NOFO-Steel Slag Research Amendment 1.docx

NOTICE OF FUNDING OPPORTUNITY FOR FISCAL YEAR 2024 RESEARCH INITIATIVE ON THE USE OF STEEL SLAG IN CONCRETE AND CEMENT

AGENCY: U.S. Department of Transportation (U.S. DOT)

ACTION: Notice of Funding Opportunity for a Research Initiative to evaluate properties and effectiveness of steel slag for use in concrete and cement and as construction material for transportation infrastructure. This funding opportunity requires an accredited research university of higher education to partner with a producer of steel in the U.S. to conduct this research.

FUNDING OPPORTUNITY NUMBER: TBD

ASSISTANCE LISTING NUMBER: 20.949

TOTAL AMOUNT AVAILABLE: This NOFO will result in the award of one (1) cost- reimbursable cooperative agreement for five years. U.S. DOT anticipates Federal funding in the amount of $5,000,000.

DEADLINE FOR APPLICATIONS: March 27, 2024, at 11:59 PM Eastern Time.

QUESTIONS DUE DATE: Any questions regarding this NOFO are due to U.S. DOT via SteelSlagResearch@dot.gov, no later than March 15, 2024, at 11:59 PM Eastern Time.

SUBMIT APPLICATIONS TO: U.S. DOT uses www.grants.gov for receipt of all applications. Applicants must register with appropriate sites/systems and use the www.grants/gov site to submit applications electronically. Applicants are encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this Notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor for any updates to this Notice.

U.S. DOT POINT OF CONTACT:

Hamid Ghasemi, Ph.D.

Program Manager, Climate Change and Resilience Research and Technology Office of the Assistant Secretary for Research and Technology (OST-R) U.S. DOT 1200 New Jersey Ave., SE. Washington, DC 20590 Email: SteelSlagResearch@dot.gov Phone: 202-366-3994

Alternate:

Pankaj Arora Program Manager, Climate Change Research and Technology Office of the Assistant Secretary for Research and Technology (OST-R) U.S. DOT 1200 New Jersey Ave., SE. Washington, DC 20590 Email: SteelSlagResearch@dot.gov Phone: 202-308-3477 Each section of this notice contains information and instructions relevant to the application process. Applicants should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications.

U.S. DOT will not review applications in advance, but technical questions and assistance may be submitted to SteelSlagResearch@dot.gov. U.S. DOT will post answers to questions and requests for clarifications at Grants.gov under this NOFO’s page.

TABLE OF CONTENTS

INFORMATION

SUBMISSION INFORMATION

INFORMATION

NOTE: U.S. DOT uses www.grants.gov for receipt of all applications. Applicants must register and use the system to submit applications electronically. Applicants are encouraged to register with appropriate systems/sites including www.grants.gov well 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.

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

SECTION A. PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

U.S. DOT hereby requests applications to result in the award of a new Cooperative Agreement, that will establish research on the properties and effectiveness of steel slag for use in concrete and cement and as construction material for transportation infrastructure. This funding opportunity requires an accredited research university of higher education to partner with a producer of steel in the United States to conduct this research. This opportunity is being issued under Assistance Listing Number 20.949.

2. LEGISLATIVE AUTHORITY

The funding for this cooperative agreement as set forth in House Appropriations Committee Report #117-402 accompanying the Consolidated Appropriations Act, 2023 (H.R. 2617, P. L. 117-328), stipulates:

“Concrete Research -- The agreement includes $5,000,000 for an accredited research university of higher education, in partnership with a producer of steel in the United States, to conduct research on the properties of steel slag materials for use in cement and concrete, furthering previous research under the Federal Highway Administration’s [FHWA] highway research and development.”

