2015 SDP FOA DTPH5615SN000001 Posted 11.24.2014.pdf

Funding Opportunity Announcement (FOA)

State Damage Prevention (SDP) Program Grants

Fiscal Year 2015

Closing Date: January 26, 2015 Closing Time: 2:00pm Eastern Time

Catalog of Federal Domestic Assistance Number (CFDA)

20.720 “State Damage Prevention Program Grants”

PHMSA Funding Opportunity Number

DTPH5615SN000001

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

FOA #DTPH5615SN000001

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State Damage Prevention (SDP) Program Grants - FOA

Table of Contents

Program Summary Section A - Program Description

Section A.1 Statement of Purpose Section A.2 Statute and Program Authority Section A.3 Background

Section B - Federal Award Information Section B.1 Funding Section B.2 Period of Performance Section B.3 Type of Award Section B.4 Previous Awards

Section C - Eligibility Information Section C.1 Eligible Applicants Section C.2 Cost Sharing or Matching Section C.3 Other - Effective Damage Prevention Program – The Nine Elements

Section D - Application and Submission Information Section D.1 Address to Request Application Package Section D.2 Content and Form of Application Submission Section D.3 DUNS Number and SAM Section D.4 Submission Dates and Times Section D.5 Intergovernmental Review Section D.6 Funding Restrictions Section D.7 Other Submission Requirements

Section E - Application Review Information Section E.1 Criteria Section E.2 Review and Selection Process (Includes Scoring Guideline)

Section F - Federal Award Administration Information Section F.1 Federal Award Notices Section F.2 Administrative and National Policy Requirements Section F.3 Reporting

Section G - Federal Awarding Agency Contact(s) Section H - Other Information

Section H.1 PHMSA’s Strategic Plan Section H.2 Mission and Vision Section H.3 Challenges and Strategies Section H.4 Miscellaneous

Attachment 1: Terms and Conditions Attachment 2: Standard Title VI/Non-Discrimination Assurances

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Program Summary

Federal Agency Name: U.S. Department of Transportation (DOT)

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Federal Agency Contact: U.S. DOT/PHMSA

Acquisition Services Division, PHA-30 1200 New Jersey Avenue, SE, Room E22-306 Washington, D.C. 20590 Attn: Janella Davis

Funding Opportunity Title: “State Damage Prevention (SDP) Program Grants – 2015”

Announcement Type: Initial Announcement

Funding Opportunity Number: DTPH5615SN000001

CFDA Number: 20.720

Eligible Applicants: Any State authority designated by the Governor

(including a municipality with respect to intrastate gas pipeline transportation) that is or will be responsible for protecting underground pipeline facilities from excavation damage is eligible as long as the State participates in the oversight of pipeline transportation pursuant to an annual 49 U.S.C. §60105 certification or 49 U.S.C. §60106 agreement in effect with PHMSA.

An eligible State authority must have an effective damage prevention program or demonstrate that it has made substantial progress toward establishing an effective program (See Section C.3, “Other - Effective Damage Prevention Program – The Nine Elements”).

The Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 mandates that in order to qualify for funding under this program, a State may not provide any exemptions to municipalities, State agencies, or their contractors, from the one-call notification system requirements of the program.

PHMSA notified the states likely to be impacted by this criterion in calendar year 2013; however, PHMSA will review all applications to make sure ONLY applications in compliance with this requirement are considered for funding.

Dates: FOA Issue Date: November 24, 2014

Application Due Date: January 26, 2015 at 2:00pm ET

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Questions regarding how to apply: Carrie Winslow

(757) 689-3168 carrie.winslow@dot.gov

Grant Related Questions: Janella Davis

(202) 366-4059 janella.davis@dot.gov

Grants.gov Questions: Grants.gov Contact Center

(800) 518-4726 support@grants.gov mailto:carrie.winslow@dot.gov mailto:janella.davis@dot.gov mailto:support@grants.gov

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SECTION A - PROGRAM DESCRIPTION

A. 1 Statement of Purpose The Pipeline and Hazardous Materials Safety Administration (PHMSA), through the U.S.

Department of Transportation (DOT), hereby requests applications from eligible States (including municipalities with respect to intrastate gas pipeline transportation) to obtain funding for damage prevention program activities. Grants awarded in support of PHMSA’s State Damage Prevention (SDP) grant program are intended for States to establish or improve the overall quality and effectiveness of their State Damage Prevention programs, which are designed to protect underground pipeline facilities from excavation damage.

A.2 Statute and Program Authority Pipeline Inspection, Protection, Enforcement, and Safety Act of 2006, Section 2 of Public Law 109-468 (December 29, 2006), codified at 49 U.S.C. §60134, State Damage Prevention Programs.

A.3 Background Section 2 of the Pipeline Inspection, Protection, Enforcement and Safety Act of 2006, Public Law 109-468 (December 29, 2006), added a new State Damage Prevention grant program to the Federal Pipeline Safety Law at 49 U.S.C. §60134. The statute was amended by The Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011, Public Law 112–90 (January 3, 2012). The purpose of these grants is to establish or improve comprehensive State programs that are designed to protect underground pipeline facilities from excavation damage. The statute sets forth nine elements of an effective State Damage Prevention program. See PHMSA’s Damage Prevention Assistance Program (DPAP) guidance document for more information on the elements (http://primis.phmsa.dot.gov/comm/DamagePrevention.htm).

