amendment 000001 to foa dtph5615sn0002.pdf

FOA #DTPH5615SN0002

ATTACHMENT A

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Grant Opportunity

Pipeline Safety Information Grants to Communities - Technical Assistance Grants

(TAG)

Fiscal Year 2015

Closing Date: April 22, 2015 Closing Time: 2:00 PM Eastern Time

Catalog of Federal Domestic Assistance Number (CFDA)

20.710 “Technical Assistance Grants”

PHMSA Funding Opportunity Announcement (FOA)

DTPH5615SN0002

US DOT PHMSA Page 2 of 13 Technical Assistance Grants - FOA

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 Businesses

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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Program Summary

Federal Agency Name: U.S. Department of Transportation (DOT) Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Federal Agency Contact: PHMSA

Acquisition Services Division 1200 New Jersey Avenue, SE, E22-305 Washington, D.C. 20590 Attn: Saurabh Vasudeva

Funding Opportunity Title: “Pipeline Safety Information Grants to Communities -

Technical Assistance Grants (TAG)”

Announcement Type: Initial announcement.

Funding Opportunity Number: DTPH5615SN0002

CFDA Number: 20.710

Eligible Applicants: Applicants for Technical Assistance Grants must be local communities or groups of individuals (not including for-profit entities) relating to the safety of pipeline facilities in local communities, other than facilities regulated under Public Law 93-153 (43 U.S.C.

1651 et seq.). Eligible applicants include cities, towns, villages, counties, parishes, townships, and similar governmental subdivisions, or consortiums of such subdivisions.

Dates: Grant Opportunity Issue Date: February 2, 2015

Application Due Date: April 22, 2015, 2:00 PM ET.

Questions on how to apply: Carrie Winslow

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

Grant Related Questions: Saurabh Vasudeva

(202) 366-4429 saurabh.vasudeva@dot.gov

Grants.gov Questions: Grants.gov Contact Center

(800) 518-4726 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 local communities and groups of individuals (not including for-profit entities) to obtain funding for technical assistance in the form of engineering or other scientific analysis of pipeline safety issues affecting the local community or to help promote public participation in official proceedings (excluding non-official proceedings) pertaining to pipeline safety issues.

A.2 Program Authority (Statute and Regulation)

49 U.S.C. 60130, Pipeline Safety Information Grants to Communities, also known as Technical Assistance Grants (TAG).

A.3 Background

Experience shows that informed communities play a vital role in the safety and reliability of pipeline operations. The Technical Assistance Grants (TAG) program, first authorized in the Pipeline Safety Improvement Act of 2002 (Act) (P. L. 107-355, codified at 49 U.S.C. 60130), offers new opportunities to strengthen the depth and quality of public participation in pipeline safety matters. Section 9 of the Act, titled: “Pipeline Safety Information Grants to Communities” authorized the Secretary of Transportation to make grants to local communities and organizations for technical assistance relating to pipeline safety issues. The TAG program has been amended by Section 5 of the Pipeline Inspection, Protection, Enforcement and Safety Act of 2006 (PIPES Act of 2006) (P.L. 109-468) and the Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 (P.L. 112-90).

These grants will allow communities and groups of individuals to obtain funding for technical assistance in the form of engineering or other scientific analysis of pipeline safety issues and help promote public participation in official proceedings. For purposes of grants eligibility, communities are defined as cities, towns, villages, counties, parishes, townships, and similar governmental subdivisions, or consortiums of such subdivisions. A nongovernmental group of individuals is eligible for a grant under the TAG program if its members are affected or potentially affected individuals who are incorporated as a non-profit organization in the state where they are located.

SECTION B – FEDERAL AWARD INFORMATION

B.1 Funding The Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 has authorized up to $1,500,000 per year for the TAG program (49 U.S.C. 60130 (d)). The amount of any grant may not exceed $100,000 for a single grant recipient. However, total available funding and the maximum award amount are contingent upon an enacted budget appropriating funding for the program.

