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| 1. Award No. DTFH61-06-H-00011 |
2. Effective Date | 3. CFDA No. 20.200 | |
| 4. Awarded To Iowa State University 1138 Pearson Hall Ames, Iowa 50001 DUNS No. 005309844 TIN No. 42-6000224 |
5. Sponsoring Office Federal Highway Administration Office of Acquisition Management 400 Seventh Street, S.W. Room 4410 Washington, DC 20590 |
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| 6 Period of Performance 60 months |
7. Total Amount | ||
| Government Share Recipient Share Total Value: |
$8,550,000 $2,137,500 $10,687,500 |
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| 8. Type of Agreement Cooperative Agreement |
9. Authority 23 USC 502 |
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| 10. Procurement Request No. 50-53-6140 Amd # |
11. Funds Obligated $2,577,600 |
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| 12. Submit Payment Requests To Federal Highway Administration Office of Acquisition Management, HAAM 40F 400 Seventh Street, S.W., Room 4410 Washington, DC 20590 |
13. Payment Office FHWA Accounts Payable HABF-24 |
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| 14. Accounting and Appropriation Data 15X0R71H50-0000-050LY30500-5001000000-25305-61006600 |
Total Obligated | $2,577,600 | |
| $2,577,600 | |||
15. Research Title and/or Description of Project |
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| Iowa State University | Federal Highway Administration | ||
| 16 Signature of Person Authorized to Sign | 17. Signature of Agreement Officer | ||
| Signature Name: Title |
Date | Signature Arian Finfrock Agreement Officer |
Date |
SECTION I - AGREEMENT DESCRIPTION
SECTION II - AWARD INFORMATION
SECTION III - AWARD ADMINISTRATION INFORMATION
Attachments
This cooperative agreement is to support the Advancement of Concrete Pavement Technology through Research, Technology Transfer, and Innovation and Increased Product Knowledge.
Special Project 72 in SAFETEA-LU under Title I: Federal-Aid Highways, Section 1934 states that Iowa State University, National Center for Portland Cement Concrete Pavement Technology will be allocated an amount of $10,000,000. The authority to transfer funds is found in SAFETEA-LU, Section 1108, Transfer of Highway and Transit Funds. Per Section 1108 paragraph (k)(3)(A), where "…the Secretary may, at the request of a State, transfer funds apportioned or allocated under this title to the State to another State or to the Federal Highway Administration, for the purpose of funding one or more projects that are eligible for assistance with funds so apportioned or allocated."
(Note: The amount authorized in the legislation is subject to FHWA's obligation limitation process. See Section II for funding estimate for this project.)
The authority to award this cooperative agreement is found in 23 U.S.C. 502, Subsections (a)(3)(C). The Iowa State University, National Concrete Pavement Technology Center hereafter referred to as ISU, CP TECH CENTER and the Federal Highway Administration, hereafter referred to as the FHWA have agreed to this Cooperative Agreement for the "advancement of concrete pavement technology through conducting research, implementing technology transfer, and fostering innovation and increased product knowledge."
The FHWA Office of Pavement Technology has an ongoing program to develop and transfer new technologies related to improved concrete pavement performance. A constant problem in pavement design and construction has been the inability to relate pavement performance to its component material and mixture properties. New tests to better evaluate and predict the performance of concrete pavement enhance construction, and material control are needed.
The two parties to the Cooperative Agreement are ISU, CP TECH CENTER and FHWA. These two organizations have an interest in facilitating States' support of the advancing concrete pavement technology through conducting research, implementing technology transfer, and fostering innovation and increased product knowledge.
This agreement shall meet the followings objectives:
These major themes will be accomplished through various methods including, but not limited to, academic discovery, laboratory and field based testing and data collection, analysis and modeling, and field demonstration projects.
The recipient shall furnish the necessary facilities, materials and personnel to conduct projects as described in approved Work Plans, (in compliance with the above objectives) to be issued under this Cooperative Agreement. During the period of this Agreement, the FHWA and ISU, CP TECH CENTER shall meet periodically, at a minimum on an annual basis, to propose and evaluate projects in support of the Agreement. The activities under this Agreement will be of such a nature that their development and implementation will enhance the use of concrete pavement materials and the performance of concrete pavement systems with the ultimate goal of providing a more cost effective highway transportation system. Activities shall be those of a mutual interest to the FHWA and ISU, CP TECH CENTER such that in addition to the FHWA funds provided, ISU, CP TECH CENTER will devote a significant level (minimum of 20% of total agreement cost) of matching resources. These projects and activities shall be initiated in the format of Work Plans described below.
