FINAL NOFO NAS 693JJ320NF00002.pdf

NOFO 693JJ320NF00002

Notice of Funding Opportunity Number 693JJ320NF00002

“Core Program Services for a Highway Research, Development, and Technology Program”

Notice of Funding Opportunity Issue Date: 9/24/2019

Application Due Date: 11/1/2019

Estimated Cooperative Agreement Award: 1/15/2020

TABLE OF CONTENTS

SECTION TITLE PAGE

A

PROGRAM DESCRIPTION

B

FEDERAL AWARD INFORMATION

C

ELIGIBILITY INFORMATION

D

APPLICATION SUBMISSION INFORMATION

E

APPLICATION REVIEW INFORMATION

F

FEDERAL AWARD ADMINISTRATION INFORMATION

G

FEDERAL AWARDING AGENCY CONTACT(S)

The Federal Highway Administration (FHWA) is using www.Grants.gov for issuance of this Notice of Funding Opportunity (NOFO) and for receipt of the requested application. The Applicant must register and use the system to submit the application electronically. The Applicant is 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.

http://www.grants.gov/

Funding Opportunity Summary: Set-aside award to the National Academy of Sciences to continue to provide core program support for a highway research, development, and technology program for FHWA.

Federal Agency Name: U.S. Department of Transportation (DOT) Federal Highway Administration (FHWA) Office of Acquisition and Grants Management 1200 New Jersey Avenue, SE Mail Drop: E62-304 Washington, DC 20590 Attention: Angela A. Jones, HCFA-32; Sarah Tarpgaard

Funding Opportunity Title: “Core Program Services for a Highway Research, Development, and Technology Program”

Eligibility: Eligibility for this funding opportunity is limited to the National Academy of Sciences.

Announcement Type: This is a follow-on announcement to Cooperative Agreement

DTFH6114H00004.

Funding Opportunity Number: 693JJ320NF00002

Type of Award: Cooperative Agreement

Catalog of Federal Domestic Assistance (CDFA) Number:

20.200

Application Due Date: Submission Deadline by 11:00 pm ET on 11/1/2019 via Grants.gov (see Section D).

Questions: Submit Questions by email to: angela.jones@dot.gov mailto:angela.jones@dot.gov

SECTION A – PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this cooperative agreement is to provide financial and technical support for the Transportation Research Board (TRB), a division within the National Academy of Sciences (NAS), to provide, “Core Program Services for a Highway Research, Development, and Technology Program.”

2. LEGISLATIVE AUTHORITY

The authority to award an agreement for this effort is found under Section §502(b)(3) of United States Code (U.S.C.) Title 23, Surface Transportation Research, which states the following:

(3) COOPERATION, GRANTS, AND CONTRACTS. —The Secretary may carry out research, development, and technology transfer activities related to transportation—

(A) independently;

(B) in cooperation with other Federal departments, agencies, and instrumentalities and Federal laboratories; or

(C) by making grants to, or entering into contracts and cooperative agreements with one or more of the following: NAS, the American Association of State Highway and Transportation Officials, any Federal laboratory, Federal agency, State agency, authority, association, institution, for-profit or nonprofit corporation, organization, foreign country, or any other person.

3. BACKGROUND

The transportation research community consists of numerous partnerships to aid in the conduct of research and the implementation of technologies and innovations. The FHWA, DOT, State departments of transportation (State DOT), and NAS are among these partners, who work closely in many facets of the national research program.

The TRB is a program unit of NAS, a non-profit organization that provides independent, objective, and interdisciplinary solutions. The TRB's mission is to promote innovation and progress in transportation by stimulating and conducting research, facilitating the dissemination of information, and encouraging the implementation of research results.

The TRB fulfills this mission through the work of its standing technical committees and task forces addressing all modes and aspects of transportation; publication and dissemination of reports and peer-reviewed technical papers on research findings; administration of contract research programs; conduct of special studies on transportation policy issues; maintenance of the

Transportation Research International Documentation (TRID); and hosting an annual meeting that attracts approximately 13,500 transportation professionals from throughout the United States and abroad.

The TRB is supported by FHWA, State DOTs, the various modal administrations of DOT and other Federal agencies, industry associations, and other organizations.