The funds authorized for these grants may not be derived from user fees collected under 49 U.S.C. 60301.

B.2 Period of Performance

PHMSA anticipates the period of performance to be twelve (12) months from the date of award

US DOT PHMSA Page 5 of 13 for each grant. Applicants must apply only for funding that can reasonably be spent within 12 months of the time of award. The performance period of a project must be 12 months or less.

PHMSA anticipates that awards will be made during the fourth quarter of FY 2015. When planning for the TAG grant projects, applicants should consider having their grant projects begin towards the end of the fourth quarter of FY 2015.

B.3 Type of Award

Subject to an enacted budget, PHMSA intends to award multiple Technical Assistance Grants as a result of this funding opportunity announcement (FOA). The number of awards will depend on the quality of applications, the number of applications received, and the dollar amounts requested. 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. TAG recipients from previous years are eligible to apply for a 2015 TAG. Applications should be for new projects and not for renewal or supplementation of existing projects.

SECTION C – ELIGIBILITY INFORMATION

C.1 Eligible Applicants

Applicants for Technical Assistance Grants must be local communities or groups of individuals, (communities and non-profit groups) relating to the safety of pipeline facilities in local communities, other than facilities regulated under Public Law 93-153 (43 U.S.C. 1651 et seq.).

For-profit entities are not eligible for Technical Assistance Grants. Eligible applicants include cities, towns, villages, counties, parishes, townships, and similar governmental subdivisions, or consortiums of such subdivisions.

C.2 Cost Sharing

There are no cost-sharing requirements.

C.3 Other Institutions of higher education are not eligible for TAG funding.

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:

(1) Keyword(s): Technical Assistance Grant

(2) Funding Opp #: DTPH5615SN0002

(3) CFDA Number: 20.710

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, of this funding opportunity announcement (FOA). FedSTAR will build the application package, including all required forms, for final submission through Grants.gov. Therefore, applicants must submit an application through FedSTAR.

To begin the process, applicants must be registered at both FedSTAR and www.grants.gov to submit an application online as required. It is highly recommended that

US DOT PHMSA Page 6 of 13 applicants begin the registration process as soon as possible to avoid delays. 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/register.html, or go to the main page at http://www.grants.gov/ and click on “Register.” Please note that 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. Carrie Winslow may also be able to help answer questions on applying for Grants.gov usernames/passwords as they specifically relate to the TAG program and can be reached at carrie.winslow@dot.gov or

(757) 689-3168.

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

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

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

A. As part of the FedSTAR wizard, applicants will be asked to provide the following information:

1. Provide a clear and concise description of the work this grant will fund;

2. Describe the proposed project scope, goals, and objectives that focus on areas where a pipeline failure could pose a significant risk to people or to unusually sensitive environmental areas (see definition in 49 C.F.R. 195.6);

3. Describe the specific concerns the proposed project will address, including the range of risks that affected pipelines pose to the affected geographic area and the risks pipelines pose to the community;

4. Describe how the proposed project will foster open communication with affected pipeline operators and partnerships with other key members of the community to ensure project success;

5. Describe how the proposed project is designed to improve performance and safety over time and align with the challenges and strategies in PHMSA’s Strategic Plan (see Section H.1) in areas such as engineering, damage prevention, land use, public education, emergency response, and/or community awareness;

6. Describe the specific project plan including resources, milestones, and estimated project costs that align with proposed project goals and objectives;

7. Describe how proposed project results and deliverables will be measured, evaluated and disseminated to affected stakeholders; and

8. Describe how the proposed project provides the potential for learning or technology transfer to other groups and communities.

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B. Additional information, including the following:

1. Complete applicant information (i.e., legal name, Employer/Taxpayer

Identification Number (EIN/TIN), DUNS number, address, etc.);

2. Any attachments that support the budget request, such as vendor quotes and past invoices (optional); and

3. Certification regarding lobbying activities.

[NOTE:

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

If your budget includes personnel costs, please include a complete breakdown, including personnel title/position, hourly rate, and the number of hours expected to be spent by each personnel on the proposed project.