3. BACKGROUND

According to America’s Cement Manufacturers, over the next five years, spending from the Bipartisan Infrastructure Bill (BIL) alone will result in the use of 18.63 million metric tons (MMT) of cement for roads and bridges, 5.78 MMT for airports, 2.99 MMT for ports and waterways, and 0.31 MMT for rail and transit. About 0.5-0.6 tons of carbon dioxide (CO2) is emitted per ton of cement produced, so cement used in projects funded by the BIL will result in about 15.2 MMT of CO2 emissions[footnoteRef:1]. [1: https://www.energy.gov/sites/default/files/2023-01/the-us-national-blueprint-for-transportation- decarbonization.pdf]

In addition, approximately 88 MMT of steel was manufactured in 2019 in the U.S. and roughly 15–17 MMT of steel slag[footnoteRef:2]. Steel slag, a by-product of steel manufacturing making, is produced during the separation of the molten steel from impurities in steel-making furnaces. Its production is expected to grow due to increase in steel production worldwide caused by economic expansions. Most of the steel slag produced is landfilled or piled up, where they are exposed to weathering, with the possibility of leaching of toxic elements into the water and soil. However, the changing climate policy landscapes and increasing efforts to reduce industrial carbon emissions globally provide incentives to steel and cement producers to develop new uses for steel slag and work towards circular economy principles by using steel slag as a raw material or substitute in other industrial processes, hence, reducing waste, manufacture costs, and adverse environmental impacts. [2: https://crsreports.congress.gov/product/pdf/IF/IF11897

Several greenhouse gas emissions mitigation strategies are currently being employed to reduce the carbon footprint of cement, such as eliminating the use of fossil fuels during manufacturing processes by using biomass and cleaner electricity sources, use of supplementary cementitious materials in the clinker content of cement such as fly ash and steel slag, and recycling manufacturing byproducts for other uses, such as in subgrades or trench fill.

Studies have shown benefits of using steel slag as a strategy for reducing the carbon footprint of cement[footnoteRef:3],[footnoteRef:4]. Usage of steel slag in cement varies depending on its source, physical and chemical properties, mechanical composition, and processing methods under which the steel slag was produced. However, further understanding of steel slag properties, methodologies for proper handling and processing, and quality control parameters are needed to maximize the utility and minimize any adverse environmental impacts of steel slag use in cement and concrete. In addition to reducing the carbon footprint in cement manufacturing, steel slag can replace natural aggregates in concrete or be utilized in controlled low-strength materials for subgrade or trench fill. [3: https://highways.dot.gov/public-roads/mayjune-2010/leaving-smaller-footprint] [4: https://wjaets.com/sites/default/files/WJAETS-2023-0112.pdf]

In 2022, the Inflation Reduction Act established the Low-Carbon Transportation Materials Grants program[footnoteRef:5], administer by the Federal Highway Administration (FHWA), to reimburse or provide incentives to eligible recipients for the use, in projects, of construction materials and products that have substantially lower levels of embodied greenhouse gas emissions associated with all relevant stages of production, use, and disposal as compared to estimated industry averages of similar materials or products as determined by the Administrator of the Environmental Protection Agency. [5: https://www.fhwa.dot.gov/inflation-reduction-act/ ]

This funding opportunity is expected to enhance the understanding and potential for using steel slag in concrete and cement and will support previous research studies under the FHWA[footnoteRef:6],[footnoteRef:7],[footnoteRef:8]. It will also help the U.S. DOT advance research and emerging technologies that support the Nation’s goals to decarbonize the transportation sector by 2050, strengthen resilience of the Nation’s transportation infrastructure, networks, and operations as guided by the strategic goals and priorities documented in the following U.S. DOT and U.S. Government plans: [6: https://www.fhwa.dot.gov/pavement/concrete/pubs/hif12009.pdf] [7: https://www.fhwa.dot.gov/publications/research/infrastructure/pavements/97148/008.cfm] [8: https://highways.dot.gov/public-roads/autumn-1994/use-recycled-materials-highway-construction

· FY 2022-26 U.S. DOT Strategic Plan Climate and Sustainability Strategic Goal

· U.S. DOT Research Development & Technology (RD&T) Strategic Plan, FY 2022- 26 Climate and Sustainability research priorities and grand challenge

· U.S. National Blueprint for Decarbonization of the Transportation Sector

· U.S. DOT Climate Action Plan for Resilience.

4. GOALS

The research study requested under this NOFO will advance the Decarbonization Research Priority and Embodied Carbon Research Priority as listed in the RD&T Strategic Plan:

· Reduce carbon emissions associated with the extraction and manufacture of construction materials and the construction and maintenance of infrastructure.

