PKG00261767-instructions.pdf

Notice of Funding Opportunity Number 693JJ320NF00001 “Phase II – SHRP 2 Safety Data Implementation and Oversight”

Notice of Funding Opportunity Issue Date: 05/19/2020

Application Due Date: 06/30/2020

Estimated Award Date: 09/30/2020

NOFO 693JJ320NF00001

TABLE OF CONTENTS

SECTION TITLE PAGE

A

PROGRAM DESCRIPTION

B

FEDERAL AWARD INFORMATION

C

ELIGIBILITY INFORMATION

D

APPLICATION SUBMISSION INFORMATION

E

APPLICATION REVIEW INFORMATION

F

FEDERAL AWARD ADMINISTRATION INFORMATION

G

FEDERAL AWARDING AGENCY CONTACT(S)

The Federal Highway Administration (FHWA) is using www.Grants.gov for issuance of this Notice of Funding Opportunity (NOFO) and for receipt of all applications. Applicants must register and use the system 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.

http://www.grants.gov/

SUMMARY

Funding Opportunity Summary: Set-aside award to Virginia Polytechnic Institute and State University Transportation Institute to continue to maintain the repository of the SHRP 2 Safety Data to enable access and use by researchers during the agreement period and beyond.

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

Funding Opportunity Title: “Phase II – SHRP 2 Safety Data Implementation and Oversight”

Eligibility: Eligibility for this funding opportunity is limited to Virginia Polytechnic Institute and State University Transportation Institute.

Announcement Type: This announcement is a follow-on to Cooperative Agreement No.

DTFH6114H00017 to TRB entitled “Phase I of SHRP 2 Safety Data Implementation and Oversight.”

Funding Opportunity Number: 693JJ320NF00001

Type of Award: Cooperative Agreement

Catalog of Federal Domestic Assistance (CDFA) Number:

20.200

Application Due Date: Submission Deadline by 5:00 pm ET on 6/30/2020 via Grants.gov (see Section D).

Questions: Submit Questions by email to: Sarah.Tarpgaard@dot.gov mailto:Sarah.Tarpgaard@dot.gov

SECTION A – PROGRAM DESCRIPTION

1. STATEMENT OF PURPOSE

The purpose of this cooperative agreement is to provide financial and technical support for the Phase II operation and management of the Second Strategic Highway Research Program (SHRP

2) Naturalistic Driving Study (NDS) data and SHRP 2 Roadway Information Database (RID) – together referred to herein as the SHRP 2 Safety Data. Under this agreement, the Recipient, Virginia Polytechnic Institute and State University Transportation Institute (VTTI), shall continue to maintain the repository of the SHRP 2 Safety Data to enable access and use by researchers during the agreement period and beyond.

2. LEGISLATIVE AUTHORITY

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

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

(A) independently;

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

(C) by making grants to, or entering into contracts and cooperative agreements with one or more of the following: 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 funding for this effort is authorized in the Moving Ahead for Progress in the 21st Century Act (MAP-21) (Public Law 112-141) and extensions, Sec. 51001(a)(2) [for TIDP] and Sec.

52005(3) [for SP&R funds]. The authorization to use those funds for SHRP 2 implementation is in 23 U.S.C. 503(c)(2)(C) and 23 U.S.C. 505(c). As provided in 23 U.S.C. 502(c)(3)(A), the cost of activities carried out under a cooperative research and development agreement under U.S.C.

Chapter 5 are subject to a 20 percent non-Federal match requirement.

3. BACKGROUND

The SHRP 2 was authorized by Congress under the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA- LU), Section 5210 (Public Law 109-59) to address highly pressing needs related to the Nation’s highway system, including the reduction of highway deaths and injuries.

The SHRP 2 Safety Data – which includes the world’s largest Naturalistic Driving Study (NDS) database – were collected and made available to the research community by Spring 2015. To prepare for the management of such a large database, FHWA, the American Association of State Highway and Transportation Officials (AASHTO), and the Transportation Research Board (TRB) a division of the National Academy of Sciences, signed a Memorandum of Understanding (MOU) dated June 26, 2014, to provide a framework for the conduct of implementation and oversight of the SHRP 2 Safety Data for an initial Phase I period.

Following the MOU, on August 4, 2014, FHWA awarded Cooperative Agreement No.

