BAA 693JJ321BAA0001 FINAL.pdf

Broad Agency Announcement

693JJ321BAA0001

BROAD AGENCY ANNOUNCEMENT

Federal Highway Administration

Office of Acquisition and Grants Management

Research Initiatives in Support of Structural Engineering

Programs

November 24, 2020

TABLE OF CONTENTS

1 INTRODUCTION AND OVERVIEW

1.1 Background

1.2 Legislative Authority

1.3 Purpose

2 PROGRAM GUIDELINES

2.1 Schedule

2.2 Communications Protocol

2.3 Data Sources and Points of Contact

2.4 Offeror Eligibility

2.5 Project Qualification Requirements

2.6 Program and Project Funding Limits

2.7 Cost Sharing

2.8 Project Selection Process

2.8.1 Project Concept Papers

2.8.2 Project Proposals

2.9 Publishable Deliverable Requirements

2.10 Intellectual Property Rights

2.10.1 Patents

2.10.2 Proprietary Data Restrictions

2.11 Data Rights

2.12 Section 889 Compliance Requirement

3 PROJECT CONCEPT PAPERS

3.1 Cover Page

3.2 Technical Approach

3.2.1 Background

3.2.2 Scope of Work

3.2.3 Expected outcomes and impacts

3.2.4 Patented or proprietary items

3.2.5 Quad Chart

3.3 Qualifications

3.3.1 Project Team

3.3.2 Experience

3.4 Schedule and Cost Estimate

4 PROJECT PROPOSALS

4.1 Cover Page

4.2 Volume I: Technical Proposal

4.2.1 Background

4.2.2 Statement of Work

4.2.3 Technical Approach

4.2.4 Project Management Plan

4.2.5 Capabilities and Experience

4.2.6 Quad Chart

4.3 Volume II: Cost and Pricing Proposal

4.3.1 General Requirements

4.3.2 Cover Page

4.3.3 Cost/Price Information

4.3.4 Other Financial / Organizational Information

4.3.5 Subcontracting Plan

4.3.6 Recommended Procurement Instrument and Pricing Arrangement

5 PAST PERFORMANCE

6 EVALUATION AND AWARD PROCESS

6.1 Evaluation Methodology

6.1.1 Phase 1 – Project Concept Paper Evaluation

6.1.2 Phase 2 – Project Proposal Evaluation

6.2 Evaluation Factors

6.3 Awards

6.3.1 Notifications and Negotiations

7 PROPOSAL DUE DATES

ATTACHMENTS: BAA DOCUMENTS

1 INTRODUCTION AND OVERVIEW

This Broad Agency Announcement (BAA) is developed 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.

1.1 Background

The Federal Highway Administration (FHWA) Office of Bridges and Structures develops regulations, policies, and guidelines to ensure successful delivery of the national bridge and tunnel program. The Office supports advancement of state-of-the-art technologies and provides leadership in the deployment of such technologies to maintain or improve the safety and durability of the Nation’s bridges and highway structures. In this context, “technology” has broad definition and can refer to engineering materials, methodologies, systems, criteria, tools, and/or techniques related to design, construction, and/or management. To the best extent possible, FHWA attempts to inject new and improved technologies through the Stewardship and

Oversight of the State Department of Transportations (DOTs) and during hands-on design and construction reviews of bridges and tunnels, especially for major and unusual projects. National leadership for advancing standard practice is provided through the development of reports, manuals, guidance, and training on design, construction, inspection, evaluation, and maintenance in the relevant areas of bridge and tunnel engineering.

1.2 Legislative Authority

The legislative authority for this BAA is found under 23 U.S.C. 502 – Surface Transportation

Research, Development, and Technology, paragraph (b)(3)(C), which state: “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 with one or more of the following: National Academy of Sciences, the American Association of State Highway and

Transportation Officials, any Federal laboratory, Federal agency, authority, association, institution, for-profit or nonprofit corporation, organization, foreign country, or any other person.”

1.3 Purpose

The purpose of this BAA is to solicit a variety of solutions that will support the strategic objectives of the FHWA Office of Bridges and Structures and the tactical needs of the structural engineering program areas:

• Steel Bridges

• Concrete Bridges

• Load Rating of Bridges and Tunnel Structures

• Seismic and Multi-Hazard Resilience

• Tunnels

• Bridge and Tunnel Security

• Fiber Reinforced Polymer (FRP) Composite Technology

Projects shall develop technologies that address FHWA current strategic goals and objectives.