· Develop tools, technologies, and guidance to improve infrastructure durability, longevity, and sustainability through innovative materials and structures

· Ensure research investments are fully leveraged through the demonstration and deployment of the resulting products and innovations.

The key focus areas to achieve the goals of this study are as follows:

Focus Areas (FA):

1. Research approaches to identify chemical, physical, mechanical properties and durability, and hydration effects of use of steel slag in concrete and cement to maximize utilization of steel slag in:

a. Cement manufacturing – such as use as clinker for manufacturing

b. Cement substitute – to use less cement quantity and utilize ultra-fine slag cement

c. Concrete Admixes – to improve the durability, workability, and other desired pavement surface characteristics

d. Use as road base material or aggregate – with appropriate size and shape considerations

e. Other innovative uses in construction of transportation infrastructure

2. Research approaches and methodologies to conduct laboratory testing, field/pilot testing, or other innovative techniques to evaluate the performance and durability of construction materials that use steel slag.

3. Research on the type of steel slag and desirable properties that make using steel slag attractive for different transportation infrastructure construction applications.

4. Research approaches and methodologies to measure and maximize the potential for reduction of the carbon footprint of cement and concrete through use of steel slag.

5. Data and methods to assess strategies to reduce the life cycle carbon emissions of concrete and increase the use of recycled materials in infrastructure construction (i.e., as base material or aggregate) through steel slag use.

6. Research to identify barriers and provide recommendations on the best practices to bring changes in the transportation infrastructure system including, industry, planning organizations, design engineers, budget/finance professional, elected officials, and project delivery administrators to encourage use of steel slag.

7. Market analysis to benchmark and track steel slag concrete usage in transportation applications and its estimated market potential,

8. Supply and demand resource management to discuss viability of steel slag in cement production for continued use given the state of steel industries in the U.S.

9. Market analytics and benefit cost analyses to assess business case potential of using steel slag, including considerations about supply chain management and future production/demand.

10. Decision logic or tree diagrams development to show how best to use steel slag in transportation infrastructure for policy makers, design engineers, and project administrators.

11. Any limitations where steel slag should not be used in transportation applications.

12. Technology transfer and deployment plan to ensure the research results are made widely available to transportation communities.

5. STATEMENT OF WORK

Task 1: Administration and Reporting Task 1 Involves non-technical, regular planning, tracking, and reporting. The Recipient will engage in the following: an initiative kick-off meeting within four weeks of award, monthly scheduled and ad-hoc status conference calls, quarterly progress reports detailing work accomplished in the past quarter and work expected in the next quarter, quarterly financial reports with labor/cost/expenditure tracking, and monthly invoicing.

Task 1.2: The Recipient shall schedule and facilitate an initiative kick-off preferably in-person meeting with hybrid option with the Office of the Assistant Secretary for Research and Technology (OST-R) within four (4) weeks of this agreement’s effective date. The location of the kick-off meeting will be determined by OST-R within one week of the agreement effective date. The Recipient shall be responsible for providing a final approved meeting agenda no later than three (3) business days prior to the kickoff meeting as well as providing full meeting minutes within ten (10) business days after the kick-off meeting.

Task 1.3: The Recipient shall furnish an electronic copy of quarterly progress reports to the Agreement Officer (AO), Agreement Officer's Representative (AOR), and any other Office OST personnel, as instructed by the AO, on or before the 15th of the next month in accordance with the instructions in Section F.3 QUARTERLY PROGRESS REPORTS. Each report shall contain concise statements covering the activities relevant to the statement of work including, but not limited to:

a. A clear and complete account of the work performed during the period.

b. An outline of the work to be accomplished during the next reporting period.

c. A description of any problem encountered or anticipated that will affect the completion of the work within the time and fiscal constraints as set forth in the agreement, together with recommended solutions to such problems.

d. Preliminary or interim results, conclusions, trends, or other items of information that may be of timely interest to OST-R.

e. A comparison of current and completed activities against planned schedule of activities.

f. A tabulation of the current and cumulative labor expended by the personnel, compared against planned labor expenditures.