DTFH6114H00017 to TRB to fund “Phase I of SHRP 2 Safety Data Implementation and Oversight.” The objective of the Phase I agreement was to make SHRP 2 Safety Data available to qualified users during the Phase I timeframe, and to gain experience that could support decisions about implementation and oversight of these data in a transition to Phase II. Under the Phase I agreement, TRB entered into a subagreement with VTTI for Phase I data management and data access activities. The subagreement to VTTI to maintain the repository of the SHRP 2 Safety Data. The FHWA has identified the need to continue the maintenance of the repository of the SHRP 2 Safety Data to enable continued access and use by researchers in the future.

4. OBJECTIVES

The objectives of this agreement are: (1) to maintain operation and management of the SHRP 2 Safety Data by allowing a seamless transition from Phase I to Phase II activities, thereby assuring the SHRP 2 Safety Data remain available for research to benefit the public; and (2) to support activities such as automated data annotation that will improve the process for researchers to develop their analysis data sets from the SHRP 2 Safety Data provided by VTTI, and data de-identification that will allow data to be accessible outside a secure data enclave.

5. STATEMENT OF WORK

Under the agreement, the Recipient shall perform the following activities to meet the objectives of the award:

• Operate and maintain the SHRP 2 Safety Data;

• Manage and administer requests for Data Use Licenses;

• Maintain the middleware and other data management tools that streamline access to the data for data requestors;

• Identify and implement improvements and enhancements to SHRP 2 data;

• Support student-based competitions (may be subject to Secretarial approval) in coordination with FHWA in a wide field of transportation subjects;

• Conduct outreach on the value of SHRP 2 Safety Data to prospective users in a wide field of transportation subjects;

• Develop a sustainment plan for the SHRP 2 Safety Data after the term of the agreement, to include sustainment of supporting data management tools such as Insight and Dataverse; and

• As authorized by the Agreement Officer (AO) under Task 6, support data annotation and de-identification activities by 1) coordinating with FHWA and its contractors or other third parties identified by FHWA or VTTI that have developed annotation or de-identification algorithms capable of running on the entire SHRP 2 NDS data set, and 2) running these algorithms over the entire data set to produce annotated and/or de-identified data.

DELINEATION OF TASKS

Task 1 – Develop and Execute Annual Work Plans for Phase II

The Recipient shall form a stakeholder group composed of representatives of AASHTO, TRB, FHWA, and VTTI. The objective of the stakeholder group is to review and discuss Phase II activities. Within 60 days of the award effective date, the Recipient shall provide stakeholders with a Work Plan describing how funds will be applied towards Phase II execution. This Work Plan will be a living document and continue to be updated by the Recipient annually.

Task 2 – Manage and Improve the SHRP 2 Safety Data Hosting Environment

The Recipient shall manage and maintain all SHRP 2 Safety Data, including the Naturalistic Driving Study Data, the Roadway Information Database, Dataverse, and InSight. The Recipient shall manage requests for Data Use Licenses. The Recipient shall report on the number and nature of the requests to the stakeholder committee, on a half-year basis.

The Recipient shall maintain the middleware and other data management tools that streamline access to the data for data requestors. The Recipient, as necessary, shall make computer hardware and software upgrades and report these procurements to the stakeholder group.

Task 3 – Marketing and Communications via Webinars

The Recipient shall consult with the stakeholder group regarding a communications strategy to provide the research community with information via Webinars on activities pursued under this agreement, and to explain the value of SHRP 2 Safety Data to prospective users in a wide field of transportation subjects – not limited to Highway Safety. The Recipient shall market (via InSight email list), conduct, record, and post these Webinars on InSight.

Task 4 - Support Student Competitions*

The Recipient shall facilitate student-based competitions to further promote the availability and use of the SHRP 2 Safety Data. The areas of focus should extend beyond Highway Safety. The purpose is to increase engagement with these data — a new data type for highway researchers not only in Highway Safety, but Operations and Planning as well. The student-based competitions shall be organized in concert with FHWA to create new products and tools based on the SHRP 2 Safety Data.

Winners of these events would be invited to present at a poster session at the International Symposium on Naturalistic Driving Research in Blacksburg, Virginia, and/or the TRB Annual Meeting in Washington, District of Columbia. Travel reimbursement would be the award type along with registration for the event, and inclusion in a poster session to highlight their work.