4. GOALS

The goals of this cooperative agreement are to provide funding and technical support to TRB to ensure that the results of research are successfully coordinated and disseminated to FHWA, and throughout the transportation industry. The work under the proposed agreement supports that objective by funding the following activities to be performed by TRB:

• Support a national program of highway research, development, and technology;

• Encourage and promote the establishment of research activities within highway agencies;

• Disseminate highway and intermodal transportation research findings and promote their implementation;

• Maintain and operate the TRID;

• Conduct a research and development coordination and communications program; and,

• Conduct studies, reviews, and conferences relating to highway and intermodal transportation, safety, and technology.

5. STATEMENT OF WORK

PROJECT TASKS

Task 1 – TRB Core Technical Activities

The TRB Core Technical Activities are composed of many continuing interrelated and interdependent activities that include the TRB annual meeting, standing committees and task forces, committee-sponsored conferences and workshops, the sponsor visit program, and providing responses to inquiries drawing on the TRB Library and TRID and publications. The Core Technical Activities staff is composed of specialists in each transportation mode and discipline who carry out activities on behalf of the TRB sponsors and the communities they serve. The TRB Core Technical Activities are financed by the pooled resources of sponsors.

Task 2—Conduct an Annual Meeting

Conduct an annual international meeting in the Washington, District of Columbia, area as a forum for the presentation of highway research results. This annual meeting, which draws approximately 13,500 people, will be held within the context of an overall transportation research meeting involving various modes of transportation. The meeting focuses on current topics in transportation research, drawing from experts from public and private agencies, universities, and professional organizations in the United States and around the world to present research and findings in workshops, lectures, panels, poster sessions, and by other means.

In conjunction with the annual meeting, provide FHWA with display areas and meeting facilities. Arrange for providing miscellaneous items such as electrical hookups, easels, spot lighting, etc. Solicit through various methods including an e-newsletter, Website, committees, and other established network papers for presentation at the annual meeting. The recipient shall review and select appropriate papers to be presented at the meeting.

Provide for registration of all FHWA employees requesting attendance to the annual meeting in January. Provide FHWA with four (4) conference rooms in the Walter E. Johnson Convention Center, a conference room in the Marriott Marquis, and up to 40, 10-foot x 10-foot exhibit booths (prime space), including carpet and drape (in colors chosen for general use). Each booth shall include one (1) 6-foot table, two (2) chairs, one (1) standard electrical outlet, and booth sign with booth number. Costs for any additional exhibit booths or other displays and equipment will be borne directly by FHWA through agreements entered between FHWA and individual vendors.

Task 3—Technical Committees

Maintain standing committees of authorities in subject areas of interest to FHWA. These committees shall be responsible for promoting the exchange of technical research information, advancing the state-of-the-art in the areas of their expertise and for identifying research needs.

Committee membership shall be in accordance with National Research Council/TRB requirements for member balance among organizations, regions, disciplines, and other characteristics. These committees shall also frequently compile research needs for use by the transportation community at large.

Maintain member balance among organizations, regions, disciplines, and other characteristics to provide new perspectives, and to ensure the exchange of current information about needed research.

Membership on these standing technical committees shall be rotated every 3 years. One-third of the current members will not be reappointed. In this way, new individuals will continually be brought into committee functions. This will provide an opportunity to staff committees with experts in activities that are relevant to the times and to broaden committee interests.

Establish appropriate new committees as the need is demonstrated and to respond to changing issues facing the transportation industry.

Conduct committee-sponsored conferences and workshops as determined appropriate by the technical committees. Each of these conferences and workshops will be sponsored by one or more committee, sometimes in cooperation with a local host organization, and managed by contractor technical staff. Costs for the smaller conferences will be supported in part by core support funds (pooled sponsor support) and may be supplemented through registration fees. The more complex conferences, involving substantial report preparation, review, and publication, will be supported through supplemental special funding from Government agencies or other sponsors. The FHWA ex officio members of the TRB Executive Committee will be provided with information on all proposed conferences and workshops before they are approved, providing FHWA the opportunity for participation. Please note the recipient shall not proceed with FHWA-funded share of conferences without the express written consent of the Agreement Officer (AO)

Task 4—Maintenance of National Overview of Highway Research

Maintain a national overview of highway research through a sponsor visit program. Visit each of the State transportation agencies every 3-years to assess the interest, competency, and relevancy of the research conducted by each State transportation agency as well as to encourage a coordinated national transportation emphasis. In conjunction with these visits, visit selected key universities and public and private researchers responsible for highway related research. Visits to international research organizations, conducted as part of international visits for other specific purposes, will be considered under this task. Consolidate visits as much as possible to minimize travel expenses. A summary of the results of these visits will be printed annually in the NAS published TRNews.