FHWA’s strategic goals are as following:

• Safety: Reduce transportation-related fatalities and serious injuries across the transportation system.

• Infrastructure: Invest in Infrastructure to ensure mobility and accessibility and to stimulate economic growth, productivity, and competitiveness for American workers and businesses.

• Innovation: Lead in the development and deployment of innovative practices and technologies to improve the safety and performance of the Nation’s transportation system.

• Accountability: Serve the Nation with reduced regulatory burden and greater efficiency, effectiveness, and accountability.

FHWA’s strategic goals and objectives are described in more detail in the most current FHWA

Strategic Plan, which can be found at the following link https://www.fhwa.dot.gov/policy/fhwaplan.cfm.

Specific research topics for this BAA are contained in Appendix C. Additional research topics may be announced at any time during the open period of this BAA.

2 PROGRAM GUIDELINES

By participating in this BAA, the Offeror agrees that if awarded a Firm-Fixed-Price type contract with milestone payments, the Government’s liability for any effort performed shall not exceed the payment amount of the preceding milestone. The Offeror shall propose and implement a delivery method consistent with this requirement. If it is determined that the Offeror’s performance under the contract is not progressing to the satisfaction of the Government, the

Government retains the right to commence a process to modify or end performance. This process will require a 60-day notice and may be used in conjunction with FAR clause 52.242-15, Stop-

Work Order.

2.1 Schedule

The open period for BAA Concept Papers is defined in Appendix C. The FHWA may modify the schedule or research topics. If such changes are made, Appendix C will be amended. This

BAA and amendments issued thereto will be posted to https://beta.sam.gov/ (formerly

FedBizOpps) website. It is the responsibility of the Offeror and interested parties to be aware of

BAA amendments by regularly checking the website by registering to receive notifications and updates to this specific solicitation.

2.2 Communications Protocol

Any exchanges of information must be consistent with procurement integrity requirements of section 27 of the Office of Federal Procurement Policy Act (41 U.S.C. 423, as amended) (see

FAR 3.104).

https://www.fhwa.dot.gov/policy/fhwaplan.cfm https://beta.sam.gov/

Communication between Offerors and FHWA is encouraged prior to and throughout the project concept paper phase.

After submission of project proposals, all information exchanges will be conducted through the

Contracting Officer.

Offerors are advised that any indication of interest, in the affirmative, is not meant to imply nor in any way impart an obligation on the part of the Government that an award will be forthcoming for the offered work or project.

2.3 Data Sources and Points of Contact

All submittals shall be delivered in electronic format (Adobe PDF) to the BAA Contracting

Officer Representative with copy to the BAA Contracting Officer, via the e-mail addresses listed below.

BAA Official Documents https://beta.sam.gov/

BAA Contracting Officer, Tamiko Aikens Tamiko.Aikens@dot.gov

BAA Contracting Officer Representative, Tuonglinh Warren

Tuonglinh.Warren@dot.gov

System for Award Management https://www.sam.gov/SAM/pages/public/index.jsf

2.4 Offeror Eligibility

This is an unrestricted solicitation. Any responsible source may submit a proposal for consideration, including, but not limited to, States or local governments, or organizations of State or local governments, universities or institutions of higher education, hospitals, non-profit organizations, private individuals, corporations, and businesses or commercial organizations, except that any businesses owned in whole or in part by the Federal Government are not eligible.

Although businesses owned in whole or in part by the Federal Government are not eligible for direct funding they may subcontract with eligible Offerors. Cooperative arrangements (e.g., joint ventures, limited partnerships, teaming arrangements, or collaboration and consortium arrangements) are permitted and encouraged. All Offerors must be registered on the Federal https://beta.sam.gov/ mailto:Tamiko.Aikens@dot.gov mailto:Tuonglinh.Warren@dot.gov https://www.sam.gov/SAM/pages/public/index.jsf

Government’s System for Award Management (SAM) systems prior to project award

(https://beta.sam.gov/).