The Recipient shall support and guide prospective student competitors through prioritized Data Use License reviews. Note: *Competitions may be subject to Secretarial approval.

Task 5 - Develop and Maintain list of Enhancements to SHRP 2 Safety Data

The Recipient shall develop a list of possible improvements and enhancements to the SHRP 2 Safety Data. The list will include items identified (but not approved) during Phase I, datasets free of identifying or original data to be developed with FHWA tools and collaborators, as well as additional improvements recommended by the research community. This list shall be incorporated into the annual Work Plan along with those activities selected for implementation.

Implement improvements and enhancements to SHRP 2 data based on approval from the AO and in coordination with the stakeholders.

Task 6 - Support Data Annotation and Enhancements to Data Access

NOTE: The Recipient shall perform Task 6 activities based on written authorization to proceed from the AO. Costs to perform Task 6 activities shall not exceed the designated Task 6 value of $420,000 (Federal and non-Federal share).

As authorized by the AO, the Recipient shall support enhancement to data access. The Recipient shall support data annotation and FHWA-sponsored de-identification activities by 1) coordinating with FHWA and its contractors or other third parties identified by FHWA or VTTI that have developed data annotation or de-identification algorithms capable of running on the entire SHRP 2 NDS data set, and 2) facilitating FHWA and its contractors in running these algorithms over the entire data set to produce annotated and/or de-identified data that will make data access less cumbersome, and data processing and analyses a less resource intensive task.

Task 7 – Post Phase II Planning

The Recipient shall, in coordination with the stakeholder group, develop a draft and final plan for long-term (e.g., 10 years following completion of this agreement) sustainment of existing tools, such as InSight and Dataverse, as well as the original SHRP 2 Safety Data.

TABLE OF DELIVERABLES

Task Deliverable Due Date Section 508

Compliant?

1 Work Plan. 60 days after effective date of award

No

1 Annual Work Plan Update.

Annually No

2 Report on the number and nature of Data Use Licenses requests.

Every 6 months No

2 Report on computer hardware and software upgrade procurements.

As needed No

3 Deliver Webinars.

4 Documentation to support student competitions.

5 List of Enhancements to SHRP 2 Safety Data – incorporate into Annual Work Plan Update under Task 1.

Annually No

6 TBD as authorized by AO within scope of Task 6. TBD No

7 Draft Plan for long-term sustainment. 18 months after effective date of award

No

7 Final Plan for long-term sustainment. 30 months after effective date of award

No

Task Deliverable Due Date Section 508 Compliant?

N/A Annual Budget Review and Program Plan. Note:

See NOFO Section F.2.O.

Annually No

N/A Quarterly Progress Reports, including a Federal Financial Report. Note: See NOFO Section F.3.

Quarterly No

Note: Section 508 requirements are included in the General Terms and Conditions available online at: http://www.fhwa.dot.gov/aaa/generaltermsconditions.cfm.

<end of section> http://www.fhwa.dot.gov/aaa/generaltermsconditions.cfm

SECTION B – FEDERAL AWARD INFORMATION

1. FUNDING

The total estimated value of this cooperative agreement is $4,200,000 (which consists of a Federal share of $2,100,000 and a non-Federal share of $2,100,000), to be expended over a 3-year period of performance, subject to the availability of Federal funds.

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

2. NUMBER/TYPE OF ASSISTANCE INSTRUMENT

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

3. PERIOD OF PERFORMANCE

The period of performance is 3 years from the effective date of award.

4. DEGREE OF FEDERAL INVOLVEMENT

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

• Technical assistance and guidance to the Recipient;

• Close monitoring of performance;

• Involvement in technical decisions;

• Participation in status meetings including a kick-off meeting and annual technical and budget reviews; and

• Review and comment on draft documents as appropriate.

SECTION C – ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

This is a set-aside requirement with application eligibility limited to the Recipient, Virginia Polytechnic Institute and State University Transportation Institute.

2. COST SHARING OR MATCHING

Cost sharing or matching is requirement under this agreement. The Recipient shall provide 50 percent of the project cost in non-Federal share to support of the agreement activities.

Note: Program income must be handled in accordance with SECTION F.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

The Applicant must complete and submit all forms included in the application package for this notice as contained at www.Grants.gov.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

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

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

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

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

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

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

• Resumes are limited to one page each.

