RA 693JK324RA0001 Notice.doc

Pipeline Safety Research and Development (R&D)

Research Announcement # 693JK324RA0001

1. Introduction/Background

Through this Research Announcement (RA), the Office of Pipeline Safety, at the Pipeline and Hazardous Materials Safety Administration (PHMSA), a U.S. Department of Transportation agency, solicits applications for research projects awarded and funded as Other Transaction Agreements (OTAs).

A comprehensive administrative and technical review will be conducted to determine the merits of the proposals and their relevance to the topic areas of focus. All proposals will be evaluated using only the materials provided in each proposal.

All research topics require resource sharing. For research topics developing technology, the mandatory minimum cost share is 50% from non-federal sources. For research topics developing knowledge, the mandatory minimum cost share is 20% from non-federal sources. Firm letters of commitment for resource sharing should be provided with the proposals. Proposals that do not contain all commitment letters will not be awarded.

A Technical Advisory Panel (TAP) is required for all awarded projects. The TAP will be utilized to make technical recommendations to PHMSA about project execution. Project work scope and results must be tailored toward U.S. regulations and policy on pipeline safety.

The TAP must be comprised of at least two to three pipeline/facility operators, having assets relevant to the proposed project scope, which must be fully identified in submitted proposals. The TAP can also include subject matter experts and other organizations as appropriate. Specifically addressing research quality, the TAP will also include a minimum of two representatives from academia. These academic TAP members will adhere to a Non-Disclosure Agreement/Conflict of Interest requirement with signature asserting that they will not publicly share any project deliberations. In addition, the TAP members must be contractually independent from working on any related subject matters with PHMSA regulated companies. They must have the requisite education background related to the project subject matter. They will participate throughout the project execution along with the full TAP, but most importantly, review the draft final report and supply any technical comments for the research project principal investigator to address in the final reporting. The submitted comments based on the academic review will be submitted to PHMSA as a deliverable to document the requirement. Research project award recipients will format their Non-Disclosure Agreement/Conflict of Interest form utilizing the footnoted definition and pledge that TAP members will not publicly share any project deliberations. TAP member Non-Disclosure Agreement/Conflict of Interest signed forms will be submitted to PHMSA to document this requirement.

Fourteen specific research topics addressing key PHMSA priorities for safety were derived from the following two research forums:

1. The 2023 Pipeline Research & Development (R&D) Forum 2.

The 2022 Liquefied Natural Gas (LNG) R&D Public Meeting and Forum With proposal development, it is highly recommended to review the available materials from these events as they pertain to the technical needs of each topic. It is also recommended to partner with as many entities necessary to support successful proposal objective(s) attainment.

Solicited research topics can be found in (RA #693JK324RA0001 Attachment #7 Research Topics).

2. Submission Details

PHMSA intends to make multiple awards from this RA. Projects resulting from this RA will be awarded on a fixed-price schedule. Payment for the fixed- price cost of tasks at a project item level will only be made upon completion of project items. These payments will only be made on a quarterly basis. PHMSA will not make payments on incomplete items/tasks.

PHMSA reserves the right to fund all, some, or none of the proposals submitted in response to this research announcement. PHMSA will not reimburse for any proposal development costs. All proposals will be treated as sensitive, competitive information and their contents will be used for evaluation and award purposes only.

Submission of a proposal in response of this RA indicates acceptance of the terms and conditions of this RA (RA #693JK324RA0001 Attachment #8 Terms and Conditions).

3. Eligibility Information

Any responsible source (excluding foreign entities, federal, state, and local governments) may submit proposals for consideration. Eligible entities include, but are not limited to, universities or institutions of higher education, hospitals, non-profit organizations, private individuals, corporations, and businesses or commercial organizations. All offerors must be registered in the Federal Government’s System for Award Management (SAM) prior to submitting a proposal (www.sam.gov).

Small Disadvantaged (SD), Service-Disabled Veteran-Owned Small Business Concerns, Veteran-Owned (VO), Woman-Owned (WO), Economically Disadvantaged Women-Owned, and Historically Underutilized Business Zone (HUBZone) Small Business Concerns, Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs) are encouraged to submit White Papers on their own and/or in collaboration with others.

However, no portion of this RA will be set aside or reserved exclusively for any of the groups identified above.

4. Evaluation Criteria

Evaluation of the proposals will be based on the following criteria and weighed equally:

1. Understanding the Challenge(s)

· How well does the proposal state the solicited challenge and illustrate how the proposed solution resolves it?

2. Comprehensive Project Design

· Are proposed tasks and work scope well defined and support solicited objective(s)?

· Does the project team expertise, including any subcontractors, support solicited objective(s)?

· Are the proposal timeline and costs appropriate to deliver as proposed and solicited?

· Are there sufficient facilities or test beds, data or testing samples available to support the project?

