NOFO 693JK320NF0005.pdf

NOFO# 693JK320NF0005

US DOT: PHMSA FY 2020 One-Call Grant Page 1 of 13 Notice of Funding Opportunity

Pipeline Safety One-Call Grant

Fiscal Year 2020

NOFO Posted Date: February 4, 2020 Application Due Date: March 19, 2020 Questions Due Date: March 16, 2020

Applicants must be registered with Grants.gov to apply for this grant. It is highly recommended that applicants begin the registration process as soon as possible to avoid delays in submission. Additionally, applicants must maintain a valid Dun and Bradstreet Universal Numbering System (DUNS) number and an active registration in the System for Award Management (SAM) at www.SAM.gov.

Applicants must also register with FedConnect at https://www.fedconnect.net for an account before submitting an application. Your organization’s Marketing Partner ID number (MPIN), which can be retrieved from SAM, is required to create an account. For instructions on how to register in FedConnect and how to use the portal, view the FedConnect: Ready, Set, Go! Tutorial under the Need Help?

section on the FedConnect home page.

Assistance Listing Program Number (formerly CFDA)

20.721 One-Call Grants

PHMSA Notice of Funding Opportunity (NOFO) Number

693JK320NF0005

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

http://www.sam.gov/

US DOT: PHMSA FY 2020 One-Call Grant Page 2 of 13 Notice of Funding Opportunity

Table of Contents

MISSION

SECTION A – PROGRAM DESCRIPTION

A.1 Purpose A.2 Statute and Program Authority A.3 Background

SECTION B – FEDERAL AWARD INFORMATION

B.1 Funding B.2 Period of Performance B.3 Type of Award

SECTION C – ELIGIBILITY INFORMATION

C.1 Eligible Applicants C.2 Cost Sharing or Matching

SECTION D – APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package D.2 Content and Form of the Application D.3 Description of Cost Categories D.4 Unique Entity Identifier and System for Award Management (SAM) D.5 Submission Dates and Times D.6 Funding Restrictions

SECTION E – APPLICATION REVIEW INFORMATION

E.1 Criteria E.2 Review and Selection Process

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices F.2 Administrative and National Policy Requirements F.3 Reporting Requirements

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

SECTION H – OTHER INFORMATION

US DOT: PHMSA FY 2020 One-Call Grant Page 3 of 13

PROGRAM SUMMARY

Federal Agency Name: United States Department of Transportation (DOT)

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Funding Opportunity Title: Pipeline Safety One-Call Grants – Fiscal Year (FY) 2020

Announcement Type: Initial Announcement

Funding Opportunity Number: 693JK320NF0005

Assistance Listing Program 20.721 (formerly CFDA) Number:

NOFO Posted Date: February 4, 2020 Application Due Date: March 19, 2020, 11:59 pm ET Questions Due Date: March 16, 2020

US DOT: PHMSA FY 2020 One-Call Grant Page 4 of 13

MISSION

The mission of the U.S. Department of Transportation (DOT) is to ensure our nation has the safest, most efficient and modern transportation system in the world. DOT’s Pipeline and Hazardous Materials Safety Administration (PHMSA) protects people and the environment by advancing the safe transportation of energy and other hazardous materials that are essential to our daily lives. To do this, the agency establishes national policy, sets and enforces standards, educates, and conducts research to prevent incidents. We also prepare the public and first responders to reduce consequences if an incident does occur. To accomplish this, PHMSA awards grants to states, localities, communities, and nonprofit organizations that help make sure pipelines operate safely and shipments arrive without incident.

SECTION A – PROGRAM DESCRIPTION

A.1 Purpose PHMSA administers this grant program to provide funding for state agencies’ damage prevention efforts, including training, changing state underground damage prevention laws, related compliance activities, and public education.

A strong transportation network is critical to the functioning and growth of the American economy. The nation’s industry depends on the transportation network to move the goods that it produces, and facilitate the movements of the workers who are responsible for that production.

When the nation’s highways, railways, and ports function well, that infrastructure connects people to jobs, increases the efficiency of delivering goods and thereby cuts the costs of doing business, reduces the burden of commuting, and improves overall well-being.