To accomplish the objectives of this Cooperative Agreement, the Recipient shall propose Work Plans to FHWA.
FHWA will authorize individual projects under the Agreement through Approved Work Plans. Each Approved Work Plan will include written documentation, which incorporates the specific Agreement of the parties concerning individual projects. Each Approved Work Plan will specify the type and amount of assistance, which will be provided by the FHWA, Office of Pavement Technology and the work and goals to be accomplished by ISU, CP TECH CENTER. Each Work Plan document shall contain, but is not limited to, the following:
The Recipient may only incur cost in support of Approved Work Plans.
The Recipient shall submit a comprehensive report of the activities conducted under the Agreement. The Recipient shall submit a Draft Final Report 60 days prior to the Agreement expiration data. Within 30 days after receipt of the Draft Final Report, FHWA will provide comments on the report. The Recipient shall incorporate the Government comments and submit a Revised Final Report by the Agreement expiration date.
Section 508
Note: Section 508 Compliance will be defined in each individual work plan.
All electronic documents prepared under this agreement must meet the requirements of Section 508 of the Rehabilitation Act of 1973, as amended. The act requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments. View Section 508 of the Rehabilitation Act (http://www.access-board.gov/508/508standards.htm - PART 1194) and the Federal IT Accessibility Initiative Home Page (http://section508.gov) for detailed information. The following paragraphs summarize the requirements for preparing FHWA reports in conformance with Section 508 for eventual posting by FHWA to an FHWA-sponsored website.
The total not‑to‑exceed amount of Federal funding that may be provided under this cooperative agreement is $8,550,000 for the entire period of performance, subject to the limitations shown below:
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.
B. COST SHARING OR MATCHING
The Recipient shall provide a minimum of a 20% non-federal matching contribution to the total cost of the Agreement. The applicant's 20% match requirement can be met through direct financial contribution or through "in-kind" services. Please note that the 20% match is required for the entire agreement and not for each individual work plan/project.
Total Value of the required cost share over 5 years is $2,137,500.
Note: Refer to the Payment information contained under Section III for additional information regarding the level of detail required for cost share on requests for reimbursement.
It is agreed that at any time or times the Government shall have the right to examine the Recipient's records for the purpose of determining compliance with this requirement. To this end, the Recipient shall establish and maintain records of the cost-sharing costs and the in-kind services comprising the agreed-upon cost sharing. If the Government determines that the Recipient has failed to comply with the agreed-upon cost share requirement, or with any portion of the cost share requirement, then the Government may deduct the dollar amount of the cost-sharing shortfall or shortfalls from the cost-reimbursement payments, or may require the Recipient to tender a cash payment or payments to raise its share to the agreed-upon cost sharing amount.
If after the end of the period of performance of this Agreement, the Government determines that the Recipient has not fulfilled its cost-sharing obligations, then the Government shall have the right to recover from the Recipient the amount of any shortfall or shortfalls. The Government may elect to receive a one-time payment or schedule a plan of payments for the recoupment of any shortfall or shortfalls.
C. PERIOD OF PERFORMANCE
The period of performance of this Cooperative Agreement is 60 months, commencing on the effective date stated on Page 1 of this agreement. Work Plans may be issued up to the final day of this agreement and the agreement will remain in force to allow for completion of all work orders issued. However, no new Work Orders shall be issued after the final day of the agreement. The period of performance for a specific Work Order will be determined prior to the effective date of that Work Order.
D. DEGREE OF FEDERAL INVOLVEMENT
FHWA anticipates substantial Federal involvement between FHWA and the Recipient during the course of this project. FHWA anticipates the Federal involvement will include:
Performance under this cooperative agreement shall be governed by and in compliance with the following regulations applicable to Educational Institutions:
The Recipient shall provide overall program management. Specifically, the Recipient shall be responsible for the following, as a minimum:
Travel and per diem authorized under this cooperative agreement shall be reimbursed in accordance with Federal Travel Regulations in effect at the time of travel. In addition, all non-domestic travel shall be approved by the AO prior to incurring costs. Travel requirements under this cooperative agreement shall be met using the most economical form of transportation available. If economy class transportation is not available, the request for payment vouchers must be submitted with justification for use of higher class travel indicating dates, times, and flight numbers.
