United States Department of Transportation
Federal Aviation Administration
Grants for Aviation Research
www.its.tc.faa.gov/logistics/grants
Program Solicitation No. 97.2
TABLE OF CONTENTS
FAA MISSION
CUSTOMER SERVICE STANDARDS
CHAPTER I.
FAA RESEARCH GRANTS PROGRAM
Authorizing
Grants Legislation
Technical Areas of Research
Eligibility
CHAPTER II.
PREPARATION OF PROPOSALS
The
Proposal
Cost
Sharing
Who
May Submit
When
to Submit
Where
to Submit
What
to Submit
Proposal
Forms
CHAPTER III.
PROPOSAL PROCESSING AND REVIEW
Evaluation
Criteria
Eligible
Proposals
Revisions
to Proposals
Declined
Proposals
Withdrawal
CHAPTER IV.
GRANT SPONSORSHIP/FUNDING
CHAPTER V.
GRANT AWARD AND ADMINISTRATION
Types
of Grants
Grant
Award
Grant
Extensions
Grant
Administration
Grant
Closeout
CHAPTER VI.
AIR TRANSPORTATION CENTERS OF EXCELLENCE
GLOSSARY
APPENDIX
Proposal
Forms
FAA
MISSION
The Federal Aviation Administration (FAA) provides
a safe, secure, and efficient global aviation system that contributes to
national security and the promotion of U.S. aviation. As the leading authority in the international aviation community,
we are responsive to the dynamic nature of customer needs, economic conditions,
and environmental concerns.
In compliance with the National Performance Review
initiated by Vice President Gore, our organization and members of other
organizations within the Department of Transportation, which administer
research grants, have made a commitment to excellence by identifying customer
needs and setting customer service standards.
CUSTOMER SERVICE STANDARDS
In response to our customer's major areas of
concern we have implemented the following customer service standards:
·
WHEN YOU CALL US WITH A QUESTION ABOUT AVIATION RESEARCH
GRANTS, YOU WILL GET A RESPONSE NO LATER THAN THE CLOSE OF THE NEXT BUSINESS
DAY.
·
TO PROVIDE YOU WITH MORE OPPORTUNITIES TO LEARN OF
AVAILABLE AVIATION RESEARCH GRANT FUNDING, WE WILL POST NOTICES OF OUR
SOLICITATIONS IN THE FEDERAL INFORMATION EXCHANGE (FEDIX) AND THE INTERNET.
·
WE WILL HELP YOU ACCESS FAA's TECHNICAL EXPERTISE
DURING YOUR RESEARCH.
·
WE WILL EXHIBIT OUR TRUST BY NOT MICROMANAGING YOUR
RESEARCH GRANTS.
·
WE WILL REQUIRE TECHNICAL PROGRESS REPORTS ON
AVIATION
RESEARCH
GRANTS NO MORE FREQUENTLY THAN SEMIANNUALLY.
·
WE WILL REDUCE YOUR PAPERWORK BURDEN WHEN APPLYING
FOR AN AVIATION RESEARCH GRANT BY REQUIRING CERTIFICATIONS ONLY ONCE PER
SOLICITATION.
·
WE WILL EXAMINE OUR PROCESS CONTINUALLY WITH INPUT
FROM YOU, OUR CUSTOMERS, FOR CONTINUED IMPROVEMENTS.
CHAPTER I. THE FEDERAL
AVIATION
ADMINISTRATION (FAA) RESEARCH GRANTS PROGRAM
The FAA is soliciting proposals for research grants
and cooperative agreements to pursue the long-term growth and short-term
technical needs of civil aviation.
Authorizing Grants Legislation
The FAA is authorized to award grants and
cooperative agreements under the following legislation: Section 9205, Aviation Research Grant
Program, and Section 9208, Catastrophic Failure Prevention Research Program, of
the Federal Aviation Administration, Research, Engineering, and Development
Authorization Act of 1990 (Public Law (P.L.) 101-508), and under Section 107 of
the Aviation Security Improvement Act of 1990 (P.L. 101-604)
Technical Areas of Research
The FAA Research Grants Program encourages and
supports innovative, advanced research of potential benefit to the long-term
growth of civil aviation and Commercial Space Transportation. The pursuit of basic and applied research in
scientific and engineering disciplines that have the potential to further
knowledge and understanding on a broad front of emerging technologies is
crucial to the realization of this goal.
The intent is to encourage applied research and development to enhance
technology assimilation, transfer, and development in the FAA. The FAA Research Grants Program does not
require the immediate application to Research, Engineering, and Development
(R,E&D) programs, although this may occur in some cases. The agency encourages the submission of proposals
that embrace the entire spectrum of physical, chemical, biological, medical,
psychological, mathematical, and engineering sciences.
The authorizing legislation that supports the
Aviation Research Grants Programs covers three general categories: a) areas deemed by the Administrator to be
required for the long-term growth of civil aviation; b) areas related to
research on the prevention of catastrophic failures; and c) areas related to
research, development, and implementation of technologies and procedures to
counteract terrorist acts against civil aviation. These specific areas of interest may be found within the broad
program areas identified in the FAA R,E&D Plan, which comprises the
agency's research and development initiatives.
These areas, which contribute to the FAA mission of improving aviation
safety, capacity, efficiency, and security, are:
1. Capacity and Air Traffic Control Technology
2. Communications, Navigation, and Surveillance
3. Aviation Weather
4. Airports
5. Aircraft Safety Technology
6. System Security Technology
7. Human Factors and Aviation Medicine
8. Environment and Energy
9. Systems Science/Operations Research
10.