Task 1.4: The Recipient shall facilitate at least monthly conference calls with OST-R to discuss the status of the projects and products of the initiative. The Recipient shall submit a summary of the topics discussed during each monthly conference call to the AOR and any other OST personnel as instructed by the AOR within five business days following each call.

Task 1 Deliverables:

· Kick-Off Meeting Agenda and Minutes.

· Facilitation of Monthly Calls.

· Conference Call Notes/Summaries (as performed).

· Quarterly Progress Reports.

Task 2: Define Research Agenda for FA

The Recipient shall identify a US steel manufacturer to partner with for this research work and propose a five-year research agenda for the activities listed under the FA. The proposed research agenda should be based on a scientific literature review of related research and applied studies including assessment of research gaps. OST-R will review and concur with the proposed research agenda and may modify the research agenda in subsequent years and as-needed basis to address shifting and emerging priorities.

Task 2.1: Within four months of awarding the Cooperative Agreement, the Recipient shall develop FA research agenda including activities for any laboratory/field testing needs. After OST-R’s review of the proposed research agenda and concurrence, provide a detailed breakdown of activities that will be undertaken to support the FA research agenda within one month of OST-R’s approval of the FA research agenda.

Task 2.2: Within 12 months of approval of the FA research agenda, the Recipient shall synthesize a white paper or equivalent, on the assessment of existing research on the FA and identify research gaps and needs.

Deliverables:

· Final FA Research Agenda including Laboratory/Field Testing

· Provide updates in the facilitated of Monthly Calls.

· Include updates in the Quarterly Progress Reports.

· Facilitate Quarterly meetings via an on-line system.

· Two times a year, in person or hybrid meetings with OST-R to present the technical progress and achievements to date.

· Submit annual reports summarizing the research progress.

· Submit final reports, computer programs and/or system architecture details.

· Publish peer-reviewed scientific articles, as appropriate.

Task 3: Publish final report and engage with stakeholders

Task 3.1: Final Report The Recipient shall write and publish a final technical report within three (3) months of the conclusion of each research agenda project and, as appropriate, peer-reviewed scientific publications.

Task 3.2: Stakeholders’ Engagement The Recipient shall hold and/or participate in public events and conferences (with the approval of OST-R) in which research products are discussed and publicized to relevant stakeholders.

SECTION B. FEDERAL AWARD INFORMATION

1. FUNDING AND NUMBER OF AWARDS

The expected one-time funding amount is $5,000,000. This amount is based on the authorized amount of funding in FY 2023. The Awardee therefore should plan its budget to fulfill all requirements of the project, research, demonstration, and deployment.

Through this competitive U.S. DOT Notice of Funding Opportunity, this steel slag research cooperative agreement is a fixed amount to ensure Eligible Entities are evaluated in a fair process.

2. TYPE OF AWARD

The planned award type is a cost reimbursement Cooperative Agreement. The recipient shall match 50 percent of the amounts made available under this Agreement (i.e., $2,500,000 for this cooperative agreement).

3. PERIOD OF PERFORMANCE

The period of performance will be 60 months. The period of performance will begin on the effective date of the award, as stated in the resulting grant agreement, and end on the period of performance end date that is listed in the signed grant agreement, unless extended.

4. DEGREE OF FEDERAL INVOLVEMENT

U.S. DOT anticipates substantial Federal involvement between it and the Recipient in the during of this study. The anticipated Federal involvement will include:

· Technical assistance and guidance to the Recipient.

· Close monitoring of performance.

· Review and selection of appropriate research topics.

· Review and comment on draft and final documents, as appropriate.

· Involvement in technical decisions.

· Participation in status meetings including kick off meeting, monthly conference calls, and annual technical and budget reviews.

Federal involvement is not expected to include responsibility for the day-to-day management of the steel slag research study or its associated research projects.

SECTION C. ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

Eligible applicant must be an accredited university with capabilities in conducting advanced research, data analysis and mining, laboratory and field testing related to concrete materials and have a good understanding of approaches and technologies and associated sciences of a scope that covers the requested services. Additionally, the incumbent must partner with a U.S. steel manufacturer that produces steel slag materials.