Task 5—Maintenance and Dissemination of Research Results (Clearinghouse for Research Results)

The TRB shall continue to process new highway-related publications into the Transportation Research Information Services (TRIS). The TRIS is combined with the International Transport Research Documentation Database and is known as the Transport Research International Documentation Database, available on TRB’s Website at trid.trb.org. This agreement will ensure that transportation professionals and decision makers have access to reliable, relevant, and timely information to support transportation research, operations, and investments. The TRB shall continue to be responsible for producing and maintaining the TRIS Database part of TRID, and shall continue to ensure Web access to the combined TRID Database by the public free of charge. The TRB shall provide technical assistance on advanced TRID searches for FHWA as needed.

The TRIS also supports and maintains the Research in Progress (RIP) Database and shall provide support to FHWA for entering and updating project records in the RIP Database.

Task 6—Publication and Distribution of Reports

Develop, publish, and distribute a variety of reports and periodicals to assist in the transfer of technical information. Publications shall include but not be restricted to items such as general non-technical reports related to very specific topics. Reports shall also be developed which summarize and highlight some of the key papers presented at the annual meeting. The TRB shall maintain and update a mailing (email) list for distribution of publications to FHWA staff with an update coordinated through the Agreement Officer Representative (AOR). Please note FHWA would prefer electronic report distribution.

Provide the AOR with and electronic copies of all publications reporting on the activities carried out under the TRB core technical activities program. There are approximately 100 of these individual reports anticipated for delivery to FHWA each year. These reports include, but are not limited to: approximately 50 reports per year in the Transportation Research Board Record Series -A Journal of the Transportation Research Board, the bi-monthly TRNews, the TRB Annual Report, the annual Field Visit Program publication, and the technical and financial reports presented semi-annually at Executive Committee meetings.

<end of section>

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING

The total estimated amount of this cooperative agreement is $7,000,000, to be expended over a 5-year period of performance, subject to the availability of Federal funds.

Federal funds (currently available): $ 1,400,000 Federal funds (subject to availability): $ 5,600,000

TOTAL VALUE $ 7,000,000

The Government’s obligation under this award is contingent upon the availability of funding from which payment for agreement purposes can be made. No legal liability on the part of the Government for any payment may arise until funds are made available to the AO for this award and until the awardee receives notice of such availability, to be confirmed in writing by the AO.

2. NUMBER/TYPE OF ASSISTANCE INSTRUMENT

The Government anticipates making one (1) award as a result of this NOFO. The planned award type is a cooperative agreement.

3. PERIOD OF PERFORMANCE

The period of performance for this cooperative agreement is five years. The period of performance will not exceed five years from the effective date of award.

4. DEGREE OF FEDERAL INVOLVEMENT

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

• Technical assistance and guidance to the Recipient;

• Close monitoring of performance;

• Involvement in technical decisions;

• Participation on the Board of Advisors and Technical Steering Committee;

• 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 is a set aside requirement with application eligibility limited to NAS.

2. COST SHARING OR MATCHING

No cost sharing or matching is required for this cooperative agreement.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

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

• Application must be prepared on 8½ x 11-inch paper. Pages that exceed this size, such as foldouts, are not allowable.

• 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.

• Narrative text must be printed using a font size no less than 12-point font.

• Tables are permitted. Text in tables may be smaller than 12-point font but must be legible.

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

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

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

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

• Resumes are limited to one page each.

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

• PAGE LIMITS: Application volumes shall adhere to the page count limitations listed below. The page limit includes all narrative, figures, tables, appendices, and all other ancillary materials with the exception of the following. EXCEPTIONS ON PAGE LIMITS: The following items do NOT count against the page limitations.

a. Document covers;

b. Cover letters;

c. Title pages;

d. Divider pages;

e. Tables of contents;

f. Lists of acronyms;

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

h. Resumes. (Note: Resumes shall not exceed 1 page each.)

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

Volume 1 – Technical Application as described below – 35-page limit (Parts I and II combined)

• Part I – Technical Approach (included in the page limitation)

• Part II – Staffing and Management Approach (included in the page limitation;

resumes are not included in the page limitation and may 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.