Amendments to this cooperative agreement may only be made in writing, signed by both parties for bilateral actions and by the AO for unilateral actions, and specifically referred to as an amendment to this agreement.
The AO has designated Gina Ahlstrom as Technical Representative to assist in monitoring the work under this agreement. The AOTR will oversee the technical administration of this agreement and act as technical liaison with the performing organization. The AOTR is not authorized to change the scope of work or specifications as stated in the agreement, to make any commitments or otherwise obligate the Government or authorize any changes which affect the agreement funding, delivery schedule, period of performance or other terms or conditions.
The AO is the only individual who can legally commit or obligate the Government for the expenditure of public funds. The technical administration of this agreement shall not be construed to authorize the revision of the terms and conditions of performance. The AO shall authorize any such revision in writing.
Pursuant to section 1102 (f) of SAFETEA-LU, the FHWA is required to annually redistribute a portion of allocated program authorization. Funds available for subsequent years of this agreement shall be adjusted for each fiscal year, which may increase or decrease the total estimated cost.
Indirect costs are allowable under this agreement as follows:
Indirect Rate Type |
Rate (%) |
Base |
|---|---|---|
Facilities and Administration (F&A) |
47% (on-campus) 26% (off-campus) |
All direct costs except equipment >$5K and each subcontractor's cost > $25K |
In the event the recipient determines the need to adjust the above listed rates, the recipient shall notify the FHWA 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 Agreement Officer.
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 amount of federal funds obligated to this agreement.
The Recipient shall make available to the Government copies of all work developed in performance with this cooperative agreement, including but not limited to software and data. The Government and others acting on its behalf shall have unlimited rights to obtain, reproduce, publish or otherwise use the data developed in the performance of this cooperative agreement pursuant to 49 CFR Part 19.36.PAYMENT
The Recipient may request advances or reimbursement of costs incurred in the performance hereof as are allowable under the applicable cost provisions [see 49 CFR Part 19.27 and 2 CFR Part 215] not‑to‑exceed the funds currently available as stated in this cooperative agreement. The Recipient shall submit an original and two copies of the SF 270, Request for Advance or Reimbursement, no more frequently than monthly, to the AO address, and one additional copy to the AOTR address.
Advance Payments: Recipients may be paid in advance, provided they maintain or demonstrate the willingness to maintain the following in accordance with 49 CFR Part 19: (1) written procedures that minimize the time elapsing between the transfer of funds and disbursement by the Recipient, and (2) financial management systems that meet the standards for fund control and accountability. When these items are not met, reimbursement will be the method for payment.
Payments by Reimbursement: When requesting reimbursement of costs incurred, the Recipient shall submit supporting cost detail with the SF 270 to clearly document costs incurred. Cost detail includes a detailed breakout of all costs incurred including salaries, benefits, supplies, subcontractors, other direct costs, travel, cost share etc.
The Agreement Specialist and the AO reserve the right to withhold processing requests for reimbursement until sufficient detail is received. In addition, reimbursement will not be made without AOTR review and approval to ensure that progress on the Agreement is sufficient to substantiate payment. After AOTR approval, the Agreement Specialist will certify and forward the advance or request for reimbursement to the payment office. Note: Standard Forms may be located at http://fhwa.dot.gov/aaa/hamhome.htm. 10. ACKNOWLEDGEMENT OF SUPPORT AND DISCLAIMER
An acknowledgment of FHWA support and a disclaimer must appear in any publication of any material, whether copyrighted or not, based on or developed under the cooperative agreement, in the following terms:
"This material is based upon work supported by the Federal Highway Administration under cooperative agreement No. DTFH61-06-H-00011."
All materials must also contain the following:
"Any opinions, findings, and conclusions or recommendations expressed in this publication are those of the Author(s) and do not necessarily reflect the view of the Federal Highway Administration."
The Federal Government, through its authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control systems and to provide such technical assistance as may be required. If any site visit is made by the Federal Government on the premises of the Performing Organization or a subrecipient under this cooperative agreement, the Performing Organization shall provide and shall require their subrecipients to provide all reasonable facilities and assistance for the safety and convenience of the Government representative in the performance of their duties. All site visits and evaluations shall be performed in such a manner as will not unduly delay work.