Small, Small Disadvantaged (SD), and Service-Disabled Veteran-Owned Business Concerns, and Veteran-Owned (VO) and Woman-Owned (WO), and Historically Underutilized Business

Zone (HUBZone) Small Business Concerns, and Historically Black Colleges and Universities

(HBCU) and Minority Institutions (MIs) are encouraged to submit proposal Concept Papers on their own and/or in collaboration with others. However, no portion of this BAA will be set aside or reserved exclusively for Small, SD, or Service-Disabled Veteran-Owned Business Concerns, or for VO, WO, or HUBZone Small Business Concerns, or for HBCU and MIs.

2.5 Project Qualification Requirements

This BAA solicits research projects in response to specific research topics detailed in this document (Appendix C). The FHWA is interested in all research that may lead to safer and long-lasting bridges and tunnels through improved practices for design, construction, and evaluation. However, for the purposes of this BAA program, the FHWA will respond only to

Concept Paper submittals that are in direct response to a specific research topic, as defined in

Appendix C.

This BAA will not be used to sponsor projects that develop specific products or systems for sale.

In the context of the technology readiness levels defined in Appendix F of the FHWA’s

Technology Readiness Level Guidebook

(https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf), this BAA is designed mainly for development of technology in Levels 3 through 7. However, other Levels will also be considered on a case by case basis.

2.6 Program and Project Funding Limits

FHWA will determine if any submittals are consistent with the objectives of this BAA and of interest to the Government, and if adequate funding exists. Awards are subject to the availability of funds.

https://beta.sam.gov/ https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf

No funding provision or commitment can be made at the time of award for phased or expanded work or projects beyond the initial or base phase funded at the time of award that the applicant may propose in its submissions. If appropriated funds are authorized, FHWA may, at its discretion, provide additional funding for phased or expended effort under existing awards.

Awards may be of any dollar value, but it is anticipated that most individual awards (or that part of the Government’s portion in a cost sharing arrangement) will have dollar values ranging between $50,000 and $250,000.

Awards resulting from this BAA will be made based on the evaluation results of a two-phased process. The Government reserves the right to fund all, some, one, or none of the proposals submitted; may elect to fund only part of a submitted proposal; and may incrementally fund any or all awards under this BAA. In either case, the Contracting Officer will have the ultimate authority and responsibility to make final scope determinations for selections of proposals that will not be totally funded to ensure the portion selected meets the solicited requirements. In addition, the Government reserves the right to create and maintain a reserve list of proposals for potential funding, if additional funding becomes available.

All awards are subject to the availability of funds. Offers considered unresponsive to the

Government’s requests for information in a timely manner, defined as meeting government deadlines established and communicated with the request, may be removed from further consideration.

2.7 Cost Sharing

Cost sharing by awardee is not mandatory under this BAA. Although the Government encourages for both cooperative agreements and contracts, all applications submitted for cooperative agreement consideration must include a 20 percent of the total award value or greater non-federal cost share.

2.8 Project Selection Process

This BAA selection process is structured as a two-step process. The Government will utilize a phased approach for the evaluation of project concept papers and proposals in response to this

BAA.

2.8.1 Project Concept Papers

The first step of the process is the submission and evaluation of project concept papers. As detailed in Section 3, the project concept paper provides a brief overview of the research effort, including the current state of development, the next steps in the development plan and rough order magnitude cost and schedule data. Project concept papers will be used to gauge applicability of and the Government’s interest in the technology research area. All Offerors must first submit a project concept paper to be considered for an award.

Discussions between the Offeror and FHWA are encouraged at this point in the process to develop or refine project concepts and to avoid unnecessary work efforts, by either party, on project concepts that the Government does not value, or cannot fund.

Project concept papers shall be submitted in electronic form via e-mail. FHWA will work to complete project concept paper evaluations within 60 days of receipt and will notify the Offeror of final disposition. The final disposition includes the following:

• A conclusion of FHWA’s evaluation of the project concept paper: Acceptable or Not

Acceptable.

• If the conclusion is Acceptable, an invitation to submit a formal proposal will be included; Not Acceptable, an invitation will not be extended.

2.8.2 Project Proposals

Following project concept paper evaluation and discussion, FHWA may invite the Offeror to submit a detailed technical and cost/price proposal for award evaluation. Proposals shall be prepared in accordance with the requirements of Section 4. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the

FHWA’s evaluation committee.

Proposals shall be submitted in electronic form via e-mail.

2.9 Publishable Deliverable Requirements

All publishable deliverables developed under this BAA including research development and technology (RD&T) reports, fact sheets, technical flyers (e.g., TechBriefs and Application

Notes), brochures, booklets, Web pages, articles, other publications, events, and marketing outreach must be compliant with Section 508 of the Rehabilitation Act.