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

• Part I – 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)

a. Part I – TECHNICAL APPROACH:

Provide a detailed description of the technical plan of how the Recipient would proceed if awarded this agreement. Discuss and describe the ability of the proposed project to meet the purpose and goals of this program, an annual work plan for year one, and the manner in which they will be addressed by your project.

b. Part II – STAFFING AND MANAGEMENT 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 (percent 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 resumes for the proposed Program Manager/Principal Investigator and other key personnel to include name, experience, education and proposed role in project. Explain why the personnel possess the qualifications to perform the proposed positions. Resumes shall not exceed one page each.

• A contingency plan to replace personnel over the period of performance without adversely affecting performance

• Describe the project management plan and approach to ensure successful and timely completion of the task order.

• Include an organizational chart to demonstrate a sound approach to project organization, identifying project team roles and their relationships to each other.

Volume 2 - Budget Application

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

a. Part I APPLICATION FORMS

1. SF424

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

2. SF424A

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. SF424B

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 separate detailed budget table for EACH year; and a summary table for ALL years.

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

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 application. 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 U.S. Department of Health of Human Services rate agreement).

Note: Per 2 CFR 200.414(f), Indirect (F&A) Costs, an Applicant may elect to propose a de minimis indirect rate of 10 percent 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 (this includes any sub- Recipient/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).

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

vii. 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. The use of a Dun and Bradstreet (D&B) Data Universal Numbering System

(DUNS) number is required on all application for Federal grants or cooperative agreements. Please provide your organization’s DUNS number in your budget application.

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 Applicant’s ability to perform the proposed agreement in an impartial and objective manner.

Actual or potential conflicts of interest may include but are not limited to any past, present or planned contractual, financial, or other relationships, obligations, commitments or responsibilities, which may bias the 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, 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).

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)

The Applicant is required to: (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

The Federal awarding agency may not make a Federal award to an Applicant until the Applicant has complied with all applicable unique entity identifier 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 qualified to receive a Federal award and use that determination as a basis for making a Federal award to another Applicant.

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.

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

The deadline stated on page 1 is the date and time by which the applicant must submit the full and completed application to www.grants.gov, including all required sections.

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

5. INTERGOVERNMENTAL REVIEW

An application under this NOFO 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 FHWA points of contact (POC) designated on page 1. If Applicants are unable to use the system due to technical difficulties, Applicants must e-mail application to FHWA POCs listed on page 1 no later than the application deadline cited above.

SECTION E - APPLICATION REVIEW INFORMATION

1. EVALUATION CRITERIA

The Government will evaluate applications on the following criteria:

MERIT: The Government will evaluate the applicant’s proposed technical, management, and staffing approach to meeting the goals of the agreement and its capability to successfully perform the work.

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.

Funding availability will also be considered in the award decision.

2. DEPARTMENTAL OBJECTIVES

After applying the above preferences, FHWA will take into account the following key Departmental objectives as applicable to the project:

(A) Supporting economic vitality at the national and regional level;

(B) Utilizing alternative funding sources and innovative financing models to attract non-Federal sources of infrastructure investment;

(C) Accounting for the life-cycle costs of the project to promote the state of good repair;

(D) Using innovative approaches to improve safety and expedite project delivery; and

(E) Holding grant recipients accountable for their performance and achieving specific, measurable outcomes identified by grant applicants.

3. REVIEW AND SELECTION PROCESS

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

A panel of Agency experts will evaluate the technical application using the merit criteria listed above. The panel will individually evaluate the technical application. The panel will then collectively determine the application’s technical acceptability or unacceptability.

Agency personnel from FHWA Office of Acquisition and Grants Management will evaluate the cost criteria listed above, and conduct a risk assessment of the Applicant prior to award as described below.

The Government reserves the right to not make an award to the Applicant based on the results of the risk assessment. The AO is the official responsible for final award selection. The Government is not obligated to make any award as a result of this notice.

Risk Assessment

The Government will assess the risks posed by an Applicant before they receive an award. This Risk Assessment will include evaluation of some or all of the following items relative to the Applicant and/or sub-applicants as applicable:

(1) Applicant’s financial stability;

(2) Applicant’s quality of management systems and ability to meet the management standards prescribed in 2 CFR Part 200;

(3) Applicant’s history of performance;

Note: History of performance includes the Applicant's record in managing Federal awards, if it is a prior Recipient of Federal awards, including timeliness of compliance with applicable reporting requirements, conformance to the terms and conditions of previous Federal awards, and if applicable, the extent to which any previously awarded amounts will be expended prior to future awards. The Government will evaluate the relevant merits of the Applicant’s history of performance based on its reputation and record with its current and/or former customers with respect to quality, timeliness and cost control. The history of performance will be reviewed to assure that the Applicant has relevant and successful experience and will be considered in the risk assessment. In evaluating history of performance, the Government may consider both written information provided in the application, as well as any other information available to the Government through outside sources.

