foa#dtph5615sn0003.pdf

Funding Opportunity Announcement

(FOA)

Pipeline Safety Research Competitive

Academic Agreement Program (CAAP)

Fiscal Year 2015

Opening Date: April 3, 2015

Closing Date: May 18, 2015

Closing Time: 11:59 pm Eastern Time

Catalog of Federal Domestic Assistance Number (CFDA)

20.724

PHMSA Funding Opportunity Number

DTPH5615SN0003

U.S. Department of Transportation

Pipeline and Hazardous

Materials Safety

Administration

(PHMSA)

FOA # DTPH5615SN0003

U.S. DOT/PHMSA Page 2 of 33

2015 Pipeline Safety Research Competitive Academic Agreement Program (CAAP) – FOA

TABLE OF CONTENTS

Program Summary……………………………………………………………………………….4 Article I. Funding Opportunity Description

Section 1.01 Statement of Purpose Section 1.02 Program Authority

Section 1.03 Background Section 1.04 Research Topics Section 1.05 Deliverables

Article II. Award Information Section 2.01 Funding

Section 2.02 Cost Sharing Section 2.03 Period of Performance

Section 2.04 Type of Award

Article III. Eligibility Information Section 3.01 Eligible Applicants Section 3.02 Minimum Requirements

Article IV. Registration and Application Submission Information Section 4.01 Application Submission Medium Section 4.02 Grants.gov Registration

Section 4.03 Pipeline Safety R&D Management Information System (MIS)

Registration

Section 4.04 Question Deadline Section 4.05 Application Submission Deadline

Article V. Application Content & Format Section 5.01 Technical Proposal

Section 5.02 Budget/Cost Proposal & Budget Narrative Section 5.03 Standard Title VI/Non-Discrimination Assurances

Article VI. Application Review Information Section 6.01 Evaluation Criteria Section 6.02 Scoring Guidelines

Section 6.03 Review and Selection Process

Article VII. Award Terms and Conditions Section 7.01 General Section 7.02 Award Notice Section 7.03 Definitions

Section 7.04 Recipient Responsibilities Section 7.05 Compliance with Award Terms and Conditions

Section 7.06 Order of Precedence Section 7.07 Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards (2 CFR 200) Section 7.08 Restrictions on Use of Funds for Lobbying/Litigation Section 7.09 Nondiscrimination

Section 7.10 Government-wide Debarment and Suspension (Non-procurement) ... 18 Section 7.11 Drug-Free Workplace

U.S. DOT/PHMSA Page 3 of 33

Section 7.12 eInvoicing (PHMSA July 2012)

Section 7.13 Payments (PHMSA March 2014) Section 7.14 Adherence to Original Project Objectives and Budget Estimates Section 7.15 Prior Approvals

Section 7.16 Contracting with Small Businesses, Small Minority-Disadvantaged

Businesses, and Small Businesses which are Women-Owned, Veteran-Owned, Disabled Veteran-Owned or located in HubZone Areas Section 7.17 Seat Belt Use Policies and Programs Section 7.18 Ban on Text Messaging While Driving

Section 7.19 Rights in Technical Data Section 7.20 Notice of News Releases, Public Announcements, and Presentations 25 Section 7.21 Violation of Award Terms Section 7.22 Fraud, Waste, or Abuse

Section 7.23 Reporting Grantee Executive Compensation, and First Tier Sub-

Awards (PHMSA October, 2010)

Section 7.24 Call Before You Dig Program Section 7.25 Access to Electronic and Information Technology

Article VIII. Agency Contact Information Attachment A

U.S. DOT/PHMSA Page 4 of 33

Program Summary

Federal Agency Name: U.S. Department of Transportation (DOT)

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Federal Agency Contact: U.S. DOT/PHMSA

Acquisition Services Division, PHA-30

1200 New Jersey Avenue, SE

Room E22-305

Washington, DC 20590

Attn: Saurabh Vasudeva

Funding Opportunity Title: “Pipeline Safety Research Competitive Academic

Agreement Program (CAAP) – FY 2015”

Announcement Type: Initial Announcement

Funding Opportunity Number: DTPH5615SN0003

CFDA Number: 20.724

Eligible Applicants: Applicants must be non-profit institutions of higher education located in the United States or a U.S. territory or possession.

Dates: FOA Issue Date: April 3, 2015

Question Deadline: April 17, 2015

Application Due Date: May 18, 2015 at 11:59pm EDT

Agreement-Related Questions: Saurabh Vasudeva

(202) 366-4429 saurabh.vasudeva@dot.gov

Grants.gov Questions: Grants.gov Contact Center

1-800-518-4726 support@grants.gov

DOT/PHMSA Management

Information System (MIS)

Questions: rdsupport@cycla.com (for technical support issues only) mailto:saurabh.vasudeva@dot.gov mailto:support@grants.gov mailto:rdsupport@cycla.com

U.S. DOT/PHMSA Page 5 of 33

Article I. Funding Opportunity Description

Section 1.01 Statement of Purpose

The Pipeline and Hazardous Materials Safety Administration (PHMSA), through the U.S.

Department of Transportation (DOT), hereby requests applications from non-profit institutions of higher education to obtain funding to research innovative solutions to pipeline corrosion and other known pipeline integrity challenges.