SECTION B - FEDERAL AWARD INFORMATION

B.1 Funding Contingent upon the enactment of the Fiscal Year (FY) 2015 budget appropriation and the availability of FY 2013 and 2014 remainder funds, PHMSA anticipates that funds in the amount of $1.5 million will be available for support of the SDP grant program. The maximum award amount for each individual grant is $100,000.

B.2 Period of Performance PHMSA anticipates the period of performance to be twelve (12) months from the effective date of award for each grant. The performance period of a project must not exceed twelve months in duration, unless a period of performance extension has been mutually agreed to in writing by both the PHMSA Agreement Officer and the State Principal Investigator (PI). Applicants must apply for funding that can reasonably be spent within the 12-month period of performance. PHMSA anticipates that awards will be made during the third quarter of FY 2015. However, when planning for the SDP grants projects, applicants should consider having their grant projects begin in the fourth quarter of FY 2015.

B.3 Type of Award PHMSA intends to award multiple SDP discretionary project grants as a result of this funding opportunity announcement (FOA); federal funding for each grant recipient may not exceed $100,000. PHMSA will only accept one (1) application from each State. Submission of an application is not a guarantee of award. The number of awards issued will depend on the number http://primis.phmsa.dot.gov/comm/DamagePrevention.htm

US DOT/PHMSA Page 6 of 17 of applications received, the quality of applications, the amount of funds requested (i.e. proposed budget), and the availability of federal funding. PHMSA may award a grant based on an application in its entirety, award only portions of a grant application, or not award an application at all. Each application will be reviewed against the criteria listed in Section E.1.

B.4 Previous Awards Applicants that received a previous PHMSA SDP grant award may apply for a 2015 grant. Also, any State (including municipalities with respect to intrastate gas pipeline transportation) that has applied for a PHMSA One-Call grant may also apply for a grant under the SDP grant program as long as the projects under each program are different in scope. PHMSA will carefully coordinate the application review process for the SDP program grants to ensure that applicants are not awarded funds for the same project(s) under both grant programs. States may apply for grants under both programs for projects that are related, but cannot receive funding under both programs for projects that are identical in scope.

SECTION C - ELIGIBILITY INFORMATION

C.1 Eligible Applicants Any State authority designated by the Governor (including municipalities with respect to intrastate gas pipeline transportation) that is or will be responsible for protecting underground pipeline facilities from excavation damage is eligible as long as the State participates in the oversight of pipeline transportation pursuant to an annual 49 U.S.C. §60105 certification or 49 U.S.C. §60106 agreement in effect with PHMSA.

An eligible State authority must have an effective damage prevention program or demonstrate that it has made substantial progress toward establishing an effective program (See Section C.3, “Other - Effective Damage Prevention Program – The Nine Elements”).

The Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 mandates that in order to qualify for funding under this program, a state may not provide any exemptions to municipalities, State agencies, or their contractors, from the one-call notification system requirements of the program. PHMSA notified the states likely to be impacted by this criterion in calendar year 2013; however, PHMSA will review all applications to make sure ONLY applications in compliance with this requirement are considered for funding.

C.2 Cost Sharing or Matching There are no cost-sharing or matching requirements.

C.3 Other - Effective Damage Prevention Program – The Nine Elements PHMSA may award a grant to an eligible State authority if the State has an effective damage prevention program or demonstrate that it has made substantial progress toward establishing an effective program. An effective damage prevention program as stated in 49 U.S.C. §60134 (b) includes one or more of the nine (9) elements below. Grant funding is available to assist States in aligning with one or more of these nine elements:

Element 1 (Effective Communications): Participation by operators, excavators, and other stakeholders in the development and implementation of methods for establishing and maintaining effective communications between stakeholders from receipt of an excavation notification until successful completion of the excavation, as appropriate.

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Element 2 (Comprehensive Stakeholder Support): A process for fostering and ensuring the support and partnership of stakeholders, including excavators, operators, locators, designers, and local government in all phases of the program.

Element 3 (Operator Internal Performance Measurement): A process for reviewing the adequacy of a pipeline operator’s internal performance measures regarding persons performing locating services and quality assurance programs.

Element 4 (Effective Employee Training): Participation by operators, excavators, and other stakeholders in the development and implementation of effective employee training programs to ensure that operators, the one-call center, the enforcing agency, and the excavators have partnered to design and implement training for the employees of operators, excavators, and locators.

Element 5 (Public Education): A process for fostering and ensuring active participation by all stakeholders in public education for damage prevention activities.

Element 6 (Dispute Resolution): A process for resolving disputes that defines the

State authority’s role as a partner and facilitator to resolve issues.