In addition, the Offers who develop reports, fact sheets, technical flyers (e.g., TechBriefs and

Application Notes), brochures, booklets, Web pages, articles, other publications, events, and marketing outreach shall follow the formatting requirements, editorial style preferences, printing-publishing policies and procedures, and copyright as presented in the Turner-Fairbank Highway

Research Center (TFHRC) R&D Communication Reference Guide (CRG). This CRG can be found at the following link https://www.fhwa.dot.gov/publications/research/general/15058/15058.pdf.

2.10 Intellectual Property Rights

Awards will generally contain detailed provisions concerning patent rights, rights in technical data and computer software, data reporting requirements, and other terms and conditions which may be negotiated as part of the award process.

Offerors must describe any limitations on any intellectual property (patents, inventions, trade secrets, copyrights, or trademarks) that will impact the Offeror’s performance of the contract or impact the Government’s subsequent use of any deliverable under the contract. The Offeror must describe the intellectual property in sufficient detail to describe the limitations (Data assertions of the Offeror or any subcontractor, potential patent licenses required by the Government, etc.), and to describe why or how the Government can accomplish the stated objectives of this BAA https://www.fhwa.dot.gov/publications/research/general/15058/15058.pdf with the limitations described or proposed by the Offeror. This information must be included in

Volume III, Supplemental Information, of the proposal.

2.10.1 Patents

Offerors must list any known patents, patent applications, or inventions which may require the

Government to obtain a license should the Offeror’s proposal be selected for award. If any patent, patent application or invention is owned by the Offeror, the Offeror must provide a statement, in writing, that it either owns or possesses the appropriate licensing rights to patent, patent application or invention for which the Government may require a license for this program.

If an Offeror does not own or have license rights to license the Government for any such patent or patent application, the Offeror must explain how the Government may obtain a license or whether the Offeror plans to obtain these rights on behalf of the Government.

For any patent or patent application listed above, the Offeror must provide the patent number or patent application publication number, a summary of the patent or invention title, and indicate whether the Offeror is the patent or invention owner. If a patent or invention is not licensed by the Offeror, identify the licensor. Be advised that no patent, patent application, or invention disclosure will be accepted if any of the are identified in the Data Rights Assertion list described in Section 2.10.2. Rights in patents, patent applications, and invention disclosures are addressed in the patent rights clause to be included in the contract and therefore, no assertion of limited rights in patents or patent applications will be accepted. The list of patents, patent applications and inventions of this section must be a separate list from the Data Rights Assertion list described below.

2.10.2 Proprietary Data Restrictions

Offerors are advised that the proposal Concept Papers and/or proposals may contain data the

Offeror does not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes. If the Offeror wishes to restrict such data, the cover page of all submittal documents must be marked with the following legend, and relevant sheets marked as instructed.

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed – in whole or in part – for any purpose other than to evaluate this proposal. However, if a contract is awarded to this Offeror as a result of – or in connection with – the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government’s right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].

Each restricted data sheet shall be marked as follows:

Use or disclosure of data contained on this sheet is subject to the restriction on the cover page of this document.

To the extent that such restrictions on proprietary data or information would not interfere with the intent of the Government to make the results of the work and projects awarded under the

BAA available to all interested parties, and if in conformance with the Freedom of Information

Act (5 U.S.C. 552, as amended), the Government will honor those desires.

2.11 Data Rights

The Government has unlimited rights to all documents/materials produced under this BAA. All documents and materials, to include the source code of any software produced under this BAA, shall be Government owned and the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by Contractor without written permission from the CO. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other Government rights.

2.12 Section 889 Compliance Requirement

All contracts and cooperative agreements awarded under this BAA must be compliant with

Section 899 (“Prohibition on Certain Telecommunications and Video Surveillance Services or

Equipment”) of Public Law 115-232, also known as the John S. McCain National Defense

Authorization Act.

FAR 52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance

Services or Equipment. OCT 2020

FAR 52.204-25 Prohibition on Contracting for Certain Telecommunications and Video

Surveillance Services or Equipment. AUG 2020

3 PROJECT CONCEPT PAPERS

All project concept papers must respond to a research topic defined in Appendix C. The FHWA will not evaluate project concept papers that do not respond to a listed research topic. In the case of multiple project proposals from a single Offeror, a separate project concept paper is required for each project. No proposal will be considered for an award without an approved project concept paper.