Section 1.02 Program Authority

The authority for PHMSA’s Pipeline Safety Research and Development Program comes from the Pipeline Safety Improvement Act of 2002 (P. L. 107-355, December 17, 2002). Further, the authority to enter into cooperative agreements under the CAAP initiative is codified at 49

U.S.C. §60117(k), Authority for Cooperative Agreements.

Section 1.03 Background

Section 1.03-1 Background on Pipelines and PHMSA’s Pipeline R&D Program

The intent of the CAAP program is to award approximately seven research agreements per year to non-profit institutions of higher education in the U.S. or U.S. territories or possessions in a total federal amount not to exceed $300,000 per award. The research to be conducted under the agreements will include a wide set of solutions for corrosion and other pipeline integrity challenges. PHMSA anticipates the period of performance of each not to exceed 36 months.

The pipeline infrastructure in the United States (U.S.) is the primary means of transporting natural gas and the majority of hazardous liquids from production basins and ports to areas of consumption. The importance of energy pipelines to the U.S. economy and our standard of living requires that these assets be safely maintained and appropriately expanded to sustain demand.

Research must play a larger role in finding the solutions to national, regional and local pipeline operational safety and environmental challenges. Some of these challenges involve operators’ having the best technology to efficiently and effectively meet or exceed federal and state regulatory requirements on the safety and integrity of pipelines. Other challenges include keeping critical industry consensus standards fresh with the latest knowledge and know-how so that people, property and the environment are protected.

PHMSA’s core pipeline research program involves all stakeholders in a time-tested process for generating success. However, this program, whose modern inception was in 2002, is focused on the near-term with demonstrating and deploying technology development and commercialization. Additional information on the existing Pipeline Safety Research and

Development (R&D) Program is available at: https://primis.phmsa.dot.gov/rd/index.htm.

This research enterprise continues to have a tangible impact toward developing technology, strengthening consensus standards and creating and promoting general knowledge to decision makers. More performance details are available at PHMSA's Pipeline Safety Research website http://primis.phmsa.dot.gov/rd/performance.htm.

https://primis.phmsa.dot.gov/rd/index.htm http://primis.phmsa.dot.gov/rd/performance.htm

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Section 1.03-2 Background on the CAAP Initiative

PHMSA’s Pipeline Safety R&D Program was congressionally mandated by the Pipeline Safety

Improvement act of 2002, which tasked DOT and other designated federal agencies with

“carry[ing] out a program of research, development, demonstration and standardization to ensure the integrity of pipeline facilities.” Specifically, the program’s mission is to sponsor research and development projects focused on providing near-term solutions that will improve the safety, reduce the environmental impact, and enhance the reliability of the Nation’s pipeline transportation system. The goals and objectives of the CAAP initiative, as discussed below, directly support both the mission and the congressional mandate of PHMSA’s Pipeline Safety

R&D Program.

The CAAP initiative is intended to spur innovation by enabling an academic research focus on high-risk and high pay-off solutions for the many pipeline safety challenges. It will potentially deliver solutions that can be “hand-offs” to PHMSA’s core research program of demonstration and deployment. The goal would be to validate proof of concept of a thesis or theory all the way to commercial penetration into the market.

Further, the pipeline industry and federal/state regulators are experiencing low numbers of applicants to entry level positions that are technically focused. As such, another goal of the

CAAP program is to expose graduate and PhD research students to subject matter that is common to pipeline safety challenges and to illustrate how their engineering or technical disciplines are highly needed in the field. The ultimate benefit would be to cultivate new talent in all aspects of pipelining, similar to how programs at other Federal Agencies and non-profit organizations have encouraged talent to consider a career in a certain field.

The intention for the CAAP program is to award approximately seven research agreements per year to non-profit institutions of higher education in the U.S. or U.S. territories or possessions in a total federal amount not to exceed $300,000 per award. The research to be conducted under the agreements will include a wide set of solutions for corrosion and other pipeline integrity challenges. PHMSA anticipates the period of performance of each not to exceed 36 months.

Section 1.04 Research Topics

PHMSA is soliciting proposals in three primary research and development focus areas based on technical gaps identified at PHMSA’s August 2014 Government and Industry

Pipeline Research Forum. The Research Forum brought together approximately 230 representatives from Federal, State and foreign government offices along with domestic and foreign natural gas and hazardous liquid pipeline operators. The forum's goals included identifying key challenges facing industry and government, sharing information on current research efforts, and identifying research that can help to meet the challenges.

The Forum further galvanized pipeline research coordination and collaboration by producing a national research agenda reflective of stakeholder consensus on what research should be solicited now to address identified pipeline challenges. Please visit https://primis.phmsa.dot.gov/rd/mtg_080614.htm for more information about this important event and how it crafted the topics solicited in this announcement.

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PHMSA will consider proposals that address technical gaps within the on-shore pipeline safety program areas listed below.

The focus areas are intentionally ambitious and broad to allow for the acceptance of a wide spectrum of specific proposals that strategically support PHMSA’s mission in pipeline safety. Proposals are to be focused on high technical risk and high pay-off solutions for the many pipeline safety challenges. Again, anticipated outcomes will potentially deliver solutions that can be handed off to PHMSA’s core research program.

