EPDs, LCA, LCCA, sustainability rating systems, green public procurement).

Develop and provide assistance on how to quantify the impacts associated with the use phase of the pavement.

Quantify and baseline the sustainability performance of current design, construction, maintenance, preservation, and end of life practices.

Develop frameworks to link sustainability assessment results informing pavement investment decisions to planning, asset management, and short-term and long-term transportation plans.

Identify and develop strategies and practices throughout the entire pavement life cycle.

Explore the use of new and innovative materials and underutilized practices (e.g. alternative binders, optimized use of binders, inverted pavements, porous pavements, more efficient construction technologies that minimize environmental impacts, etc.).

Develop and advance long-life design and material selection strategies.

Develop and advance innovative and underutilized construction strategies and techniques to achieve more durable pavements (e.g. intelligent compaction, nondestructive testing and evaluation for acceptance, performance specifications, etc.).

Identify strategies to increase the effective use of reclaimed, recycled materials, and industrial byproducts in pavement materials and mixture designs (e.g. recycled concrete, RAP, RAS, SCMs, etc.) while accounting for performance considerations.

Explore and advance increased opportunities of in-place recycling and local materials while accounting for performance considerations.

Review and document the current state of knowledge and practices related to pavement design, construction, maintenance, and preservation practices over the last ten years.

Identify contract mechanisms and opportunities for flexibility in specifications that support decisions with more sustainable outcomes in line with agencies goals.

Assess university curriculums for Sustainability and review the Accreditation Board for Engineering and Technology (ABET) curriculum requirements. Determine existing gaps including whether curriculum addresses quantification methods or tools for analysis. Provide recommendations for strategies to address existing gaps.

Resilience

Incorporate resilience in pavement design, construction, maintenance and preservation processes.

Document the current knowledge, state of practice, and gaps of more resilient pavements (highlight pavement vulnerabilities, identify cost effective strategies that are more resilient including how pavement interacts as a transportation system with the surrounding environment, and document how states are currently incorporating resilience into their asset management plan).

Develop methodologies and guidance to incorporate resilience into pavement design, construction, maintenance and preservation processes (including understanding of deterioration rates) which are sensitive to funding constraints (document potential benefit costs, priorities).

Assess university curriculums for Resilience and review the Accreditation Board for Engineering and Technology (ABET) curriculum requirements. Determine existing gaps including whether curriculum addresses quantification methods or tools for analysis. Provide recommendations for strategies to address existing gaps.

Develop methodologies and guidance for quantifying the social impacts of the design and maintenance of resilient pavements.

Examine best practices for incorporating future climate projections into pavement design.

Develop methodologies and guidance for incorporating future climate projections into pavement asset management.

Section 508 Accessibility Requirements: Section 508 of the Rehabilitation Act of 1973 Although the requirements of Section 508 of the Rehabilitation Act of 1973, as amended, do not apply to assistance agreements, the FHWA is subject to the Act’s requirements that all documents posted on an FHWA or FHWA-hosted website comply with the accessibility standards of the Act. As such, all electronic and information technology products that are submitted under this Agreement must be Section 508-compliant so that they can be web posted without further modification.

Applicants that ensure that their websites comply with Federal Accessibility Requirements will receive higher consideration during the evaluation.

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.

See Section 508 of the Rehabilitation Act at www.access-board.gov/508.htm and the Federal Information Technology Accessibility Initiative Home Page (www.section508.gov/) for detailed information. The following paragraphs summarize the requirements for preparing FHWA reports in conformance with Section 508 for eventual posting by FHWA to an FHWA-sponsored website.

a. Electronic documents with images Provide a text equivalent for every non-text element (including photographs, charts and equations) in all publications prepared in electronic format. Use descriptions such as “alt” and “longdesc” for all non-text images or place them in element content. For all documents prepared, vendors must prepare one standard HTML format as described in this statement of work AND one text format that includes descriptions for all non-text images. “Text equivalent” means text sufficient to reasonably describe the image. Images that are merely decorative require only a very brief “text equivalent” description.