Project concept papers shall be prepared simply and economically, and shall provide a concise description of the proposed research project, organized as defined in the following sections.

Project concept papers shall be no more than 5 pages in length (excluding cover page and QUAD chart), no less than 10- point font, and single-spaced, single-sided letter size pages with 1” margins (minimum). Project concept paper submissions should not include promotional brochures, advertisements, taped recordings, or other extraneous material.

3.1 Cover Page

Project concept papers shall include a cover page containing the following information:

• Working title of the proposed project

• BAA Research Topic title and reference Number (Appendix C)

• Names, phone numbers, mailing and e-mail addresses for the principal technical and contractual points of contact (person or persons authorized to negotiate on the behave of the Offeror and who can contractually obligate the Offeror organization)

• Secondary Offeror organization addresses (project partners), if any

• Confirmation of a current beta.SAM.gov registration for your organization

• Date of submittal

• Proprietary data restrictions, if any (See Section 2.9.2)

3.2 Technical Approach

The Technical Approach shall contain the Background, Scope of Work, Expected Outcomes and

Impacts, and the Quad Chart sections of the project concept paper.

3.2.1 Background

In this section, the Offeror shall describe the following:

Objective Statement – Briefly describe the technology proposed for research. Provide a statement(s) that conveys the Offeror’s objective for this work and vision of the fully developed technology.

Description of Need – Describe the specific issue intended to be solved or improved by the technology proposed for research and development. Discuss the proposed application to maintain or improve the design, construction, or evaluation of the Nation’s bridges and highway structures. Estimate the potential for the bridge and tunnel industry adopting this technology, and provide a rationale for this estimate.

Technology Assessment – Briefly explain the maturity of the technology in the context of the technology readiness levels detailed in Section 2.5.

Development Framework – Describe the development history of the technology, both within the Offeror’s organization and from other sources, as applicable. Discuss the technical, financial, programmatic, or other significant factors that have impacted the development of this technology to date, both positively and negatively.

3.2.2 Scope of Work

The Offeror shall describe the general scope of work planned for this research activity. This section shall describe the major research, synthesis, testing, data collection, and analysis activities in sufficient detail to communicate the breadth of activities proposed. A detailed work breakdown structure is not required. The Offeror shall indicate major progress milestones and associated deliverables as part of this section.

The scope of work shall identify all Offerors and associated stakeholder groups in the major activities of the project, and shall indicate the estimated work effort required from each Offeror, expressed as a percentage of the total effort for each activity. In addition, the Offeror shall identify any third-party resource needs that are required during the project. These resources may include Government- furnished equipment.

3.2.3 Expected outcomes and impacts

Identify the significant outcomes expected from the project and their impact on the engineering practice and associated safety, durability, and efficiency of the Nation’s bridges and highway structures, including short, medium and long-term effects. Explain how the outcomes of the proposed research will be implemented into practice. The FHWA is seeking innovative ideas for dissemination and technology transfer to practice.

3.2.4 Patented or proprietary items

Provide an identification and description of any patented or proprietary items to be utilized in the research. 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.

3.2.5 Quad Chart

Include a Quad chart summarizing the project concept, as per the example and instructions provided in Appendix A.

3.3 Qualifications

The Qualifications section of the project concept paper shall introduce the project team, the team’s experience, and any unique capabilities.

3.3.1 Project Team

List all key Offerors proposed for the project, including Offerors from outside the prime

Offeror’s organization. Organize the team by organization name and briefly describe each person’s roles and responsibilities on the project. Provide a short synopsis of each key person’s education, experience, and other qualifications applicable to the proposed project. Provide information on the business type (small, large, or disadvantaged) for each Offeror organization.

3.3.2 Experience

Describe the relevant experience of each organization participating in the project. Identify any publicly available and accessible resources that may provide more details regarding this experience, e.g. public web site links to past or current project documents.

3.4 Schedule and Cost Estimate

Provide milestones for the proposed project that includes start, finish, and major activity completion times. Express milestones dates as the number of weeks from project start.

