Attachment__1_-_General_Guidelines_Co-Funded.pdf

DTPH5616RA00001

Full Proposal

Attachment #1

GUIDELINES FOR SUBMITTING FULL PROPOSALS

Pipeline Safety Research and Development

Research Announcement #DTPH5616RA00001

1. Introduction/Background

A comprehensive business and technical evaluation will be conducted to determine the merits of the proposal and its relevance to the topic area of focus. Proposals will be evaluated using only the materials provided in the proposal. For topics requiring resource sharing, the mandatory minimum is 50%. For these proposals, additional resource sharing above the mandatory 50% is strongly encouraged. The Federal Government will fund no more than

50% of the total cost of each project. Firm letters of commitment for Resource sharing should be provided with the proposal. No award will be made to a proposal without having all commitment letters.

2. Fixed Price

PHMSA is funding this research announcement on a fixed-price schedule.

Compensation/reimbursement will only be provided upon completion of project items quarterly. PHMSA will not make payments on incomplete items.

3. Evaluation Criteria

Evaluation of the proposals will be based on the following criteria, each factor/subfactor being weighted equally:

3.1. Offeror Level of Understanding.

How well does the proposal describe the solicited challenge and/or state how the approach will resolve the solicited challenge?

How well does the proposal describe related work done by others, status of any related technology developments or related consensus standard revision done by others?

3.2. Soundness of Project Design and Implementation.

How well are project goals or objectives defined and do they match the solicited topic?

How well are the scope of work, tasks, and milestones defined in support of the solicited topic?

How well defined and appropriate are the deliverables?

How appropriate is the project team size and capabilities to conduct the work?

3.3. Realistic Project Costs and Schedule.

How appropriate are costs to address stated objectives and deliver products within the proposed timeline?

How appropriate are proposed levels of travel?

How appropriate is the schedule matched with the desired deliverable or output?

How well qualified are the Principle Investigator and project team to investigate, as required under the proposed project?

How appropriate are the facilities or level of testing samples involved to the proposed project?

3.4. Coordination and Collaboration of Work Scopes and Deliverables.

How well does the proposal identify and involve end users of the deliverable type into the work scope?

How appropriate/comprehensive is the technology or knowledge transfer plan?

4. Proposal Format

Proposals should be direct, concise, and must not exceed a total of 20 single sided pages.

The merit review panel uses the first 20 pages to complete their evaluation. Any “Appendix” submitted is not included in the 20 page limitation, and may include Resumes, Letters of Co-

Funding Commitment(s), Audit Reports (Accounting System Approval), and information to fulfill the requirements of Attachments 3 through 6 of this package. Pages in excess of the page limit will NOT be evaluated. The proposal shall be typed, double-spaced, using 12 point font and printed on 8 ½“ by 11” paper, with 1” margins on all sides. Proposals that do not meet these format specifications may be removed form the review.

The proposal shall include a technical discussion in the format specified below:

4.1. Title Page

Must include the Project Title and Solicitation, #DTPH5616RA00001, the Vendor -

Name/Address/Phone/Fax/URL, the Principle Investigator -

Name/Address/Phone/Fax/email, and the Public Abstract. The Public Abstract can fill the remainder of the title page describing the objectives of the proposed research, methodology, and sponsoring organization(s). This abstract may be released to the public by PHMSA in whole or in part at any time. It is, therefore, required that it shall not contain proprietary data or confidential business information.

4.2. Body of the Proposal

Must include an Introduction which describes the challenge and necessity for this proposed research and an overall Objective. Include sections that address each

Evaluation Criteria and following specific topics:

4.2.1. Proposed Work Plan and Budget

This section should describe the proposed work plan and budget to complete the project. Divide the project work plan and budget into appropriate stages. Identify activities, expected completion dates for the activities, milestones, deliverables, and projected costs (both the government’s share and the applicant’s share). See

Attachments 3, 4, and 5. This section must include a table listing the estimated hours and general labor categories (management, engineering, technical, clerical, etc) required for each task. Discuss, as best can be determined at this time, all proposed travel, including the purpose of the travel, trip duration, origin and destination, number of personnel, and the costs for airfare, lodgings, meals, and incidentals. Present specific plans for evaluating research results at the completion of each stage. All deliverables (e.g., reports, devices, etc.) resulting from the work must be identified (See Attachments 4 & 5). Finally, this section should discuss the timeline to implement the proposed technologies or concepts into practice in the pipeline industry.

Complete the Budget Summary Sheet, Attachment 2, which gives a summary of the budget proposal and provides information showing how the requested funds will be used. This shall be included in the “Appendix” section of your proposal.