Commercial Space Transportation
The following more detailed descriptions of these program
areas illustrate topics of interest to those who may consider applying for a
grant.
1. Capacity and Air Traffic Control
Technology. This area represents
the FAA's effort to improve the capacity of the airspace while maintaining high
safety standards. The primary goal is
to increase the capacity and use of airspace and airport resources in a safe
manner through automation of enroute and terminal air traffic control (ATC) and
flow management. Successful
implementation of the results of this research will reduce delays and enable as
many aircraft as possible to operate on their preferred flight
trajectories. Major areas of interest
include research in advanced cockpit technologies and the development of
automation tools for ATC in enroute and terminal airspace, and on the airport
surface.
2. Communications, Navigation, and
Surveillance. The principal
initiatives of these areas are the development, standardization, and
application of equipment required for air traffic services. The FAA’s goals are to exploit emerging
technologies in order to provide cost-effective services and equipment, that
have high levels of reliability, availability, and coverage. In particular, satellite based applications are
paramount for the continuing modernization of the National Airspace System.
3. Aviation Weather. Weather is, and will continue to be, a
critical factor in all flight operations.
Inclement weather is the single largest contributor to delays and a
major factor in aircraft accidents and incidents. Weather service users encompass the entire spectrum of the
aviation community, from general aviation to large air transport
operators. An overall system is required
that includes the acquisition of a wide variety of weather data, analysis, and
forecasting based on ATC and pilot needs.
The key is the ability of the system to quickly and efficiently
communicate appropriate weather data to the controller and the pilot. Activities in the weather area include
airborne windshear detection equipment, hazardous weather cell detection and
warning, and improved forecasting of winds, turbulence, etc., to support air
traffic management automation.
4. Airports. Agency efforts in this area target a multiplicity of issues
comprising the physical and environmental aspects of airports. Efforts in airport standards and guidelines
address the design, construction, operation, and maintenance of airports. Specific considerations are: airport layout
and geometrics; pavements, terminal buildings, and heliports; fire fighting and
rescue equipment; runway friction; snow and ice control; surface lighting and
visual guidance aids; bird and wildlife control; runway surface contamination
detection and removal; and environmental impacts of aircraft operations. Landside capacity is also addressed through
such considerations as highway systems, pedestrian systems, parking, and mass
transit access.
5. Aircraft Safety Technology. One of the primary responsibilities of the
FAA is to provide safety and regulatory oversight in the certification,
manufacture, maintenance and operation of U.S. civil aircraft. Changes in technology, aircraft fleet
composition, and aircraft operational profiles along with increased commercial traffic
result in corresponding needs for new or updated safety enhancements and
requirements. The research goal in the
Aircraft Safety Technology Program is to develop and transfer of new
technologies that can provide needed safety enhancements and establish minimum
safety requirements. These technologies,
in turn, can be applied to improving safety standards that govern civil
aircraft airworthiness and operational performance. Major safety research activities include: fire research and safety, structural
safety/advanced materials, propulsion systems research, flight
safety/structural safety/advanced materials, propulsion systems research,
flight/atmospheric hazards, aging aircraft
(structural integrity; maintenance and inspection), aircraft catastrophic
failure prevention, and aviation safety risk analysis.
6. System Security Technology. International terrorism makes it imperative
for the FAA to identify and develop the advanced technologies that can be
applied to practical security systems.
The goal is to improve security without unreasonable increases in cost
or inconvenience to passengers. The
focus of FAA initiatives in this area is to develop systems that deter or
prevent hijacking and sabotage against civil aviation. The continued emphasis of the R,E&D
program has been on the development of capabilities to prevent the introduction
of explosives and weapons onto aircraft.
This effort encompasses research in the areas of sensors, image
processing, nuclear, X-ray, chemical instrumentation, physical security
technologies for airports and FAA facilities, aircraft hardening, and human
factors as well as systems integration.
7. Human Factors and Aviation Medicine. Research in this area also leads to
standards and recommendations for crew and passenger protective equipment and procedures,
and identifies crew and passenger limitations that may jeopardize the safety of
the occupants and the aircraft. Areas
of research include human tolerance and behavior under decelerative stresses,
hypoxia, visual degradation, and various medicinal and non-medicinal chemicals;
occupant behavior is evaluated under both secondary and emergency evacuation
conditions.
8. Environment and Energy. This area represents the FAA's efforts to
improve regulatory standards for sources of air and noise pollution, and to
develop better technologies for predicting, measuring, and abating the
environmental impact of emissions.
Projects in this area support national goals to protect the environment
and keep the transportation industry strong and competitive. R,E&D goals are technology improvements
that address environmental and regulatory issues such as noise abatement,
aircraft pollution, and improved certification of clean, quiet, fuel efficient
aircraft.
9. Systems Science/Operations Research. The importance of Systems Science and
Operations Research to the National Airspace System has come to be magnified in
recent years. The macroscopic tools of
mathematical modeling, simulation, decision support systems and prototyping, as
well as optimization, are playing a greater role in research related to the
National Airspace System. In some
cases, this will involve new paradigms implemented as novel algorithms and
software packages. In other cases,
innovative computational platforms and architectures may emerge as major
contributors. The goal of research in
all facets of this technical area is common: the improvement of the safety,
security, capacity, and efficiency of the National Airspace System.