Provide a rough order magnitude cost estimate. Provide a breakdown of these costs (percentage) for each organization in the project team.

https://www.fhwa.dot.gov/construction/cqit/fr_qa.cfm https://www.fhwa.dot.gov/construction/cqit/fr_qa.cfm

Provide a funding plan for the project. Identify each funding source and their contribution to the whole, expressed as a percentage. Include all anticipated sources, including Offeror internal sources, government funds, and other Offeror organizations.

4 PROJECT PROPOSALS

Following review, evaluation and discussion of the project concept paper, the FHWA may invite the Offeror to submit a formal proposal for the project. The project proposal builds upon the contents of the project concept paper, as modified through discussions between the Offeror and

FHWA. Additional content and more detailed information is required in the proposal document, as described in the sections that follow.

Proposal documents are produced to the same formatting requirements as the project concept papers, except for a 20-page limit. This 20-page limit is for Volume I only. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the FHWA’s evaluation committee.

The proposal shall contain a Cover Page and relevant data organized into 2 Volumes:

• Volume I: Technical Proposal

• Volume II: Cost and Pricing Data

Offerors are advised that the FHWA’s evaluation of a project for possible award is based solely on the contents of the Offeror’s project proposal document and the Offeror’s answers to any technical clarification questions, as transmitted through the Contracting Officer.

FHWA shall treat all proposals as competitive information and to disclose the contents only for the purposes of evaluation.

4.1 Cover Page

Project proposals shall include a cover page containing the following information:

• Working title of the proposed project

• BAA Research Topic title and reference Number (Appendix C)

• “Project Proposal” written below the project title

• Names, phone numbers, mailing address and e-mail addresses for the principal technical and contractual points of contact (person or persons authorized to negotiate on the behave of the Offeror and who can contractually obligate the Offeror organization)

• Secondary Offeror organization addresses (project partners), if any

• Confirmation of a current beta.SAM.gov registration for your organization

• Date of submittal

• Proprietary data restrictions, if any (See Section 3.9.2)

4.2 Volume I: Technical Proposal

The Technical Proposal shall contain the following sections:

1. Background

2. Statement of Work

3. Technical Approach

4. Project Management Plan

5. Capabilities and Experience

6. Quad Chart

4.2.1 Background

Offerors shall explain, specifically, how the proposed technology or method enhances the ability to meet the research topic goals; how it could be incorporated into existing infrastructure or operations (to include how major barriers, impediments or obstacles could be overcome or mitigated); and the interface modifications required to accomplish a demonstration. Explain how its application will bring about an improvement to capital infrastructure, or operating methods, safety and/or performance improvements. Correlative benefits to general bridge and highway structure operations. Quantitative support should be provided for assertions made.

Proposals may include a discussion of optional, future phase or phases of work. Such discussion shall be clearly labeled as “optional future phase or phases of work.” The original phase or work shall in no way depend on work described under future phases to meet the program criteria. If a future phase or phases are included, a rough order magnitude cost estimate shall be provided as a separately labeled section in the costs and pricing section of the proposal.

Proposals shall include references to past relevant research describing capabilities, work, and significant accomplishments in areas directly associated with proposed research area or in closely related areas. A bibliography of relevant technical papers and research notes that support the technical concepts and innovative ideas described in this proposal shall be included for technical reference.

Objective Statement – Describe the technology proposed for research. Provide a statement(s) that conveys the Offeror’s objectives for this work and vision of the fully developed technology.

Description of Need – Describe the specific issue intended to be solved or improved by the technology proposed for research and development. Discuss the proposed application to design, construction, or evaluation of bridges and highway structures and associated safety, durability, and/or efficiency improvement in the United States. Discuss the intended stakeholder groups expected to utilize this technology and discuss how each group is expected to leverage this technology to improve safety and operating efficiency. Estimate the potential for the highway bridge and tunnel industry adopting this technology, and provide a rationale for this estimate.

Technology Assessment – Explain the maturity of the technology in the context of the technology readiness levels detailed in Section 3.3. Describe the technology readiness in the context of the bridge and highway structure industry (operations, legal, regulatory, etc.).

Describe how the proposed research or technology is technically or scientifically innovative with respect to the research topic description.

Development Framework – Describe the development history of the technology, both within the Offeror’s organization and from other sources, as applicable. Discuss the technical, financial, programmatic, or other significant factors that have impacted the development of this technology to date, both positively and negatively.

Expected Outcomes and Impact – Identify the significant outcomes expected from the project and their impact on the engineering practice and associated safety, durability, and efficiency of the Nation’s bridges and highway structures, including short, medium and long-term effects.