However, images that convey information that is important to the content of the report require text sufficient to reasonably describe that image and its purpose within the context of the report.

b. Electronic documents with complex charts or data tables When preparing tables that are heavily designed, prepare adequate alternate information so that assistive technologies can read them out. Identify row and column headers for data tables. Provide the information in a nonlinear form. Markups shall be used to associate data cells and header cells for data tables that have two or more logical levels of row and column headers.

c. Electronic documents with forms When electronic forms are designed to be completed online, the form shall allow people using assistive technology to access the information, field elements, and functionality required for completion and submission of the form, including all directions and cues.

Draft documents developed under this Agreement shall be delivered as electronic files compatible with Microsoft Word 2000, or verified to be error free when read using Microsoft Word 2000 and Adobe PDF formats. Any other electronic format shall receive prior approval from the AOTR. With prior approval of the AOTR, artwork or graphics not embedded in the electronic (MS Word) document may be submitted in camera ready format. Deliverables must follow the publications guidelines available at: www.tfhrc.gov/qkref/qrgmain.htm unless otherwise indicate in this scope of work.

The final deliverables to be delivered under this Agreement must comply with Section 508 of the Rehabilitation Act and the Access Board Standards available online at: www.section508.gov. Unless otherwise indicated, the Recipient represents by signature on this agreement that all deliverables will comply with the Access Board Standards. Final documents will be delivered in Microsoft Word 2000, PDF, and HTML formats. These documents will be prepared in electronic GPO-required format and shall meet the Section 508 requirements to allow them to be posted and viewed on the Internet. Files should be organized so that they are readable without requiring an associated style sheet. The html versions shall include a text equivalent description (e.g., via “alt”, “longdesc”, or in element content) for every non-text (e.g., graph, table, photo, diagram, etc.) element in the document.

The best location for information on regulations for 36 CFR 1194, which implements Section 508 of the Rehabilitation Act of 1973, as amended, is at www.access-board.gov/sec508/guide/index.htm.

If the information center website existed before the effective date of this agreement, information presented prior to the date of execution of this agreement does not need to be modified to comply with Federal accessibility requirements. However, if a web page is modified or updated during this agreement’s period of performance, the modified or updated page must be presented in accessible format.

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING AND NUMBER OF AWARDS

The FHWA anticipates making one (1) award as a result of this Notice of Funding Opportunity.

The FHWA anticipates Federal funding up to a total amount of $1,500,000 per year may be made available for this Agreement, subject to the availability of funds, for a total potential Federal share of $7,500,000 may be made available for this Agreement subject to the availability of funds.

2. TYPE OF AWARD

The planned award type is a cost reimbursement Cooperative Agreement with a cost share requirement.

3. PERIOD OF PERFORMANCE

The period of performance for this Agreement will be sixty (60) months from the effective date of the Agreement.

4. DEGREE OF FEDERAL INVOLVEMENT

The FHWA anticipates substantial Federal involvement between it and the Recipient during the course of this project. The anticipated Federal involvement will include:

• Technical assistance and guidance to the Recipient;

• Close monitoring of performance;

• Involvement in technical decisions;

Review, comment, and approval of work plan (including outreach and dissemination plan), and training course materials;

• Performance reporting and financial reporting to ensure that the objectives and terms and conditions of the Agreement are met;

• Ability to redirect project activities;

• Participation in status meetings including kick-off meeting and annual technical and budget reviews; and

• Review and comment on draft documents as appropriate.

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

This notice is open to all entities.

2. COST SHARING OR MATCHING

Cost sharing or matching is required.

The Federal share of the cost of this project shall be 80 percent. The Applicant shall provide a minimum 20 percent cost share of total project cost. Program Income must be handled in accordance with Section F.

The Federal Government’s cost share requirements are provided in PL 117-58, Title I, Section 11101 (c)(3)(A). APPLICABILITY OF TITLE 23, UNITED STATES CODE.— “Amounts authorized to be appropriated by paragraph (1) shall be available for obligation in the same manner as if those funds were apportioned under chapter 1 of title 23, United States Code, except that the Federal share of the cost of a project or activity carried out using those funds shall be 80 percent, unless otherwise expressly provided by this division (including the amendments by this division) or otherwise determined by the Secretary; and (B) remain available until expended and not be transferable, except as otherwise provided by this division.”