Applicants must address one of the following primary pipeline safety program areas:

Preventing or Mitigating Pipeline Corrosion

Applications are sought addressing solutions for all internal and or external corrosion threat mechanisms. The fundamentals of corrosion in metallic pipelines are well understood and corrosion management has improved with the advent of new technologies and management processes. However corrosion still impacts the pipeline sector and is a leading cause of failure in metallic pipelines. Improper application of specific actions in design, materials and coatings or the failure to monitor changes in the parameters germane to corrosion prevention lead to the continued corrosion of individual components within the pipeline infrastructure.

Project Challenge: What innovative new solutions can be proposed in chemical treatments or in materials to prevent or inhibit or to mitigate and manage (on shore)

Hazardous Liquid and or Natural Gas pipeline corrosion?

For more information on pipeline corrosion, visit The National Association of Corrosion

Engineers (NACE) website at: For additional information on Pipeline Safety corrosion related R&D projects go to: https://primis.phmsa.dot.gov/matrix/ and use the Modern

Query Search feature to select corrosion and its various forms from the Subject/Threats

Filter at the top of the page. Finally, find two informative files also canvasing pipeline corrosion at http://primis.phmsa.dot.gov/gasimp/docs/FinalReport_PipelineCorrosion.pdf and http://primis.phmsa.dot.gov/gasimp/docs/CorrosionPoster.pdf .

Intrinsically Locatable Plastic Materials

Excavation damage remains one of the leading causes of (on shore) pipeline incidents.

For natural gas distribution pipelines, excavation damage is the leading cause of reportable incidents. Much more information is available from http://primis.phmsa.dot.gov/comm/DamagePrevention.htm.

By the end of 2013, over 69% of 2.149 million miles of natural gas distribution pipelines were plastic. The objective for this project is to identify buried plastic pipe using off-the-self, above ground sensory technology commonly used by the locating contractors in reducing the likelihood of hitting a plastic pipeline. In doing that, one must be able to https://primis.phmsa.dot.gov/matrix/ http://primis.phmsa.dot.gov/gasimp/docs/FinalReport_PipelineCorrosion.pdf http://primis.phmsa.dot.gov/gasimp/docs/CorrosionPoster.pdf http://primis.phmsa.dot.gov/comm/DamagePrevention.htm

U.S. DOT/PHMSA Page 8 of 33 locate the pipe from the surface through varying soils, moisture and temperature conditions, with additional coverage of concrete with or without rebar and or through other forms of pavement.

Project Challenge: Can a plastic pipe material be created by some additive or inserted electro/mechanical/metallic strip which makes it intrinsically locatable by above ground technology commonly used today or via the creation of a new technology? The project may need to consider how to match up both the pipe material with the above ground technology that would detect it through the various conditions described above.

Past efforts have tried and failed to achieve this goal. PHMSA will consider any application that investigates this challenge as described.

Further considerations include the corridors in which natural gas distribution pipes are buried that have several other utilities buried alongside, creating the need to both locate the pipe and discern its burial depth in addition to orientation from other utilities within the corridor. Further end user considerations are as follows:

Cost effective;

Reliable/Repeatable;

3D depiction via a graphical user interface; and

Commodity neutral.

For additional information on related R&D projects go to:

http://primis.phmsa.dot.gov/matrix/prjQuery.rdm and use the Research Project Query with Text Search feature to select “locatable plastic pipe” Filter at the top of the page.

Development of Inspection Tools to Quantify Pipe Strength and Toughness

There are tens of thousands of miles of metallic pipelines that were grandfathered into the modern safety regulations in 1970. Many of these systems do not have verifiable records that document the material properties such as pipe strength and toughness. These metallurgical properties are extremely important in the broader subject of risk assessment programs that overcome limitations of the previous techniques.

Project Challenge: Can tools to accurately quantify pipeline strength and toughness either destructively or non-destructively be developed that allow operators to better understand and manage risks associated with any type of pipeline operating in any environment? The desired tools should be designed for in ditch or for In-Line Inspection deployment applicable to steel pipes, both in service or not, that would quantify the desired information from either in the pipe body and or the pipe seam located in all operating environments.

To be successful in this challenge, applicants may need to partner with technology service provides for the (on shore) Hazardous Liquid and or Natural Gas pipeline http://primis.phmsa.dot.gov/matrix/prjQuery.rdm

U.S. DOT/PHMSA Page 9 of 33 industry. PHMSA will entertain any application that investigates this challenge as described.

GENERAL NOTES:

1. For additional information on related R&D projects go to http://primis.phmsa.dot.gov/matrix/ and use the Project Search feature at the top of the page.

2. PHMSA intends to make one or more awards to each of the focus topic areas.

To access the announcement, potential applicants may visit:

(http://primis.phmsa.dot.gov/matrix/)

Please Note: This year Section 4.01 Application Submission Medium on page 11 in the full application instructs that applicants must submit through two portals. That information is provided below.

Section 1.05 Deliverables

The following deliverables will be required for all awarded agreements. Report templates and guidance will be provided when necessary.