10. Commercial Space Transportation. The primary responsibility of the Office of
the Associate Administrator for Commercial Space Transportation (AST) is to
regulate commercial launch activities in order to protect the public health,
safety of property, and national security and foreign policy interests of the
United States. The U.S. commercial
space transportation industry is growing and becoming more diverse. The industry includes both small and large
companies launching traditional Expendable Launch Vehicles (ELVs) as well as
newly developed reentry vehicles and air-launched rockets. Presently, the industry is developing
Reusable Launch Vehicles (RLVs) that have the potential to become the primary
launch vehicles for the 21st century.
The safety of these new launch vehicles (expendable, reusable, air and
sea launch systems) are bringing a host of issues to the forefront that must be
addressed. Some of the major issues the
commercial space industry and Government policy makers must deal with as the
industry develops during the rest of this decade and into the next century are:
o The viability of new U.S. and foreign
vehicle technologies;
o safety and orbital debris problems as new
satellite constellations are deployed;
o international liability for joint
U.S./foreign launch service providers;
o coordination of reusable launch vehicle
operations within the air traffic control system; and,
o innovative means of leveraging private
investment into improvements in launch vehicles and facilities.
Research that supports the planning and implementation
of results that address the growing needs of this evolving industry will
greatly assist in improving launch capacity, reduce operating costs and improve
the international competitiveness of the industry.
Eligibility
The eligibility of applicants for the award of a
research grant varies depending upon the nature of the proposer's organization
as well as the character of work one proposes to perform. In general, colleges (including 2 year),
universities, and other non-profit research institutions are eligible to
qualify for research grants in all specified areas. Under Section 107 of
P.L. 101-604 other appropriate
research institutions, i.e., for-profit organizations, and governmental
entities may qualify to perform research in aviation security. FAA is seeking to ensure an equitable
geographic distribution of grant funds and the inclusion of Historically Black
Colleges and Universities (HBCU's), Hispanic Serving Institutions (HSIs), and
other minority institutions for funding consideration.
CHAPTER II. PREPARATION
OF PROPOSALS
The FAA welcomes submission of proposals that
support fields of science, engineering, aviation medicine, and human factors
with potential relevance to the long-term growth of civil aviation as described
in the previous chapter. Proposals for education, training, or
airport development are not supported under this program.
The Proposal
Prior to writing your proposal, you should
determine if it is appropriate to be considered for award as a grant or
cooperative agreement or is it really more appropriate to be awarded as a
contract. To assist you in this
decision, first determine the principal purpose of your proposal. A grant is used when the principal purpose
of the research is to assist in accomplishing public purposes. A cooperative agreement is used if the
purpose of the research is to assist in accomplishing public purposes and the
institution and the FAA determine that a high degree of involvement by the FAA
would benefit the research objective.
When the principal purpose is to make acquisitions for direct use of the
Department of Transportation (DOT), the method of funding shall be a
procurement contract and should not be submitted to this office for
consideration.
Submission of a proposal is the starting point for
formally requesting grant assistance on the part of the institution. The proposal must include all items covered
on Page 9, “What to Submit.” It should
present the merits of the proposed project clearly and should be prepared with
the care and thoroughness of a paper submitted for publication. Sufficient information should be provided so
that reviewers will be able to evaluate the proposal in accordance with the
criteria specified in Chapter III. The
responsibility for proper attribution and citation rests with authors of a
research proposal. Failure to adhere to
such standards can result in disqualification of the proposal.
Cost Sharing
Cost sharing represents the portion of project or
program costs not borne by the Federal Government. The FAA expects that grantees will share in the costs at a level
that reflects their interest in the research, the potential benefits they may
derive, and their ability to share in the cost of the project. The potential grantee may contact the
appropriate FAA organization in determining levels of cost sharing prior to
submitting a proposal. A cost share
offer by a prospective grantee may be a significant factor in FAA's funding
decision. If a proposal is submitted
without a cost sharing intent, the grants analyst may contact the institution
to negotiate a level of cost share.
Cost sharing responsibilities are assumed by the grantee upon acceptance
of the grant.
For further information concerning cost sharing,
please refer to Office of Management and Budget (OMB) Circular A-110, Uniform
Administrative Requirements For Grants and Agreements With Institutions of
Higher Education, Hospitals, and Other Non-Profit Organizations. This circular may be obtained from OMB in Washington
by calling
(202) 395-7332.
Who May Submit
Formal rules for eligibility are contained in
Chapter I. Scientists, engineers,
mathematicians, psychologists, physicians, educators and other faculty members usually initiate
research proposals that are submitted by their employing organizations. Before formal submission, the proposal may
be discussed with a Grants Analyst of the Aviation Research Grants Program,
ACT-50, and the FAA R,E &D Program Manager. The categories of applicants are as follows:
1. Colleges and universities desiring to
conduct research in any of the program areas described in this solicitation.
2. Other nonprofit organizations (such as
independent museums; observatories; research laboratories; hospitals;
consortia; professional, scientific and educational associations or societies;
and similar organizations) may also apply for research grants in any of the
program areas described in this solicitation.
3. Other appropriate research institutions and
facilities, i.e., for-profit organizations, with demonstrated ability to
conduct research in the development and implementation of technologies and
procedures to counteract terrorist acts against civil aviation. The FAA will not provide a profit with the
award of a grant to these institutions.
The institutions are subject to the following requirements:
a. The grantee will be subject to a Defense
Contract Audit Agency audit of their costs and accounting systems.
b. The grantee will be subject to FAR Sub 31.2,
Contracts with Commercial Organizations.
