opp693JJ318NF00012-cfda20.200-cid693JJ318NF00012-instructions.pdf

693JJ318NF00012

Notice of Funding Opportunity Number 693JJ318NF00012

“National Cooperative Highway Research Program”

Notice of Funding Opportunity Issue Date: August 13, 2018

Application Due Date: September 12, 2018

Estimated Cooperative Agreement Award: September 21, 2018

Notice of Funding Opportunity (NOFO)

Summary Information

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

Federal Highway Administration (FHWA)

Office of Acquisition and Grants Management

1200 New Jersey Avenue, SE

Mail Drop: E62-304

Washington, DC 20590

Attention: Rick Murray, HCFA-32

Funding Opportunity Title: “National Cooperative Highway Research

Program”

Announcement Type: This is the initial announcement of this funding opportunity.

Funding Opportunity Number: 693JJ318NF00012

Award Type: Cooperative Agreement

Catalog of Federal Domestic

Assistance (CFDA) Number:

20.200

Application Due Date: Application Due by 11:59 pm (EDT) on September

12, 2018 via Grants.gov (see Section D).

Questions: Submit Questions by September 6, 2018, 3:00 pm

(EDT) to: Rick.Murray@dot.gov mailto:Rick.Murray@dot.gov

TABLE OF CONTENTS

SECTION TITLE PAGE

A

PROGRAM DESCRIPTION 4

B

FEDERAL AWARD INFORMATION 9

C

ELIGIBILITY INFORMATION 10

D

APPLICATION SUBMISSION INFORMATION 11

E

APPLICATION REVIEW INFORMATION 18

F

FEDERAL AWARD ADMINISTRATION INFORMATION 21

G

FEDERAL AWARDING AGENCY CONTACT(S) 28

Note: The FHWA uses www.Grants.gov for receipt of all applications. Applicant must register and use the system to submit application electronically. The Applicant is encouraged to register in advance of the submission deadline and to register to receive notifications of updates/amendments to this Notice. Approval of user registrations for the site may take multiple weeks. It is the Applicant’s responsibility to monitor www.Grants.gov for any updates to this Notice.

http://www.grants.gov/

SECTION A – PROGRAM DESCRIPTION

The FHWA hereby requests an application for assistance from the Transportation Research Board

(TRB), a program unit of the National Academy of Sciences (NAS), for a continuation of services entitled National Cooperative Highway Research Program (NCHRP).

1. STATEMENT OF PURPOSE

The principal goal of the proposed Agreement is to provide funding to TRB, collected by FHWA from the State Departments of Transportation (DOTs), to support the administration and research activities of the NCHRP, with an increased emphasis on implementation of research results.

The TRB will administer and conduct research on various topics selected under the NCHRP, after projects are approved annually by the American Association of State Highway Transportation

Officials (AASHTO) Special Committee on Research and Innovation (R&I). The proposed

Cooperative Agreement will enable the States to continue to leverage their research dollars by collaborating in an array of nationally-focused research projects, with an increased emphasis on implementation of research results. Research areas under this agreement will include: (1) highway planning, financing, and administration; (2) highway and bridge design, materials, construction, roadside development and barrier systems; and (3) traffic operations and control, illuminations and visibility, traffic planning, and safety. The results of this research will be used by the States, the transportation community in general, and FHWA to maintain and improve the Nation’s highway infrastructure and promote highway safety.

2. LEGISLATIVE AUTHORITY

The authority to enter into a Cooperative Agreement for this effort is found under Sections

502(a)(4) and 502(a)(5) of Title 23, United States Code (as amended by Section 52002 of MAP-21, the Moving Ahead for Progress in the 21st Century Act (P.L. 112-141)), which states the following:

“(4) ROLE. —Consistent with these Federal responsibilities, the Secretary shall—

(A) conduct research;

(B) partner with State highway agencies and other stakeholders as appropriate to facilitate research and technology transfer activities;

(C) communicate the results of ongoing and completed research;

(D) lead efforts to coordinate national emphasis areas of highway research, technology, and innovation deployment;

(E) leverage partnerships with industry, academia, international entities, and State departments of transportation;

(F) lead efforts to reduce unnecessary duplication of effort; and

(G) lead efforts to accelerate innovation delivery.