Kick Off Meeting (held in person at the institution);

Performance Progress Reports (format/content in accordance with SF-RPPR);

*Note: Reporting period begins on the effective date of the cooperative agreement.

o Quarterly progress reports via email and uploaded to MIS – Due NLT 30 days after reporting period ends o Final Progress Report via email and uploaded to MIS – Due NLT 90 days after agreement expiration

Mid-Term Summary (conference call; discussion topics to be provided by PHMSA);

Draft Final Research Report (template will be provided);

Public Final Research Report (once reviewed and comments incorporated); and

Internet-Based Presentation (held remotely; template will be provided by PHMSA).

Article II. Award Information

Section 2.01 Funding

Subject to the availability of funds, the amount of federal funding for each agreement may not exceed $300,000at award. Applicants may submit more than one application, but each individual application must not exceed $300,000 in federal funding.

Section 2.02 Cost Sharing

There is a mandatory 20% cost-sharing requirement for this agreement. Additional resource sharing above the mandatory 20% is strongly encouraged. The Federal government will fund no more than 80% (up to $300,000) of the total cost of each project. For instance, if the total project cost (including Federal and non-Federal funding) is $250,000, then the applicant must propose no less than $50,000 in non-Federal funding (20%) and PHMSA will fund no more than $200,000 (80%).

http://primis.phmsa.dot.gov/matrix/

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Firm letters of commitment for resource sharing must be provided with the proposal. Award will not be made to a recipient without having all commitment letters.

See Section 5.02 for additional information regarding budget/cost proposals.

Section 2.03 Period of Performance

PHMSA anticipates the period of performance not to exceed 36 months from the date of award for each agreement. Modifications within the scope of the cooperative agreement will be handled on a case-by-case basis with the prior agreement of all parties. PHMSA anticipates awarding the agreements during the fourth quarter of fiscal year 2015.

Section 2.04 Type of Award

Subject to the availability of funds, PHMSA anticipates awarding approximately 7 agreements as a result of this FOA; federal funding for each agreement may not exceed $300,000 at the time of award.

Article III. Eligibility Information

Section 3.01 Eligible Applicants

Applicants must be non-profit institutions of higher education located in the United States or a

U.S. territory or possession. PHMSA will consider an application from an eligible higher education institution that partners with other eligible recipients, pipeline industry and/or with any private organization, as long as the cost for the proposed partnership does not exceed 20% of the proposed amount of Federal contribution to the project (which may be up to $300,000).

In other words, a portion of the Federal funding provided under the resulting cooperative agreement (up to $60,000) may go to a sub-recipient of the non-profit institution of higher education that is the primary party to the agreement.

Section 3.02 Minimum Requirements

The following are minimum requirements that all applicants must meet to be considered.

Failure to meet these requirements at any time pre- or post-award will result in either removing an application from further consideration or grounds for termination of the agreement. The application must include a letter on the submitting institution’s letterhead that certifies these minimum requirements are understood and will be met. The letter must be signed by the Dean or equivalent level of that college, department or program and inserted as Appendix A to the technical application (first page of the Appendix).

1. Eligible applicants are non-profit institutions of higher education located in the United

States or a U.S. territory or possession.

2. The academic research agreement will be with the institution and not with individual students.

3. The research scope must be executed by undergraduate, graduate and/or PhD research students. Institution faculty/staff should design the scope and oversee student execution of the scope. Applications that do not propose student involvement will be deemed non-responsive and will be removed from consideration.

4. Institution faculty, staff and students that are proposed to be involved with the research agreement must be U.S. citizens, permanent residents, or possess current visas that will allow them to remain in the country long enough to complete the research project.

U.S. DOT/PHMSA Page 11 of 33

5. Federal funding is solely for allowable charges such as institution overhead and the procurement of expendables and any required labor necessary for executing the research scope. Purchasing of new or existing testing equipment will not be permitted with Federal funds. Also, Federal funding cannot be used toward construction of new facilities or refurbishing of existing facilities. Post-delivery financial audits may occur. See Section

7.07 for more information on the applicable federal cost principles.

6. Applications must meet the cost sharing requirements stipulated at Section 2.02; failure to meet the required cost sharing threshold (20%) may result in an application being removed from consideration.

Article IV. Registration and Application Submission Information

Failure to comply with the requirements described in this section may result in an application not being reviewed.

Section 4.01 Application Submission Medium

Applicants are required to submit their complete applications through two portals: (1)

Grants.gov; and (2) PHMSA’s Pipeline Safety R&D Management Information System (MIS).

Submitted applications must be identical in both portals; PHMSA will not be responsible for any discrepancies between applications. The following sections describe the registration/ application process for Grants.gov and MIS.

Section 4.02 Grants.gov Registration

To submit an application, applicants must be registered at www.grants.gov. For new users, go to http://www.grants.gov/applicants/get_registered.jsp, or go to the main page at http://www.grants.gov/ and click on “Register” in the top right hand corner. Please note that new user registrations for Grants.gov can take up to two weeks to complete. For additional questions on how to register, contact grants.gov support.

Section 4.03 Pipeline Safety R&D Management Information System (MIS) Registration

Prior to submitting a proposal, applicants must complete a User Access Registration Form at https://primis.phmsa.dot.gov/matrix/RfpInfo.rdm?rfp=54. User access will be granted within 48 hours of registration; applicants should consider this lead time during their planning process.