[48 C.F.R. 31.2]
When to Submit
Proposals may be submitted at any time after the
announcement in the Federal Register and the Commerce Business Daily
(CBD). Solicitation 97.2 will remain
open until further notice. Applicants should allow at least 90 days for review
and processing (see Figure A).
Where to Submit
An original and three copies of the proposal should
be addressed to:
Department
of Transportation
Federal
Aviation Administration
William
J. Hughes Technical Center
Aviation
Research Grants Program Office, ACT-50
Atlantic
City Airport, NJ 08405
The outside of the mailer should be marked Aviation
Research Grant Proposal. If copies of
the proposal are mailed in more than one package, the number of packages should
be marked on the outside of each package.
Proposals must be sent prepaid, not collect.
FIGURE A
What to Submit
Proposals should be assembled in the following
sequence: cover letter, cover sheet, table of contents, project summary,
results from prior support, project description, bibliography, biographical
sketches, budget, budget narrative, indirect cost agreement, salary schedule,
current and pending support, description of intent to cost share, and
appendices. The following is a more
detailed description of the proposal content.
1. Cover Letter. A standard business format cover letter may
be affixed to the front of the proposal.
It may be signed by either the principal investigator, an approving
official at the institution, or both.
Names and addresses of FAA officials contacted, prior to
submission, should be identified in
this letter.
2. Cover Sheet. The cover sheet is FAA Form 9550-1, Cover
Sheet for Proposals to the FAA. The original shall be signed by the Principal
Investigator and any Co-principal
Investigator(s), and be endorsed by the authorized Organizational
Representative. Appropriate E-mail addresses
should also be included. The
original signed copy must be submitted to the FAA. Names and addresses of FAA officials contacted, prior to submission,
should be identified on this sheet in the space provided.
a. Principal Investigator Signature. The signature of the Principal Investigator
signifies agreement to assume responsibility for the scientific or technical
direction of the project and for the preparation of required technical reports.
b. Organizational Endorsement. By endorsing the cover sheet, the authorized
Organizational Representative affirms on behalf of the proposing organization
that all requirements for handling and managing grants will be met, and
provides certification regarding federal debt status, debarment and suspension,
drug-free workplace, and lobbying activities.
3. Table of Contents. (Optional)
4. Project Summary. The proposal should contain a 200-300 word
summary of the proposed activity suitable for publication. It should be a self-contained description of
the activity that would result if the proposal is funded by the FAA. The summary shall include a statement of
objectives, methods to be employed, and the significance of the proposed
activity to the advancement of knowledge and FAA research areas. It should be informative to individuals
working in the same or related fields and, insofar as possible, be
understandable to a scientifically literate reader. Please refrain from using contract terminology, such as
statement-of-work and deliverables.
5. Results from Prior Support. If the Principal Investigator(s) has
received FAA funding in the past 5 years, information on prior funding shall be
provided. The information shall
include: (1) the project title; (2) the
amount of funding; (3) the period of support; (4) a summary of the project; and
(5) results obtained.
6. Project Description. The main body of the proposal shall be a detailed
statement of the work and shall include: (1) objectives for the period of the
proposed work and expected significance; (2) relation to the longer term goals
of the investigator's project; and (3) relation to the present state of
knowledge in the field, to work in progress by the investigator under other
support, and to work in progress elsewhere.
The statement shall outline the general plan of
work, including the broad design of activities, an adequate description of
experimental methods and procedures and, if appropriate, plans for
preservation, documentation, and sharing of data, samples, physical
collections, and other related research products. The proposal shall provide a full description of the proposed
program supported by calculations, if appropriate. The main field of investigation and its relevance to the needs of
the FAA shall be identified.
The proposal should be specific and not simply
address the language of the solicitation.
A scientifically valid plan addressing the goals of the effort and their
significance to the safety and security of the flying public, along with
checkpoints for intermediate success is highly recommended. The relation of the work to the present
state-of-the-art should be described.
The work should be of a level of quality that publication in whole or in
part in scientific or technical journals might reasonably be expected.
Brevity will assist reviewers and the FAA staff in
dealing effectively with proposals; therefore, the project description shall
not exceed 15 single-spaced pages (or 30 double-spaced pages).
Appended information may not be used to circumvent
the page limit on the length of the proposal's project description. Extraneous appendices will not be sent to
reviewers.
7. Biographical Sketches. A short biographical sketch of senior
personnel and a list of their principal publications during the past 5 years,
including those in pre-publication, shall be provided.
8. Bibliography. A bibliography of pertinent literature shall
be provided. Proper attribution
practice requires that all citations be complete.
9. Budget. Each proposal shall contain a budget. FAA Form 9550-2 shall be used for this purpose. The information reported should be detailed
and sufficient to allow an analysis by appropriate FAA personnel to make a
determination that the budgeted costs are necessary to perform the work,
reasonable, and not specifically precluded by program guidelines, law, or
regulation. All applicable line items
must be completed. Each year of support
requires a completed FAA Form 9550-2.
Also an FAA Form 9550-2 is required to reflect the cumulative budget for
the full-term of requested FAA support.
The budget shall be certified by signature by the Principal Investigator
and the Authorized Institutional Representative in the spaces provided. A budget narrative must be attached that
explains and clarifies those items included on Form 9550-2 (i.e., travel,
equipment, personnel costs, etc.,).