Element 7 (Enforcement): Enforcement of State damage prevention laws and regulations for all aspects of the damage prevention process, including public education, and the use of civil penalties for violations assessable by the appropriate State authority.

Element 8 (Technology): A process for fostering and promoting the use, by all appropriate stakeholders, of improving technologies that may enhance communications, underground pipeline locating capability, and gathering and analyzing information about the accuracy and effectiveness of locating programs.

Element 9 (Damage Prevention Program Review): A process for review and analysis of the effectiveness of each program element, including a means for implementing improvements identified by such program reviews.

PHMSA, in consultation with stakeholder organizations, developed a Damage Prevention Assistance Program (DPAP) to provide guidance to stakeholders for strengthening state damage prevention programs. It draws on the definition of effective damage prevention programs found in 49 U.S.C. §60134. The purpose of this document is to assist stakeholders in building a new damage prevention program or strengthening an existing state program.

Link: http://primis.phmsa.dot.gov/comm/DamagePrevention.htm.

http://primis.phmsa.dot.gov/comm/DamagePrevention.htm

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SECTION D - APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package A copy of this FOA can be retrieved from www.grants.gov using the following basic search criteria:

(1) Keyword(s): State Damage Prevention

(2) Funding Opp #: DTPH5615SN000001

(3) CFDA Number: 20.720

PHMSA has developed a step-by-step online wizard in a web application called FedSTAR to guide applicants through the process of answering questions relevant to the evaluation criteria, detailed in Section E.1 of this FOA. FedSTAR will build the application package, including all required Grants.gov forms.

To begin the process, an applicant must be registered at both FedSTAR and www.grants.gov to submit an application online as required. It is highly recommended that applicants begin the registration process as soon as possible to avoid delays with submission.

Failure to comply with the prescribed application requirements as described in this section will result in an application not being reviewed.

• Accessing Grants.gov:

For new users, go to http://www.grants.gov/web/grants/applicants.html, or go to the main page at http://www.grants.gov/ and select “Register.” NOTE: New user registrations for Grants.gov can take up to two weeks to complete. For additional questions on how to register, contact Grants.gov support by phone at (800) 518-4726 or by email at support@grants.gov. Carrie Winslow may also be able to help answer questions on applying for Grants.gov usernames/passwords as they specifically relate to the SDP grant program.

• Accessing FedSTAR:

Using your web browser, go to https://fedstar.phmsa.dot.gov. For new users, or if you need assistance with your current username or password or technical support, please contact Carrie Winslow by phone at (757) 689-3168 or by email at carrie.winslow@dot.gov.

Additional instructions on completing the application wizard and submitting an application are provided in Section D.2, Content and Form of Application Submission, of this FOA.

D.2 Content and Form of Application Submission Each application must consist of the following:

1. As part of the FedSTAR wizard, applicants will be asked the following questions:

(i) Provide a brief project abstract/statement of objectives.

(ii) For each of the nine elements, describe existing initiatives within the State (not just within the applicant’s organization) that support each of the elements.

(iii) For each of the nine elements, note whether the project or projects proposed in the grant application addresses the element.

(iv) For each of the nine elements addressed by your application, describe how the proposed project will enhance or continue implementation of the element.

http://www.grants.gov/ http://www.grants.gov/web/grants/applicants.html http://www.grants.gov/ mailto:support@grants.gov https://fedstar.phmsa.dot.gov/ mailto:carrie.winslow@dot.gov

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(v) For each element of the nine elements addressed by your application, provide a separate budget and budget narrative.

Additional budgetary information, as described in subparagraphs a through i below, MUST be provided to substantiate the proposed budget IF the budget categories (listed below) are proposed for each element.

a. Personnel: Budget narratives for the personnel budget category should address all areas that comprise personnel costs to include the specific labor categories/personnel title or position, the employee first and last names if available, and the number of hours expected to be spent by each personnel in support of the proposed project. Documentation should also be provided to verify the proposed base hourly rate(s) or base salary/salaries without fringe benefits (e.g. compared to industry standards).

b. Fringe Benefits: Budget narratives for fringe benefits should include the proposed fringe rate (%) and the budget components (e.g. retirement, health insurance, and Federal Insurance Contributions Act (FICA)), if this rate is not a part of the Applicant’s negotiated rate agreement.

c. Travel: Budget narratives for travel should include an estimated breakdown of travel costs (e.g. how many trips, who or what labor categories are traveling, where to, method of travel, purpose of trips, and calculation of fares/costs).

d. Equipment: Budget narratives for equipment should specify what the equipment budget category consists of (i.e. types of equipment to be purchased). An estimated breakdown of costs for each piece of equipment should also be provided along with a basis for estimating costs (e.g. vendor quotes, prior invoices, catalog prices etc.).

e. Supplies: Budget narratives for supplies should specify what the supplies budget category consists of (i.e. types of supplies to be purchased). An estimated breakdown of costs for each item should also be provided along with a basis for estimating costs (e.g. vendor quotes, prior invoices, catalog prices etc.).

f. Contractual: Budget narratives for contractual costs should specify what the contractual budget category consists of. An estimated breakdown of costs including the names of contractors or sub-recipients and the duration of service should also be provided.