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

a. Document covers;

b. Cover letters;

c. Title pages;

d. Divider pages;

e. Tables of contents;

f. Lists of acronyms;

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

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

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

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

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

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

resumes are not included in the page limitation and may be an Attachment to Volume I)

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

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

• Part I – Application Forms

• Part II – Cost Information and Other Financial Information

Submit your application in the following format:

Volume 1 - Technical Application

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

a. Part I – TECHNICAL APPROACH:

Provide a detailed description of the technical plan of how the Recipient would proceed if awarded this agreement.

b. Part II – STAFFING AND MANAGEMENT APPROACH:

• Provide a project organizational chart identifying proposed staff members assigned to the project. The chart must be supported with narrative text to include the title and a brief description of each position’s responsibilities, as well as the proposed level of effort and allocation of time (percent in relation to their other duties) for each position on a yearly basis and in summary format. The level of effort may be displayed (single spaced) in a table format.

One table can be presented if the level of effort will be constant over-all years, and the table is annotated as such. The hours in this table must be consistent with the information presented in Volume II, Parts I and II, as part of the detailed budget plan.

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

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

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

Volume 2 - Budget Application

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

a. Part I APPLICATION FORMS

1. SF424

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

2. SF424A

Note: Section A:

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

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

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

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

3. SF424B

4. SFLLL

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

b. Part II – COST INFORMATION AND OTHER FINANCIAL INFORMATION

Provide a separate detailed budget table for EACH year; and a summary table for ALL years. Clearly show Federal share; non-Federal share; and Total.

In addition, provide a separate detailed budget table for EACH year delineated to show costs by Task for Tasks 1-7; and a summary table for ALL years showing total costs by Task for Tasks 1-7. Clearly show Federal share; non-Federal share; and Total. NOTE: Budget to perform Task 6 activities is designated as a total value of $420,000 (Federal and non-Federal share). For budgeting purposes, estimate the value of Task 6 distributed evenly across all 3 years.

Spreadsheets can be formatted similarly to the format in DOT Form 4220.44, located at: http://www.fhwa.dot.gov/aaa/pdfs/frm4220_44.pdf.

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 and Total Costs (per year and in summary form) as follows:

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

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

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

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

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

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

i. Name and address of the organization or consultant.

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

iii. Cost details for that portion of work.

iv. Applicant’s cost/price analysis of each sub-

Recipient/contractor(s) showing how their price is fair and reasonable (this includes any sub- Recipient/contractor(s) that will be included in the Federal share or the non- Federal share); and

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

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

vii. Clearly delineate cost share 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 AO will review the statement(s) and may require additional relevant information from the Applicant. All such information, and any other relevant information known to DOT, will be used to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, AO may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the

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

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

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

Briefly explain the circumstances in each instance.

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

9. The Applicant is directed to review Title 2 CFR §170 (http://www.ecfr.gov/cgi-bin/text- idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr170_main_02.tpl) dated September 14, 2010, and Appendix A thereto, and acknowledge in its application that it understands the requirement, has the necessary processes and systems in place, and is prepared to fully comply with the reporting described in the term if it receives funding resulting from this notice. The text of Appendix A will be incorporated in the award document as a General Term and Condition as referenced under this notice’s Section F, Federal Award Administration Information.

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

3321).

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

12. Acknowledgement of acceptance of the NOFO terms and acknowledgement and acceptance of any Amendments issued to this NOFO. List Amendment numbers and issue dates, if any.

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

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 NOFO.

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

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

5. INTERGOVERNMENTAL REVIEW

An application under this NOFO is not subject to the State review under E.O. 12372.

6. FUNDING RESTRICTIONS

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

7. OTHER SUBMISSION REQUIREMENTS

In the event of system problems or technical difficulties with the application submittal, Applicants should contact the FHWA point of contact (POC) designated in NOFO Section G. If Applicants are unable to use the system due to technical difficulties, Applicants must e-mail their complete application to FHWA POC no later than the application deadline cited above.

SECTION E - APPLICATION REVIEW INFORMATION

1. EVALUATION CRITERIA

The Government will evaluate applications on the following criteria:

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

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

Funding availability will also be considered in the award decision.

2. DEPARTMENTAL OBJECTIVES

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

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

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

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

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

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

3. REVIEW AND SELECTION PROCESS

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

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

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

The Government reserves the right to not make an award to the Applicant based on the results of the risk assessment. The AO is the official responsible for final award selection. The

Government is not obligated to make any award as a result of this notice.