Cost sharing intent should not be reflected on this form. Please include cost sharing information in
the budget narrative that accompanies FAA Form 9550.2.
10. Indirect Cost Agreement. The Institutional Representative shall
attach a copy of the latest institutional indirect cost agreement negotiated
with the institution’s cognizant Federal audit agency (Health and Human
Services, Department of Defense or other), currently in force. The applicant will assure that the costs
that the FAA is being asked to support are allowable and that the treatment of
direct or indirect costs in the budget is consistent with applicable Federal
cost principles and with the policies of the submitting organization.
11. Salary Schedule. The Institutional Representative shall
attach a copy of the latest salary schedule for all individuals identified on
the budget estimate.
12. Current and Pending Support. Applicants shall identify all current
project support from whatever source(s) (i.e., Federal, State, or local
Government agencies, private foundations, industrial or other commercial
organizations), on FAA form 9550-3. It
should include the proposed project and all other projects requiring a portion
of the time of the Principal Investigator and all other senior personnel, even
if they receive no salary support from the project(s). The number of person-months or percentage of
effort to be devoted to the projects must be stated regardless of source of
support. Similar information must be
provided for all proposals that are being considered or soon to be submitted to
other possible sponsors, including the FAA.
If the project now being submitted has been funded
previously by a source other than the FAA, the information requested in the
paragraph above should be furnished for the immediately preceding funding
period.
If the proposal is being submitted to other
possible sponsors all of them should be listed. Concurrent submission of a proposal to other organizations will
not prejudice its review by the FAA.
13. Appendices.
a. The appendix must contain
certifications for compliance with the Civil Rights Act of 1964 and Lobbying
Restrictions. These certifications are
made by signing the cover sheet,
FAA Form 9550-1.
However, the Certification Regarding Lobbying descriptive text page must
be attached to complete this certification.
OMB Standard Form-LLL may also be required if any funds were expended in
lobbying Federal officials.
Certification Regarding Drug-Free Workplace Requirements must be signed
and included in the appendix.
b. The appendix must also describe available facilities and
major items of equipment to be used in the proposed work if these are of a
specialized nature and essential to the performance of the project. As previously stated, an itemization of
travel, equipment, supplies, and materials must be submitted with the proposal
(samples in Figure B). Equipment to be
purchased, modified, or constructed should be described in sufficient detail to
allow comparison of its capabilities to the needs of the proposed
activities.
FIGURE B
SAMPLE - MATERIALS AND SUPPLIES BREAKDOWN
$3,000 in composites--Hercules AS4/3501-6
Pre-Preg 71.43 @ $42/lb
$1,500 in Yard Goods--Various materials required
for either a standard graphite cure @ $135/cure, or bond cure @ $90/cure - 7
standard and 6 bond cures
$1,500 in Strain Gages--117 packages of 5 standard
gages @ $12.75 per package
$1,000 in lab expendables include miscellaneous
items such as gloves, adhesive, metal stock, solvents and film
$1,200 in Autoclave usage fee @ $10/hr - 120 hrs.
$3,000 in MTS Tensile testing machine usage fee @
$15/hr - 200 hrs
$4,500 in Computation includes:
Data
acquisition (with A/D hardware) usage fee @ $15/hr-200 hrs
General
computer usage fee (for word processing and data analysis)
@ $7/hr
- 214 hrs
$900 in Office supplies, xerox, telephone, and
postage averages $50 per month based on past history (based on 1 full-time
student)
$1,000 in Report Costs includes page charges in a
professional journal (based on AAA @ $875 per journal article) plus production
and reproduction costs
$1,000 in Machine Shop usage fee of various machine
shops averages $25/hr - 40 hrs
1,500 in instrumentation includes wiring,
circuitry, and other related items.
FIGURE B
SAMPLE TRAVEL BREAKDOWN
(Please include the
purpose of each trip)
YEAR
1
10 - 2 Person, 2 day trips: Huntsville, AL/Auburn, AL
500
miles @ $.28/mi $140
Per
Diem 71x2x2 284
424 x 10 $4,240.00
10 - 1 Person, 2 day trips: Huntsville, AL/Auburn,
AL
500
miles @ $.28/mi $ 140
Per
Diem 71x2 142
282 x 10 $2,820.00
4 - 1 Person, 2 day trips: Huntsville, AL/Atlantic
City, NJ
Air
Fare $672
Car
Rental 50
Per
Diem 145x2 290
1012 x 4 $4,048.00
4 - 2 Person 2 day trips: Huntsville, AL/Atlantic
City, NJ
Air
Fare 672x2 $1,344
Car
Rental 50x2 100
Per
Diem 145x2x2 580
2,024x4 $8,096.00
TOTAL
TRAVEL FOR YEAR 1 $19,204.00
YEAR
2
10 - 2 Person, 2 day trips: Huntsville, AL/Auburn, AL
500
miles @ $.28/mi
$140
Per
Diem 75x2x2 300
440 x 10 $4,400.00
10 - 1 Person, 2 day trips: Huntsville, AL/Auburn, AL
500
miles @ $.28/mi
$140
Per
Diem 75x2 150
290 x 10 $2,900.00
4 - 1
Person, 2 day trips: Huntsville,
AL/Atlantic City, NJ
Air
Fare 672 672
Car
Rental 53x2 106
Per
Diem 152x2 304
1082x4 $4,328.00
4 - 2
Person, 2 day trips: Huntsville,
AL/Atlantic City, NJ
Air
Fare 672x2 $1344
Car
Rental 53x2 106
Per
Diem 152x2
304
1754x4 $7,016.00
TOTAL
TRAVEL FOR YEAR 2 $18,644.00
Whenever possible, the proposal should specify the
manufacturer and model number. The
organization's contribution to the cost of equipment, or its willingness to
support the cost of construction or renovation of needed facilities may be
considered by the FAA as an indication of the organization's commitment to the
project. As stated previously, the FAA
does not entertain proposals that are submitted solely for the purchase of
equipment or construction of facilities.