If your proposal includes travel costs, please include adequate details on how the cost has been calculated including travel fare, etc.

If your proposal includes equipment costs, please include adequate details on how the cost has been calculated, including information on each specific equipment piece(s) required and their individual costs.

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, SF-424A, and the lobbying forms based on the applicant’s responses.

C. 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.

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 may not make a grant award to an applicant in support of the TAG program, until the applicant has complied with all applicable DUNS and SAM requirements. PHMSA will review an applicant’s SAM registration status to make a responsibility determination.

D.4 Submission Dates and Times

Complete applications must be received electronically through FedSTAR and Grants.gov by 2:00 PM Eastern Time on April 22, 2015. Applicants will receive an automated receipt of the date and time of application submission.

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

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D.6 Funding Restrictions

Funds provided under a grant award may not be used in direct support of litigation, lobbying, or for direct advocacy for or against a pipeline construction or expansion project.

Changes in project scope, budget, objectives, project period, or key personnel will require advance written approval by the PHMSA Agreement Officer.

While operators of municipal pipeline systems are considered communities and are eligible for a TAG, the funds may not be used for activities associated with regulatory compliance or typical operations and maintenance of pipeline facilities. This restriction includes compliance with pipeline safety integrity management regulations.

When applying for projects that may include the purchase of equipment, applicants are encouraged to use the Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) authorized equipment list. Equipment purchases must specifically relate to pipeline safety risk assessment. New or novel equipment may still be used or included, but additional explanation or justification may be required by PHMSA before the expenditure can be approved.

D.7 Other Submission Requirements See Attachment 1: Terms and Conditions of this announcement for a list of statutes and regulations that discuss allowable uses of funds.

PHMSA will only approve applications from non-profit municipal pipeline operators that propose project work that clearly exceeds what is required of pipeline operators under existing pipeline safety regulations. Examples of eligible project work include, but are not limited to:

• Adopting Pipelines and Informed Planning Alliance (PIPA) recommended practices (http://www.pipa-info.com);

• Increasing awareness of “811 – Call Before You Dig” program (http://www.call811.com);

• Developing information or technologies that could aid in pipeline emergency response, pipeline excavation damage prevention, risk-informed land use planning, community awareness, public education, and engineering (except activities already required by existing regulations); and,

• Understanding and fulfilling data needs to improve data analysis.

Questions regarding the eligibility of specific activities may be directed to Saurabh Vasudeva at saurabh.vasudeva@dot.gov or (202) 366-4429.

For summaries of past TAG projects, including all final reports that have been submitted to PHMSA to date, visit http://primis.phmsa.dot.gov/tag. Please note that in the first two years of the TAG program (2009 and 2010), the FOA did not explicitly prohibit the use of funds for regulatory compliance or operations and maintenance by municipal operators.

SECTION E – APPLICATION REVIEW INFORMATION

E.1 Evaluation Criteria

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PHMSA developed TAG evaluation criteria to be used to rate and select among competing applications. Each criterion will be weighted equally and is intended to align with the challenges and strategies in PHMSA’s Strategic Plan, Section H.1. 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.

Applications will be evaluated against the evaluation criteria below:

1. The extent to which the Applicant’s project scope establishes clear goals and objectives that focus on areas where a pipeline failure could pose a significant risk to people or to unusually sensitive environmental areas (see definition in 49 C.F.R 195.6);

2. The extent to which the Applicant’s project scope identifies specific pipeline safety concerns or risks to address in affected geographic areas to stakeholders and/or communities;

3. The extent to which the proposal demonstrates the Applicant’s experience with and commitment to foster open communication with affected operators and other key members of the community to ensure project success;

4. The extent to which the Applicant’s project aligns with the challenges and strategies in PHMSA’s Strategic Plan and seeks to improve performance and safety over time in areas such as engineering, damage prevention, land use, public education, emergency response, and community awareness;

5. The extent to which the Applicant’s project plan clearly establishes resources, milestones, and estimated project costs that align with project goals and objectives;

6. The extent to which the Applicant’s project plan identifies measureable results and deliverables and specifies how results will be evaluated and disseminated to affected stakeholders; and

7. The extent to which the Applicant’s project scope provides the potential for learning or technology transfer to other groups and communities.