Additional instructions regarding the preparation and submission of the applications – along with individual questions and answers – are available on the website identified above. In the case of a conflict of information between Grants.gov and MIS, the information in Grants.gov takes precedence.

Section 4.04 Question Deadline

All questions regarding this FOA must be emailed to Saurabh Vasudeva

(saurabh.vasudeva@dot.gov) with a copy to Mr. Warren Osterberg

(warren.osterberg@dot.gov). Applicants may not contact any other PHMSA personnel during the solicitation phase. All questions must be received on or before Tuesday, April 17, 2015 to be considered. Answers to all questions will be posted in Grants.gov as an amendment to the initial announcement.

http://www.grants.gov/ http://www.grants.gov/applicants/get_registered.jsp http://www.grants.gov/ https://primis.phmsa.dot.gov/matrix/RfpInfo.rdm?rfp=54 mailto:warren.osterberg@dot.gov

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Section 4.05 Application Submission Deadline

Complete applications must be received electronically through Grants.gov and MIS by

11:59pm Eastern Time on Thursday, May 18, 2015. Applicants will receive an automated receipt from Grants.gov of the date and time of application submission. If the timeliness of a submission comes into question, the date and time recorded in Grants.gov will take precedence over that of MIS.

Article V. Application Content & Format

Section 5.01 Technical Proposal

In preparing their technical proposal, applicants must utilize the technical application template attached to this opportunity (Attachment A). The attachment includes instructions regarding required content and information. Applicants must only apply for funding that can reasonably be spent within the proposed period of performance.

The following Technical Application requirements are summarized below but described in detail in the provided template. Failure to follow these requirements may result in the removal of your application from consideration.

1. All information supporting the evaluation criteria must be contained within 20 pages;

which does not include the Cover Page, the Technical Application Information Page, or the Appendix.

2. The Certification Letter of Minimum Requirements must be the first page in the

Appendix.

3. The Appendix may include additional information; however, this information will not be used by reviewers in evaluating the proposal (except to determine that each applicant has submitted a certification letter regarding minimum requirements; ref:

Section 3.02).

4. Times New Roman 12-pt font and 1.15 line and paragraph spacing for text body.

Technical proposals in the format prescribed by Attachment A (including the Appendix) must be uploaded to the “Project Narrative” section of the Grants.gov application.

Section 5.02 Budget/Cost Proposal & Budget Narrative

Applicants must use Standard Form (SF) 424A through Grants.gov to submit their budget/cost proposal. The budget should reflect the applicant’s best terms from a cost and technical standpoint to perform the work. No fee or profit should be proposed, as this is a resource sharing arrangement.

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

below, must provide detailed information on each cost element, consistent with the applicant's cost accounting system. The amounts requested for each budget category must be justified in a Budget Narrative document and uploaded to the “Budget Narrative” section of the application. Budget Narratives must address the following items:

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). This section of the Budget Narrative must include the following information:

U.S. DOT/PHMSA Page 13 of 33

i. Supplemental schedule identifying the number of hours, hourly rates, and cost by labor classification for each budget year;

ii. Basis/explanation for the proposed number of hours and hourly rates (for instance, number of hours could be based on past experience, an engineering estimate, etc. and hourly rates could be actual rates for the individuals who will perform the work, an average labor rate for the labor classification, or a departmental average rate); and

iii. In cases where an individual’s salary/wage increases between budget years, explain the basis for the increase and provide substantiating documentation, if available.

b. Fringe Benefits: Applicants must provide a copy of the university’s policy stating the appropriate fringe rates for each labor classification (or a web link to where the information is located).

c. Travel: Proposed travel must be directly related to the performance of the project. In the

Budget Narrative, state the reason(s) for travel, the type and duration of the travel, and its relation to the project. Provide an itemized list of associated travel costs.

d. Equipment/Supplies: Provide an itemized list of each piece of proposed equipment/ supplies. Include individual costs for each item exceeding $5,000 and the basis for estimating the cost (e.g., vendor quotes, catalog prices, prior invoices, etc.). Reference

Section 3.02, Item 5, where it states that “Purchasing of new or existing testing equipment will not be permitted.”

e. Contractual (Consultants/Subcontractors): 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 and 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.

For proposed subcontractors, provide their total cost per year. Detailed subcontractor costs should appear in the subcontractor’s budget explanation. The total cost of consultants and/or subcontractors should not exceed 50% of the proposed amount of Federal contribution to project.

f. Other Direct Costs: Provide an itemized list with associated costs for any other item proposed as a direct cost that is not included in another category. State the basis for each proposed item.

g. Indirect Charges: Provide a copy of the university’s negotiated indirect rate agreement (or a web link to where the information is located). Explain/demonstrate how the total indirect charges were calculated.

h. Resource Sharing, In-House Contributions: Cost/budget proposals must show the breakout between Federal and non-Federal funding sources, and the Budget Narrative must explain what the non-Federal sources are comprised of and how the associated values were derived.