NOTE: If a contractor or sub-recipient (sub-awardee) performs a function on the Recipient’s behalf, then the terms and conditions of the contractual arrangement or award and the qualifications of the contractor or sub-recipient are subject to review by PHMSA. This information must be provided to PHMSA within 30 days after the date of award. The contract or award must be made in accordance with the Recipient’s procurement procedures for obtaining outside services.

g. Construction: Not applicable (Non-Construction Program).

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h. Other: Budget narratives for other costs, not associated with another category, should specify what the other budget category consists of. An estimated breakdown of costs should also be provided.

i. Indirect Charges: Budget narratives for indirect charges should include a copy of the Applicant’s negotiated rate agreement document, if an approved agreement is in place. If the Applicant does not have an approved rate agreement, a statement to that effect must be included in the budget narrative. Information must also be provided to verify the proposed rate (%).

(vi) Describe any legislative or regulatory actions (including legislative/regulatory studies or the establishment of committees or teams to develop a plan to improve the State damage prevention program) taken by the State within the past five (5) years pertaining to damage prevention program improvement, even if those actions were not completely successful (300 words or less).

2. A letter, signed by the Governor, designating the applicant as the State authority eligible to receive the grant. New letters are required for previous SDP recipients to indicate that the Governor authorizes the applicant to receive a State Damage Prevention grant for fiscal year 2015. This must be a separate letter submitted as an attachment with the other application materials and uploaded to FedSTAR. There is no strict guidance on content of the letter other than the following: 1) it MUST be addressed to Warren Osterberg at the following address: U.S. Department of Transportation, Pipeline and Hazardous Materials Safety Administration (PHMSA), ATTN: Acquisition Services Division (PHA-30), 1200 New Jersey Avenue, SE, Room E22-317, Washington, DC 20590; 2) it MUST reference PHMSA Funding Opportunity Number DTPH5615SN000001 (including fiscal year 2015); 3) the entity the Governor is designating MUST match the entity that is submitting the application; and 4) the letter MUST be signed by the Governor.

NOTE:

(1) Because applicants have indicated in previous years that the process of obtaining the letter from the Governor may be extensive, PHMSA recommends beginning this process as early as possible. If required and ONLY when approved by the PHMSA Agreement Officer, applicants may submit the Governor’s letter at a later date. However, the pending document must be submitted to complete your organization’s application package.

(2) Letters authorizing the applicant to receive a State Damage Prevention grant for “calendar year” 2015 will also be accepted in response to this FOA. However, future letters must reference fiscal year in lieu of calendar year.

3. Standard Title VI/Non-Discrimination Assurances: Applicants must sign, date, and return with the application, the “Standard Title VI/Non-Discrimination Assurances” specified in Attachment 2: Standard Title VI/Non-Discrimination Assurances.

Specifically, applicants must complete and return pages 1, 2, and 3 (See sections highlighted in yellow). The completed documents should be submitted as an attachment with the other application materials and uploaded to FedSTAR.

4. Additional information including the following:

(i) Complete applicant information (i.e. legal name, Employer/Taxpayer Identification Number (EIN/TIN), DUNS number, address, etc.);

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(ii) Any attachments that support the budget request, such as vendor quotes and past invoices (optional). NOTE: PowerPoint presentations and copies of regulations or statutes are not needed and will not be reviewed; and

(iii) Certification regarding lobbying activities.

Each Applicant will be prompted to enter the information described above through the FedSTAR wizard. The FedSTAR wizard will automatically complete and submit the SF- 424 (Application for Federal Assistance), SF-424A (Budget Information for Non- Construction Programs), and the Certification Regarding Lobbying forms based on the applicant’s responses.

D.3 Dun and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM) Each applicant is required to: (i) Be registered in SAM before submitting its application;

(ii) provide a valid DUNS number in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration by PHMSA. PHMSA must not make a grant award to an applicant in support of the SDP grant program, until the applicant has complied with all applicable DUNS and SAM requirements. If an applicant has not fully complied with the requirements by the time PHMSA is ready to make an award, PHMSA may determine that the applicant is not qualified to receive a grant under the SDP grant program and use this determination as a basis for making an award to another applicant. PHMSA will review an applicant’s registration status to make a responsibility determination and to ensure that the applicant is responsible, current on all federal taxes, and is not on the list of parties excluded from federal awards.

NOTE: PHMSA recommends that Applicants review the SAM database to ensure that their DUNS number is updated and “active” for fiscal year 2015.

Link: https://www.sam.gov/portal/public/SAM/

D.4 Submission Dates and Times Complete applications must be received electronically through FedSTAR by 2:00pm Eastern Time on January 26, 2015. Applicants will receive an automated receipt of the date and time of submission when the application is submitted. PHMSA will only accept one (1) application from each State.

FedSTAR also requires the entire application package, to include the cover page, to be mailed to the following primary point of contact. An authorized signature is required.