(5) PROGRAM CONTENT. —A surface transportation research program shall include—

(A) fundamental, long-term highway research;

(B) research aimed at significant highway research gaps and emerging issues with national implications; and

(C) research related to all highway objectives seeking to improve the performance of the transportation system.”

The authority to award an Agreement for this effort is found under Title 23 of the United States

Code (USC), Section 502(b)(3), Surface Transportation Research, which states the following:

“(3) Cooperation, grants, and contracts. — The Secretary may carry out research, development, and technology transfer activities related to transportation —

(A) independently;

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

Federal laboratories; or

(C) by making grants to, or entering into contracts and cooperative agreements with one or more of the following: the National Academy of Sciences, the American

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

The authority to pool funding from the States to fund the NCHRP can be found under Section

502(b)(6) of Title 23, United States Code (as amended by Section 52002 of MAP-21, the Moving

Ahead for Progress in the 21st Century Act (P.L. 112-141)), which states the following:

“(6) POOLED FUNDING—

(A) COOPERATION—To promote effective utilization of available resources, the

Secretary may cooperate with a State and an appropriate agency in funding research, development, and technology transfer activities of mutual interest on a pooled funds basis.

(B) SECRETARY AS AGENT—The Secretary may enter into contracts, cooperative agreements, and grants as the agent for all participating parties in carrying out such research, development, or technology transfer activities.

(C) TRANSFER OF AMOUNTS AMONG STATES OR TO FEDERAL HIGHWAY

ADMINISTRATION—The Secretary may, at the request of a State, transfer amounts apportioned or allocated to that State under this chapter to another State or the Federal Highway Administration to fund research, development, and technology transfer activities of mutual interest on a pooled funds basis.

(D) TRANSFER OF OBLIGATION AUTHORITY—Obligation authority for amounts transferred under this subsection shall be disbursed in the same manner and for the same amount as provided for the project being transferred.”

In accordance with 23 USC §505(d) Federal Share.-The Federal share of the cost of a project carried out using funds subject to subsection (a) shall be 80 percent unless the Secretary determines that the interests of the Federal-aid highway program would be best served by decreasing or eliminating the non-Federal share.

State DOTs funding of the NCHRP through this agreement when financed with Federal-aid State

Planning and Research (SP&R) funds is authorized without State matching. A memo is distributed by the Associate Administrator for Research, Development, and Technology (RD&T), when the distribution of SP&R funding is authorized.

3. BACKGROUND

The NCHRP is a national research program begun in 1962 and carried out through the collaborative efforts of FHWA, NAS, and AASHTO. As stated in the “Memorandum of

Agreement on Operating Procedures for the National Cooperative Highway Research Program” effective October 1, 2003, the program is:

…a substantial national program of highway transportation research, development, investigations, and studies addressed to the resolution of major problems of significance to many or all of the State departments of highways and transportation and to provide for a continuing long-range program in which the States and other interested parties have an opportunity to combine their efforts toward a common objective by pooling funds, thereby avoiding the time-consuming and highly complex procedure that might otherwise be required to initiate and to conduct such a program on an individual project basis.

Prior to the original Cooperative Agreement (DTFH61-08-H-00035) and the current (DTFH61-13-

H-00024), FHWA collected funds from the States and then reimbursed NAS for NCHRP expenditures solely based on the existing Memorandum of Agreement. FHWA determined that an underlying award vehicle (obligating document) is needed to appropriately manage and transfer the collected State funds from FHWA to NAS. Accordingly, FHWA seeks to award this renewal of the

Cooperative Agreement to NAS to accomplish this objective.