3. Collaboration & Technology Transfer

· How well does the proposal identify and incorporate end users of the results into the work scope?

· How appropriate is the technology and or knowledge transfer plan?

5. Proposal Format

Proposals should be direct, concise, and must not exceed a total of 20 single sided pages, which does not include the Title Page (page #i), Public Summary Page (page #ii) and Appendix A & B. Proposals should use Plain Language

The Merit Review Panel (MRP) uses the first 20 pages to complete their evaluation. The project team expertise should be summarized within the proposal body and the resumes should be included as Appendix A to the proposal. The proposal shall be typed, double-spaced, using 12-point font and printed on 8 ½” by 11” paper, with 1” margins on all sides. Tables/graphs may use a smaller font. Appendix B is reserved to describe any other related proposals that the researcher may have also used to apply to other funding opportunities. Proposals that do not meet these format specifications may be removed from the review.

The “Proposal Attachments” will not be included within the proposal body file and should be separate files for each attachment. The Proposal Attachments are identified in Section (7) and included with RA #693JK324RA0001.

The proposal shall include a technical discussion in the format specified below:

5.1. Title Page

The title page must include the Project Title and Solicitation #693JK323RA0001, the Vendor - Name/Address, and the Principal Investigator - Name/Address/Phone/email.

5.2. Public Summary Page

The public summary page must provide concise information in these four categories Title: Insert the project title Project Description: Insert the project main objective

Anticipated Results: Insert the anticipated results or outputs that may be realized by the project Potential Impact on Safety: Insert the potential impact on safety that the anticipated results may realize

5.3. Body of the Proposal

The body of the proposal must include concise comprehensive information and technical details for the MRP to complete a thorough technical review. A proposal must provide detailed information under each section and sub section to assist the MRP in the evaluation process. The MRP seeks to understand and corroborate as possible that a proposal is proposing a convincing case. A successful proposal overall demonstrates how it can realistically achieve the stated objective(s). The MRP must be convinced that the project team and the included facilities/resources will be applied through a comprehensive work scope that is inclusive of end users of the project results and has a realistic path to technology or knowledge transfer.

1. Understanding the Challenge(s)

1.1. How well does the proposal state the solicited challenge and illustrate how the proposed solution resolves it?

Example: The solicited topic provides background on the challenge and objective(s) for the research project. The MRP evaluates how well the information provided is relevant to incidents, regulations and standards and drivers for the research coming from the U.S. Congress, National Transportation Safety Board, and the Administration, etc.

2. Comprehensive Project Design

2.1. Are proposed tasks and work scope well defined and support solicited objective(s)?

Example: The solicited topic states actions and technical issues and content to be addressed within a plan to achieve desired results. The MRP evaluates how well the project scope is structured into logical tasks that specifically address the information provided in the solicited topic.

2.2. Does the project team expertise, including any subcontractors, support solicited objective(s)?

Example: The MRP evaluates how well the project team structure (including subcontractors) and expertise is matched to the project scope that they will be executing. The proposal should describe in summary the credentials, capabilities, and experience of the organization(s) and key personnel. Identify key investigators, subcontractors, consultants, and personnel and provide a brief description of their background and technical expertise. Describe prior experience in managing successfully relevant projects of similar type, size, and complexity. Full resumes can be included in Appendix A.

2.3. Are the proposal timeline and costs appropriate to deliver as proposed and solicited?

Example: The MRP evaluates how well the proposed timeline and costs support the stated objective(s). Project timeline cannot exceed 36 months and should follow the suggested delivery timeline noted in the solicited topic. A key question for the MRP is to understand whether the proposed timeline is an appropriate match to the scope and costs in support of a successful outcome. Project costs/budget must illustrate the Federal and non-Federal levels per task within the project scope. Travel budget items must be directly related to the performance of the project work. The budget should reflect the best terms from a cost and technical standpoint to perform the work.

2.4. Are there sufficient facilities or test beds, data or testing samples available to support the project?

Example: The MRP evaluates the total included logistics and resources as part of the plan within the project tasks that support the stated objective(s). The proposal should describe the capabilities of the research facility available for performing the project. Indicate liaison or cooperative work arrangements, if any, with other government agencies, research organizations, or potential product users. Describe the equipment, materials, test samples, data and facilities that will be used during the project and the availability of these items.

3. Collaboration & Technology Transfer

3.1. How well does the proposal identify and incorporate end users of the results into the work scope?

Example: The MRP evaluates the level of and interaction of end users cited to be involved in the project scope or TAP. End users are individuals or organizations that possess the ability to immediately utilize the project results for the betterment of safety and or protection of the environment. A key question for the MRP is to understand why such end users are involved and how their involvement enables a greater chance of success.

