opp693JK31841A0001-cfda20.720-cid693JK31841A0001-instructions.docx

Notice of Funding Opportunity (NOFO)

State Damage Prevention (SDP) Program Grants

Fiscal Year 2018

NOFO Posted Date: 6/20/2018 Application Due Date: 7/23/2018

Applicant must be registered at www.grants.gov to apply for the 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

Catalog of Federal Domestic Assistance Number (CFDA)

20.720 “State Damage Prevention Program Grants”

PHMSA Notice of Funding Opportunity Number

693JK31841A0001

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration (PHMSA)

Table of Contents

Program Summary 3 Mission……………………………………………………………………………………4

Section H – Other Information………………………………………………………...12 Section H.1 American Materials Required 12 Section H.2 Prohibition on Awarding to Entities that Require Certain Internal Confidentiality Agreements – Representation…………….……12 Section H.3 Prohibition on Awarding to Entities that Require Certain Internal Confidentiality Agreements…………………………………..….13

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

Program Summary

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

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

Announcement Type: Initial Announcement

Funding Opportunity Number: 693JK31841A0001

CFDA Number: 20.720

NOFO Posted Date: 6/20/2018 Application Due Date: 7/23/2018

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 nonprofits that help make sure pipelines operate safely and shipments arrive without incident.

SECTION A - PROGRAM DESCRIPTION

A. 1 Purpose The Pipeline and Hazardous Materials Safety Administration (PHMSA), through the U.S. Department of Transportation (DOT), requests applications from eligible States and municipalities for grants supporting damage prevention activities. The purpose of the State Damage Prevention (SDP) grant is to establish or improve State programs and to protect underground pipeline facilities from excavation damage.

A.2 Statute and Program Authority The SDP program was first authorized in the Pipeline Inspection, Protection, Enforcement, and Safety Act of 2006 and is codified at 49 U.S.C. §60134, State Damage Prevention Programs. Section 2 of Public Law 109-468 (December 29, 2006), titled: “Pipeline Safety and Damage Prevention” authorizes the Secretary of Transportation to make grants to a State authority (including a municipality with respect to intrastate gas pipeline transportation) to assist in improving the overall quality and effectiveness of a damage prevention program of the State authority. The SDP program has been reauthorized by the Pipeline Inspection, Protection, Enforcement and Safety Act of 2006 (Public Law 109-468), the Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 (Public Law 112-90), and the Protecting Our Infrastructure of Pipelines and Enhancing Safety Act of 2016 (Public Law 114-183).

A.3 Background Since program inception in 2008, PHMSA has awarded over $15.1 million to 40 state organizations. The purpose of the SDP grants is to establish comprehensive state programs designed to prevent damage to underground pipelines in states that do not have such programs and to improve damage prevention programs in states that do. States are encouraged to implement the nine elements of an effective damage prevention program with the grant. A summary of the past SDP awards, including final reports from completed grant projects, is available at https://primis.phmsa.dot.gov/sdp/?nocache=2783.

SECTION B - FEDERAL AWARD INFORMATION

B.1 Funding This Notice of Funding Opportunity (NOFO) is subject to the availability of funds. PHMSA anticipates $1,500,000 will be available to support the SDP grant program. Grant awards under this NOFO may not exceed $100,000 for a single recipient.

B.2 Period of Performance The period of performance is twelve (12) months from the effective date of award for each grant. Applicants should only apply for funding that can be reasonably expended within this timeframe and for projects that can be completed within the 12-month period of performance.

B.3 Type of Award Discretionary grant award.

B.4 Previous Awards Applicants that received a previous PHMSA SDP grant award may apply for a FY 2018 grant. Applicants that applied for a PHMSA One-Call grant may also apply. 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 Any State authority designated by the Governor, including a municipality, which is or will be responsible for protecting underground pipeline facilities from excavation damage is eligible. Applicants must have the eligible state authority participate in the oversight of pipeline transportation pursuant to an annual 49 U.S.C. § 60105 certification or a 49 U.S.C. § 60106 agreement in effect with PHMSA.