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 and responsibility requirements. A team composed of representatives from local, state, and the Federal Government with expertise in pipeline safety will review and evaluate each completed application that meets the eligibility requirements and provide recommendations on awards. Final award decisions will be made by PHMSA and Departmental Leadership after taking into consideration the recommendations made by the evaluation team. Note: All Federal award recipients are required to register and maintain an active status in the System for Award Management (SAM) which can be accessed at https://www.sam.gov/portal/public/SAM/#1.

PHMSA will review potential grant recipients’ status in SAM to make a responsibility determination.

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Scoring Guideline

Exceptional The application demonstrates that the requirements of the FOA are very well understood and the approach will likely result in a very 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 very 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 requirements with some minor but correctable weaknesses.

The application demonstrates 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 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

Based on the availability of a current fiscal year appropriation and enacted budget, PHMSA’s awarding official will make grants to those responsible, eligible applicants whose applications are judged most meritorious under the procedures set forth in this FOA. All funds granted by PHMSA under this FOA must be expended solely for the purpose for which the funds are granted 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 in direct support of litigation, lobbying, or for direct advocacy for or against a pipeline construction or expansion project.

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 CFDA number;

9) Applicable award terms and conditions attached with the grant award at the time of

US DOT PHMSA Page 11 of 13 award notification;

10) Approved total budget 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 TAG recipients must submit a letter type mid-term progress report half-way through the grant performance period, and, a letter type final report at the end of the grant performance period.

The mid-term progress report and the final report must include the following:

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; and,

3) The reasons for delays if established objectives were not met.

Further, the final report must demonstrate completion of the work as outlined in the grant agreement.

In addition, each recipient of a grant must ensure that:

1) The technical findings made possible by the grants are made available to the relevant pipeline operators; and

2) Open communication is maintained between the grant recipients, local operators, local communities, and other interested parties.

In total, four (4) reports (a mid-term progress report, a mid-term financial status report, a final report, and a final financial report on the deliverables funded by the grant will be required. Standard Form 425 (SF-425) must be used for submission of the mid-term and final financial status reports.

Payments: Recipients may request up to 50 percent of the total federally funded amount of the award upon complete execution of the grant agreement. The remaining amount may be requested upon receipt and approval (by the PHMSA Agreement Officer and Agreement Officer’s Representative) of the mid-term progress report.

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

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

Grant Related Questions

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Primary Point of Contact:

Saurabh Vasudeva, Agreement Administrator Acquisition Services Division Pipeline and Hazardous Materials Safety Administration United States Department of Transportation 1200 New Jersey Avenue, SE, E22-305 Washington, D.C. 20590 Phone: (202) 366-4429 Email: saurabh.vasudeva@dot.gov

Secondary Point of Contact:

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

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

SECTION H – OTHER INFORMATION

H.1 PHMSA’s Strategic Plan

PHMSA’s Strategic Plan for 2012-2016 outlines how the agency will achieve its mission to support the Secretary’s Strategic goals for State of Good Repair, Economic Competitiveness, and Livable Communities. The TAG projects must align with the agency’s Strategic Plan. The Strategic Plan is available at http://www.phmsa.dot.gov/about/mission.

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 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

• Aging/obsolete pipeline infrastructure

• Excavation and other outside force damage to pipelines

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• 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 the following:

• Better understanding and targeting risks

• Strengthening our standards

• Strong enforcement

• Promoting strong safety culture and safety management systems

• Expanding public education/awareness

• Collaborating with others

• Leveraging technology and research

Attachment 1 to ATTACHMENT A

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Grant and Cooperative Agreement - Award Terms and Conditions (updated January, 2015)

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 Businesses

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 – A non-Federal entity that receives a Federal award directly from a

Federal awarding agency to carry out an activity under a Federal program. The term “recipient” does not include subrecipients.