(4) Applicant’s audit reports and findings from audits performed on the Applicant pursuant to 2

CFR Part 200 Subpart F—Audit Requirements or the reports and findings of any other available audits;

(5) Applicant's ability to effectively implement statutory, regulatory, or other requirements imposed on non-Federal entities;

(6) Applicant’s potential for conflict of interest if applicable; and

Note: The FHWA will review information provided by the Applicant, and any other relevant information known to DOT, 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 award to the Applicant and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

(7) Applicant’s eligibility to receive Federal funding. Per the guidelines on governmentwide suspension and debarment in 2 CFR Part 180, the Government will confirm that the Applicant and any named sub-applicants are not debarred, suspended or otherwise excluded from or ineligible for participation in Federal programs or activities.

Pursuant to 2 CFR Part 200.205, prior to making a Federal award, the Federal awarding agency is required to review information available through any Office of Management and Budget-designated repositories of governmentwide eligibility qualification or financial integrity information, such as Federal Awardee Performance and Integrity Information System (FAPIIS), D&B, and “Do Not Pay.” The Government’s review of this information will occur as part of the risk assessment.

Note: If an applicant is determined to be high risk additional reporting requirements or other special conditions may apply to the resulting award to mitigate risks.

4. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

The FHWA anticipates, but does not guarantee, making an award on or about 1/15/2020.

SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION

The following terms and conditions will apply to any award made based on this NOFO.

1. FEDERAL AWARD NOTICES

If your organization’s application is selected for award, you will be notified and sent an award document for signature. Applicants not selected for award will be notified in writing by FHWA.

Only the AO can commit FHWA. The award document, signed by the AO, is the authorizing document. Only the AO can bind the Federal Government to the expenditure of funds.

Notice that an Applicant has been selected as a Recipient does not constitute approval of the application as submitted. Before the actual award, FHWA will enter into negotiations concerning such items as program components, staffing and funding levels, and administrative systems, if necessary. If the negotiations do not result in an acceptable submittal, FHWA reserves the right to terminate the negotiation and decline to fund the Applicant.

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

General terms, conditions, and governing regulations that apply to this agreement are available online at: http://www.fhwa.dot.gov/aaa/generaltermsconditions.cfm

The online list entitled, “General Terms and Conditions for Assistance Award (for award effective after June 22, 2015),” shall apply to the resulting award.

Applicable laws, rules and regulations also apply including Title 23 U.S. Code and Title 23 C.F.R.

A. PUBLIC ACCESS TO DOCUMENTS

The Applicant agrees that the resulting deliverables/documentation submitted to FHWA under this agreement may be posted online for public access and/or shared by FHWA with other interested parties. The FHWA anticipates the documents cited herein may be posted on an FHWA Website or other appropriate Website.

B. INDIRECT COSTS

Indirect costs are allowable under this agreement in accordance with the Recipient’s Federally Negotiated Indirect Cost Rates as documented in writing and approved by the Recipient’s cognizant Government agency. In the absence of such Government-approved indirect rates, the following rates are hereby approved for use under this agreement as shown below:

http://www.fhwa.dot.gov/aaa/generaltermsconditions.cfm

Type* Indirect Rate Period Rate (%) Base

(*** Information to be filled in at award ***)

*Types of Rates: Pred - Predetermined; Fixed - Fixed; Final – Final; Prov: Provisional/billing;

or De minimus.

In the event the Recipient determines the need to adjust the above listed rates, the Recipient will notify the AO of the planned adjustment and provide rationale for such adjustment. In the event, such adjustment rates have not been audited by a Federal agency, the adjustment of rates must be pre-approved in writing by the AO.

This Indirect Cost provision does not operate to waive the limitations on Federal funding provided in this document. The Recipient’s audited final indirect costs are allowable only insofar as they do not cause the Recipient to exceed the total obligated funding.

C. DATA RIGHTS

The Recipient must make available to FHWA copies of all work developed in performance with this agreement, including but not limited to software and data. Data rights under this agreement shall be in accordance with 2 CFR 200.315, Intangible Property.