Explain how the outcomes of the proposed research will be implemented into practice. The

FHWA is seeking innovative ideas for dissemination and technology transfer to practice.

Patented or proprietary items – An identification and description of any patented or proprietary items to be utilized in the research. (see Section 3.2.4.)

4.2.2 Statement of Work

A statement of work document shall be prepared as a separate document contained within the proposal submittal. There shall be no company-sensitive or proprietary data included in this document.

This statement of work shall contain the following information:

Work Scope: Describe the work to be accomplished as part of the research project. Include the technology under development, the objectives and goals of the effort, major milestones, and the expected outcomes.

Requirements: Define the work. Separate the work effort into major tasks and subtasks as numbered paragraphs, or in a table. Identify all project reviews, test, demonstrations, and all deliverables resulting from the execution of the project.

Deliverables: All project deliverables should be clearly listed and described.

4.2.3 Technical Approach

Offerors shall provide a narrative description of work to be performed, organized as it is expected to be performed. The technical approach shall include activities designed to integrate the transportation industry into the development effort, either through active participation in the technology development or through demonstration and/or testing support. Describe the steps, tasks, and activities necessary to achieve the desired project results. Identify and describe all deliverables, presentations, demonstrations, test, and periodic reports. Describe the quality requirements for the project and identify the processes and/or procedures that will be employed to ensure these requirements are satisfied.

The technical approach shall include a risk assessment. Technical, programmatic, market and other risk elements shall be analyzed for their impact on the project. A scoring or ranking scheme shall be developed to quantify potential impacts. Data shall be presented in a probability/impact chart or another suitable format.

4.2.4 Project Management Plan

The proposal shall contain a detailed management plan for the project based upon the following minimum requirements.

Work Breakdown Structure (WBS) – Divide the project requirements into tasks and work packages. Hierarchically organize the project work down to the work package level. A table or chart format is preferred.

Project Schedule – Sequence the project activities, identify and estimate resource requirements and activity durations. Identify the critical path. Present the project schedule as a bar, or Gantt-style chart, including activity relationships (dependencies). Provide a milestone chart for the project illustrating key activities and their expected completion time (weeks from project start).

Include intermediate progress reviews, demonstrations or tests, and periodic reporting activities in the schedule. All project deliverables shall be clearly indicated on the project schedule.

Mobilization Plan – In the context of the project schedule, describe the plan to acquire and deploy resources needed for the project, including personnel, facilities, equipment, and other resources, including Government Furnished Equipment (GFE), deemed necessary for project execution.

Organization Chart – Deliver an organization chart for the project illustrating resource roles and reporting relationships. Include all Offeror organizations. Clearly highlight organizations that are participating in cost sharing activities. Identify the type of business (large, small, disadvantaged, or educational) for each Offeror organization. Provide resumes (2-page maximum) for all key personnel on the project. Resumes shall be organized in an appendix to the proposal. Resumes do not count toward the 20-page limit for the proposal.

Subcontracts/Teaming/Cost Sharing Management Plan – Identify and describe the Offeror’s plans for subcontracting, teaming, and cost sharing. Clearly identify the roles and responsibilities of all organizations working within the project team, including technical and financial elements.

Testing Plan - Describe the testing requirements, environments and methods needed to assess or demonstrate the suitability of the technology in highway bridge and structure environment and to demonstrate the success of the proposed project. Cite transportation companies or other highway-related organizations, such as bridge bearing industry suppliers, that have expressed their willingness to permit and/or support such testing or demonstrations. Letters or statements attesting to an outside organization’s interest or commitment to permit and/or support testing or demonstrations should be furnished with the proposal as an attachment. Such letters or statements will not count towards the proposal’s 20-page limit.

4.2.5 Capabilities and Experience

Identify and describe the capabilities and experience of key personnel and organizations within the project team as these elements relate to the proposed project. Describe any relevant technological and scientific, highway or other industrial or defense capabilities, experience, and resources (or those of its team members) that will serve to demonstrate its ability to successfully conduct the proposed research or technology advancement project. Describe the team member’s

(or organization’s) familiarity with or position in the transportation community and access to critical resources for the project.

Describe any unique capabilities that the Offeror team possesses that may reduce project risk, may reduce project duration, and/or may improve project financial performance. Describe these capabilities within the context of the objectives of the BAA and the proposed project’s scope of work.