Rural transportation networks play a vital role in supporting our national economic vitality.

Addressing the deteriorating conditions and disproportionately high fatality rates on our rural transportation infrastructure is of critical interest to the Department, as rural transportation networks face unique challenges in safety, infrastructure condition, and passenger and freight usage. Consistent with the R.O.U.T.E.S. Initiative, the Department encourages applicants to consider how the project will address the challenges faced by rural areas in advancing pipeline and hazardous materials (hazmat) transportation safety.

A.2 Statute and Program Authority The One-Call program is authorized by the Transportation Equity Act for the 21st Century (Public Law 105-178); 49 U.S.C. § 60114; the Protecting our Infrastructure of Pipelines and Enhancing Safety (PIPES) Act of 2016, (Public Law 114-183); 49 U.S.C. § 6106.

A.3 Background The Secretary is authorized under 49 U.S.C. § 6106, to award grants in support of the One-Call program. The amount of any grant will not exceed $60,000 for a single recipient; however, total available funds and the maximum award amount are contingent upon Congress’ appropriation of funding for the One-Call program. The Secretary may support the improvement of various One- Call damage prevention activities by making a grant of financial assistance to a state. This grant

US DOT: PHMSA FY 2020 One-Call Grant Page 5 of 13 Notice of Funding Opportunity opportunity is open to state agencies that are permitted to conduct pipeline safety inspections per a 49 U.S.C. § 60105 certification and/or a 49 U.S.C. § 60106 agreement with PHMSA to perform pipeline safety inspections.

SECTION B – FEDERAL AWARD INFORMATION

B.1 Funding Subject to the availability of appropriations, PHMSA anticipates awarding approximately $1,058,000 under this NOFO. The amount of any grant may not exceed $60,000 per grant recipient; however, the total available funding and maximum award amount will be contingent upon an enacted FY 2020 appropriation. The funds may not be used for lobbying, regulatory compliance activities, the typical operations and maintenance of pipeline facilities, or in direct support of litigation.

Recipients may request 100 percent of the total amount of the award upon execution of the grant agreement.

B.2 Period of Performance The period of performance is 12 months from the effective date of award for each grant.

Applicants must only apply for funding that can be reasonably expended within this time frame and for projects that can be completed within the period of performance.

B.3 Type of Award If funding is made available, PHMSA intends to award multiple grants under this NOFO. The number of awards will depend on the availability of funding, the quality of applications, the number of applications received, and the dollar amounts requested. PHMSA may, at its discretion, award a grant based on the application in its entirety, award funds for only portions of a grant application, or reject the application. Submission of an application is not a guarantee of award.

B.4 Previous Awards Applicants that received a previous PHMSA One-Call grant award may apply for an FY 2020 One-Call grant. Additionally, applicants that applied for a previous PHMSA State Damage Prevention grant may also apply for an FY 2020 One-Call grant. Applicants 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 This grant opportunity is only open to state agencies that are authorized to conduct pipeline safety inspections per a 49 U.S.C. § 60105 certification and/or a 49 U.S.C. § 60106 agreement with PHMSA.

In order to be eligible for a One-Call Grant, States must submit an application that demonstrates that it meets the minimum standards established in 49 U.S.C. § 6103 for a One-Call Grant

US DOT: PHMSA FY 2020 One-Call Grant Page 6 of 13 Notice of Funding Opportunity award. A State is also eligible to receive a One-Call Grant award if the State maintains an alternative one-call notification program that provides protection for public safety, excavators, and the environment that is equivalent to, or greater than, protection provided under a program that meets the minimum standards set forth in section 49 U.S.C. § 6103. PHMSA requires interested state agencies to answer the following questions and provide sufficient details to clearly demonstrate compliance with these requirements. Failure to provide the requested information may lead to rejection of the application.

• Does the State One-Call notification program allow all underground facility operators, including all government operators, to participate, as appropriate?1 List any pipeline exemptions.

• Does the State One-Call notification program allow all excavators, including all government and contract excavators, to participate, as appropriate?2

• Does the State One-Call notification program provide for flexible and effective enforcement under state law? Please provide a citation to the state statute for enforcement and identify the enforcement authority.