Additional budgetary information, broken out as described in subparagraphs a.

thru j. below, should be provided that identifies the estimated costs for the project with detailed information on each cost element, consistent with the proposer's cost accounting system. The amounts requested should be justified in each category or, as appropriate, on a budget explanation page immediately following the budget proposal. Only critically needed hardware and equipment will be considered for funding from DOT funds. Travel budget items must be directly related to the performance of the project work. The investigator should include potential travel to project briefings at DOT sponsored meetings. The budget should reflect the proposer’s best terms from a cost and technical standpoint to perform the work.

a. Personnel: List individually all personnel and include for each, the requested hours to be funded and the respective compensation rates (salary, wages, and fringe benefits). In support of the proposed personnel costs, provide a supplemental schedule that identifies the labor hours, labor rates, and cost by labor classification. Also indicate the basis of the labor classification, number of hours, and labor rates. An example of the basis for the labor classification and number of hours could be past experience, engineering estimate, etc. An example of the basis for the labor rates could be actual rates for the individuals who will perform the work or an average labor rate for the labor classification or a departmental average rate.

b. Equipment/Supplies/Materials: Provide an itemized list of each piece of equipment/supplies, etc. Include individual costs for each (those exceeding

$5,000) and the basis for estimating the cost; for example, vendor quotes, catalog prices, prior invoices, etc.

c. Other Direct Costs: Provide an itemized list with costs for any other item proposed as a direct cost that are not included in other categories. State the basis for each proposed item. For travel, address the type and duration of travel and its relation to the project.

d. Consultants: List the names of consultants and describe the activities to be performed, duration of the service, and the compensation involved. Provide the hourly or daily rate along with the basis for the rate. Furnish resumes or similar information regarding qualifications or experience. Provide at least two invoices reflecting hourly or daily rates charged to customers other than the

Government. A statement signed by the consultant certifying his or her availability and salary must be provided. If travel or incidental expenses are to be charged, give the basis for these costs. Total cost of consultants and/or subcontractors should not exceed 50% of proposed amount of Federal contribution to project.

e. Subcontractors: Provide the total cost per year for each subcontractor. Detail of subcontractor’s costs should appear in the subcontractor’s budget explanation.

f. Accounting System: Provide a copy of the most recent approval (audit report) of the organization/corporation accounting system. Ensure the approving organization is identified.

g. Fee/Profit: No fee or profit should be proposed. This is a resource sharing arrangement.

h. Resource Sharing, In House Contributions, and Joint Ventures: Your cost application must show the breakout between Federal and non-Federal sources.

The non-federal share may include cash, personnel, services, equipment, and other resources. All resource sharing or matching contributions, including cash and third party contributions shall meet the following criteria which can be found in 2 CFR 200 “Resource sharing or matching”:

(1) Are verifiable from the recipient's records,

(2) Are necessary and reasonable for proper and efficient accomplishment of project or program objectives,

(3) Are not included as contributions for any other federally-assisted project or program,

(4) Are allowable and allocable under the applicable cost principles,

(5) Are not paid by the Federal Government under another award, except where authorized by Federal statute to be used for resource sharing or matching Resource sharing includes cash contributions or in-kind payments.

Only Cash or cash expenditures tied to technology development activities will be allowed (such as the costs associated with preparing a test bed for a demonstration, the donation of samples and test apparatus usage or the third party In-Kind contribution of vendor/service provider time/materials, etc.).

PHMSA will not accept previously funded Federal research as a form of resource sharing.

Resource sharing letters of commitment shall be provided with the proposal package; however, resource sharing arrangements need not be finalized when the proposal is submitted. Specific arrangements, if proposed, must be completed if the project is approved for award and before an award is made.

i. Unallowable Resource Sharing: Previous work funded by the Federal

Government under another award may not be used, either in whole or in part, towards the resource sharing or matching contribution by the offeror. Any work that has been used as cost-share for other Federal Government projects is also unallowable.

j. Delivery Milestone Items: Minimize the number of Items in a quarterly period.

Create higher level groupings of project Items. For example if the completion of 3 Items were necessary before but related to a field test then wrap those items all into the “Field Test” as a primary Item occurring in a quarter. You must include the required Quarterly Report as an Item in every quarter and where you can describe all the Items that occurred with and including the Field

Test. NOTE: The Draft Final and Final Report should be moved to the Other

Area along with Items k and l described under Section 4.2.1.

k. Public Submission and Presentation of Project Results: Ensure that you factor into your project costs, $1,000 for the following: Project results must be submitted and presented to at least one public pipeline conference/workshop/forum, in an effort to disseminate information and to provide peer review of your work. This cost is not subject to the resource sharing requirements.

l. Annual Panel Peer Review: The Office of Management and Budget mandated project peer review with awards for Federal Research Programs. Panel peer reviews will occur annually and held virtually in the March or April timeframe.