Risk Assessment

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

(1) Applicant’s financial stability;

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

(3) Applicant’s history of performance;

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

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

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

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

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

Note: The FHWA will review information provided by the Applicant, and any other relevant information known to DOT, to determine whether an award to the Applicant may create an actual or potential conflict of interest. If any such conflict of interest is found to exist, the AO may (a) disqualify the Applicant, or (b) determine that it is otherwise in the best interest of the United States to award to the Applicant and include appropriate provisions to mitigate or avoid such conflict in the agreement pursuant to 2 CFR 200.112.

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

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

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

4. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

The FHWA anticipates, but does not guarantee, making an award on or about 09/30/2020.

SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION

NOTE to Applicant: The following are award terms that will be included in the award resulting from this NOFO.

1. FEDERAL AWARD NOTICES

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

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

GOVERNING REGULATIONS

Performance under this agreement will be governed by and in compliance with the following regulations:

• 2 CFR Part 200, "Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards" as adopted by DOT at 2 CFR Part 1201.

• Cost Principles For-profit Organizations: 48 CFR 31 (Federal Acquisition Regulations) Subpart 31.2

• 23 U.S.C. and 23 CFR.

• Applicable Federal laws, rules, and regulations also apply.

The following link contains online General Terms and Conditions that are incorporated into this award by reference.

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

SPECIAL TERMS AND CONDITIONS:

A. PUBLIC ACCESS TO DOCUMENTS

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

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

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 ***)

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

or De minimus.

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

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

C. DATA RIGHTS

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

D. PERSONALLY IDENTIFIABLE INFORMATION (PII)

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

E. AVAILABLE FUNDING

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

(1) Currently, $_____ (to be filled in at award) are obligated to this agreement.

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

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

F. KEY PERSONNEL

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

Name Title/Position TBD Principal Investigator TBD Program Manager

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

G. PROGRAM INCOME

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

H. SUBAWARDS

Note: See 2 CFR §200.330, Subrecipient and contractor determinations, for definitions of subrecipient (who is awarded a subaward) versus contractor (who is awarded a contract).

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 above the Simplified Acquisition Threshold. This provision does not apply to the acquisition of supplies, material, equipment, or general support services.

Approval of each subaward or contract is contingent upon the Recipient’s submittal of a written fair and reasonable price determination, and approval by the AO for each proposed contractor/sub-recipient. Consent to enter into subawards or contracts will be issued through written notification from the AO or a formal amendment to the Agreement.

The following subawards and contracts are currently approved under the Agreement by the AO.

This list does not include supplies, material, equipment, or general support services which are exempt from the pre-approval requirements of this clause.

Name (*** to be filled in at award or by amendment***)

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

I. ORDER OF PRECEDENCE

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

J. DESIGNATION AS RESEARCH OR NON-RESEARCH AGREEMENT

This agreement is designated as: RESEARCH AND DEVELOPMENT

K. CONFERENCE SUPPORT RESTRICTIONS

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

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

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

L. AGREEMENT PERFORMANCE REQUIREMENTS SUMMARY

Not Applicable.

M. DISPUTES

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

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

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

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

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

N. CLOSEOUT OF AGREEMENT FILE

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

O. ANNUAL BUDGET REVIEW AND PROGRAM PLAN

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

P. TRAVEL

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

3. REPORTING

ADDRESSES FOR SUBMITTAL OF REPORTS AND DOCUMENTS

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

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

Sarah.Tarpgaard@dot.gov.

Submit an electronic copy to the AOR at the following address: Charles.Fay@dot.gov.

QUARTERLY PROGRESS REPORT

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

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

1st: January – March April 30th 2nd: April – June July 30th 3rd: July – September October 30th 4th: October – December January 30th mailto:Sarah.Tarpgaard@dot.gov.

mailto:Charles.Fay@dot.gov.

Quarterly Progress Reports shall include the following.

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

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

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

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

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

6. Projected total cost-to-complete.

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

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

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

http://www.fema.gov/media-library/assets/documents/29485 http://www.fema.gov/media-library/assets/documents/29485 https://www.fhwa.dot.gov/cfo/contractor_recip/grant_agreement_form.cfm

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

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