3.2. How appropriate is the technology and or knowledge transfer plan?

Example: The MRP evaluates the plan within the proposal that illustrates what steps will be taken for technology and or knowledge transfer. For technology transfer, how has incorporation of subcontractors, end users or service providers into the project helped support commercialization into the market? Will the planning of involved demonstrations into the work scope increase technology transfer? What other steps may be taken after project completion to further support technology transfer? For knowledge transfer, how has incorporation of end users such as standards developing organizations into the project helped support this idea? What steps will be taken to disseminate research results and proliferate knowledge transfer? A project may have both a technology and knowledge transfer plan.

5.4. Appendix A – Resumes

Full resumes can be included in Appendix A of the proposal file.

5.5. Appendix B – Other Related Proposals

Provide information on other proposals in the same area or related technical areas that have been prepared and submitted by the investigator(s) to other agencies or other programs; any that are planned to be submitted in the current year; or any that have been funded previously. Indicate “not applicable” if no such awards or proposals have been received or submitted.

6. Additional Information on Proposed Budget Complete the Budget Summary Sheet, (Attachment 4), which gives a summary of the budget proposal and provides information showing how the requested funds will be used. This shall be included in the “Appendix” section of your proposal.

Additional budgetary information, broken out as described in subparagraphs a. through l. below, should be provided that identifies the estimated costs for the project with detailed information on each cost element, consistent with the proposer's cost accounting system. The amounts requested should be justified in each category or, as appropriate, on a budget explanation page immediately following the budget proposal. Travel budget items must be directly related to the performance of the project work. The investigator should include potential travel to project briefings at DOT sponsored meetings. The budget should reflect the proposer’s best terms from a cost and technical standpoint to perform the work.

Any in-kind cost-share must be detailed to the same degree as costs. Budget items may include the following areas:

a. Personnel: List all personnel and hours to be funded and the respective compensation rates (salary, wages, and fringe benefits). In support of the proposed personnel costs, provide a supplemental schedule that identifies the labor hours, labor rates, and cost by labor classification. Indicate the basis of the labor classification, number of hours, and labor rates. An example of the basis for the labor classification and number of hours could be past experience--engineering estimate, etc. An example of the basis for the labor rates could be actual rates for the individuals who will perform the work or an average labor rate for the labor classification or a departmental average rate.

b. Indirect Costs: If your budget estimate includes indirect costs, please attach a copy of your approved indirect cost rate agreement along with your proposal. If your entity does not have an approved indirect cost rate agreement, please include a statement to that effect in your budget request.

c. Supplies/Materials: Provide an itemized list of all supplies/materials. Include individual costs for each and the basis for estimating the cost; for example, vendor quotes, catalog prices, prior invoices, etc.

d. Equipment: PHMSA will not fund the purchase of equipment for projects funded in this research announcement.

e. Construction: PHMSA will not fund construction costs for projects funded under this research announcement.

f. Other Direct Costs: Provide an itemized list with costs for any other item proposed as a direct cost that are not included in other categories. State the basis for each proposed item. For travel, address the type and duration of travel and its relation to the project.

g. Consultants: List the names of consultants and describe the activities to be performed, duration of the service, and the compensation involved. Provide the hourly or daily rate along with the basis for the rate. Furnish resumes or similar information regarding qualifications or experience. Provide at least two invoices reflecting hourly or daily rates charged to customers other than the Government. A statement signed by the consultant certifying his or her availability and salary must be provided. If travel or incidental expenses are to be charged, give the basis and breakdown for these costs. The total cost of consultants and/or subcontractors must not exceed 50% of proposed amount of Federal contribution to project.

h. Subcontractors: Provide the total cost per year for each subcontractor. Detail s of subcontractor’s costs should appear in the subcontractor’s budget explanation. The budget explanation for subcontractors must be to the same level of detail provided for the overall budget. Total cost of consultants and/or subcontractors must not exceed 50% of proposed amount of Federal contribution to project.

i. Accounting System: Provide a copy of the most recent approval (audit report) of the organization/corporation accounting system. Ensure the approving organization is identified.

j. Fee/Profit: No fee or profit should be proposed. This is a resource sharing arrangement.

k. Resource Sharing, In House Contributions, and Joint Ventures: Your cost application must show the breakout between Federal and non-Federal sources. The non-federal share may include cash, personnel, services, equipment, and other resources. All resource sharing or matching contributions, including cash and third-party contributions shall meet the following:

(1) Are verifiable from the recipient's records,

(2) Are necessary and reasonable for proper and efficient accomplishment of project or program objectives,

(3) Are not included as contributions for any other federally assisted project or program,

(4) Are allowable and allocable under the applicable cost principles,

(5) Are not paid by the Federal Government under another award, except where authorized by Federal statute to be used for resource sharing or matching resource sharing includes cash contributions or in-kind payments.