Non-Federal contributions may include cash, personnel, donated goods/services (provided that the market value of the good/service is substantiated by a letter or other form of evidence from the provider of the good/service), equipment, and other resources. All

U.S. DOT/PHMSA Page 14 of 33 resource sharing or matching contributions, including cash and third party contributions must meet the following criteria which can be found in 2 CFR §200.306 “Cost sharing or matching:”

i. Are verifiable from the non-Federal entity’s records;

ii. Are not included as contributions for any other Federal award;

iii. Are necessary and reasonable for accomplishment of project or program objectives;

iv. Are allowable under Subpart E – Cost Principles of this part;

v. Are not paid by the Federal government under another Federal award, except where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs;

vi. Are provided for in the approved budget when required by the Federal awarding agency; and

vii. Conform to other provisions of this part, as applicable.

Section 5.03 Standard Title VI/Non-Discrimination Assurances

Applicants must sign, date, and return with the application, the “Standard Title VI/Non-

Discrimination Assurances” specified in Attachment B: Standard Title VI/Non-Discrimination

Assurances. Specifically, applicants must complete and return pages 1, 2, and 3. The completed documents should be submitted as an attachment with the other application materials.

Article VI. Application Review Information

Section 6.01 Evaluation Criteria

PHMSA will use the following evaluation criteria to rate and select among competing applications. These criteria are intended to identify projects that target high-risk areas; offer well-defined plans; and produce results that are measurable and transferable to further investigations in the CAAP program or PHMSA’s core research program.

The two (2) technical evaluation criteria are as follows:

Review Criterion

Criterion 1: Scientific Merit and Quality

1. To what extent does the proposed project suggest/explore creative and original concepts and/or scientific/engineering principles to describe the challenges?

2. To what extent does the proposed research describe how the output/result advances a potential solution toward an identified pipeline challenge(s)?;

3. To what extent does the proposed research describe how the quality of results will be peer reviewed? (Did Professor identify SME oversight?); and

4. To what extent does the proposed research involve partnering to validate/demonstrate scientific results and/or quantify engineering principles?

Criterion 2: Feasibility of Management Plan, Work Task, Budget and Schedule

1. 1. How well are the scope of work, tasks and milestones defined? Are specific tasks that will be performed by students defined?

2. How well are the research goals or objectives defined?

3. Does the institution have access to appropriate facilities to conduct the proposed work?

4. How well is the project schedule defined and tied to the management plan? And

U.S. DOT/PHMSA Page 15 of 33

5. How detailed is the plan to oversee students regularly by academic organization faculty/staff having the relevant knowledge and experience in the proposed area?

In addition, PHMSA expects the proposed results of the projects to be factual, unbiased, verifiable, and repeatable to the extent practicable. Applicants should also be aware that a cooperative agreement will not convey any authority to recipients to secure information or cooperation from pipeline operators.

Section 6.02 Scoring Guidelines

The following rating definitions will be used to evaluate the applicant’s proposal in accordance with Criterion 1 – Scientific Merit and Quality and Criterion 2 – Feasibility of Management

Plan, Budget and Schedule:

Rating Criterion Description

Outstanding

Proposed project meets requirements and demonstrates an exceptional level of scientific merit and quality. No weaknesses or deficiencies are identified.

Management plan, work task, budget and schedule demonstrate no potential to cause disruption of schedule, increased cost or degradation of performance. Normal recipient effort and normal

Government monitoring will likely be able to overcome any difficulties. The risk of poor performance is considered low.

Very Good

Proposed project meets requirements and demonstrates an above-average level of scientific merit and quality. Proposal contains strengths which outweigh any weaknesses.

Management plan, work task, budget and schedule demonstrate minimal potential to cause disruption of schedule, increased cost or degradation of performance. Normal recipient effort and normal Government monitoring will minimize or prevent issues. The risk of poor performance is moderately low.

Acceptable

Proposed project meets requirements and demonstrates an adequate level of scientific merit and quality. Strengths and weaknesses are offsetting or will have little or no impact on contract performance.

Management plan, work task, budget and schedule present a manageable potential to cause disruption of schedule, increased cost or degradation of performance. Special recipient emphasis and close Government monitoring will likely be able to overcome or prevent difficulties. The risk of poor performance is no more than moderate.

Unacceptable

Proposed project does not meet requirements and contains one or more major weaknesses and/or deficiencies. Application is unacceptable for award.

Management plan, work task, budget and schedule are likely to cause significant disruption of schedule, increased cost or degradation of performance. Recipient is unlikely to overcome any difficulties, even with special emphasis and close

Government monitoring. The risk of poor performance is high.

U.S. DOT/PHMSA Page 16 of 33

Section 6.03 Review and Selection Process

PHMSA will conduct an initial administrative review of each application to determine if it is complete and meets the minimum eligibility requirements per Article III, Eligibility

Information. A team composed of PHMSA representatives and, potentially, industry experts will then conduct a review to evaluate and rate each application against the evaluation criteria

(see Section 6.01) and to evaluate the acceptability of the proposed budget. Cooperative agreements will be awarded to applicants having the highest merit until the available funding is exhausted.

Article VII. Award Terms and Conditions

Should an applicant be awarded a cooperative agreement, the following terms and conditions will be incorporated as part of the award. They are provided in advance solely for informational purposes. Should an applicant take exception to any of the terms and conditions stated below, they must state so in the Appendix of their proposal and explain the reason(s) for taking exception.