4. GOALS

The goal of this Cooperative Agreement is to provide funding, collected by FHWA from the State

DOTs, to support the administration and research activities of the NCHRP. The FHWA will collect funds from the State DOTs annually using the Transportation Pooled Fund (TPF) process.

Transfers received from the State DOTs are then obligated by FHWA to the Cooperative

Agreement for NCHRP project invoicing.

5. STATEMENT OF WORK

The Recipient will administer and conduct research on various topics selected under the NCHRP.

Specific research areas include: (1) highway planning, financing and administration; (2) highway and bridge design, materials, construction, roadside development and barrier systems; (3) freight and passengers, traffic operations and control, illuminations and visibility, traffic planning, and safety;

and (4) other areas as deemed appropriate by the AASHTO R&I and the FHWA Agreement Officer

(AO). Possible areas of research within these broad areas are detailed below.

Highway Planning, Financing, and Administration

The Recipient will address problems pertaining to highway planning, financing, and administration. Specific activities under this agreement may include:

(1) Evaluating the economic impact of highway operations and facilities.

(2) Developing improved methodologies for evaluating highway improvements.

(3) Valuation of damages caused by highways.

(4) Analyzing social, environmental and energy impacts of highway transportation.

(5) Improving techniques for forecasting and monitoring highway travel and its impacts.

(6) Reviewing and analyzing legal problems arising from highway programs.

(7) Developing systems and training material for managing highway assets.

Highway and Bridge Design, Materials, Construction, Roadside Development, Maintenance, and Barrier Systems

The Recipient will address problems pertaining to highway and bridge design, materials, construction, maintenance, roadside development and barrier systems. Specific activities may include:

(1) Developing guidelines for pavement design and drainage.

(2) Developing and evaluating new bridge designs and construction techniques.

(3) Evaluating the effects of highway design elements on traffic operation and safety.

(4) Reviewing and updating guidelines for the design of highway facilities.

(5) Developing improved data, procedures, and guidelines for the selection, design, and maintenance of roadside features and barrier systems.

(6) Reviewing and recommending improvements in specifications, procurement procedures, and practices.

(7) Developing new and improved instrumentation for measuring soil properties and building better foundations.

Freight and Passenger, Traffic Operations and Control, Illuminations and Visibility, Traffic Planning, and Safety

The Recipient will address problems pertaining to traffic operations and control, freight and passengers, illumination and visibility, traffic planning and safety. Specific activities may include:

(1) Developing a highway safety manual and improved safety analysis techniques.

(2) Testing and evaluating innovative intersection designs and traffic controls such as roundabouts.

(3) Developing improved guidelines and warrants for traffic control devices.

(4) Measuring, testing, and evaluating the operational and safety effects of traffic control devices and traffic management systems.

(5) Providing guidance for implementing the AASHTO Strategic Highway Safety Plan.

(6) Developing improved methods and procedures for analyzing highway capacity and quality of service.

(7) Identifying and evaluating practical methods and guidelines for improving visibility and illumination of highways and traffic control devices.

(8) Determining road user needs and limitations and incorporating them into human factors guidelines for the design and safe operation of highway facilities.

Reports and Deliverables

TRB provides the Agreement Officer’s Representative (AOR) with all draft and final publications reporting on the activities carried out under the NCHRP. There is a final report produced for all projects, tasks, and topics under the NCHRP. A copy of all final reports is made available electronically to all FHWA staff. A hard copy can be requested.

Participation and Funding

This program is supported on a continuing basis by funds from participating member States of the

AASHTO. Participation in and funding of the NCHRP from the State DOTs are to be in accordance with the following:

Each year, the program for NCHRP is approved by the AASHTO R&I during their March annual meeting. This approval is in advance of the coming fiscal year program.

State DOTs voluntarily participate in this program and provide their funds using the pooled fund process for this Cooperative Agreement.