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.

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. If PHMSA determines that noncompliance by the Recipient cannot be remedied by imposing additional conditions, PHMSA may take one or more of the following actions, as appropriate in the circumstances:

a) Temporarily withhold cash payments pending correction of the deficiency by the Recipient.

b) Disallow all, or part of, the cost of the activity or action not in compliance.

c) Wholly or partly suspend or terminate the Federal award.

d) Initiate suspension or debarment proceedings as authorized under 2 CFR part 180.

e) Withhold further Federal awards for the project or program.

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f) Take other remedies that may be legally available.

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.

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.”

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 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

US DOT PHMSA Page 4 of 13 before entering into a sub-award. https://www.sam.gov No sub-award may be issued to an entity or person identified in the “list of parties excluded from federal procurement or non-procurement programs.”

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 Office. The DOT Financial Management Office will then invite the recipient to sign up for the system.

• DOT will send the recipient a form to verify identity. The recipient must complete the form, and present it to a Notary Public for verification. The recipient will return the notarized form to:

DOT Enterprise Service Center FAA Accounts Payable, AMK-316 PO Box 25710 Oklahoma City, OK 73125

• DOT will validate the information on the form and email a user ID and password to the recipient. Contact the PHMSA Agreement Administrator with any changes to the recipient’s system information.

Note: Additional information, including access forms and training materials, can be found on the DOT eInvoicing website (http://www.dot.gov/cfo/delphi-einvoicing-system.html)

C. Waivers https://www.sam.gov/ http://www.ecfr.gov/cgi-bin/text-idx?SID=3c977723715770f312d27c5d38f98c6e&node=pt2.1.1200&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49:1.0.1.1.25&idno=49 http://www.dot.gov/cfo/delphi-einvoicing-system.html http://www.dot.gov/cfo/delphi-einvoicing-system.html

US DOT PHMSA Page 5 of 13

DOT Financial Management officials may, on a case by case basis, waive the requirement to register, and use, the electronic payment system. Waiver request forms can be obtained on the DOT eInvoicing website (http://www.dot.gov/cfo/delphi-einvoicing-system.html) or by contacting the PHMSA Agreement Administrator.

Recipients must explain why they are unable to use or access the internet to register and enter payment requests.

All waiver requests should be sent to:

- Director of the Office of Financial Management, U.S. Department of Transportation, Office of Financial Management, B-30, Room W93-431, 1200 New Jersey Avenue SE, Washington DC 20590-0001, DOTElectronicInvoicing@dot.gov. The Director of the DOT Office of Financial Management will confirm or deny the request within approximately 30 days.

- A copy of the form should also be sent to U.S. Department of Transportation, PHMSA, Acquisition Services Division (PHA-30), Agreement Officer, 1200 New Jersey Avenue SE, Washington DC 20590-0001, Warren.Osterberg@dot.gov

If a recipient is approved for a waiver, the recipient should submit all hard-copy invoices directly to:

U.S. Department of Transportation Federal Aviation Administration, MMAC Financial Operations, AMK-316 P.O. Box 269039 Oklahoma City, Oklahoma 73126-9039 ATTN: Ms. Margaret Gorman

(405) 954-7468

11. Payments (PHMSA March 2014) Recipients, upon receipt of the fully executed award document, may request up to 50% of the total federally funded amount of the award. The remaining amount may be requested, upon receipt and approval, (by the PHMSA Agreement Officer) of the “Mid-Term Report.”

Advance payments or Reimbursement payments will be made after the electronic receipt via iSupplier of “Request for Advance or Reimbursement” (Standard Form SF- 270).

a) Method of payment.

i) The Government will make all payments under this agreement by electronic funds transfer (EFT), except as provided by paragraph (a)(ii) of this clause.