Section 7.01 General

Within the limit of funds available for such purpose, the awarding official of PHMSA must enter into agreements with those responsible, eligible applicants whose applications are judged most meritorious under the procedures set forth in this RFA. All funds provided by PHMSA under the resulting agreements must be expended solely for the purpose for which the funds are granted; in accordance with the approved application and budget, regulations, terms and conditions of the award, applicable Federal cost principles, and the Department’s assistance regulations. Funds may not be used for lobbying or in direct support of litigation.

Section 7.02 Award Notice

The award document will provide pertinent instructions and information including, at a minimum, the following:

1) The Legal name and address of performing organization or institution;

2) Title of project;

3) Name(s) of key personnel chosen to direct and control approved activities;

4) Identifying award number assigned by the Department;

5) Project period, specifying the amount of time the Department intends to support the project;

6) Total amount of Departmental financial assistance approved for the project period;

7) Legal authority(ies) under which the award is issued;

8) Appropriate Catalog of Federal Domestic Assistance (CFDA) number;

9) Applicable award terms and conditions;

10) Approved budget plan for categorizing allocable project funds to accomplish the stated purpose of the award; and

11) Other information or provisions deemed necessary by PHMSA to carry out its respective awarding activities or to accomplish the purpose of a particular award.

Section 7.03 Definitions

a) Recipient – An organization receiving financial assistance directly from Federal awarding agencies to carry out a project or program.

b) Agreement Officer (AO) – The AO has full authority to negotiate, administer, and execute all business matters of the award. Further, should any changes to the scope, U.S. DOT/PHMSA Page 17 of 33 budget, schedule, or any other terms become necessary, only the AO has the authority to amend the award.

c) Agreement Administrator (AA) – The AA is responsible for the daily administration of the award. The AA is NOT AUTHORIZED to change the scope, budget, specifications, and terms and conditions as stated in the award, to make any commitments that otherwise obligates the Government or authorize changes which affect the award budget, delivery schedule, period of performance, or other terms and conditions.

d) Agreement Officer’s Representative (AOR) – The AOR assists in monitoring the work under the award. The AOR will oversee the technical administration of the award and will act as a technical liaison with the performing organization. The AOR is NOT AUTHORIZED to change the scope, budget, specifications, and terms and conditions as stated in the award, to make any commitments that otherwise obligate the Government or authorize changes which affect the award budget, delivery schedule, period of performance, or other terms and conditions.

e) Principal Investigator (PI) – The PI is the individual, designated by the Recipient and approved by PHMSA, who is responsible for the technical direction of the project. The PI cannot be changed or become someone substantially less involved than was indicated in the Recipient’s proposal without prior written approval of the

Agreement Officer.

Section 7.04 Recipient Responsibilities

In accepting a PHMSA financial assistance award (grant or cooperative agreement), the

Recipient assumes legal, financial, administrative, and programmatic responsibility for administering the award in accordance with the laws, rules, regulations, and Executive Orders governing grants and cooperative agreements, and these Award Terms and Conditions, including responsibility for complying with any provisions included in the award.

Failure to comply with these requirements may result in suspension or termination of the award and PHMSA recovery of funds.

Section 7.05 Compliance with Award Terms and Conditions

Submission of a signed Request for Advance or Reimbursement (payment request) form constitutes the Recipient’s agreement to comply with and spend funds consistent with all the terms and conditions of this award.

Section 7.06 Order of Precedence

Any inconsistency or conflict in the terms and conditions specified in this award will be resolved according to the following order of precedence:

a) The Federal statute authorizing this award or any other Federal statutes, laws, regulations or directives directly affecting performance of this award.

b) Terms and Conditions of this award.

Section 7.07 Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards (2 CFR 200)

The recipient (and any sub-recipients) must comply with these requirements including the cost principles which apply to the recipient and the audit requirements the recipient must follow. A recipient which expends $750,000 or more of federal funds in the recipient’s fiscal year must have an audit conducted.

U.S. DOT/PHMSA Page 18 of 33

2 CFR 200 is incorporated by reference into this award, and may be viewed at:

http://www.ecfr.gov/cgi-bin/text-idx?SID=36766b4d82ebca47caae047cb4606343&node=2:1.1.2.1.1&rgn=div5.

Section 7.08 Restrictions on Use of Funds for Lobbying or in Support of Litigation

Restrictions on Use of Funds for Lobbying or in Support of Litigation

The Recipient may not conduct political lobbying, as defined in the statutes, regulations, and 2

CFR 200.450– “Lobbying,” within the Federally-supported project. The Recipient may not use

Federal funds for lobbying specifically to obtain grants and cooperative agreements. The

Recipient must comply with 49 CFR 20, U.S. Department of Transportation “New Restrictions on Lobbying.”

49 CFR 20 is incorporated by reference into this award.

Section 7.09 Nondiscrimination

The Recipient must comply with Title VI of the Civil Right Act of 1964, which provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied benefits of, be subject to discrimination under any program or activity receiving Federal financial assistance. The Recipient must comply with

49 CFR 21, “Nondiscrimination in Federally-Assisted Programs of the Department of

Transportation—Effectuation of Title VI of the Civil Rights Act of 1964”

49 CFR 21 is incorporated by reference into this award.

In an effort to ensure that all Recipients of PHMSA funds are aware of their responsibilities under the various civil rights laws and regulations, the PHMSA

Office of Civil Rights has developed an information tool and training. These documents are found on the PHMSA website at http://www.phmsa.dot.gov/org/civilrights/grantrecipientinformation. If you should have any questions concerning your responsibilities under the External Civil Rights

Program, please contact Rosanne Goodwill, Civil Rights Director, at 202-366-9638 or by e-mail at rosanne.goodwill@dot.gov.