The recipient Eligible Entity (accredited university) will be the direct and primary recipient of the U.S. DOT funds and must perform a substantive role in carrying out the cooperative agreement activities; it may not serve primarily as a conduit for awards to another party.

2. COST SHARING OR MATCHING

Applicants are required to provide matching funds of at least 50% of the total eligible contract costs made available under the cooperative agreement. In other words, under this agreement for which DOT will provide the recipient $5,000,000, the recipient must provide a local non-federal matching share of, at least, $2,500,000.

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

U.S. DOT will not consider incurred costs or expended or encumbered funds towards the matching requirement from any contracts/projects awarded by State DOTs or Federal government prior to this cooperative agreement. Matching funds are subject to the same Federal requirements as awarded funds.

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

SECTION D. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

Applications may be accessed on Grants.gov. Applicants may view this Notice of Funding Opportunity and other supporting materials on www.grants.gov. Applicants should log onto that system and search for Assistance Listing Number 20.949 for this Notice of Funding Opportunity.

All applications in response to this Notice of Funding Opportunity must be submitted through Grants.gov. Any application not submitted through Grants.gov will not be considered for funding. To apply through Grants.gov, an applicant must register with appropriate sites/systems, including, Grants.gov to obtain user IDs and passwords. Applicants are advised they must complete the registration process through Grants.gov and meet all the requirements to submit application through grants.gov, prior to submitting an application.

CAUTION: Some of the registration processes might take up too many weeks or a month. It is the recipient responsibility to manage this process and submit the application through www.gtants.gov by the deadline listed in the funding opportunity notice.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

U.S. DOT may share application information within the Department or with other Federal agencies if U.S. DOT determines that sharing is relevant to the respective program’s objectives. Project budgets should show how different funding sources will share in each activity and present those data in dollars and percentages. The budget should identify other Federal funds the applicant is applying for or has been awarded, if any, that the applicant intends to use.

Application must discuss:

· Methodologies to identify critical chemical, physical, mechanical and durability, and hydration affect to maximize utilization of steel slag in cement and concrete.

· How best to utilize steel slag in cement manufacturing, as a substitute for cement, in concrete admixtures, as road base materials and aggregates, and in other innovative construction applications.

· How the research proposal through laboratory testing will determine the performance and durability of steel slag concrete, aggregate, and base material etc. in the transportation infrastructure construction.

· Finally, if the steel slag is deemed to be a suitable material for specific cases in construction of the transportation infrastructure, then how the proposed research study will advance the Decarbonization Research Priority and Embodied Carbon Research Priority as listed in the DOT RD&T Strategic Plan - Reduce carbon emissions associated with the extraction and manufacture of construction materials (i.e., cement and concrete) and the construction and maintenance of infrastructure.

Proposals that that do not meet the stated requirements will not be considered for review or award.

2.1 Content of Application

The proposal must:

· Include the signature of the principal investigator/manager of the initiative on the first page of the proposal.

· Addresses the FA goals and objectives of this funding opportunity.

· Indicate preliminary budgets and financial information in U.S. dollars for the five years.

· Provide documents on 8 ½ x 11 paper format, all pages must be numbered sequentially.

· Be submitted in either Microsoft Word or PDF format. Technical proposal shall be single-spaced, 12- point Times New Roman font, with a minimum of 1-inch margins.

2.2 Proposal Format

The Technical Proposal must include the following sections:

· Proposal Narrative: As the research agenda for the FA will be developed within the first four months, it is DOT’s expectation to receive at a minimum proven past experience with proposing/conducting:

· A workplan including goals and objectives, scope of work, task assignments, milestones, key deliverables, required resources, timelines, and budgets.

· Similar type of research activities that cover various aspects of the transportation infrastructure construction including but not limited to use of other cementitious materials besides the Portland cement, different raw materials needed for cement manufacturing, and use of other aggregate and base materials. Including identification physical, chemical, and mechanical and durability properties of the material and range of the property values that make these material suitable for the transportation infrastructure.

· Laboratory and field tests related to transportation infrastructure.

· Robust LCA analyses to estimate GHG offsets and ability to develop Environmental Product Declarations (EPDs). Demonstrate benefits of using slag to reduce the GFG emissions to meet regulatory requirements, follow guidance, etc.