• Does the State One-Call notification program require that its notification system requirements are applicable, without exemptions, to municipalities, state agencies, or their contractors? Note: if you are currently classified as ineligible by PHMSA based on this requirement, you do not qualify for this grant.

• Does the State One-Call notification program consider the gravity of the offense and the risk to the public when determining appropriate enforcement?

• Does the State One-Call notification program provide no-cost underground facility locate requests, excluding design locate requests, for all individuals planning excavation activities?

• Does the State One-Call notification program provide for the voluntary participation of underground facility owners or activity of an excavator that the State determined to be a de minimis risk to public safety?

• Does the state, to the extent it determines it is appropriate and necessary, provide administrative or civil penalties commensurate with the seriousness of a violation of the State One-Call notification program by an excavator or facility owner?

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

SECTION D – APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package PHMSA requires applicants for this funding opportunity to apply electronically through www.Grants.gov. Applicants must download the application package associated with this funding opportunity by following the directions provided at Grants.gov. A copy of this NOFO can also be retrieved from www.grants.gov using the following basic search

1 Minimum Standards for State One-call Notification Programs, 49 U.S. Code § 6103(b).

2 Minimum Standards for State One-call Notification Programs, 49 U.S. Code § 6103(b).

US DOT: PHMSA FY 2020 One-Call Grant Page 7 of 13 Notice of Funding Opportunity criteria:

(1) Keyword(s): One Call Program

(2) NOFO #: 693JK320NF0005

(3) CFDA Number: 20.721

To request a hard copy of the application package, please contact:

Fazal Mirza, Agreement Officer Acquisition Services Division Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Avenue, SE, E21-344 Washington, DC 20590 Phone: (202) 366-6942 E-mail: fazal.mirza@dot.gov

If you are a hearing-impaired person, please contact the FR/TTY at 1-800-877-8339 or email PHMSA-Accessibility@dot.gov.

To begin the process, applicants must be registered with www.grants.gov to submit an application. 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.

Accessing FedConnect:

Applicants must register with FedConnect at https://www.fedconnect.net for an account before submitting an application. Your organization’s Marketing Partner ID number (MPIN), which can be retrieved from SAM, is required to create an account. For instructions on how to register in FedConnect and how to use the portal, view the FedConnect: Ready, Set, Go! Tutorial under the Need Help? section on the FedConnect home page. For other technical issues or questions, either email fcsupport@unisonglobal.com or call us at 1-800-899-6665 option 2. The FedConnect Support Center is staffed Monday - Friday 8 a.m. to 8 p.m., EDT, except Federal holidays.

D.2 Content and Form of the Application Consistent with the Department's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), the Department encourages applicants to describe how activities proposed in their application would address the unique challenges facing rural transportation networks, regardless of the geographic location of those activities.

mailto:fazal.mirza@dot.gov mailto:PHMSA-Accessibility@dot.gov mailto:support@grants.gov mailto:fcsupport@unisonglobal.com https://www.transportation.gov/rural

US DOT: PHMSA FY 2020 One-Call Grant Page 8 of 13

Each application must consist of the following required documents:

1. Application for Federal Assistance (Standard Form (SF) -424)

2. Budget Information – Non-Construction Programs (SF-424A)

3. Project Narrative (template provided by PHMSA)

4. Budget Narrative and Estimates (template provided by PHMSA)

5. Standard Title VI/Non-Discrimination Assurances

6. Certification Regarding Lobbying

The application forms and templates are available on Grants.gov in the Forms Package and under the ‘Related Documents’ tab with detailed instructions on the application process.

Applicants must use Standard Form (SF) 424A through www.Grants.gov to submit their budget/cost proposal. The budget should reflect the applicant’s best terms from a cost and technical standpoint to perform the work. No fee or profit should be proposed.

D.3 Description of Cost Categories Additional budgetary information, broken out as described below, must provide detailed information on each cost element, consistent with the applicant's cost accounting system. The amounts requested for each budget category must be justified in a Budget section under each project in applicant responses to this announcement. Budget Narratives must address the following items:

• 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 (per the de minimis cost rate in 2 CFR Part 200).

• 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.