ATTN: Janella Davis U.S. Department of Transportation Pipeline & Hazardous Materials Safety Administration Acquisition Services Division 1200 New Jersey Avenue, SE, Second Floor, E22-306 Washington, DC 20590

D.5 Intergovernmental Review The SDP grant program is excluded from coverage under Executive Order 12372, “Intergovernmental Review of Federal Programs.”

https://www.sam.gov/portal/public/SAM/

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D.6 Funding Restrictions Prohibition: Funds provided under a grant award may not be used for lobbying or in direct support of litigation.

Funds should not be used to cover costs associated with the normal operations of the one-call center. Funds may be requested to cover costs associated with equipment that is needed for a new project designed to align with one or more of the Nine Elements, as described in Section C.3 above. Funds should not be used to cover costs associated with regulatory compliance programs for pipeline operators. Applicants who received funding previously for a project that is ongoing and are requesting grant funding for the continuation of that project should provide a summary of accomplishments and tasks completed during the previous grant period. The information provided should include measurable results and deliverables, and also include any information about tasks that were not completed or other challenges encountered during the grant period.

Educational items: Federal regulation (2 CFR 200) prohibits the use of grant funding for promotional materials. However, funding may be provided for items that are educational in nature. When requesting funds for educational items, applicants should provide a general description of the items that will be purchased and plan for distribution of those items. It is important for applicants to also provide an explanation of how the proposal to purchase and distribute those items will help to improve the state damage prevention program with respect to the Nine Elements.

Meetings and conferences: Federal regulation (2 CFR 200) also addresses the use of grant funding for meetings and conferences. Costs of meetings and conferences are allowable if the primary purpose is the dissemination of technical information. This includes the costs of meals, transportation, rental of facilities, speakers’ fees, and other items incidental to such meetings or conferences. However, costs associated with entertainment, such as shows or sporting events, are not allowable, nor is the purchase of alcoholic beverages.

D.7 Other Submission Requirements See Section D.4 above.

SECTION E - APPLICATION REVIEW INFORMATION

E.1 Criteria PHMSA will use the following evaluation criteria to rate and select among competing applications. Each criterion will be weighted as follows: Criterion 1 is most heavily weighted;

Criterion 2 is second most heavily weighted; Criterion 3 is third most heavily weighted; Criterion 4 is fourth most heavily weighted; Criterion 5 is fifth most heavily weighted. In addition to the evaluation criteria, applications will be compared against each other. Submission of an application is not a guarantee of award. PHMSA may award a grant based on an application in its entirety, award only portions of a grant application, or not award an application at all.

An effective damage prevention program as stated in 49 U.S.C. §60134 (b) includes one or more of the nine (9) elements listed in Section C.3. Grant funding is available to assist States in aligning with one or more of these nine elements. The number of elements addressed in an application will not affect the evaluation of the application.

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Criterion 1. Relevance to the Nine Elements:

This criterion will be used to evaluate proposed work under each element addressed in the application. This criterion will be used to evaluate proposed projects that:

• Clearly link results to one or more of the nine elements.

• Have merit for advancing implementation or continued support of one or more of the nine elements within the state.

• Align with the meaning and intent of the nine elements as described in PHMSA’s

Damage Prevention Assistance Program (DPAP) Guide (available at http://primis.phmsa.dot.gov/comm/publications/DPAP-Guide-FirstEdition- 20080911.pdf?nocache=6648).

Proposed work under each element will be evaluated separately.

Criterion 2. Costs, Results, and Schedule:

This criterion will be used to evaluate proposed work under each element addressed in the application. This criterion will be used to evaluate proposed projects that:

• Will produce tangible results within the proposed project period.

• Establish clear goals, objectives, milestones, and estimates of project costs.

• Have deliverables that do not overlap with the deliverables of any other PHMSA grant award.

• Use funds efficiently and effectively.

Proposed work under each element will be evaluated separately.

Criterion 3. State’s Commitment to the Nine Elements:

This criterion will be used to evaluate the applicant’s description of existing damage prevention activities as they relate to the nine elements. This criterion will be used to evaluate applications that demonstrate that the State has made substantial progress toward, or has clear and concrete plans for, implementing the nine elements.

Criterion 4. State’s Commitment to Damage Prevention Program Effectiveness:

This criterion will be used to evaluate the applicant’s description of any legislative or regulatory actions (including studies, etc.) taken by the State within the past five (5) years pertaining to damage prevention program improvement. This criterion will be used to evaluate applications that demonstrate the State’s commitment to ensuring lasting damage prevention program effectiveness and continuing improvement, including any legislative and/or regulatory actions taken within the past five years or other significant activities, such as efforts of study groups or task teams established to analyze the State’s damage prevention program.

Criterion 5. Past Performance:

This criterion will be used to evaluate past performance of applicants who have received a PHMSA State Damage Prevention grant in the past. Past performance includes fulfillment of grant agreements in a timely manner and compliance with grant terms and conditions.

Applicants who received funding previously for a project that is ongoing and are requesting grant funding for the continuation of that project should provide a summary of accomplishments and tasks completed during the previous grant period. The information provided should include measurable results and deliverables, and also include any information about tasks that were not completed or other challenges encountered during the grant period.