· Changes to existing standards and codes to accommodate new research findings.

· Best practices to influence construction industry to use new materials or latest research

· Market analytics and benefit cost analyses including supply chain management.

· Any additional relevant experience the applicant would like to provide.

· Activities and Deliverables: Describe the research process and steps the applicant plans to use for developing research agenda. DOT is requesting the applicants to provide a preliminary framework of the FA research agenda and possible research projects and deliverables for the period of performance. It is understood that the final research agenda will be finalized according to the timelines discussed in Tasks 2 and 3. At the time of submission of the application, DOT is hoping to see the vision of the applicant how to achieve the research objectives of this funding opportunity.

· Key Personnel: Include the names, titles, roles, and experience/qualifications of key personnel involved in the program. Also include a brief description of proportion of key personnel time that will be devoted to this initiative. Resumes of the key personnel and supporting documents from the stakeholder can be provided as an appendix and this appendix will not be counted as part of the 25-page limitation.

· Partners: List the names and type of involvement of key partner organizations, universities, and sub-awardees.

· Monitoring and Evaluation Plan: Indicate how activities will be monitored to ensure they are executed in a timely manner, and how the program performance will be evaluated to make sure performance is meeting the goals of the study, throughout the duration period of the study.

· Future Funding or Sustainability: Describe how the results and developments in this initiative can be sustained in future efforts either by the government or by industry, by transfer to the private sector, or by other long-term outcomes.

The total number of pages of the technical proposal/application (including the cover page and attachments, if any) shall not exceed 25 pages.

The Cost Proposal must include the following documents:

1. Use your best estimates to list all cost details for the period of performance. This shall include details of cost breakdown to accomplish the activities indicated for each task in the technical proposal, including professional time, direct and indirect costs, negotiated indirect cost rate (per any agreement with government audit agency), student/post-doc support, subcontractors cost, facility/laboratory cost, travel, etc. The cost breakdown should also include cost share/match details.

2. Mandatory application forms

· SF-424 (Application for Federal Assistance – organizations) or SF-424-I (Application for Federal Assistance – individuals)

· SF-424A (Budget Information for Non-Construction programs)

· SF-424B (Assurances for Non-Construction programs). Note: the SF-424B is only required for individuals and for organizations not registered in SAM.gov.

· Form SF-LLL: Disclosure of Lobbying activities

3. Attachments

· 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. All such information, and any other relevant information known to U.S. 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, U.S. DOT 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 200.11

· Any other information of relevance to the cost proposal.

There are no limits placed on the number of pages or the format for the cost proposal. However, reasonableness is to be exercised in the submitted document size.

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.

The deadline stated on page 1 is the date and time by which U.S. DOT must receive the full and completed application, including all required sections. A late application will not be reviewed or considered unless the AO determines that doing so is in the U.S. DOT’s best interest.

5. INTERGOVERNMENTAL REVIEW

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

6. FUNDING RESTRICTIONS

U.S. DOT will not reimburse any pre-award costs or application preparation costs under this proposed Agreement. Use of award funds, including funds and in-kind contributions provided by the university and its consortia members and by any external partners as the grant’s required matching funds, for the purchase of equipment with a unit value of $5,000 or more, will require advance approval from OST-R after the award, before such expenses may be incurred.

7. OTHER SUBMISSION REQUIREMENTS

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

SECTION E. APPLICATION REVIEW INFORMATION

1. CRITERIA

MERIT: U.S. DOT will evaluate and rank the applications against the following technical evaluation criteria. These criteria are distinct from eligibility criteria (see Section C) that are addressed before an application is accepted for review.

· Quality and Feasibility of the Proposal: The proposed technical approach is sound and well developed, with detail about how the research activities covered under FA section above will be achieved. The proposal includes a reasonable implementation timeline.

· Technical Planning/Ability to Achieve Objectives: Goals and objectives are clearly stated, and technical approach is likely to provide maximum impact in achieving the proposed results.

· Organizational Capacity and Record on Previous Federally funded Projects: The organization has expertise in its stated field and has internal controls in place to manage federal funds.

· Innovation and Impact: The proposing organization and technical planning are well- positioned to advance innovative research with high potential for significant impact on policy or other decision-making on how best to utilize steel slag materials in cement and concrete.