Applications that contain a request for indirect costs should include a budget narrative detailing the proposal for indirect costs, where allowable. The budget narrative should include a signed copy of the applicant’s approved negotiated rate agreement that is valid as of the date of the application, if this is not already on file with PHMSA State Programs division. If the applicant does not have an approved indirect cost rate agreement, PHMSA may consider requests for a grant-specific indirect cost rate, or the applicant may be eligible for the 10-percent de minimis rate provided by 2 Code of Federal Regulations (CFR) § 200.414

***Further, please note that in order to comply with the requirements of 2 CFR Part 200, Subpart E, and DOT’s Guide to Financial Assistance, PHMSA’s Agreement Officers and Grant

US DOT: PHMSA FY 2020 One-Call Grant Page 9 of 13 Notice of Funding Opportunity

Specialists may request additional information pertaining to your application during the application review/evaluation process. ***

D.4 Unique Entity Identifier 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 until the applicant has complied with all applicable DUNS and SAM requirements. We recommend that applicants review the SAM database to ensure that their DUNS number is updated and active: https://www.sam.gov/portal/public/SAM/. PHMSA will review an applicant’s registration status to ensure that the applicant is current on all Federal taxes and not on the list of parties excluded from Federal awards.

D.5 Submission Dates and Times Complete applications must be received electronically through www.Grants.gov by 11:59 PM Eastern Time on March 19, 2020. DO NOT PHYSICALLY MAIL ANY APPLICATIONS.

Applications received after this deadline may not be considered. PHMSA will only accept one application from each applicant.

Questions Due Date & Time: March 16, 2020 at 5:00 pm EDT NOTE: All questions MUST be submitted via the Message Center in FedConnect. Please do not send questions via e-mail. PHMSA is not responsible for answering questions that were received after the Questions Due Date & Time.

D.6 Funding Restrictions

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

• Educational items: Federal regulation 2 CFR § 200.421 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 a plan for the distribution of those items.

• Federal regulation 2 CFR § 200.432 addresses the use of grant funding for meetings and conferences, which is permissible if the primary purpose of the function is the dissemination of technical information beyond the non-Federal entity and is necessary and reasonable for successful performance under the Federal award. The cost of meals, transportation, facility rental, speakers’ fees, and other items incidental to such meetings or conferences may be paid using grant funds; however, funding may not be used to cover costs associated with entertainment, such as shows or sporting events, or the purchase of alcoholic beverages.

• Funds provided under grant awards may not be used for lobbying, advocacy or in direct support of litigation.

• Construction is not an allowable activity under this announcement.

• Funds should not be used to cover costs associated with the normal operations of the one-call center.

US DOT: PHMSA FY 2020 One-Call Grant Page 10 of 13 Notice of Funding Opportunity

• All PHMSA awards are subject to the terms and conditions in the grant agreement and the cost principles in 2 CFR § 200, Subpart E – Cost Principles.

D.7 Other Submission Requirements PHMSA requires applicants for this funding opportunity to apply electronically through grants.gov. Applicants must download the application package associated with this funding opportunity at www.grants.gov.

Applicants should state whether the project is located in a Qualified Opportunity Zone designated pursuant to 26 U.S.C. § 1400Z-1.

SECTION E – APPLICATION REVIEW INFORMATION

E.1 Criteria Consistent with the Department's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), the Department recognizes that rural transportation networks face unique challenges. To the extent that those challenges are reflected in the merit criteria listed in this section, the Department will consider how the activities proposed in the application will address those challenges, regardless of the geographic location of those activities.

PHMSA will evaluate applications through administrative, technical, and programmatic reviews based on the evaluation criteria.

PHMSA developed evaluation criteria to rate and select competing applications. Submission of an application is not a guarantee of award. PHMSA may, at its discretion, award a grant based on an application in its entirety, award only portions of a grant based on its application, or not award a grant at all.

Criterion 1. Relevance to Established Funding Priorities This criterion will be used to evaluate work proposed under each project in the application, particularly regarding projects that enhance public safety, protect the environment, minimize risks to excavators, and prevent disruption of vital public services. When evaluating public service disruption prevention, PHMSA will specifically look for projects that reduce the incidence of excavation damage to underground facilities through the voluntary adoption and efficient implementation of One-Call notification programs.

