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Assistance Agreement

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
6 Period of Performance
60 months
7. Total Amount
Government Share
Recipient Share
Total Value:
$8,550,000
$2,137,500
$10,687,500
8. Type of Agreement
Cooperative Agreement
9. Authority
23 USC 502
10. Procurement Request No.
50-53-6140 Amd #
11. Funds Obligated
$2,577,600
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
        
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
“Advancement of Concrete Pavement Technology through Research, Technology Transfer, and Innovation and Increased Product Knowledge”

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

Table Of Contents

SECTION I - AGREEMENT DESCRIPTION

SECTION II - AWARD INFORMATION

SECTION III - AWARD ADMINISTRATION INFORMATION

Attachments

  1. TECHNICAL APPLICATION
  2. APPROVED PROJECT BUDGET

SECTION I — AGREEMENT DESCRIPTION

A. STATEMENT OF PURPOSE

This cooperative agreement is to support the Advancement of Concrete Pavement Technology through Research, Technology Transfer, and Innovation and Increased Product Knowledge.

B. LEGISLATIVE AUTHORITY

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."

C. BACKGROUND

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.

D. OBJECTIVES

This agreement shall meet the followings objectives:

  1. Identify needs related to concrete pavement materials design, testing, control, and analysis methods and conduct research that addresses these needs. This objective will be accomplished through a research program that includes academic discovery laboratory and field based testing and data collection, analysis and modeling, and field demonstration projects.
  2. Develop new laboratory testing procedures and tools, innovative equipment and enhancements to existing equipment that will provide close real time data for process control and acceptance.
  3. Support advancement of a coordinated national research agenda with the primary focus of the ISU, CP Tech Center on the following major themes, which are outlined as follows:
    1. Mix Analysis: This theme consists of understanding how to design and field control concrete mixes to ensure workability and intended performance.
    2. Surface Characteristics: This theme consists of obtaining fundamental knowledge to optimize the characteristics of pavement surfaces around the optimal application need. This includes noise, smoothness, friction, spray, visibility, and other factors.
    3. Construction Equipment and Process Innovation: This theme consists of bringing real time data to the contractor for process control and to the Agency for acceptance.
    4. Long Life Pavements: This theme consists of developing a fundamental knowledge of the pavement, base, and subgrade system and developing approaches that will extend the performance of concrete pavements.
    5. Concrete Overlays: This theme consists of developing design methods, material and construction needs, two-lift paving construction process, and optimizing properties for varying performance requirements.

    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.

  4. Implement technology transfer and outreach activities on resulting concrete materials research, development, testing, and partnership opportunities. These include joint efforts with Federal, State, and local governments, university, and private sector on related projects. Particular focus should be placed on deployment of innovative tools and methods. Technology transfer may consist of, but is not limited to: technical presentations and workshops, brochures and pamphlets to disseminate literature on information within the scope of the research, partnerships with Federal, State, and local governments, university, and private sector to discuss research projects and activities, and to maintain a strong program of partnership.

E. STATEMENT OF WORK

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.

E.1 WORK PLANS

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:

  1. Work Plan number;
  2. Title of work;
  3. Description of the project with a complete work plan. The plan, submitted by ISU, CP TECH CENTER to the FHWA will describe the specific activity to be undertaken, its objectives, measurements to be made, timeframes, completion date, evaluations, and interim and final reporting requirements;
  4. Detailed cost estimate for performance of the work plan including direct labor, indirect costs, other direct costs (travel, supplies, equipment, etc.), subaward costs and detailed cost sharing information;
  5. Name, address, and business telephone number of ISU, CP TECH CENTER's Principal Investigator;
  6. Signatures of the authorized representatives of ISU, CP TECH CENTER and the FHWA Agreement Officer indicating assignment and acceptance of the project undertaking.

The Recipient may only incur cost in support of Approved Work Plans.

E.2. FINAL REPORT

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.

  1. Electronic documents with images
    Provide a text equivalent for every non-text element (including photographs, charts and equations) in all publications prepared in electronic format. Use descriptions such as "alt" and "longdesc" for all non-text images or place them in element content. For all documents prepared, vendors must prepare one standard HTML format as described in this statement of work AND one text format that includes descriptions for all non-text images. " Text equivalent" means text sufficient to reasonably describe the image. Images that are merely decorative require only a very brief "text equivalent" description. However, images that convey information that is important to the content of the report require text sufficient to reasonably describe that image and its purpose within the context of the report.
  2. Electronic documents with complex charts or data tables
    When preparing tables that are heavily designed, prepare adequate alternate information so that assistive technologies can read them out. Identify row and column headers for data tables. Provide the information in a non-linear form. Markups shall be used to associate data cells and header cells for data tables that have two or more logical levels of row and column headers.
  3. Electronic documents with forms
    When electronic forms are designed to be completed on-line, the form shall allow people using assistive technology to access the information, field elements, and functionality required for completion and submission of the form, including all directions and cues.

SECTION II — AWARD INFORMATION

A. OBLIGATED FUNDING

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:

  1. Currently, Federal funds in the amount of $2,577,600 are obligated to this agreement.
  2. Subject to availability of funds, and an executed document by the Agreement Officer (AO), $5,972,400 may be obligated to this agreement.

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:

SECTION III — AWARD ADMINISTRATION INFORMATION

A. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. GOVERNING REGULATIONS

Performance under this cooperative agreement shall be governed by and in compliance with the following regulations applicable to Educational Institutions:

2. RESPONSIBILITIES OF THE RECIPIENT

The Recipient shall provide overall program management. Specifically, the Recipient shall be responsible for the following, as a minimum:

3. TRAVEL AND PER DIEM

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.

4. AMENDMENTS

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.

5. AGREEMENT OFFICER'S TECHNICAL REPRESENTATIVE (AOTR)

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.

6. OBLIGATION CEILING RATIO

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.

8. DATA RIGHTS

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

9. PAYMENTS

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."

11. SITE VISITS

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.

12. TERMINATION AND SUSPENSION

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.

13. BUDGET REVISION/REALLOCATION OF AMOUNTS

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.

14. FINANCIAL MANAGEMENT SYSTEM

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.

15. ALLOWABILITY OF COSTS

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.

16. CENTRAL CONTRACT REGISTRY (CCR)

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.

17. KEY PERSONNEL

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

18. PROGRAM INCOME

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.

19. SUBAWARDS

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.

20. DEBARMENT AND SUSPENSION REQUIREMENTS

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 ).

21. DRUG FREE WORKPLACE

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).

B. REPORTING

1. 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 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

2. QUARTERLY PROGRESS REPORT

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:

  1. A clear and complete account of the work performed each quarter.
  2. An outline of the work to be accomplished during the next report period.
  3. A description of any problem encountered or anticipated that will affect the completion of the work within the time and fiscal constraints as set forth in the cooperative agreement, together with recommended solutions to such problems; or, a statement that no problems were encountered.
  4. A section addressing how the results of the work performed supports one or more of the FHWA and Department of Transportation (DOT) strategic goals of safety, mobility, global connectivity, environmental stewardship, security, and organizational excellence.
  5. A tabulation of the current and cumulative costs expended by quarter versus budgeted costs.
  6. SF269 or SF269A, Financial Status Report.
  7. If advance payments are used, SF272, Report of Federal Cash Transactions.

3. ANNUAL BUDGET REVIEW AND PROGRAM PLAN

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.

4. DELIVERABLES

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

5. ORDER OF PRECEDENCE

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.

6. ATTACHMENTS


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