Section 7.10 Government-wide Debarment and Suspension (Non-procurement)

The Recipient must review the “list of parties excluded from federal procurement or non-procurement programs” located on the System for Award Management (SAM) website before entering into a sub-award. https://www.sam.gov No sub-award may be issued to an entity or person identified in the “list of parties excluded from federal procurement or non-procurement programs.”

2 CFR 1200 “Non-procurement Suspension and Debarment” is incorporated by reference into this award.

The Recipient must inform the AO if the recipient suspends or debars a sub-awardee.

http://www.ecfr.gov/cgi-bin/text-idx?SID=36766b4d82ebca47caae047cb4606343&node=2:1.1.2.1.1&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?SID=36766b4d82ebca47caae047cb4606343&node=2:1.1.2.1.1&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.14&idno=49 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.15&idno=49 http://www.phmsa.dot.gov/org/civilrights/grantrecipientinformation mailto:rosanne.goodwill@dot.gov https://www.sam.gov/ http://www.ecfr.gov/cgi-bin/text-idx?SID=3c977723715770f312d27c5d38f98c6e&node=pt2.1.1200&rgn=div5

U.S. DOT/PHMSA Page 19 of 33

Section 7.11 Drug-Free Workplace

The Recipient must comply with the provisions of Public Law 100-690, Title V, Subtitle D, “Drug-Free Workplace Act of 1988,” which require the Recipient to take steps to provide a drug-free workplace. The Recipient must comply with 49 CFR 32, “Government-wide

Requirements for Drug Free Workplace (Financial Assistance)” which is incorporated by reference into this award.

Section 7.12 eInvoicing (PHMSA July 2012)

Recipients of PHMSA grants, cooperative agreements, and other transaction agreements

(OTA) must use the Delphi eInvoicing System.

A. Recipients’ Requirements:

Recipients must:

have internet access to register and submit payment requests through the

Delphi eInvoicing system; and submit payment requests electronically, and receive payment electronically.

B. System User Requirements:

Contact the PHMSA Agreement Administrator directly to sign up for the system. PHMSA will provide the recipient’s name and email address to the DOT Financial Management Office. The DOT Financial Management

Office will then invite the recipient to sign up for the system.

DOT will send the recipient a form to verify identity. The recipient must complete the form, and present it to a Notary Public for verification. The recipient will return the notarized form to:

DOT Enterprise Service Center

FAA Accounts Payable, AMK-316

PO Box 25710

Oklahoma City, OK 73125

DOT will validate the information on the form and email a user ID and password to the recipient. Contact the PHMSA Agreement Administrator with any changes to the recipient’s system information.

Note: Additional information, including access forms and training materials, can be found on the DOT eInvoicing website (http://www.dot.gov/cfo/delphi-einvoicing-system.html)

C. Waivers

DOT Financial Management officials may, on a case by case basis, waive the requirement to register and use the electronic payment system. Waiver request forms can be obtained on the DOT eInvoicing website (http://www.dot.gov/cfo/delphi-einvoicing-system.html) or by contacting the http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.25&idno=49 http://www.dot.gov/cfo/delphi-einvoicing-system.html http://www.dot.gov/cfo/delphi-einvoicing-system.html http://www.dot.gov/cfo/delphi-einvoicing-system.html

U.S. DOT/PHMSA Page 20 of 33

PHMSA Agreement Administrator. Recipients must explain why they are unable to use or access the internet to register and enter payment requests.

All waiver requests should be sent to:

- Director of the Office of Financial Management, U.S. Department of Transportation, Office of Financial Management, B-30, Room W93-431, 1200 New Jersey Avenue SE, Washington DC 20590-0001, DOTElectronicInvoicing@dot.gov. The Director of the DOT Office of

Financial Management will confirm or deny the request within approximately

30 days.

- A copy of the form should also be sent to U.S. Department of Transportation, PHMSA, Acquisition Services Division (PHA-30), Agreement Officer, 1200 New Jersey Avenue SE, Washington DC 20590-0001, Warren.Osterberg@dot.gov

If a recipient is approved for a waiver, the recipient should submit all hard-copy invoices directly to:

U.S. Department of Transportation

Federal Aviation Administration, MMAC

Financial Operations, AMK-316

P.O. Box 269039

Oklahoma City, Oklahoma 73126-9039

ATTN: Ms. Margaret Gorman

(405) 954-7468

Section 7.13 Payments (PHMSA March 2014)

Recipients, upon receipt of the fully executed award document, may request up to 50% of the total federally funded amount of the award. The remaining amount may be requested, upon receipt and approval, (by the PHMSA Agreement Officer) of the “Mid-Term Report.”

Advance payments or Reimbursement payments will be made after the electronic receipt via iSupplier of “Request for…