To qualify (49 U.S.C. § 60134(a)(3)) for funding under this program, a State may not provide any exemptions to municipalities, State agencies, or their contractors, from the one-call notification system requirements of the program.

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

C.3 Other Eligibility Requirements – The Nine Elements of Effective Damage Prevention Program PHMSA may award a grant to an eligible State authority only if the State has an effective damage prevention program or demonstrates that it has made substantial progress toward establishing an effective program. An effective damage prevention program (49 U.S.C. §60134 (b)) includes one or more of the nine (9) elements below.

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

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

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

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

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

1. Element 6 (Dispute Resolution): A process for resolving disputes that defines the State authority’s role as a partner and facilitator to resolve issues.

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

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

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

SECTION D - APPLICATION AND SUBMISSION INFORMATION

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

(1) Keyword(s): State Damage Prevention

(2) NOFO #: 693JK31841A0001

(3) CFDA Number: 20.720

To begin the process, an applicant must be registered at 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. Carrie Winslow may also be able to help answer questions on applying for Grants.gov usernames/passwords as they specifically relate to the SDP grant program. Please contact Carrie Winslow by phone at (757) 689-3168 or by email at carrie.winslow@dot.gov.

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

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

a. Application for Federal Assistance (Form SF-424)

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

c. Project Narrative

d. Budget Narrative and Estimates For the SDP grant, all applications must also submit separate documents that:

a. Address the Nine Elements of Effective Damage Prevention and (1) describe existing initiatives within the State, (2) outline whether the project or projects proposed in the application addresses an element, (3) describe how the project will enhance or continue the implementation of the element, and (4) develop a separate budget and budget narrative that addresses each element.

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

c. Provide a letter, signed by the Governor, designating the applicant as the State authority eligible to receive the grant.

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

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 until the applicant has complied with all applicable DUNS and SAM requirements. PHMSA will review an applicant’s SAM registration status to make responsibility determination.

D.4 Submission Dates and Times Completed applications must be received electronically through grants.gov 7/23/2018. PHMSA will only accept one (1) application from each State. Applications received after the deadline may be considered after a review of the circumstances surrounding the late submission. Deadline extension requests must be submitted via email to the primary program contact listed in section G.

D.5 Funding Restrictions

· Funds provided under the SDP grant award may not be used for lobbying, advocacy or in direct support of litigation.

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

· Funds should not be used to cover costs associated with regulatory compliance programs for pipeline operators.

· All PHMSA awards are subject to the terms and conditions in the grant agreement and cost principles in 2 CFR Part 200 Subpart E.

· Prior written approval from the Agreement Officer is required for all pre-award costs.

D.6 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. If the applicant has technical difficulties submitting the application through the above-referenced website, please contact: Carrie Winslow by phone at (757) 689-3168 or email: carrie.winslow@dot.gov.

SECTION E - APPLICATION REVIEW INFORMATION

E.1 Criteria PHMSA will evaluate the SDP applications using the five criteria below. Each of these categories will be weighted, with Criterion 1 being weighted the most, and Criterion 5 being weighted the least.

Criterion 1. Relevance to the Nine Elements:

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

· Clearly link results to one or more of the nine elements listed in Section C.3.

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

· Align with the meaning and intent of the nine elements, as described in PHMSA’s Damage Prevention Assistance Program (DPAP) Guide (available at http://primis.phmsa.dot.gov/comm/publications/DPAP-Guide-FirstEdition-20080911.pdf?nocache=6648).

Criterion 2. Costs, Results and Schedule:

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

· Will produce tangible results within the proposed project period.

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

· Have deliverables that do not overlap with the deliverables of any other PHMSA grant award to the States.

· Use funds efficiently and effectively.