Funding priorities are established and communicated to all potential grantees by distribution of the One-Call Grant Application Guidelines, which are updated annually.

Criterion 2. Costs and Project Scope This criterion will be used to evaluate the prospective work under each element in the application and to assess whether the proposed projects will:

• Produce tangible results within the project period;

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

• Use funds efficiently and effectively.

US DOT: PHMSA FY 2020 One-Call Grant Page 11 of 13 Notice of Funding Opportunity

E.2 Review and Selection Process

PHMSA will evaluate applications through administrative, technical, and programmatic reviews based on the evaluation criteria.

Administrative Review: PHMSA will conduct an administrative review to ensure the application meets the eligibility criteria outlined in Section C on Eligibility Information. Each application will be reviewed for completeness to ensure it includes all the required elements to qualify for the grant. If the application does not meet the required elements, then the application is likely to be rejected.

Technical Review: PHMSA will conduct a technical review of the application to assess how the proposed work is to be performed; and whether the application(s) are responsive to the applicable program requirements (i.e. performance measurement, methodology, and technical merit). PHMSA may use outside stakeholders as part of the technical review panel. Member outside stakeholders may be comprised of damage prevention stakeholder groups with expertise in pipeline safety.

Programmatic Review: PHMSA will conduct a programmatic review to assess programmatic factors. Programmatic factors are relevant and essential to the process of selecting applications that best achieve the program objectives, in accordance with applicable statutes, regulations, policies, and guidelines. Programmatic factors may include history of performance, program priorities, and other modal needs (i.e. rural areas and Qualified Opportunity Zones).

Based on the results from each review, each application will receive an overall rating either as:

Rating Guideline Highly Recommended - The application demonstrates that the NOFO requirements are very well understood and the approach will likely result in very high-quality performance. The application clearly addresses and exceeds requirements. The application contains outstanding features that meet or exceed on multiple dimensions the expectations of the Government. The application aligns very well with the DOT objectives and priorities. The risk of poor performance is very low.

Recommended - The application demonstrates that the NOFO requirements are understood and the approach will likely result in satisfactory performance. The application addresses and meets requirements with some minor weaknesses. The application demonstrates requisite experience, qualifications, and performance capabilities. The application aligns with the DOT objectives and priorities. The risk of poor performance is low.

Acceptable - The application demonstrates that the NOFO requirements are mostly understood and the approach will likely result in satisfactory performance for part of the requirements. The application addresses some of the requirements with some weaknesses. The application demonstrates some experience, qualifications, and/or performance capabilities. The application partially aligns with the DOT objectives and priorities. The risk of poor performance is moderate.

US DOT: PHMSA FY 2020 One-Call Grant Page 12 of 13 Notice of Funding Opportunity

Not Acceptable - The application does not meet the NOFO requirements. The application fails to address many requirements. The applicant may be ineligible to apply for the grant. The application could not satisfy critical requirements without a major revision and/or a rewrite of the application or a major redirection effort. The application does not align with the DOT objectives and priorities. The risk of poor performance is high.

Selection Process Final award recommendations will be made by the PHMSA Administrator after taking into consideration recommendations made during the administrative, technical, and programmatic reviews. The Secretary of Transportation will make final award selection decisions.

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices PHMSA’s grant awarding official will award grants to responsible and eligible applicants who submit the most qualified applications under the procedures set forth in this NOFO. All funds provided by PHMSA 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 financial assistance regulations.

Grant funds may not be used for lobbying or litigation, cover costs associated with the normal operations of a one-call center, or be used for costs associated with regulatory compliance programs for pipeline operators.

Unsuccessful applicants will be notified that their application was not selected for funding.

The grant award agreement will provide pertinent instructions and information including, at a minimum, the following:

1) The legal name and address of the recipient;

2) Title of project;

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

4) Federal Award Identification Number (FAIN) assigned by PHMSA;

5) Period of Performance;

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

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

8) Assistance Listing Program (formerly CFDA) number and name;

9) Applicable award terms and conditions; and

10) Approved budget plan for categorizing allocable project funds to accomplish the stated purpose of the award and other information or provisions deemed necessary by

PHMSA.