Evaluation of applications from applicants who have not received a PHMSA State http://primis.phmsa.dot.gov/comm/publications/DPAP-Guide-FirstEdition-20080911.pdf?nocache=6648 http://primis.phmsa.dot.gov/comm/publications/DPAP-Guide-FirstEdition-20080911.pdf?nocache=6648

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Damage Prevention grant in the past will NOT be affected positively or negatively by this criterion.

In addition, PHMSA expects the proposed results of the projects to be factual, unbiased, verifiable, and repeatable to the extent practicable. Applicants should also be aware that a grant award will not convey any authority to grant recipients to secure information or cooperation from pipeline operators.

E.2 Review and Selection Process PHMSA will conduct an initial administrative review of each completed application to determine if it is complete and meets the eligibility requirements per Section C (Eligibility Information) and responsibility requirements. A team composed of representatives from damage prevention stakeholder groups will review and evaluate each completed application (against the evaluation criteria stated in Section E.1) that meets the eligibility requirements and provide recommendations for award. Final award decisions will be made by PHMSA and Departmental Leadership after taking into consideration the recommendations made by the technical and business evaluation team. For each of the above criteria, each member of the review team will score the application using the following guidelines:

Scoring Guideline Exceptional - The application demonstrates that the requirements of the FOA are very well understood and the approach will likely result in high quality performance. The application clearly addresses and exceeds requirements with no weaknesses. The application contains outstanding features that meet or exceed on multiple dimensions the expectations of the Government. The risk of poor performance is low.

Acceptable - The application demonstrates that the requirements of the FOA are understood and the approach will likely result in satisfactory performance. The application addresses and meets most requirements with some minor but correctable weaknesses noted. The application demonstrates at least minimum requisite experience, qualifications, and performance capabilities. The risk of poor performance is no more than moderate.

Unacceptable - The application does not meet the requirements of the FOA. The application fails to address many requirements or, although it addresses and may partially satisfy some requirements; major weaknesses and/or deficiencies are noted. The application could not satisfy critical requirements without a major revision and/or a rewrite of the application or a major redirection effort. The risk of poor performance is high.

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices Within the limit of funds available for such purpose, the PHMSA Agreement Officer will make grant awards to those responsible, eligible applicants whose applications are judged to have the most merit under the procedures set forth in this FOA. All funds provided by PHMSA under this FOA must be expended solely for the purpose for which the funds are awarded in accordance with the approved application and budget, regulations, terms and conditions of the award, applicable Federal cost principles, and the Department’s assistance regulations. Funds may not be used for lobbying or in direct support of litigation.

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The grant award/agreement, signed by both the PHMSA Agreement Officer and the State Principal Investigator (PI), is the authorizing document and this document will be provided through electronic means to the PI. When requested, this document will be provided through postal mail. The award document will provide pertinent instructions and information including, at a minimum, the following:

1) The Legal name and address of performing organization or institution;

2) Title of project;

3) Name(s) of key personnel chosen to direct and control approved activities;

4) Identifying award number assigned by the Department;

5) Project period, specifying the amount of time the Department intends to support the project;

6) Total amount of Departmental financial assistance approved for the project period;

7) Legal authority(ies) under which the award is issued;

8) Appropriate Catalog of Federal Domestic Assistance (CFDA) number;

9) Applicable award terms and conditions;

10) Approved budget plan for categorizing allocable project funds to accomplish the stated purpose of the award; and

11) Other information or provisions deemed necessary by PHMSA to carry out its respective awarding activities or to accomplish the purpose of a particular award.

F.2 Administrative and National Policy Requirements Several Federal statutes and regulations apply to grant applications considered for review and grants awarded under this program. See Attachment 1: Terms and Conditions of this announcement for a list of statutes and regulations that are applicable to this funding opportunity.

F.3 Reporting Six (6) months after the effective date of the grant award (progress report) and at the end of the grant period (final report), each recipient must provide a letter-type written report that includes the following information:

1. A comparison of actual accomplishments to the objectives established for the period.

2. Where the output of the project can be quantified, a computation of the cost per unit of output.

3. The reasons for slippage if established objectives were not met.

In total, four (4) reports (Progress Report, Final Report, Mid-term Financial Status Report, and Final Financial Status Report) on the deliverables funded by the grant will be required.

In addition to the information above, the reports must include the following (1) a description of how the funds were used to improve the State damage prevention program; (2) documentation of actual expenses; and (3) a separate report summary not exceeding one page in length. PHMSA will review the final reports to ensure that grant objectives were satisfactorily implemented. All applications and reports will be made available to the public.

Payments: Award recipients may request up to 50% of the total federally funded amount upon complete execution of the grant award. The remaining amount may be requested upon receipt and approval (by the PHMSA Agreement Officer) of a mid-term progress report (see reporting requirements above).