4.2.6 Quad Chart

Include a Quad chart summarizing the project proposal, as per the example and instructions provided in Appendix A. Quad charts shall be submitted electronically in native formats.

4.3 Volume II: Cost and Pricing Proposal

4.3.1 General Requirements

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 formal Proposal organized by the following sections:

1. Cover Page

2. Cost/Price Information

3. Other Financial/Organizational Information

4. Small Business Subcontracting Plan

5. Recommended Procurement Instrument and Pricing Arrangement

Identify each funding source and their contribution to the whole, expressed as a percentage.

Include all anticipated sources, including Offeror internal sources, government funds, and other

Offeror organizations.

The cost or pricing portion of the proposal should contain a cost estimate for the proposed effort to allow for meaningful evaluation and determination of price or cost reasonableness. The cost estimate shall account for the entire cost of the project, inclusive of that portion of cost the applicant or other Offerors would bear in any proposed cost sharing arrangement or other investment of resources, as a means of venture sharing, in lieu of a formal cost sharing arrangement. The cost estimate shall be broken down for each year of the proposed work, and by all years combined. At a minimum, the cost estimate shall include the following information:

Labor - A breakdown of direct labor, by WBS index number, identifying the labor categories or individuals and projected hours, and their associated subtotals.

Overhead and/or fringe - Labor overhead and/or fringe rate(s) and base(s), and cumulative effect on labor costs.

Materials, supplies, and equipment - Description and cost of materials, supplies, and equipment, to include the basis of the cost estimate (e.g., historical data, competitive market quotes, and in-house transfers). Specific mention should be made of any highly specialized or costly test equipment or supplies needed to accomplish the project.

Travel and transportation - Breakdown of travel and transportation costs.

Subcontracts - Breakdown of individual subcontracts. State the amounts of time of subcontractor/consulting services to be devoted to the project, including the cost to be charged to the proposed contract/agreement.

ODC - Breakdown of other direct costs (reproduction, computer time, and consultants).

Misc. - Identification of any other direct or indirect cost elements not identified elsewhere. For each indirect rate (identified here or elsewhere), indicate if the proposed indirect rate and allocation base have been approved by a government audit or cognizant agency for use in proposals and when the rate(s) was approved and the name of and telephone number of the cognizant auditor or approving official.

General and Administrative - G&A rate and base, and cost outcome.

Profit or fee - Generally, the FHWA does not anticipate providing profit or fee under contracts awarded under the BAA because of the potential for long-term benefits to those firms or institutions involved in these demonstration activities. However, profit or fee may be proposed, and if proposed, is subject to final negotiations.

Cost Sharing/Cost Participation - Identify extent of cost sharing/cost participation, if any

(exclusive of the Offeror’s prior investment), to include the actual dollars or the percentage of the cost share of the proposed research or technology project, to be provided by the applicant, or third party contributors or other Federal funding sources, if allowable; the type and extent of cost limitations (direct or indirect); or the specifics for and extent of similar concepts indicative of cost participation. (Note: The applicant may be required to certify that it has secured the appropriate cost share funding levels, and identify the source of funding.)

The value of any proposed cost participation in the form of participation in-kind or other investment of resources as a means of venture sharing, in lieu of a formal cost sharing arrangement, or third-party in- kind contributions, must be assessed by the Government. (Note:

These latter forms of cost participation are best suited for and may only be applicable as the

Offeror’s cost share/match in a grant or cooperative agreement award.)

4.3.2 Cover Page

Offerors shall include a Cover Page and contains information as in Section 4.1. The Cover Page will not be counted toward the 20-page limit.

4.3.3 Cost/Price Information

Offerors shall provide detailed cost/price information. Offerors shall present cost/price information using the Cost Reimbursement or Time-and- Materials workbooks in Appendix B –

Cost/Price Proposal Models.

Offerors’ 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. Offerors 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: See Section 2.6 for Program and Project Funding Limits.

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:

• Personnel by name or labor category

• Number of hours proposed (commercial organizations) or percent of effort (organizations subject to OMB Circulars)

• Hourly unburdened labor rate (commercial organizations) or salary rate and basis (9- or

12-month basis) (organizations subject to OMB Circulars)

• Fringe Benefits Rates applied

• 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.

4.3.4 Other Financial / Organizational Information

Offerors 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 Appendix D – 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…