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

US DOT: PHMSA FY 2020 One-Call Grant Page 13 of 13 Notice of Funding Opportunity

NOFO for a list of statutes and regulations that are applicable. See Attachment 2: Standard Title IV/Non-Discrimination Assurances.

F.3 Reporting Requirements Recipients must submit a final performance report in FedSTAR no later than 90 days after the end of the grant period of performance. Instructions on how to complete the report will be sent separately to each grant recipient.

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

Technical Primary Point of Contact Rex Evans

DOT/PHMSA

Phone: (217) 801-8014 Email: rex.evans@dot.gov

Grant Agreement Officer Fazal Mirza

DOT/PHMSA

Phone: (202) 366-6942 E-mail: fazal.mirza@dot.gov

NOTE: All questions related to the content of this funding opportunity MUST be submitted via the Message Center in FedConnect. Please do not send questions via e-mail.

Only for technical issues or questions related to FedConnect, please email fcsupport@unisonglobal.com, applicant can submit questions through the portal on their website, or call 1-800-899-6665 option 2.

Only for technical issues or questions related to www.Grants.gov, please email support@grants.gov.

SECTION H – OTHER INFORMATION

Given the complexity of some aspects of the application process, technical assistance is available to rural applicants and inexperienced or under-resourced applicants to help with the application process. Please contact the technical primary point of contact listed in Section G.

mailto:fazal.mirza@dot.gov mailto:support@grants.gov

NOFO 693JK320NF0005

ATTACHMENT 1

US DOT PHMSA Page 1 of 14

Grant and Cooperative Agreement - Award Terms and Conditions (updated June, 2018)

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 (2 CFR 200)

6. Restrictions on Use of Funds for: Lobbying, Support of Litigation, or Direct Advocacy

7. Nondiscrimination

8. Government-wide Debarment and Suspension (Non-procurement)

9. Drug-Free Workplace

10. eInvoicing (PHMSA June 2018)

11. Payments (PHMSA March 2014)

12. Adherence to Original Project Objectives and Budget Estimates

13. Prior Approvals

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

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. Reporting Fraud, Waste, or Abuse

21. Reporting Grantee Executive Compensation/First Tier Sub-Awards (PHMSA Oct, 2010) . 10

22. 811, Call Before You Dig Program (PHMSA June 2014)

23. Access to Electronic and Information Technology (PHMSA DEC 2013)

24. Combating Trafficking in Persons (PHMSA JULY 2016)

25. Prohibition on Awarding to Entities that Require Certain Internal Confidentiality Agreements (PHMSA FEB 2015)

US DOT PHMSA Page 2 of 14

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.

f) Take other remedies that may be legally available.

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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, Support of Litigation, or Direct Advocacy The Recipient and its contractors may not use grant funds for lobbying in direct support of litigation, or in direct advocacy for, or against, a pipeline construction or expansion project.

The Recipient and its contractors may not conduct political lobbying, as defined in the statutes, regulations, and 2 CFR 200.450– “Lobbying,” within the Federally-supported project. The Recipient and its contractors may not use Federal funds for lobbying specifically to obtain grants and cooperative agreements. The Recipient and its contractors 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.

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

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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 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 June 2018) Recipients of PHMSA grants, cooperative agreements, and other transaction agreements (OTA) must use the DOT 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 User Account Application 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 as follows:

Via U.S. Postal Service (certified):

DOT Enterprise Services Center FAA Accounts Payable, AMZ-100 PO Box 25710 Oklahoma City, OK 73125

Via FedEx or UPS:

DOT Enterprise Services Center

MMAC-FAA/ESC/AMZ-150

6500 S. MacArthur Blvd.

Oklahoma City, OK 73169 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

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

c) Waivers

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.transportation.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.

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 the DOTeInvoicing System 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 –

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

ii) 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).

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.

http://www.transportation.gov/cfo/delphi-einvoicing-system.html http://www.transportation.gov/cfo/delphi-einvoicing-system.html

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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 –

i) Making a correct payment;

ii) Paying any prompt payment penalty due; and

iii) 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 –

i) 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

ii) 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 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

US DOT PHMSA Page 7 of 14 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.

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 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-

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