· Fulfilling Policy Priorities of US DOT: The Applicant has considered the impact of the technical research work under this program on the following important elements of the DOT goals and priorities, namely,

· Embodied Carbon: Support reducing the carbon emissions associated with the extraction and manufacture of construction materials (i.e., cement and concrete) and the construction and maintenance of infrastructure.

· Sustainable and Resilience Infrastructure: Support development of tools, technologies, and guidance to improve infrastructure durability, longevity, and sustainability through innovative materials and structures.

· Technology Transfer and Deployment: Ensure research investments are fully leveraged through the demonstration and deployment of the resulting products and innovations.

· Budget: The budget justification is detailed. Costs are reasonable in relation to the proposed activities and anticipated results. The budget is realistic, accounting for all necessary expenses to achieve proposed activities.

· Monitoring and evaluation plan: Applicant demonstrates it is able to measure program success against key indicators and provides milestones to indicate progress toward goals outlined in the proposal. The program includes output and outcome indicators and shows how and when those will be measured.

· Partnership: Applicant demonstrates how selected partner(s) will participate in the activities.

COST:

The cost proposal will be evaluated on:

1. Cost reasonableness.

2. 50% funding match to the Federal share.

3. Budget controls to achieve the work objectives.

2. REVIEW AND SELECTION PROCESS

U.S. DOT will utilize the following merit review process to evaluate applications:

A panel of Federal experts will evaluate all eligible technical applications using the merit criteria listed above. The panel will individually evaluate the technical applications. The panel will then collectively assign an adjectival rating to each eligible technical application using the following merit ratings: Exceptional, Satisfactory, Marginal, and Unsatisfactory.

U.S. DOT will evaluate the cost criteria listed above and conduct a risk assessment of the Applicant prior to award as described below.

The Government will award the application that is considered the most advantageous to the Government using the criteria cited above, and subject to the results of an Applicant risk assessment. Applications selected for possible award using the criteria cited above, will undergo the following risk assessment prior to award. The Government reserves the right to not make an award to an Applicant based on the results of the risk assessment. However, Marginal or Unsatisfactory applicants will not be considered for final selection. After completing the merit review, among projects of similar merit, U.S. DOT will prioritize applications that focus on the goals and priority topics listed in Section A of this NOFO.

The OST-R Director of Climate Change Research and Technology is the official responsible for final award selection. The Government is not obligated to make any award as a result of this NOFO.

3. RISK ASSESSMENT

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

· Applicant’s financial stability.

· Applicant’s quality of management systems and ability to meet the management standards prescribed in 2 CFR Part 200.

· 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.

· 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;

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

· Applicant’s potential for conflict of interest if applicable; and

· Note: U.S. DOT will review information provided by the Applicant, and any other relevant information known to U.S. 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.

· Applicant’s eligibility to receive Federal funding. Per the guidelines on government- wide 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.

Prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, DOT is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313). An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM. DOT will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in § 200.206.

Pursuant to 2 CFR Part 200.206, prior to making a Federal award, the Federal awarding agency is required to review information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information, such as Federal Awardee Performance and Integrity Information System (FAPIIS), Dun and Bradstreet, and “Do Not Pay.” At a minimum, the information in the system for a prior Federal award recipient must demonstrate a satisfactory record of executing programs or activities under Federal grants, cooperative agreements, or procurement awards, and integrity and business ethics.

If U.S. DOT does not make a Federal award to a non-Federal entity because the official determines that the non-Federal entity does not meet either or both of the minimum qualification standards as described in 2 CFR 200.206, U.S. DOT will report that determination in FAPIIS.

4. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

U.S. DOT anticipates making award on or about May 20, 2024.

SECTION F. FEDERAL AWARD ADMINISTRATION INFORMATION

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

U.S. DOT.

Only the AO can commit the U.S. DOT. 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, U.S. DOT 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, the U.S. DOT reserves the right to terminate the negotiation and decline to fund the Applicant.