As used in this clause, the term “EFT” refers to the funds transfer and may also include the payment information transfer.

ii) If the Government is unable to release one or more payments by EFT, the Recipient agrees either to –

(a) Accept payment by check or some other mutually agreeable method of payment; or

(b) Request the Government to extend the payment due date until such time as the Government can make payment by EFT (but see paragraph d. of this clause).

http://www.dot.gov/cfo/delphi-einvoicing-system.html http://www.dot.gov/cfo/delphi-einvoicing-system.html mailto:DOTElectronicInvoicing@dot.gov mailto:Warren.Osterberg@dot.gov

US DOT PHMSA Page 6 of 13

b) Recipient’s EFT information. The Government will make payment to the Recipient using the EFT information contained in the System for Award Management (SAM) database. If the EFT information changes, the Recipient is responsible for providing the updated information into the System for Award Management (SAM) at:

https://www.sam.gov

c) Mechanisms for EFT payment. The Government may make payment by EFT through either the Automated Clearing House (ACH) network, subject to the rules of the National Automated Clearing House Association, or the Fedwire Transfer System. The rules governing Federal payments through the ACH are contained in 31 CFR Part 210.

d) Suspension of payment. If the Recipient’s EFT information in the SAM database is incorrect, the Government is not obligated to make payment to the Recipient under this agreement until the correct EFT information is entered into the SAM database.

An invoice or agreement-financing request is not a proper invoice for the purpose of prompt payment under this agreement.

e) Recipient EFT arrangements. If the Recipient has identified multiple payment receiving points (i.e., more than one remittance address and/or EFT information set) in the SAM database, and the Recipient has not notified the Government of the payment receiving point applicable to this agreement, the Government will make payment to the first payment receiving point (EFT information set or remittance address as applicable) listed in the SAM database.

f) Liability for uncompleted or erroneous transfers.

i) If an uncompleted or erroneous transfer occurs because the Government used the Recipient’s EFT information incorrectly, the Government remains responsible for –

(a) Making a correct payment;

(b) Paying any prompt payment penalty due; and

(c) Recovering any erroneously directed funds.

ii) If an uncompleted or erroneous transfer occurs because the Recipient’s EFT information was incorrect, or was revised within 30 days of Government release of the EFT payment transaction instruction to the Federal Reserve System, and –

(a) If the funds are no longer under the control of the payment office, the Government is deemed to have made payment and the Recipient is responsible for recovery of any erroneously directed funds; or

(b) If the funds remain under the control of the payment office, the Government will not make payment, and the provisions of paragraph

d. of this clause apply.

g) EFT and prompt payment. A payment will have been made in a timely manner in accordance with the prompt payment terms of this agreement if, in the EFT payment transaction instruction released to the Federal Reserve System, the date specified for settlement of the payment is on or before the prompt payment due date, provided the specified payment date is a valid date under the rules of the Federal Reserve System.

h) EFT and assignment of claims. If the Recipient assigns the proceeds of this agreement, the Recipient must require, as a condition of any such assignment, that the assignee register in the SAM database and be paid by EFT in accordance with the terms of this clause. In all respects, the requirements of this clause will apply to the assignee as if it were the Recipient. EFT information that shows the ultimate recipient of the transfer to be other than the Recipient, in the absence of a proper

US DOT PHMSA Page 7 of 13 assignment of claims acceptable to the Government, is incorrect EFT information within the meaning of paragraph d. of this clause.

i) Liability for change of EFT information by financial agent. The Government is not liable for errors resulting from changes to EFT information made by the Recipient’s financial agent.

j) Payment information. The payment or disbursing office will forward to the Recipient available payment information that is suitable for transmission as of the date of release of the EFT instruction to the Federal Reserve System. The Government may request the Recipient to designate a desired format and method(s) for delivery of payment information from a list of formats and methods the payment office is capable of executing. However, the Government does not guarantee that any particular format or method of delivery is available at any particular payment office and retains the latitude to use the format and delivery method most convenient to the Government. If the Government makes payment by check in accordance with paragraph a. of this clause, the Government will mail the payment information to the remittance address contained in the SAM database.