If the proposal reaches the award phase, a determination will be made on how many Peer Review Meetings a project will need to attend and factor into the accounting and milestones. Month of award and project duration will determine the number of meetings required and the costs associated. A rate of

$1,000/meeting should be budgeted for this review. Further details will be provided if this proposal reaches the award phase. This cost is not subject to the resource sharing requirements.

4.2.2. Scientific and Technical Merit of the Technology

The section should describe the anticipated benefits of the proposed technology to the natural gas or hazardous liquid pipeline industry in terms of anticipated performance, cost savings over existing technologies, and how the technology is an improvement over currently available technologies. If possible, include a clear and concise cost/benefit analysis.

This section should also discuss the potential for the proposed technology to be commercialized and incorporated into the natural gas and hazardous liquid pipeline industry. Applicants must discuss specifics of how the technology will be commercialized or incorporated and the time frame for commercialization and incorporation.

4.2.3. Key Personnel and Facilities

Describe the credentials, capabilities, and experience of the organization(s) and key personnel. Identify key investigators, subcontractors, consultants, and personnel and provide a brief description of their background and technical expertise. Describe prior experience in successfully managing relevant projects of similar type, size, and complexity. Describe the capabilities of the research facility available for performing the project. Indicate liaison or cooperative work arrangements, if any, with other government agencies, research organizations, or potential product users. Describe the equipment, materials, and facilities that will be used during the project and the availability of these items.

4.2.4. Other Related Proposals

Provide information on other proposals in the same area or related technical areas that have been prepared and submitted by the investigator(s) to other agencies or other programs; any that are planned to be submitted in the current year; or any that have been funded previously. Indicate “not applicable” if no such awards or proposals have been received or submitted.

4.3. Deliverable Milestone Schedule

4.3.1. Items

Applicants should minimize the number of Items in a quarterly period by creating higher level groupings of Items.

4.3.2. Costs

The costs, both Federal and Resource sharing of Items (where applicable) in each quarter are Fixed Price. This means that the summation of the Federal Items in a quarter must equal the Quarterly Payable Milestone for PHMSA. This also means that applicants must consider how they want their cash flow to be executed through all quarters in a project. This is especially important on Items that continue through multiple quarters. Successful applicants will only be paid on completed Items that are well documented in the Quarterly Report.

4.3.3. Progress

With a Fixed Price payment schedule, each quarter is an opportunity to be paid for completed Items. If awardees are behind schedule and did not complete an

Item in a quarter then the Quarterly Payable Milestone costs must be lower by the exact amount of the Item(s) not completed. If awardees are on schedule then the

Items in that quarter summate to the amount shown for the Quarterly Payable

Milestone. If awardees are ahead of schedule and completed an Item(s) in a future quarter in addition to completing all the Items in the current quarter means the Quarterly Payable Milestone costs will be higher by the exact amount of the additional completed Item(s). The Actual Invoice amount reflects what was completed during a given quarter with future invoices being adjusted to reflect how being behind or ahead of schedule impacts Quarterly Payable Milestone costs.

4.3.4. Invoicing PHMSA

PHMSA has never provided a template for associated invoices. However, and since all costs are fixed priced, invoices must include a list of Items (by Item number) completed at the time of the submitted invoice and reporting such in the quarterly report. You may include “completed Items” from prior or future quarter on the invoice for the reporting quarter if those are now complete. It is recommended that you include a copy of the current quarter from the Milestone

Schedule as part of an invoice. An invoice can be submitted for items in the

Other Area of the accounting and milestone table once they are completed. See

Section 4.3.5 for additional requirements.

4.3.5 Item Completion Status & Invoice Summary

An update must be made on the Item Completion Status & Invoice Summary after submitting a quarterly report and corresponding invoice. This action is completed from the Contractor Page for your project and within our Management

Information System. It is a quick and checked box approach to illustrate project progress. More information will be provided upon award to address this requirement.

5. Attachments to the Proposal (“Appendix”) (Not included in the proposal 20 page limitation)

Resumes

Letters of Commitment

Budget Summary, Attachment #2

Team Project Activities, Attachment #3

Project Deliverables, Attachment #4

Technical and Deliverable Milestone Schedule, Attachment #5

Additional Information, Attachment #6

Standard Title VI Non-Discrimination Assurances, Attachment #7

Accounting System Approval(s)

No awards will be made if any of the above documents are missing from the full proposal package. Please ensure that Attachment #5 “Technical and Deliverable Milestone Schedule is transmitted as an editable Excel document.