The Government may terminate this agreement in whole or in part, upon providing written notification to the Recipient, if the AO determines that a Recipient has failed to comply with the technical or administrative terms and conditions of the award.
The Recipient is required to report deviations from budget and program plans, and request prior approval for budget and program plan revisions in accordance with 49 CFR Part 19.25.
Note: The Recipient must obtain prior written approval from the AO to transfer amounts budgeted for direct cost categories when the cumulative value of such transfers will exceed 10% of the value of Federal share of this agreement. When requesting such approval, a letter request suffices.
By signing this agreement, the Recipient verifies that it has, or will implement, a financial management system adequate for monitoring the accumulation of costs and that it complies with the financial management system requirements of 49 CFR Part 19. The Recipient's failure to comply with these requirements may result in agreement termination.
Determination of allowable costs will be made in accordance with the applicable Federal cost principles, e.g., Non-Profit Organizations-2 CFR Part 230; Educational Institutions- 2 CFR Part 220.
The Recipient must be registered in the CCR in order to receive payments under this agreement. Use of the CCR is to provide one location for applicants and Recipients to change information about their organization and enter information on where government payments should be made. The registry will enable Recipients to make a change in one place and one time for all Federal agencies to use. Information for registering in the CCR and online documents can be found at www.ccr.gov.
The Recipient shall request prior written approval from the AO for any change in key personnel. Key personnel under this agreement include:
Tom Cackler - Director Sharon Prochnow — Program Coordinator
Program Income earned during the project period shall be retained by the Recipient and added to funds committed to the project by the Federal-awarding agency and used to further eligible project or program objectives.
Unless described in the application and funded in the approved award, the Recipient shall obtain prior written approval from the AO for the subrecipient, transfer, or contracting out of any work under this award. This provision does not apply to the purchase of supplies, material, equipment, or general support services.
The Recipient shall comply with Subpart C of 49 CFR Part 29, Government Debarment and Suspension (Nonprocurement). Further, the Recipient shall flow down this requirement to applicable subawards by including a similar term or condition in lower-tier covered transactions. See 49 CFR Part 29 for details of the requirement. (Note: 49 CFR Part 29 is available online at http://www.dot.gov/ost/m60/grant/regs.htm ).
The Recipient shall comply with Subpart B of 49 CFR Part 32, Governmentwide Requirements for Drug-Free Workplace (Financial Assistance). See 49 CFR Part 32 for details of the requirement. (Note: 49 CFR Part 32 is available online at http://www.dot.gov/ost/m60/grant/regs.htm).
The Recipient shall submit all required reports and documents, under transmittal letter referencing the cooperative agreement number, as follows:
Submit one hard copy to the Agreement Specialist at the following address:
Federal Highway Administration Office of Acquisition Management 400 Seventh Street, SW, Room 4410 Washington, DC 20590
Attention: Aimee Drewry, HAAM-40F
Submit two hard copies and one electronic copy to the AOTR at the following address:
Federal Highway Administration Office of Acquisition Management 400 Seventh Street, SW, Room 3416 Washington, DC 20590
Attention: Gina Ahlstrom, HIPT-20
The Recipient shall submit two copies and one electronic copy of the quarterly progress report to the AOTR and one copy to the Agreement Specialist on or before the 30th of the month following the calendar quarter being reported. Calendar quarters are as follows: (1) January-March; (2) April-June; (3) July-September; and (4) October-December. Each report shall contain concise statements covering the research activities relevant to the study, including:
The Recipient shall submit two copies and one electronic copy of the Annual Budget Review and Program Plan to the AOTR and one copy to the Agreement Specialist 60 days prior to the end of each agreement year. The Annual Budget Review and Program Plan shall provide a detailed schedule of activities, estimate of specific performance objectives, include forecasted expenditures, and schedule of milestones for the upcoming agreement year. If there are no proposed deviations from the attached Approved Project Budget, the Annual Budget Review shall contain a statement stating such. The Recipient will meet with FHWA to discuss the Annual Budget Review and Program Plan. Work proposed under the Annual Budget Review and Program Plan shall not commence until AO written approval is received.
Project and activity deliverables will be defined in each individual Work Plan. The following deliverables apply to the entire Cooperative Agreement.
| Deliverable | Due Date |
|---|---|
| Draft Final Report | 60 days prior to Agreement expiration date |
| Revised Final Report | By Agreement expiration date |
The Recipient's technical and budget application dated April 17, 2006 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.