Cost sharing or matching means the portion of project costs not paid by Federal funds (unless otherwise authorized by Federal statute). For a more complete definition, please see the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR Part 200, including section 200.306 on Cost Sharing or matching. Other Federal funds using their appropriate matching share may be leveraged for the deployment but cannot be considered as part of the recipient’s matching funds, unless otherwise supported by statute. Applicants should refer to section D.2 of this opportunity for more information about submission requirements concerning cost sharing under this program.

FHWA will not consider previously incurred costs or previously expended or encumbered funds towards the matching requirement for any project. Matching funds are subject to the same Federal requirements as awarded funds.

The matching requirements will be monitored by FHWA over the life of this effort. At the conclusion of the Agreement, FHWA will determine whether the minimum 20 percent cost sharing percent matching requirement has been achieved in accordance with closeout and post closeout requirements in 2 CFR 200.344 and 200.345.

See Legislative Authority in NOFO SECTION A for specific citations.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

Applicants may obtain application forms at grants.gov under the Notice of Funding Opportunity Number cited herein.

The Applicant must complete and submit all forms included in the application package for this Notice as contained at www.grants.gov.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

a. Applications must be prepared on 8½ x 11 inch paper except for foldouts used for charts, tables or figures, which must not exceed 11 x 17 inches. Foldouts must not be used for text, and will count as two pages.

b. A page is defined as one side of an 8 ½ by 11 inch paper. Therefore, a piece of paper with printing on both sides is considered two pages.

c. Text must be printed using a font size no less than 12 point font (Arial or Calibri).

d. Tables are permitted and text in tables must be doubled spaced.

e. Text in captions below charts, tables or figures must be not less than 10 cpi, and can be 2 lines of text long (limited by the width of the chart, table or figure) and single spaced.

f. Page margins must be a minimum of 1 inch top, bottom and each side.

g. Page numbers may be located within the 1 inch margins

h. A Header or Footer identifying the Applicant/Team and the Volume, may be located within the 1 inch margins

i. No cost/price data will be included in Volume I, but must be included in Volume II.

j. EXCEPTION ON PAGE LIMITS: The following items do NOT count against the page limitation.

a. Document covers page;

b. Cover letters (max one page);

c. Title pages;

d. Blank divider pages;

e. Table of contents;

f. Lists of acronyms;

Letters of intent to participate from proposed subcontractors, consultants, partners and proposed new hires; and

g. Resumes. (NOTE: resumes shall not exceed 2 pages each.)

The application package must consist of the following in this order:

1) Volume 1 – Technical Application as described below – 35 page limit

• Part I – Technical and Management Approach (included in the pages limitation)

• Part II – Experience (included in the pages limitation)

• Part III – Staffing Approach (included in the pages limitation; resumes, limited to 2 pages each, are not included in the pages limitation and can be an Attachment to Volume I)

In the event a technical application exceeds the page limitation, the Government will evaluate only the pages identified within the limitation above.

2) Volume 2 – Budget Application as described below - no page limit

• Part I – Standard Application Forms

• Part II – Cost Information and Other Financial Information

Submit your application in the following format:

Volume 1 - Technical Application

Volume 1 – Technical Application as described below (see page limitations above)

OPTIONAL: An Applicant may include, at their option, to facilitate displaying the organization of their application, a one-page cover page, and a second page to include both a Table of Contents and/or a Listing of Tables/Figures. These pages are for orienting evaluators to the contents of the application package and will not be evaluated and are not included in the Volume I page limitation.

In the event a technical application exceeds the page limitation, the Government will evaluate only the first pages identified within the limitation above.

a. Part I – TECHNICAL AND MANAGEMENT APPROACH: A detailed technical and management plan describing in detail how you would proceed if awarded this Agreement. Discuss and describe the ability of the proposed project to meet the purpose and objectives of this program, and the manner in which they will be addressed by your project.

b. Part II – EXPERIENCE: A summary of the Applicant’s experience relevant to this project, listing projects of similar size and complexity over the past five years, and show which of the named key staff, were involved in those projects. List the following information for a minimum of three specific past projects in which the Applicant participated as project leader and/or member of project team:

Project title, description, value, and dates;

Sponsor/customer point of contact to include sponsor/customer name, title, organization, email address, phone number;

Role of Applicant in project;

Explanation of why or how the project is considered relevant or similar to the effort required by this Notice of Funding Opportunity; and

Note: In determining relevancy, consideration should be given, but not limited to, such things as product/service similarity, size and complexity, Agreement type, division of company proposing, and sub-recipient interaction.