A memo is generated by the Associate Administrator for RD&T, requesting State funding via pooled fund transfer. This request is sent when SP&R funds have been approved for use.

NCHRP is calculated at 5.5% of SP&R funds.

FHWA will obligate funds to this Cooperative Agreement from participating States through the funds transfer process.

<end of section>

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING

The FHWA anticipates Federal funding up to a total amount of $230,000,000, may be made available for this Agreement subject to the availability of funds.

Federal funds (time of award): $ 160,000

Federal funds (subject to availability): $229,840,000

TOTAL VALUE $230,000,000

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

Agreement Officer.

NOTE: Application preparation costs are not an allowable charge under any award made based on this NOFO.

2. NUMBER/TYPE OF ASSISTANCE INSTRUMENT

The Government anticipates making one (1) award as a result of this Notice of Funding

Opportunity. The planned award type is a Cooperative Agreement.

3. PERIOD OF PERFORMANCE

The Government anticipates a project start date of October 1, 2018. The period of performance for this Cooperative Agreement will not exceed sixty (60) months from the effective date of award for funding, and (120) months for project completion.

4. DEGREE OF FEDERAL INVOLVEMENT

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

Participation in the NCHRP as outlined in the Memorandum of Agreement;

Coordination of this activity with other FHWA activities;

Technical assistance and guidance;

Liaison participation on project panels (one FHWA liaison per project);

Close monitoring during performance;

Involvement in technical decisions;

Acceptance of final project reports;

Participation in status meetings including kick off meeting and annual budget reviews as needed.

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

This is a sole source requirement with application eligibility limited to the National Academy of

Sciences.

2. COST SHARING OR MATCHING

The NCHRP meets the criteria for use of Federal-aid funds used for Research and Development studies without State matching. The States are authorized to use 100 percent State Planning and

Research (SP&R) funding for their contributions. Pursuant to Title 23 of the Code of Federal

Regulation, Part 420, Section 119, the requirement for matching is waived by FHWA annually.

No cost sharing or matching is required for this Cooperative Agreement.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

The Applicant may obtain application forms at Grants.gov under the Notice of Funding Opportunity

Number 693JJ318NF00012.

The Applicant must complete and submit all forms included in the application package for this

Notice as contained at www.Grants.gov.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

Application must be prepared on 8½ x 11-inch paper except for foldouts used for charts, tables or figures, which must not exceed 11 x 17 inches. Foldouts must not be used for text, and will count as two pages.

A page is defined as one side of an 8 ½ by 11-inch paper. Therefore, a piece of paper with printing on both sides is considered two pages.

Text must be printed using a font size no less than 12-point font (Arial or Calibri).

Tables are permitted and text in tables must be doubled spaced.

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

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

Page numbers may be located within the 1 inch margins.

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

Resumes are limited to one page each.

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

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

Volume 1 – Technical Application as described below – 35-page limit

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

Part II – Staffing and Management Approach (included in the page limitation; resumes are not included in the page limitation and may be an Attachment to Volume I)

Part III – Experience (included in the page limitation))

In the event a technical application exceeds the page limitation, the Government will evaluate only the pages identified within the limitation above.

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

Part I – Application Forms

Part II – Cost Information and Other Financial Information

Submit your application in the following format:

Volume 1 - Technical Application

Volume 1 – Technical Application as described below (see page limitations above)

OPTIONAL: An Applicant may include, at their option, to facilitate displaying the organization of their application, a one-page cover page, and a second page to include both a Table of Contents and/or a Listing of Tables/Figures. These pages are for orienting evaluators to the contents of the application package and will not be evaluated and are not included in the Volume I page limitation.

a. Part I – TECHNICAL APPROACH: Provide a detailed description of the technical plan of how the Recipient would proceed if awarded this Agreement. Discuss and describe the ability of the proposed project to meet the purpose and goals of this program, an annual work plan for year one (1), and the manner in which they will be addressed by your project.