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Before submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award, to ensure that they will be able to comply. These include:

· 2 CFR 25 - UNIVERSAL IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT

· 2 CFR 170 - REPORTING SUBAWARD AND EXECUTIVE COMPENSATION INFORMATION

· 2 CFR 175 - AWARD TERM FOR TRAFFICKING IN PERSONS

· 2 CFR 182 - GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (FINANCIAL ASSISTANCE)

· 2 CFR 183 - NEVER CONTRACT WITH THE ENEMY

In accordance with the Office of Management and Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance, U.S. DOT will review and consider applications for funding, as applicable to specific programs, pursuant to this notice of funding opportunity in accordance with the following:

· Guidance for Grants and Agreements in Title 2 of the Code of Federal Regulations (2 CFR), as updated in the Federal Register’s 85 FR 49506 on August 13, 2020, particularly on:

· Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR part 200.205),

· Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense Authorization Act of 2019 (Pub. L. No. 115—232) (2 CFR part 200.216),

· Promoting the freedom of speech and religious liberty in alignment with Promoting Free Speech and Religious Liberty (E.O. 13798) and Improving Free Inquiry, Transparency, and Accountability at Colleges and Universities (E.O. 13864) (§§ 200.300, 200.303, 200.339, and 200.341),

· Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR part 200.322), and

· Terminating agreements in whole or in part to the greatest extent authorized by law, if an award no longer effectuates the program goals or U.S. DOT priorities (2 CFR part 200.340).

Critical Infrastructure Security and Resilience: It is the policy of the United States to strengthen the security and resilience of its critical infrastructure against both physical and cyber threats.

Each applicant selected for Federal funding under this notice must demonstrate, prior to the signing of the grant agreement, effort to consider and address physical and cyber security risks relevant to the transportation mode and type and scale of the project. Projects that have not appropriately considered and addressed physical and cyber security and resilience in their planning, design, and project oversight, as determined by the Department and the Department of Homeland Security, will be required to do so before receiving funds for construction, consistent with Presidential Policy Directive 21 - Critical Infrastructure Security and Resilience and the National Security Presidential Improving Cybersecurity for Critical Infrastructure Control Systems.

Civil Rights and Title VI: As a condition of a grant award, grant recipients should demonstrate that the recipient has a plan for compliance with civil rights obligations and nondiscrimination laws, including Title VI of the Civil Rights Act of 1964 and implementing regulations (49 CFR § 21), the Americans with Disabilities Act of 1990 (ADA), and Section 504 of the Rehabilitation Act, all other civil rights requirements, and accompanying regulations. This should include a current Title VI plan, completed Community Participation Plan, and a plan to address any legacy infrastructure or facilities that are not compliant with ADA standards. DOT’s and the applicable Operating Administrations’ Office of Civil Rights may work with awarded grant recipients to ensure full compliance with Federal civil rights requirements.

Federal Contract Compliance: As a condition of grant award and consistent with EO 11246, Equal Employment Opportunity (30 FR 12319, and as amended), all Federally assisted contractors are required to make good faith efforts to meet the goals of 6.9 percent of construction project hours being performed by women, in addition to goals that vary based on geography for construction work hours and for work being performed by people of color. Under Section 503 of the Rehabilitation Act and its implementing regulations, affirmative action obligations for certain contractors include an aspirational employment goal of 7 percent workers with disabilities.

The U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) is charged with enforcing Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam Era Veterans’ Readjustment Assistance Act of 1974. OFCCP has a Mega Construction Project Program through which it engages with project sponsors as early as the design phase to help promote compliance with non-discrimination and affirmative action obligations. OFCCP will identify projects that receive an award under this notice and are required to participate in OFCCP’s Mega Construction Project Program from a wide range of Federally- assisted projects over which OFCCP has jurisdiction and that have a project cost above $35 million. DOT will require project sponsors with costs above $35 million that receive awards under this funding opportunity to partner with OFCCP, if selected by OFCCP, as a condition of their DOT award.

3. REPORTING

a. QUARTERLY PROGRESS REPORT

Recipients will be required to submit on the 30th of the month following the calendar quarter being reported a financial report and a technical progress report. The reports should include a timeline of activities completed and expected future activities together with the corresponding total cost for past and future activities. The narrative should be succinct; however, if significant technical progress has been made more details can be provided.