(End of Provision)

12. Adherence to Original Project Objectives and Budget Estimates

a) The Recipient is responsible for any commitments or expenditures it incurs in excess of the funds provided by an award. Pre-award costs are those incurred prior to the effective date of the Federal award directly pursuant to the negotiation and in anticipation of the Federal award where such costs are necessary for efficient and timely performance of the scope of work. Such costs are allowable only to the extent that they would have been allowable if incurred after the date of the Federal award, and only with the written approval of the PHMSA Agreement Officer.

b) The Recipient must submit any proposed change, that requires PHMSA’s written approval, 30 days prior to the requested effective date of the proposed change.

PHMSA will not approve any change to the award during the last 30 days of the award period.

13. Prior Approvals

a) The following expenditures require the AO’s advance written approval:

i) Changes in the scope, objective, or key personnel referenced in the

Recipient’s proposal.

ii) Change in the project period. PHMSA must receive this request no later than

30 calendar days prior to the end of the project period. The Recipient must submit a revised budget indicating the planned use of all unexpended funds during the extension period.

b) The Recipient must submit a revised financial estimate and plan for i) and ii) above.

c) The AA will notify the Recipient in writing within 30 calendar days after receipt of the request for revision or adjustment whether the request has been approved.

14. Contracting with Small Businesses, Small Minority-Disadvantaged Businesses, and Small Businesses which are Women-Owned, Veteran-Owned, Disabled Veteran-Owned or located in HubZone Areas

a) It is the Department of Transportation (DOT) policy to award a fair share of contracts to small businesses, small minority-disadvantaged business, and small businesses which are women-owned, veteran-owned, disabled veteran-owned or located in a

US DOT PHMSA Page 8 of 13

HubZone. DOT is strongly committed to the objectives of this policy and encourages all Recipients of its Grants and Cooperative Agreements to take affirmative steps to ensure such fairness on the awarding of any subcontracts.

b) The Recipient and any Sub-recipients are encouraged to take all necessary affirmative steps to assure that small businesses, small minority-disadvantaged businesses, and small businesses which are women-owned, veteran-owned, disabled veteran-owned, or located in a HUBZone are used when possible.

c) Affirmative steps include:

i) Placing qualified small businesses, small minority-disadvantaged businesses, and small businesses which are women owned, veteran-owned, disabled veteran-owned, or located in a HUBZone on solicitation lists;

ii) Assuring that small businesses, small minority-disadvantaged businesses, and small businesses which are women-owned, veteran-owned, disabled veteran-owned or located in a HUBZone are solicited whenever they are potential sources;

iii) Dividing total requirements, when economically feasible, into small tasks or quantities to permit maximum participation by small businesses,small minority-disadvantaged businesses, and small businesses which are women-owned, veteran-owned, disabled veteran-owned, or located in a HUBZone;

iv) Establishing delivery schedules, when economically feasible, into small tasks or quantities to permit maximum participation by small businesses, small minority-disadvantaged businesses, and small businesses which are women-owned, veteran-owned, disabled veteran-owned, or located in a HUBZone;

and

v) Using the services and assistance of the U.S. Small Business Administration and the Office of the Small and Disadvantaged Business Utilization of the Department of Transportation, as appropriate.

15. Seat Belt Use Policies and Programs In accordance with Executive Order 13043, the Recipient is encouraged to adopt on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles. The National Highway Traffic Safety Administration (NHTSA) is responsible for providing leadership and guidance in support of this presidential initiative. For information on how to implement such a program or for statistics on the potential benefits and cost-savings to your company or organization, please visit the Buckle Up America section on NHTSA’s website at www.nhtsa.dot.gov.