Proposals should cover the points discussed in the
following paragraphs insofar as they are applicable. Proposals should be stapled in the upper left hand corner, but
otherwise unbound, in type no smaller than 12 pitch. Please do not send binders.
Three copies of each proposal should be submitted in addition to the
original. Any reprints, appendices, or
other materials to be considered with the proposal should be attached to the
individual copies of the proposal.
The Omnibus Trade and Competitiveness Act of 1988
requires Federal agencies to use the metric system in procurement, grants, and
other business-related activities.
Proposals for grants and cooperative agreements submitted to the FAA are
required to use the metric system of weights and measures. Likewise, reports, publications, and
communiques regarding proposals will be required to use metric units.
Proposal Forms
Forms are provided in the Appendix for completion
and submission with the proposal in order to assure compliance with the
aforementioned guidelines and instructions on proposal form and content. Additional information and advice may be
obtained by contacting the Aviation Research Program Staff at (609) 485-4424,
the Grants line at (609) 485-8410, or fax at (609) 485-6509.
CHAPTER III. PROPOSAL
PROCESSING AND REVIEW
Research proposals received will be assigned a
proposal number and the grants staff will send an acknowledgment card to the
institution. Each proposal will be
reviewed by the grants staff to ensure that appropriate forms have been signed,
that it is in the required format, that all relevant information has been
submitted, that it satisfies the conditions of a grant, and that the proposed
research falls under FAA research grant authority. After an initial administrative review, the proposal will be
reviewed carefully for technical merit by a technical evaluation team. The team will consist of three or more
technically qualified people, some of whom may be reviewers from outside the
Government. An FAA representative will
be designated as the team leader and is responsible for developing an overall
rating based on the ratings of the team members. Subsequent to the technical evaluation, a determination regarding
award will be made at the appropriate FAA management level.
Evaluation Criteria
The FAA has established four criteria against which
each proposal will be evaluated in order to determine whether it will be
eligible for funding. Failure to meet
any one of the criteria may result in the proposal being judged
ineligible. The criteria and a brief
explanation of each are listed below.
1. Intrinsic Value. This is the likelihood that the proposed
research will lead to new discoveries or fundamental advances within a specific
field of science or engineering or have substantial impact on progress in that
field or in other scientific or engineering fields pertinent to FAA
research. The introduction of new ideas
or innovative approaches will be viewed positively.
2. Relevance to FAA Mission. This is the establishment of a logical
connection and probable application to the long-term growth of civil aviation.
3. Technical Soundness of the Proposal. This is the quality of the overall approach
proposed to verify concepts or apply new technologies. The proposal must be formulated in a clear
and logical fashion, utilizing known scientific principles and their extensions
to reach a definable, substantial, and relevant goal.
4. Research Performance Competence. This is the capability of the organization
(personnel and resources) to carry on successful work. The grantee should identify specific
resources that are required and note whether adequate access to these will
exist or whether they will be acquired in the course of the proposed activity.
Achievements will be considered in evaluating performance competence. The Principal Investigator should
demonstrate an established reputation in the relevant field. Such reputation may be shown by
publications, patents, conference contributions, or any other relevant
information that demonstrates his or her capability to advance the state of
knowledge in the proposed area.
Eligible Proposals
Each eligible proposal will be rated as either a
category A, B, or C proposal. These
categories will be used to differentiate the proposals according to technical
merit.
1. A Category A proposal will have met the
evaluation criteria with no distinction.
2. A Category B proposal will have met the
evaluation criteria with distinction in one or more of the criteria.
3. A Category C proposal will have met each of
the evaluation criteria with distinction and presents a strong,
well-constructed program in all respects.
Revisions to Proposals
The technical evaluators may determine a proposal is eligible for grant award but that
certain changes would need to be made to support technical areas of research
critical to the FAA mission. These
changes are not intended to alter the basic direction or scope of the
proposal. Changes may be made to
remove, add, or redirect specific areas of research in the proposal. They may conclude certain proposed
activities in the application are unnecessary and will recommend deleting them
and their associated costs prior to the award.
The Grants Analyst will contact the applicant’s Principal Investigator
or Grants Officer depending on the type
of issues that need to be negotiated.
Costs that appear excessive in the applicant’s budget submission,
recommended additions or deletions in the proposal will be negotiated. If such changes occur, an appropriate
proposal modification (which may include a revised proposal budget) signed by
the PI and the Authorized Organizational Representative must be submitted to
the grants analyst to incorporate in the proposal file.
In a time of increasing budget cuts, cost-sharing
is very important to the FAA. The
grants analyst who negotiates your award will encourage you to share in the
cost of the research. This could be a
percentage of the overall costs or overhead rates, providing facilities, not
charging for key personnel salaries or other direct costs. Use your imagination, all suggestions are
welcome.
Declined Proposals
A proposal may be declined for a variety of
reasons. The proposal may be
incomplete, inappropriate for FAA consideration, may not meet the criteria
established for technical merit, or funds may not be available. The applicant will be notified in writing by
the grants analyst advising why the proposal has not been accepted for award.