D. PERSONALLY IDENTIFIABLE INFORMATION (PII)

The PII as defined at CFR Part 200.79 and 2 CFR 200.82 will not be requested unless necessary and only with prior written approval of the AO with concurrence from the AOR.

E. AVAILABLE FUNDING

The total estimated amount of Federal funding that may be provided under this agreement is $_____ (to be filled in at award) for the entire period of performance, subject to the limitations shown below:

(1) Currently, Federal funds identified on page 1 of the award document, are obligated to this agreement.

(2) Subject to availability of funds, and an executed document by the AO, the difference between the current funding and the total estimated amount of Federal funding may be obligated to this agreement.

(3) The Government’s liability to make payments to the Recipient is limited to those funds obligated under this agreement as indicated above and any subsequent amendments.

F. KEY PERSONNEL

Pursuant to 2 CFR 200.308(c)(2), the Recipient must request prior written approval from the AO for any change in Key Personnel specified in the award. The following person(s) are/have been identified as Key Personnel:

Name Title/Position TBD Principal Investigator TBD Program Manager

NOTE: The Government believes the above disciplines and/or expertise to be necessary for the successful completion of the project. The Applicant, however, may propose additional staff as key personnel if deemed essential to meet the program requirements and objectives. The Government may list proposed staff as key personnel if deemed essential to meet the program requirements and objectives.

G. PROGRAM INCOME

Pursuant to 2 CFR 200.307, Program income earned during the agreement period must be added to the Federal award and used for the purposes and under the conditions of the Federal award, unless otherwise approved by the AO. Program income must not be used to offset the Federal or Recipient contribution to this project.

H. SUBAWARDS

Note: Recipients with a procurement system deemed approved and accepted by the Government or by the AO are exempt from the requirements of this clause. See 2 CFR 200.317 through 200.326.

Unless described in the application and funded in the approved award, the Recipient must obtain prior written approval from the AO for the subaward, transfer, or contracting out of any work under this award. This provision does not apply to the acquisition of supplies, material, equipment, or general support services.

The following subawards are currently approved under the agreement:

Name (*** to be filled in at award ***)

Approval of each subaward is contingent upon a fair and reasonable price determination, and approval by the AO for each proposed subcontractor/sub-Recipient. Consent to enter into subawards will be issued through a formal amendment to the agreement.

I. ORDER OF PRECEDENCE

The Recipient's technical and budget application are accepted, approved, and incorporated herein as Attachments. In the event of any conflict between this agreement document and the Recipient's proposal and/or application, this agreement document shall prevail.

J. DESIGNATION AS RESEARCH OR NON-RESEARCH AGREEMENT

This agreement is designated as: RESEARCH AND DEVELOPMENT

K. CONFERENCE SUPPORT RESTRICTIONS

The Recipient must obtain written approval from the AOR prior to incurring any costs for conference support. See the definition of conference as contained in 2 CFR 200.432.

Food and beverage costs are not allowable conference expenses for reimbursement under this agreement.

Note: Costs of meals are allowable as a travel per diem expense for individuals on travel status and pursuant to the Travel clause of this agreement.

L. AGREEMENT PERFORMANCE REQUIREMENTS SUMMARY

Not Applicable.

M. DISPUTES

The parties to this agreement will communicate with one another in good faith and in a timely and cooperative manner when raising issues under this provision. Any dispute, which for the purposes of this provision includes any disagreement or claim, between FHWA and the Recipient concerning questions of fact or law arising from or in connection with this agreement and whether or not involving alleged breach of this agreement, may be raised only under this Disputes provision.

Whenever a dispute arises, the parties will attempt to resolve the issues involved by discussion and mutual agreement as soon as practical. In no event, will a dispute which arose more than 3 months prior to the notification made under the following paragraph of this provision constitute the basis for relief under this article unless FHWA waives this requirement.

Failing resolution by mutual agreement, the aggrieved party will document the dispute by notifying the other party in writing of the relevant facts, identify unresolved issues and specify the clarification or remedy sought. Within five (5) working days after providing written notice to the other party, the aggrieved party may, in writing, request a decision from one level above the AO. The AO will conduct a review of the matters in dispute and render a decision in writing within thirty (30) calendar days of receipt of such written request. Any decision of the AO is final and binding unless a party will, within thirty (30) calendar days, request further review as provided below.