Explanation of the project goals accomplished and any cost growth or schedule delays encountered. For any projects which did not/do not successfully achieve its goals, a brief explanation of the reason(s) for such shortcomings and any demonstrated corrective actions taken to avoid recurrence.

NOTE: Prior to award, FHWA may contact past sponsor/customers to support the agency’s risk assessment of the application.

NOTE: If an Applicant does not have a history of relevant experience, or if past performance information is not available, the Applicant’s experience will be considered to be neutral.

c. Part III – STAFFING APPROACH: Provide a project organizational chart identifying proposed staff members assigned to the project. The chart must be supported with narrative text to include the title and a brief description of each position’s responsibilities, as well as the proposed level of effort and allocation of time (% in relation to their other duties) for each position on a yearly basis and in summary format. The level of effort may be displayed (single spaced) in a table format. One table can be presented if the level of effort will be constant over all years, and the table is annotated as such. The hours in this table must be consistent with the information presented in Volume II, Parts I and II, as part of the detailed budget plan.

Provide brief tailored resumes for the proposed Program Manager/Principal Investigator and other key personnel to include name, experience, education and proposed role in project.

Volume 2 - Budget Application

Volume 2 – Budget Application as described below - no page limit

OPTIONAL: An Applicant may include, at their option, to facilitate displaying the organization of their application, a one-page cover page, and a second page to include both a Table of Contents and/or a Listing of Tables/Figures. These pages are for orienting evaluators to the contents of the application package and will not be evaluated and are not included in the Volume I page limitation

a. Part I - APPLICATION FORMS

1. SF-424

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

2. SF-424A

Note: Section A:

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

- Block 1(b): Print CFDA number listed on page 1;

- Block 1(c): Print Total Federal Funds Requested in dollars; and,

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

3. SF-424B

4. SFLLL

Note: 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.

b. Part II – COST INFORMATION AND OTHER FINANCIAL INFORMATION

Provide a SF-424A Budget Information - Non-Construction Programs. Provide a separate detailed budget plan for each year and summarize the information for all years for all activities. Spreadsheets can be formatted similarly to the format in DOT Form 4220.44, located at: http://www.fhwa.dot.gov/aaa/pdfs/frm4220_44.pdf.

The detailed budget plan must include each of the following items/sub-items:

1. Detailed excel (or compatible) workbook containing spreadsheets/tabs (formatted to be printed out) and supporting information clearly delineating and supporting all estimated costs: with columns for Federal Share, Cost Share (if applicable) and Total Costs (per year and in summary form) as follows::

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).

http://www.fhwa.dot.gov/aaa/pdfs/frm4220_44.pdf

Note: Per 2 CFR 200.414(f), Indirect (F&A) Costs, an Applicant may elect to propose a de minimis 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:

i. Name and address of the organization or consultant.

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

iii. Cost details for that portion of work.

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

v. 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 detail and support for cost share as part of overall project budget.

f. Clearly delineate cost share match versus Federal share.

2. Identify any exceptions to the anticipated award terms and conditions as contained in Section F, Federal Award Administration Information. Identify any preexisting intellectual property that you anticipate using during award performance, and your position on its data rights during and after the award period of performance.

3. Applicant SAM Unique Entity Identifier (UEI).

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

5. A statement regarding Conflicts of Interest. The Applicant 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 Applicants' ability to perform the proposed contract 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 Applicant or affect the Applicant’s ability to perform the agreement in an impartial and objective manner. The AO will review the statement(s) and may require additional relevant information from the Applicant. All such information, and any other relevant information known to DOT, will be used to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or

(b) determine that it is otherwise in the best interest of the United States to contract with the Applicant and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

6. A statement to indicate whether a Federal or State organization has audited or reviewed the Applicant’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.

7. 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.

8. Describe how your organization will obtain the necessary resources to fund and fulfill the proposed cost share, as applicable.