Withdrawal
A proposal may be withdrawn by the submitting
organization at any time before an award is made. The request for withdrawal should state the reason and be signed
by the PI.
CHAPTER IV. GRANT SPONSORSHIP/FUNDING
Research grants and cooperative agreements are
primarily funded by program offices to support research targeted to their
program areas.
Since various FAA R,E&D Program Managers (i.e.
Aviation Security, Aging Aircraft, Aviation Medicine, etc.), will review the
proposal and provide funds for award from their project accounts, it is in the
interest of the proposer to make contact with the appropriate manager in order
to come to an understanding regarding
the needed research. Applicants are
strongly encouraged to participate in a two-way communication to define the
scope of work. This can only enhance
the likelihood of securing sponsorship and improve the probability of project
success, and is strongly encouraged on the part of applicants.
CHAPTER V. GRANT AWARD
AND ADMINISTRATION
Types of Grants
A standard grant is a grant in which FAA agrees to
support a level of effort for a specified period of time, usually for a minimum
of 1 year.
A continuing grant is an agreement to support a
level of effort for a specified period of time, usually for a minimum of 1
year, with a statement of intent to provide additional support of the project
for additional period(s) provided funds are available and the results achieved
warrant further support.
Cooperative agreements are a variant of either of
the above vehicles in which there is substantial interaction and collaboration
anticipated between the grantee and the Government in the performance of the
grant.
Grant Award
The grant award instrument will contain all
documentation applicable to the award and administration of the grant.
Grant Extensions
A
written request via mail or E-mail to extend the grant must be received a
minimum of
30
days prior to expiration date. After review of the request, the grantee
will be notified of
the grant analyst's decision. Upon approval, an amendment will be
initiated.
Grant Administration
The administration of FAA research grants is
governed by the conditions and provisions of the grant award instrument. The FAA Research Grants Handbook, 9550.7A
sets forth these and other administrative requirements.
The grantee has full responsibility for the project
or activity supported under an FAA award and for adherence to the award
conditions. The grantee is in the best
position to determine the means by which the activity or project can be
performed most effectively. Grantees
are encouraged to seek advice and opinions on technical issues and problems
that may arise. This advice and opinion does not imply that the responsibility
for the conduct of the project has been shifted to the FAA.
Grant Closeout
At completion of the grant, a letter will be sent
to the grantee requesting documentation be completed to close the grant. This documentation consists of a Standard
Form 269, Financial Status Report and FAA Form 9550-5, Final Project Report,
which are enclosed with the requesting letter.
(Copies of these forms are also included in Appendix A of this
solicitation.) The Office of Management
and Budget authorizes the grantee 90 days from the grant expiration date to
liquidate all remaining obligations incurred on award and submit all required
documentation to finalize the grant.
Also, as a condition of award, a copy of the Final Progress Report will
be submitted to the technical monitor AND the grants analyst.
Failure
to send reports or other required documents can place your organization in
noncompliance with the terms and conditions of the grant award. It is critical that you send all your
reports by the due dates to the proper persons. By not complying you could jeopardize your chance for future funding from the
FAA.
VI. AIR TRANSPORTATION CENTERS OF EXCELLENCE
Proposals for Air Transportation Centers of
Excellence are not being accepted under this solicitation. A separate solicitation is issued for
Centers of Excellence after advertisement in the Federal Register.
GLOSSARY
Acknowledgment
Card. Card sent
to proposer notifying them that the proposal was received and is being
processed.
Appendix. Portion of the proposal that contains
documents certifying compliance with areas, such as the Civil Rights Act,
Lobbying, Drug-Free Workplace and a description of available facilities and
major items of equipment.
Assistance. Government funding.
Audit. Auditor’s examination of monetary and
non-monetary matters relating to a particular grant to identify problems, if
applicable, and provide recommendations for corrective action in order to
prevent their future recurrence.
Authorizing
Legislation. A
law passed by Congress that establishes or continues a grant program.
Budget
Narrative.
Clarification page attached to FAA Form 9550-2 explaining requests for
travel, equipment, personnel costs, etc.
Continuing
Grant.
Additional funding awarded for budget periods following the initial
budget period of a multi-year discretionary grant or cooperative agreement.
Contract. A transaction whose principle purpose is to
make acquisitions for direct DOT use.
Cooperative
Agreement. A type of
federal assistance; essentially, a variation on a grant awarded by the DOT when
it anticipates having substantial involvement with the recipient during the
performance of a funded project.
Cost
Sharing.
Represents a portion of project or program costs borne by the grantee,
i.e., percentage of overall costs or overhead rates, providing facilities, not
charging for key personnel salaries or other direct costs, etc.
Declined. When a proposal has been deemed not
acceptable and the applicant is notified in writing advising why the proposal
has not been accepted for award.
Defense
Contract Audit Agency.
Agency used by the Federal Aviation Administration to perform required
audits of grantees.
Eligible
Proposals. Three
categories used to differentiate the proposals according to technical merit.
Evaluation
Criteria. Four
criteria against which each proposal is evaluated in order to determine
technical merit and eligibility for funding.
FAA
Form 9550-1. An
application form, referred to as the application “cover page” used by the
Federal Aviation Administration when applying for a grant.
FAA
Form 9550-2. A
Summary Proposal Budget form, used by the Federal Aviation Administration when
applying for a grant.