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SECTION G - FEDERAL AWARDING AGENCY CONTACT(S)

Questions Regarding How to Apply Carrie Winslow Phone: (757) 689-3168 Email: carrie.winslow@dot.gov

Grant Related Questions Primary Point of Contact:

Janella Davis, Agreement Administrator (AA) United States Department of Transportation Pipeline & Hazardous Materials Safety Administration Acquisition Services Division (PHA-30) 1200 New Jersey Avenue, SE, E22-306 Washington, D.C. 20590 Phone: (202) 366-4059 E-mail: janella.davis@dot.gov

Secondary Point of Contact:

Warren Osterberg, Agreement Officer (AO) United States Department of Transportation Pipeline & Hazardous Materials Safety Administration Acquisition Services Division 1200 New Jersey Avenue, SE, E22-317 Washington, D.C. 20590 Phone: (202) 366-6942 E-mail: warren.osterberg@dot.gov

Grants.gov Questions Grants.gov Contact Center Phone: (800) 518-4726 E-mail: support@grants.gov

SECTION H - OTHER INFORMATION

H.1 PHMSA’s Strategic Plan PHMSA released its Strategic Plan for 2012-2016 that outlines how it will achieve its mission in the coming years to support the Secretary’s Strategic goals for State of Good Repair, Economic Competitiveness, and Livable Communities.

H.2 Mission and Vision Our mission is to protect people and the environment from the risks of hazardous materials transportation by pipeline and other modes of transportation. To accomplish this, we establish national policy, implement and enforce standards, educate, and conduct research to prevent incidents. We also support the efforts of the public and first responders to reduce consequences if an incident does occur.

Our vision is that no harm to people and communities results from hazardous materials transportation. We do not accept death as an inevitable consequence of transporting hazardous mailto:carrie.winslow@dot.gov mailto:janella.davis@dot.gov mailto:warren.osterberg@dot.gov mailto:support@grants.gov

US DOT/PHMSA Page 17 of 17 materials, so we will work continuously to find innovative ways to reduce risk toward zero deaths, injuries, environmental and property damage, and transportation disruptions.

H.3 Challenges and Strategies Some of the key challenges we expect to address over the next 5-10 years include the following:

• Changes in risk exposure

• Excavation and other outside force damage to pipelines

• Human error and poor safety culture

• Understanding and targeting risk

• Mitigation and response

• Shared responsibility and collaboration with others

• Advances in technology

• Public perceptions of risk

Our general strategies include:

• Better understanding and targeting risks

• Strengthening our standards

• Strong enforcement

• Promoting strong safety culture and safety management systems

• Expanding public education/awareness

• Leveraging technology & research

H.4 Miscellaneous Enhance the “811 – Call Before You Dig” program: PHMSA addresses the prevention of pipeline damage from excavation at the State and local levels by encouraging everyone to call 811 before they dig. In order to make this a natural part of initiating a digging project, efforts will focus on increased visibility and public awareness, supporting states and the Common Ground Alliance through state grants, targeted promotion, and participation in committees to broaden awareness of 811.

Mitigation and response: We reduce risk by preventing failures wherever possible, and by reducing the consequences of failures that do occur. While our primary focus is prevention, we recognize that accidents can still occur. Critical factors to effectively mitigate the harm are improved measures to detect and control releases, and a strong and effective response capability.

ATTACHMENT 1

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Grant and Cooperative Agreement - Award Terms and Conditions (updated November, 2014)

Department of Transportation

Pipeline and Hazardous Materials Safety Administration (PHMSA)

Grant and Cooperative Agreement Terms and Conditions

Table of Contents

1. Definitions

2. Recipient Responsibilities

3. Compliance with Award Terms and Conditions

4. Order of Precedence

5. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for

Federal Awards

6. Restrictions on Use of Funds for Lobbying or in Support of Litigation

7. Nondiscrimination

8. Governmentwide Debarment and Suspension (Non-procurement)

9. Drug-Free Workplace

10. eInvoicing

11. Payments

12. Adherence to Original Project Objectives and Budget Estimate

13. Prior Approvals

14. Contracting with Small and Minority Firms

15. Seat Belt Use Policies and Programs

16. Ban on Text Messaging While Driving

17. Rights in Technical Data

18. Notice of News Releases, Public Announcements, and Presentations

19. Violation of Award Terms

20. Fraud, Waste, or Abuse

21. Reporting Grantee Executive Compensation, and First Tier Sub-Awards

22. Call Before You Dig Program

23. Access to Electronic and Information Technology

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1. Definitions

a) Recipient – An organization receiving financial assistance directly from Federal awarding agencies to carry out a project or program.

b) Agreement Officer (AO) – The AO has full authority to negotiate, administer, and execute all business matters of the award. Further, should any changes to the scope, budget, schedule, or any other terms become necessary, only the AO has the authority to amend the award.

c) Agreement Administrator (AA) – The AA is responsible for the daily administration of the award. The AA is NOT AUTHORIZED to change the scope, budget, specifications, and terms and conditions as stated in the award, to make any commitments that otherwise obligates the Government or authorize changes which affect the award budget, delivery schedule, period of performance, or other terms and conditions.

d) Agreement Officer’s Representative (AOR) – The AOR assists in monitoring the work under the award. The AOR will oversee the technical administration of the award and will act as a technical liaison with the performing organization. The AOR is NOT AUTHORIZED to change the scope, budget, specifications, and terms and conditions as stated in the award, to make any commitments that otherwise obligate the Government or authorize changes which affect the award budget, delivery schedule, period of performance, or other terms and conditions.

e) Principal Investigator (PI) – The PI is the individual designated by the Recipient and approved by PHMSA who is responsible for the technical direction of the project. The PI cannot be changed or become someone substantially less involved than was indicated in the Recipient’s proposal, without prior written approval of the Agreement Officer.