b. Part II – STAFFING AND MANAGEMENT APPROACH:

Provide a project organizational chart identifying proposed staff members assigned to the project. The chart must be supported with narrative text to include the title and a brief description of each position’s responsibilities, as well as the proposed level of effort and allocation of time (% in relation to their other duties) for each position on a yearly basis and in summary format. The level of effort may be displayed (single spaced) in a table format. One table can be presented if the level of effort will be constant over all years, and the table is annotated as such. The hours in this table must be consistent with the information presented in Volume II, Parts I and II, as part of the detailed budget plan.

Provide resumes for the proposed Program Manager/Principal Investigator and other key personnel to include name, experience, education and proposed role in project. Explain why the personnel possess the qualifications to perform the proposed positions. Resumes shall not exceed one page each.

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

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

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

c. Part III – EXPERIENCE: A summary of the Applicant’s experience relevant to this project, listing projects of similar size and complexity over the past five years, and show which of the named key staff, were involved in those projects. List the following information for a minimum of three specific past projects in which the Applicant participated as project leader and/or member of project team:

Project title, description, value, and dates;

Sponsor/customer point of contact to include sponsor/customer name, title, organization, email address, phone number;

Role of Applicant in project;

Explanation of why or how the project is considered relevant or similar to the effort required by this Notice of Funding Opportunity; and o Note: In determining relevancy, consideration should be given, but not limited to, such things as product/service similarity, size and complexity, Agreement type, division of company proposing, and sub-Recipient interaction.

Explanation of the project goals accomplished and any cost growth or schedule delays encountered. For any projects which did not/do not successfully achieve its goals, a brief explanation of the reason(s) for such shortcomings and any demonstrated corrective actions taken to avoid recurrence.

If subcontractors are needed to conduct some of these tests and practices, a list of subcontractors should be supplied. While not required, the technical evaluation will assign an advantage in this section to the Applicant with these capabilities, assuming all else is equal.

Note: Prior to award, FHWA may contact past sponsor/customers to support the agency’s risk assessment of the application.

Note: If an Applicant does not have a history relevant experience, or if past experience information is not available, the Applicant will receive a neutral past experience rating.

Volume 2 - Budget Application

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

OPTIONAL: An Applicant may include, at their option, to facilitate displaying the organization of their application, a one-page cover page, and a second page to include both a Table of Contents and/or a Listing of Tables/Figures. These pages are for orienting evaluators to the contents of the application package and will not be evaluated and are not included in the Volume I page limitation.

a. Part I - APPLICATION FORMS

1. SF424

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

2. SF424A

Note: Section A:

- Block 1(a): Print opportunity title listed on page 1;

- Block 1(b): Print CFDA number listed on page 1;

- Block 1(c): Print Total Federal Funds Requested in dollars; and,

- Block 1(d): Print Total Cost Share in dollars, and leave columns (e), (f), and (g) and rows 2, 3, and 4 blank.

3. SF424B

4. SFLLL

Note: The form must be completed and submitted even if no lobbying to report. If no lobbying to report insert none or n/a in the relevant blocks.

b. Part II – COST INFORMATION AND OTHER FINANCIAL INFORMATION

Provide a separate detailed budget plan for each year and summarize the information for all years for all activities. Spreadsheets can be formatted similarly to the format in DOT Form

4220.44, located at: http://www.fhwa.dot.gov/aaa/pdfs/frm4220_44.pdf.

The detailed budget plan must include each of the following items/sub-items:

1. Detailed Excel (or compatible) workbook containing spreadsheets/tabs (formatted to be printed out) and supporting information clearly delineating and supporting all estimated costs: with columns for Federal Share, Cost Share (if applicable) and Total Costs (per year and in summary form) as follows:

Note: The Applicant must use DOT F 4220.44, Contract Pricing Summary located at http://www.fhwa.dot.gov/aaa/pdfs/frm4220 44.pdf, to present the information requested below.

a. Labor Rates- Direct labor-by-labor categories to include hours, rates and escalation.