Only cash or cash expenditures tied to technology development activities will be allowed (such as the costs associated with preparing a test bed for a demonstration, the donation of samples and test apparatus usage or the third party In-Kind contribution of vendor/service provider time/materials, etc.).

PHMSA will not accept previously funded Federal research as a form of resource sharing.

Resource sharing letters of commitment must be provided with the proposal package; however, resource sharing arrangements need not be finalized when the proposal is submitted. Specific arrangements, if proposed, must be completed if the project is approved for award and before an award is made.

l. Unallowable Resource Sharing: Previous work funded by the Federal Government under another award may not be used, either in whole or in part, towards the resource sharing or matching contribution by the offeror. Any work that has been used as cost-share for other Federal Government projects is also unallowable.

7 Deliverable Milestone Schedule

Items: Minimize the number of items in a quarterly period. Create higher level groupings of project items. For example, if the completion of three items were necessary before but related to a field test then wrap those items all into the “Field Test” as a primary item occurring in a quarter. You must include the required quarterly report as an item in every quarter and where you can describe all the items that occurred with and including the “Field Test”. Project Team activities can further describe your Items in more steps and detail. Items should be numbered in an overall order 1 through however many needed to complete the project.

Costs: The costs, both Federal and Resource sharing of Items (where applicable) in each quarter are Fixed Price. This means that the summation of the Federal Items in a quarter must equal the Quarterly Payable Milestone for PHMSA. This also means that applicants must consider how they want their cash flow to be executed through all quarters in a project. This is especially important on Items that continue through multiple quarters. Successful applicants will only be paid on completed Items that are well documented in the Quarterly Report.

8 Final Virtual De-Brief Presentation & Publication of Project Results

All awardees must agree to participate with these two activities at zero Federal cost. These activities can qualify for cost sharing up to a level of $2,000 and included as appropriate.

1. The project team will virtually present the project results to a web-based meeting “De-Brief Presentation” that PHMSA will organize and announce. This event is designed for dissemination of results already accepted by PHMSA.

2. Project results must be submitted and presented to at least one public conference/workshop/forum or published periodical/magazine, to disseminate information and to provide further peer review of your work.

Include these items in the “Other” section of the milestone deliverable schedule.

6. Proposal Attachments (Not included in the proposal and each as individual submitted files)

· Letters of Co-Funding Commitment(s)

· Audit Reports (Accounting System Approval)

· Team Project Activities, Attachment #1

· Project Deliverables, Attachment #2

· Technical and Deliverable Milestone Schedule, Attachment #3

· Budget Summary, Attachment #4

· Additional Information, Attachment #5

· Standard Title VI Non-Discrimination Assurances, Attachment #6 Please submit the proposal and all associated appendix attachments as one pdf document.

A Full Proposal Package is defined as the proposal that includes Appendix A&B and the Proposal Attachments. No award will be made if any of the above documents are missing from the Full Proposal Package. Please submit the proposal and the proposal attachments in pdf format except for Attachment #3 “Technical and Deliverable Milestone Schedule” as an editable Excel document.

The procedure for submitting a proposal is as follows:

1) Prior to submitting a proposal package, each organization must first complete an online registration form to access PHMSA’s Pipeline Safety R&D Management Information System. More information can be found at URL https://primis.phmsa.dot.gov/matrix/RfpInfo.rdm?rfp=99 . Credentials from past registration will still be valid. For questions or concerns with the registration or application of the website, please submit an email to rd-support@dot.gov .

2) Only electronic submissions will be accepted. Additional instructions regarding the preparation and electronic submission of proposals along with individual questions and answers are available on the website above. Proposals must be uploaded by 5:00 PM EST, Friday, June 14, 2024.

Any questions are to be directed to the PHMSA Acquisition Services Division as listed in this solicitation. Any questions on solicitation content, issues, or procedures must be submitted via email to Stephen Jones at Stephen.Jones@dot.gov no later than 5:00 PM EST, Wednesday, May 15, 2024. The research announcement number (693JK324RA0001) must be included in the subject line. Responses to questions submitted on time will be posted publicly on SAM.gov within two (2) business days after questions deadline, 5:00PM EST, Friday, May 17, 2024.

� PHMSA defines “conflicts of interest” as a current direct project specific leadership interest that conflicts with the service of an individual on the TAP. A TAP member’s company can financially support an individual or organization directly or indirectly through a trade organization. However, you are in conflict if you represent the primary leadership overseeing the technical performance of that individual or organization involved in the research project you are attempting to serve as a TAP member. Group oversight is acceptable but chair of that group would be unacceptable.

� www.plainlanguage.gov

� Please see PHMSA’s recent Report to Congress https://primis.phmsa.dot.gov/rd/docspr/PHMSA%20Report%20to%20Congress%20-%20Pipeline%20Safety%20R&D%20Biennial%20Update%20Report%20FY19-20.pdf