Upon written request to the FHWA Director, Office of Acquisition and Grants Management or designee, made within thirty (30) calendar days after the AO’s written decision or upon unavailability of a decision within the stated time frame under the preceding paragraph, the dispute will be further reviewed. This review will be conducted by FHWA Director, Office of Acquisition and Grants Management. Following the review, FHWA Director, Office of Acquisition and Grants Management, will resolve the issues and notify the parties in writing.

Such resolution is not subject to further administrative review and to the extent permitted by law, will be final and binding. Nothing in this agreement is intended to prevent the parties from pursuing disputes in a United States Federal Court of competent jurisdiction.

N. CLOSEOUT OF AGREEMENT FILE

The Government will initiate the administrative closeout of the agreement after receiving evidence that all technical work and administrative requirements have been completed. The Recipient shall furnish all required documents in support of the closeout of the agreement within the timeframes requested by the Government. The Government anticipates the timeframe to complete administrative close out of this agreement will not exceed six (6) months.

O. ANNUAL BUDGET REVIEW AND PROGRAM PLAN

The Recipient will submit an electronic copy of the Annual Budget Review and Program Plan to the AOR and the AO sixty (60) days prior to the anniversary date of this agreement. The Annual Budget Review and Program Plan will provide a detailed schedule of activities, estimate of specific performance objectives, include forecasted expenditures, and schedule of milestones for the upcoming year. If there are no proposed deviations from the Approved Project Budget, the Annual Budget Review will contain a statement stating such. The Recipient will meet via teleconference or Web conference with FHWA to discuss the Annual Budget Review and Program Plan. Work proposed under the Annual Budget Review and Program Plan will not commence until AO’s written approval is received.

P. TRAVEL

Travel and per diem authorized under this agreement will be reimbursed in accordance with the travel costs section of 2 CFR Part 200, as applicable based on recipient or subrecipient type. In the absence of an acceptable, written institution policy regarding travel costs, the rates and amounts established in the Federal Travel Regulations in effect at the time of travel will apply.

3. REPORTING

ADDRESSES FOR SUBMITTAL OF REPORTS AND DOCUMENTS

The Recipient shall submit all required reports and documents, under transmittal letter referencing the cooperative agreement number, as follows:

Submit an electronic copy to the Agreement Specialist at the following address:

TBD

Submit an electronic copy to the AOR at the following address:

TBD

QUARTERLY PROGRESS REPORT

The Recipient shall provide Quarterly Progress Reports, including a Federal Financial Report, to the AO and AOR.

Calendar quarters are defined as: Reports due on or before:

1st: January – March April 30th 2nd: April – June July 30th 3rd: July – September October 30th 4th: October – December January 30th

Quarterly Progress Reports shall include the following.

1. Standard Form - Performance Progress Report (SF-PPR). (The SF-PPR content directions are available online in various locations such as http://www.fema.gov/media-library/assets/documents/29485. In Block 10 of the form, state “see attached” and attach the remaining information.)

2. A narrative of accomplishments by task for the reporting period, and projected activities by task for the next reporting period.

3. Identification of any problems, planned solutions, and/or requests for DOT assistance.

4. A summary of costs incurred for the reporting period and to date. Report costs incurred by major cost element such as Direct Labor, Travel, Subcontractor Costs, Indirect Costs, etc.

5. A comparison of total costs incurred to the total budgeted costs for the reporting period and to date.

6. Projected total cost-to-complete.

7. Standard Form (SF) 425, Federal Financial Report, and SF-425A, Federal Financial

Report Attachment (if applicable). The SF 425 is available online at:

https://www.fhwa.dot.gov/cfo/contractor_recip/grant_agreement_form.cfm.

<end of section> mailto:Angela.Jones@dot.gov mailto:Jean.Landolt@dot.gov http://www.fema.gov/media-library/assets/documents/29485 http://www.fema.gov/media-library/assets/documents/29485 https://www.fhwa.dot.gov/cfo/contractor_recip/grant_agreement_form.cfm

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

Primary point of contact:

Angela A. Jones, Agreement Specialist Federal Highway Administration Office of Acquisition and Grants Management Email: Angela.Jones@dot.gov Phone: (202) 366-4255

Secondary point of contact:

Sarah Tarpgaard, Agreement Officer Federal Highway Administration Office of Acquisition and Grants Management Email: Sarah.Tarpgaard@dot.gov Phone: (202) 493-3225 mailto:Angela.Jones@dot.gov mailto:Sarah.Tarpgaard@dot.gov