FAA
Form 9550-3. A
Current and Pending Support for Research in Science and Engineering form, used
by the Federal Aviation Administration when applying for a grant.
FAA
Form 9550-5.
Final Project Report required a the end of a grant.
FAA
Research Grants Handbook, 9550.7A. Official publication by the Aviation
Research Grants Program which sets forth policies and procedures for the award
and administration of aviation research grants.
Federal
Register. Daily
compilation of federal regulations and legal notices, presidential
proclamations and executive orders, federal agency documents having general
applicability and legal effect, documents required to be published by act of
Congress, and other Federal agency documents of public interest; prepared by
the National Archives and Records Administration for public distribution by the
Government Printing Office; publication of record for ED regulations.
For-Profit. Research institutions that normally makes a
profit.
Grant. Funding document for the purpose to transfer
money, property, services, or anything of value to the recipient in order to
accomplish a public purpose of support or stimulation; there will be no
substantial involvement between the Federal agency and the recipient during
performance of the activity.
Grants
Analyst. An
employee of the Office of Research and Technology Applications who reports to
the grants officer(s) and who negotiates research grants and cooperative
agreements and handles the details of administering them.
Grant
Award. Award
instrument which contains all documentation applicable to the award and
administration of the grant.
Grant
Close-out. The
process during which it is determined that the recipient has performed all
required work of a grant or cooperative agreement and undertakes all necessary
administrative actions to make any fiscal adjustments to a recipients account.
Grantee. Entity which has been awarded a grant.
Grant
Extension. A written
or E-mail request by the principal investigator to the grants analyst to extend
the period of grant performance.
Grants
Officer. Awards,
administers, modifies, and terminates grants as authorized under the enabling
statutes and delegated authority.
HACU. Hispanic Association of Colleges and
Universities (minority institutions with a high volume of Hispanic students).
HSI. Hispanic Serving Institution.
Indirect
Costs. Costs of
an organization incurred for common or joint objectives which cannot be readily
and specifically identified with a particular grant or other institutional
activity.
Indirect
Cost Agreement.
Document negotiated with the institution’s cognizant Federal audit
agency (Health and Human Services, Department of Defense, etc.), currently in
force listing the most recent rates to be applied for indirect costs.
Institution. Colleges, universities, research
institutions and facilities.
Institutional
Representative.
Person designated by the entity receiving a grant to sign and commit
them to all provisions set forth in the grant award instrument.
Minority
Institutions.
Those entities, such as Historically Black Colleges and Universities,
Hispanic Association of Colleges and Universities, Indian Tribes, etc.
National
Airspace System. A
national aviation system managed and operated by the Federal Aviation
Administration.
Noncompliance. Nonreceipt of required reports or documentation,
established as a condition of award, which could jeopardize an entities chance
for future funding from the Federal Aviation Administration.
Nonprofit
Organizations.
Independent museums; observatories; research laboratories; hospitals;
consortia; professional, scientific and educational associations or societies;
and similar organizations.
Office
of Management and Budget (OMB) Circulars. Administrative policy documents that give
instruction to Federal agencies on a variety of topics, including the
administration of Federal grants and cooperative agreements.
Office
of Research and Technology Applications. Federal Aviation Administration office
delegated to administer the Aviation Research Grants Program for the agency.
Omnibus
Trade and Competitiveness Act of 1988. Federal statute requiring Federal agencies
to use the metric system, i.e., of weights and measures, in procurement,
grants, and other business-related activities; and for use in reports,
publications, and communiqués regarding proposals.
Pre-Award
Costs. Any cost
incurred by the applicant prior to the award date of the grant.
Principle
Investigator.
Institution representative who assumes responsibility for the scientific
or technical direction of the project and for the preparation of required
technical reports.
Program
Funded. Funding
provided by the Federal Aviation Administration technical program office who
has evaluated and decided to fund the particular research proposal.
Proposal. An application for a grant or cooperative
agreement containing all the information and forms needed to comply with all
relevant legislation.
Salary
Schedule. Document
listing the latest salary information for all individuals identified on FAA
Form 9550-2.
Standard
Form 269. Financial
Status Report required by the Office of Management and Budget at the end of the
grant.
Technical
Merit. Proposal
has been evaluated and has met the required technical criteria.
Withdrawal. The Federal Aviation Administration receives
a written notification by the principal investigator of the submitting
organization describing why they have decided to withdraw their proposal
submission.
APPENDIX A
PROPOSAL FORMS
This Appendix provides the following forms:
a. Cover Sheet (FAA Form 9550-1)
b. Drug Free Workplace (FAA Form 9550-1)
c. Summary Proposal Budget (FAA Form 9550-2)
d. Current and Pending Support (FAA Form 9550-3
)
e. Civil Rights Certification
f. Disclosure of Lobbying Activities (if
required)
g. Financial Status Report (SF-269)
h. Final Project Report (FAA Form 9550-5)
The grants office is aware of the paperwork burden
that the grants process imposes on applicants and recipients. As part of our effort to improve service to
the public, the office is continuously trying to determine the ways that
paperwork can be lessened and welcomes your suggestions. In accordance with this, the following forms
are required to be filled out ONLY ONCE
per fiscal year solicitation for each University, college, non-profit, or
profit research organization.
Additional proposals submitted during a particular fiscal year no longer
require the forms for each new proposal.
a. Drug Free Workplace
b. Civil Rights Certification
c. Disclosure of Lobbying Activities (SF LLL)
d. Negotiated Rates for Indirect Costs