2. Recipient Responsibilities

In accepting a PHMSA financial assistance award (grant or cooperative agreement), the Recipient assumes legal, financial, administrative, and programmatic responsibility for administering the award in accordance with the laws, rules, regulations, and Executive Orders governing grants and cooperative agreements, and these Award Terms and Conditions, including responsibility for complying with any provisions included in the award.

Failure to comply with these requirements may result in suspension or termination of the award and PHMSA recovery of funds.

3. Compliance with Award Terms and Conditions Submission of a signed Request for Advance or Reimbursement (payment request) form constitutes the Recipient’s agreement to comply with and spend funds consistent with all the terms and conditions of this award.

4. Order of Precedence Any inconsistency or conflict in the terms and conditions specified in this award will be resolved according to the following order of precedence:

a) The Federal statute authorizing this award or any other Federal statutes, laws, regulations or directives directly affecting performance of this award.

b) Terms and Conditions of this award.

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5. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for

Federal Awards (2 CFR 200) The recipient (and any subrecipients) must comply with these requirements including the cost principles which apply to the recipient, and the audit requirements the recipient must follow. A recipient which expends $750,000 or more of federal funds, in the recipient’s fiscal year, must have an audit conducted.

2 CFR 200 is incorporated by reference into this award

6. Restrictions on Use of Funds for Lobbying or in Support of Litigation The Recipient may not conduct political lobbying, as defined in the statutes, regulations, and 2 CFR 200.450– “Lobbying,” within the Federally-supported project. The Recipient may not use Federal funds for lobbying specifically to obtain grants and cooperative agreements.

The Recipient must comply with 49 CFR 20, U.S. Department of Transportation “New Restrictions on Lobbying.” Also, under 49 U.S.C. 60134 (g) the Recipient is prohibited from using funds provided under this agreement in direct support of litigation.

49 CFR 20 is incorporated by reference into this award.

7. Nondiscrimination

The Recipient must comply with Title VI of the Civil Right Act of 1964, which provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied benefits of, be subject to discrimination under any program or activity receiving Federal financial assistance. The Recipient must comply with 49 CFR 21, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964”

49 CFR 21 is incorporated by reference into this award.

In an effort to ensure that all Recipients of PHMSA funds are aware of their responsibilities under the various civil rights laws and regulations, the PHMSA Office of Civil Rights has developed an information tool and training. These documents are found on the PHMSA website at http://www.phmsa.dot.gov/org/civilrights/grantrecipientinformation. If you should have any questions concerning your responsibilities under the External Civil Rights Program, please contact Rosanne Goodwill, Civil Rights Director, at 202-366-9638 or by e-mail at rosanne.goodwill@dot.gov.

8. Government-wide Debarment and Suspension (Non-procurement) The Recipient must review the “list of parties excluded from federal procurement or non-procurement programs” located on the System for Award Management (SAM) website before entering into a sub-award. https://www.sam.gov

The Recipient must comply with the provisions of EO 12549, “Debarment and Suspension.”

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?SID=fb675fb7932e3ccc3915e771986e9f6a&node=pt2.1.200&rgn=div5#se2.1.200_1450 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.14&idno=49 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.15&idno=49 http://www.phmsa.dot.gov/org/civilrights/grantrecipientinformation mailto:rosanne.goodwill@dot.gov https://www.sam.gov/

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2 CFR 1200 “Non-procurement Suspension and Debarment” is incorporated by reference into this award.

The Recipient must inform the AO if the recipient suspends or debars a sub-awardee.

9. Drug-Free Workplace The Recipient must comply with the provisions of Public Law 100-690, Title V, Subtitle D, “Drug-Free Workplace Act of 1988,” which require the Recipient to take steps to provide a drug-free workplace. The Recipient must comply with 49 CFR 32, “Government-wide Requirements for Drug Free Workplace (Financial Assistance)” which is incorporated by reference into this award.

10. eInvoicing (PHMSA July 2012) Recipients of PHMSA grants, cooperative agreements, and other transaction agreements (OTA) must use the Delphi eInvoicing System.

A. Recipients’ Requirements:

Recipients must:

• have internet access to register and submit payment requests through the Delphi eInvoicing system.

• submit payment requests electronically, and receive payment electronically.

B. System User Requirements:

• Contact the PHMSA Agreement Administrator directly to sign up for the system.

PHMSA will provide the recipient’s name and email address to the DOT Financial Management…