9. The Applicant 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.

10. 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-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl

11. If a nonprofit or not-for-profit status, please provide evidence of this status preferably from the Internal Revenue Service.

12. Acknowledgement of acceptance of the NOFO terms and acknowledgement and acceptance of any Amendments issued to this NOFO. List Amendment numbers and issue dates, if any.

3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD (SAM)

Each Applicant is required to:

a. Have an active registration in SAM.gov at the time the Applicant submits an application;

b. Provide a valid UEI in their application; and

c. Continue to maintain an active SAM registration with current information at all times during which the Applicant has an active Federal award or an application or plan under consideration by a Federal awarding agency.

FHWA may not make a Federal award to an Applicant until the Applicant has complied with all applicable UEI and SAM requirements. If an Applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the Applicant is not eligible to receive a Federal award and use that determination as a basis for making a Federal award to another Applicant.

NOTE TO APPLICANTS: The SAM requires the registrant to provide a UEI number to complete the registration. These processes can take several weeks to complete so should be started well before the application deadline.

4. SUBMISSION DATES AND TIMES

The application must be received electronically through www.grants.gov by the application due date/time listed on page 1 of this Notice of Funding Opportunity.

The deadline stated on page 1 is the date and time by which the agency must receive the full and completed application, including all required sections.

A late application will not be reviewed or considered unless the AO determines that doing so is in the FHWA’s best interest.

5. INTERGOVERNMENTAL REVIEW

An application under this Notice of Funding Opportunity is not subject to the State review under E.O. 12372.

6. FUNDING RESTRICTIONS

The FHWA will not reimburse any pre-award costs or application preparation costs under this proposed Agreement.

7. OTHER SUBMISSION REQUIREMENTS

In the event of system problems or technical difficulties with the application submittal, Applicants should contact the FHWA point of contact designated on page 1. If Applicants are unable to use the system due to technical difficulties, Applicants must e-mail applications to the FHWA point of contact listed on page 1 no later than the application deadline cited above.

SECTION E - APPLICATION REVIEW INFORMATION

C. CRITERIA

The Government will evaluate applications on the following criteria:

TECHNICAL MERIT: FHWA will evaluate and rank the applications against the following technical evaluation criteria.

• Demonstration of an adequate understanding of the task areas and goals.

• Demonstration of a sound, adequate, clear, and realistic technical approach for performing the work.

• Demonstration of the resources and ability to achieve the program goals and objectives.

• Demonstration of an understanding of all risks associated with implementation of task requirements and a clear, workable plan to mitigate such risks.

• Demonstration of potential to result in increased understanding, knowledge, and application in the field of sustainable and resilient pavements.

• Demonstration of a management approach that is sound, adequate, clear, and realistic to manage this effort and ensure successful and timely completion of work, including a sound approach to project organization.

• Demonstration of a sound and realistic staffing approach to successfully perform the work including:

o Proposed staff possess relevant experience, education, and expertise to successfully perform the work;

o Adequate contingency plan to replace personnel over the period of performance without adequately affecting performance;

o Adequate labor mix and realistic level of effort to successfully complete the work;

and o Demonstration of a multidisciplinary team with a focus on the areas of sustainable and resilient pavements.

• Demonstration of sound partnerships with other organizations and stakeholders.

• Demonstration of experience with issues and opportunities related to the tasks and requirement, as well as relevant prior experience with work of similar size, scope, and complexity of work required under this Agreement.

COST: Relative cost will be considered in the award decision. The budget application will be analyzed to assess cost reasonableness and conformance to applicable cost principles. This evaluation factor will not be rated.

If applicable, the degree of cost share and leveraging of non-federal funds will be considered in the award decision. Applicants must provide the required matching funds, and supporting detail for these funds. Additional cost sharing will be considered beneficial to break ties among applications with equivalent ratings after evaluation against all other factors.

Funding availability will also be considered in the award decision.

D. REVIEW AND SELECTION PROCESS

FHWA will utilize the following merit review process to evaluate applications:

A panel of agency experts will evaluate all eligible technical applications using the merit criteria listed above. The panel will individually evaluate the technical applications. The panel will then collectively assign an adjectival rating to each eligible technical application.

Agency personnel from the…