Anticipated promotions for any personnel must be included with the escalation calculation. The annual direct labor escalations rate and its basis should be clearly stated with the application. Discuss your proposed rate as compared to historical experience and include when and how escalation will be calculated/implemented.

b. Indirect Rates- Discuss your proposed rates for all years. Identify all the various specific indirect rates including what they are (pool and base), and what they are based on (e.g.; labor overhead based on direct labor dollars) and how they are applied/calculated. Provide dollar values as well as percentages. Please also provide any audit information to support these rates (for example, a copy of signed

Department of Health of Human Services rate agreement).

Note: Per 2 CFR 200.414(f), Indirect (F&A) Costs, an Applicant may elect to propose a de minimis indirect rate of 10% of modified total direct costs.

c. Other Direct Costs- The Applicant must provide a breakout and justification of Other

Direct Costs by Category (travel, equipment, etc.).

d. If subcontractors/sub-Recipients (lower-tiered organizations and/or individual consultants) will be used in carrying out this project, the following minimum information concerning such, must be furnished:

http://www.fhwa.dot.gov/aaa/pdfs/frm4220_44.pdf http://www.fhwa.dot.gov/aaa/pdfs/frm4220%2044.pdf

i. Name and address of the organization or consultant.

ii. Description of the portion of work to be conducted by the organization or consultant.

iii. Cost details for that portion of work.

iv. Applicant’s cost/price analysis of each sub-Recipient/contractor(s) showing how their price is fair and reasonable; and Applicant’s cost/price analysis of each sub-Recipient/contractor(s) showing how their price is fair and reasonable (this includes any sub-

Recipient/contractor(s) that will be included in the Federal share or the non-Federal share); and

v. Letter of commitment from each sub-Recipient/contractor(s) (this includes any sub-Recipient/contractor(s) that will be included in the Federal share, the non-Federal share or in a non-paid (volunteer) capacity).

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

vii. Clearly delineate cost share match versus Federal share.

2. Identify any exceptions to the anticipated award terms and conditions as contained in

Section F, Federal Award Administration Information. Identify any preexisting intellectual property that you anticipate using during award performance, and your position on its data rights during and after the award period of performance.

3. The use of a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number is required on all applications for Federal grants or Cooperative Agreements.

Please provide your organization’s DUNS number in your budget application.

4. A statement to indicate whether your organization has previously completed an A-133

Single Audit and, if so, the date that the last A-133 Single Audit was completed.

5. A statement regarding Conflicts of Interest. The Applicant must disclose in writing any actual or potential personal or organizational conflict of interest in its application that describes in a concise manner all past, present or planned organizational, contractual or other interest(s), which may affect the Applicant’s ability to perform the proposed

Agreement in an impartial and objective manner.

Actual or potential conflicts of interest may include but are not limited to any past, present or planned contractual, financial, or other relationships, obligations, commitments or responsibilities, which may bias the Applicant or affect the Applicant’s ability to perform the Agreement in an impartial and objective manner. The Agreement

Officer (AO) will review the statement(s) and may require additional relevant information from the Applicant. All such information, and any other relevant information known to DOT, will be used to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the United States to contract with the Applicant and include appropriate provisions to mitigate or avoid such conflict in the Agreement pursuant to 2 CFR 200.112.

6. A statement to indicate whether a Federal or State organization has audited or reviewed the Applicant’s accounting system, purchasing system, and/or property control system. If such systems have been reviewed, provide summary information of the audit/review results to include (as applicable) summary letter or agreement, date of audit/review, Federal or State point of contact for such review.

7. Terminated Contracts - List any contract/agreement that was terminated for convenience of the Government within the past 3 years, and any contract/agreement that was terminated for default within the past 5 years. Briefly explain the circumstances in each instance.

8. Describe how your organization will obtain the necessary resources to fund and fulfill the proposed cost share, as applicable.

9. The Applicant is directed to review Title 2 CFR §170 (http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl) dated September 14, 2010, and Appendix A thereto, and acknowledge in its application that it understands the requirement, has the necessary processes and systems in place, and is prepared to fully comply with the reporting described in the term if it receives funding resulting from this

Notice. The text of Appendix A will be incorporated in the award document as a General

Term and Condition as referenced under this Notice’s Section F, Federal Award

Administration Information.

10. Disclose any violations of Federal criminal law involving fraud, bribery, or gratuity violations. Failure to make required disclosures can result in any of the remedies described in 2 CFR 200.338 entitled Remedies for Noncompliance, including suspension or debarment. (See also 2 CFR Part 180 and 31 U.S.C. 3321).

11. If a nonprofit or not-for-profit status, please provide evidence of this status preferably from the Internal Revenue Service.

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.

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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 the applicant must submit the full and completed application to www.grants.gov, including all required sections.

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

5. INTERGOVERNMENTAL REVIEW

An application under this Notice of Funding Opportunity is not subject to the State review under

E.O. 12372.

6. FUNDING RESTRICTIONS

The FHWA will not reimburse any pre-award costs or application preparation costs under this proposed Agreement.

7. OTHER SUBMISSION REQUIREMENTS

In the event of system problems or technical difficulties with the application submittal, The

Applicant should contact the FHWA points of contact designated on page 1. If Applicant is unable to use the system due to technical difficulties, Applicant must e-mail application to the

FHWA points of contact listed on page 1 no later than the application deadline cited above.

SECTION E - APPLICATION REVIEW INFORMATION

The Government will evaluate the Application for responsiveness to the funding opportunity announcement once the applicant has demonstrated that it meets the eligibility criteria (see Section

C).

1. EVALUATION CRITERIA

FHWA will evaluate application on the following criteria in order of importance: Technical Merit and Cost.

These criteria are distinct from eligibility criteria (see Section C) that are addressed before an application is accepted for review.

TECHNICAL MERIT: FHWA will evaluate and rank the Technical application against the following criteria in order of descending importance:

1. Demonstrated experience and ability to administer, coordinate, and promote research activities within Federal and State highway agencies.

2. Demonstrates ability to conduct reviews of the Research Technology (R&T) program as well as organizing and conducting special conferences and workshops.

3. Adequacy of professional staff of highway specialists in the task areas.

4. Adequacy of administrative resources and facilities.

5. Demonstrates ability to communicate, coordinate and cooperate with federal and state highway agencies, and deliver practical and useful research results in the task areas.

COST: Relative cost will be considered in the award decision. The budget application will be analyzed to assess cost reasonableness and conformance to applicable cost principles. This evaluation factor will not be rated.

2. DEPARTMENTAL OBJECTIVES

After applying the above preferences, the FHWA Administrator will take into account the following key Departmental objectives:

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

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

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

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

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

3. REVIEW AND SELECTION PROCESS

FHWA will utilize the following merit review process to evaluate the application under this NOFO:

A panel of agency experts will evaluate all eligible technical application using the merit criteria listed above. The panel will individually evaluate the technical application. The panel will then collectively assign an adjectival rating to the technical application using the following merit ratings:

Acceptable or Unacceptable.

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

The Government reserves the right to not make an award to an Applicant based on the results of the risk assessment.

Funding availability will also be considered in the award decision.

The AO is the official responsible for final award selection. The Government is not obligated to make any award as a result of this notice.

Risk Assessment

The Government will assess the risks posed by an Applicant before they receive an award. This

Risk Assessment will include evaluation of some or all of the following items relative to the

Applicant and/or sub-applicants as applicable:

(1) Applicant’s financial stability;

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

(3) Applicant’s history of performance;

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

Government through outside sources.

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

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

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

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

Note: The FHWA will review information provided by the Applicant, and any other relevant information known to DOT, to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the

United States to award to the Applicant and include appropriate provisions to mitigate or avoid such conflict in the Agreement pursuant to 2 CFR 200.112.

(7) Applicant’s eligibility to receive Federal funding. Per the guidelines on government-wide suspension and debarment in 2 CFR Part 180, the Government will confirmation that the

Applicant and any named sub-applicants are not debarred, suspended or otherwise excluded from or ineligible for participation in Federal programs or activities.

Pursuant to 2 CFR Part 200.205, prior to making a Federal award, the Federal awarding agency is required to review information available through any 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.” The Government’s review of this information will occur as part of the risk assessment.

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

4. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

FHWA anticipates, but does not guarantee, making an award on or about October 1, 2018.

SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION

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

1. FEDERAL AWARD NOTICES

If your organization’s application is selected for award, you will be notified and sent an award document for signature.

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

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

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

General terms, conditions, and governing regulations that apply to this Agreement are available online at: https://www.fhwa.dot.gov/cfo/contractor_recip/gtandc_generaltermsconditions.cfm

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

A. PUBLIC ACCESS TO DOCUMENTS

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

B. INDIRECT COSTS

Indirect costs are allowable under this Agreement in accordance with the Recipient’s Federally

Negotiated Indirect Cost Rates as documented in writing and approved by the Recipient’s cognizant

Government agency. In the absence of such Government-approved indirect rates, the following rates are hereby approved for use under this Agreement as shown below:

Type* Indirect Rate Period Rate (%) Base

(*** Information to be filled in at award ***) https://www.fhwa.dot.gov/cfo/contractor_recip/gtandc_generaltermsconditions.cfm

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

De minimus.

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

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

C. DATA RIGHTS

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

D. PERSONALLY IDENTIFIABLE INFORMATION (PII)

Personally Identifiable Information (PII) as defined at CFR Part 200.79 and 2 CFR 200.82 will not be requested unless necessary and only with prior written approval of the AO with concurrence from the Agreement Officer’s Representative (AOR).

E. AVAILABLE FUNDING

The total estimated amount of Federal funding that may be provided under this Agreement is $230 million for the entire period of performance, subject to the limitations shown below:

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

Agreement.

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

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

F. KEY PERSONNEL

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

Name Title/Position

TBD Principal Investigator (PI)

TBD Program Manager (PM)

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

G. PROGRAM INCOME

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

H. SUBAWARDS

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

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

The following subawards are currently approved under the Agreement:

Name

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

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

I. ORDER OF PRECEDENCE

The Recipient's technical and budget applications are accepted, approved, and incorporated herein as Attachments A and B. In the event of any conflict between this Agreement document and the

Recipient's proposal and/or application, this Agreement document shall prevail.

J. DESIGNATION AS RESEARCH OR NON-RESEARCH AGREEMENT

This Agreement is designated as: RESEARCH

K. CONFERENCE SUPPORT RESTRICTIONS

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

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

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

L. AGREEMENT PERFORMANCE REQUIREMENTS SUMMARY

Not Applicable.

M. DISPUTES

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

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

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

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

Management. Following the review, the Director, Office of Acquisition and Grants Management, will resolve the issues and notify the parties in writing. Such resolution is not subject to further administrative review and to the extent permitted by law, will be final and binding. Nothing in this

Agreement is intended to prevent the parties from pursuing disputes in a United States Federal

Court of competent jurisdiction.

N. CLOSEOUT OF AGREEMENT FILE

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

O. ANNUAL BUDGET REVIEW AND PROGRAM PLAN

The Recipient will submit an electronic copy of the Annual Budget Review and Program Plan to the

AOR and one electronic copy to the Agreement Specialist 60 days prior to the anniversary date of this agreement. The Annual Budget Review and Program Plan will provide a detailed schedule of activities, estimate of specific performance objectives,…