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

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

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

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

Criterion 5. Past Performance:

This criterion will be used to evaluate past performance of applicants who have received a PHMSA State Damage Prevention grant in the past. Past performance includes fulfillment of grant agreements in a timely manner and compliance with grant terms and conditions. Applicants who received funding previously for a project that is ongoing, and are requesting grant funding for the continuation of that project, should provide a summary of accomplishments and tasks completed during the previous grant period. The information provided should include measurable results and deliverables, and should include any information about tasks that were not completed or other challenges encountered during the grant period.

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 damage prevention stakeholder groups will review and evaluate each completed application that meets the eligibility requirements and provide recommendations for award. Final award decisions will be made by PHMSA and the Secretary of Transportation.

Rating Guideline

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

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

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

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices Subject to the availability of a current fiscal year appropriation and enacted budget, PHMSA’s grant awarding official will award grants to responsible and eligible applicants, at its discretion, whose applications are judged most meritorious 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. SDP funding may not be used for lobbying or litigation; cover costs associated with the normal operations of a one-call center; or, for costs associated with regulatory compliance programs for pipeline operators.

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

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

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, specifying the duration PHMSA intends to support the project;

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

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

8) Catalog of Federal Domestic Assistance (CFDA) number and name;

9) Applicable award terms and conditions;

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

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

F.2 Administrative and National Policy Requirements Several Federal statutes and regulations apply to grant applications considered for review and grants awarded under this program.

See Attachment 1: Terms and Conditions of this NOFO for a list of statutes and regulations that are applicable.

See Attachment 2: Standard Title IV/Non-Discrimination Assurances.

F.3 Reporting Six (6) months after the effective date of the grant award (progress report) and no later than 90 days after the end of the grant period of performance (final report), each recipient must provide a written report that includes the following information:

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

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

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

In total, four (4) reports (Progress Report, Final Report, Mid-term Financial Status Report, and Final Financial Status Report) on the deliverables funded by the grant will be required. In addition to the information above, the reports must include the following (1) a description of how the funds were used to improve the State Damage Prevention program; (2) documentation of actual expenses; and (3) a separate report summary not exceeding one page in length. PHMSA will review the final reports to ensure that grant objectives were satisfactorily implemented.

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 Primary Point of Contact:

Brandon Beyer, Agreement Administrator (AA) Phone: (202) 366-5513 E-mail: brandon.beyer@dot.gov

Secondary Point of Contact:

Warren Osterberg, Agreement Officer (AO) Phone: (202) 366-6942 E-mail: warren.osterberg@dot.gov

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

SECTION H – OTHER INFORMATION

H.1 American Materials Required (PHMSA August 2017)

If articles, materials or supplies are required: Only unmanufactured articles, materials, and supplies that have been mined or produced in the United States, and only manufactured articles, materials, and supplies that have been manufactured in the United States substantially all from articles, materials, or supplies mined, produced, or manufactured in the United States, shall be acquired under this award unless PHMSA determines their acquisition to be inconsistent with the public interest or their cost to be unreasonable.

This requirement does not apply:

1) to articles, materials, or supplies for use outside the United States;

2) if articles, materials, or supplies of the class or kind to be used, or the articles, materials, or supplies from which they are manufactured, are not mined, produced, or manufactured in the United States in sufficient and reasonably available commercial quantities and are not of a satisfactory quality; and

3) to manufactured articles, materials, or supplies procured under any contract with an award value that is not more than the micro-purchase threshold.

H.2 Prohibition on Awarding to Entities that Require Certain Internal Confidentiality Agreements - Representation (PHMSA, FEB 2015)

1) In accordance with section 743 of Division E, Title VII, of the Consolidated and Further Continuing Resolution Appropriations Act, 2015 (P.L. 113-235) Government agencies are not permitted to use funds appropriated (or otherwise made available) under that or any other Act for awards to an entity that requires employees or sub-awardees of such entity seeking to report fraud, waste, or abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or sub-awardees from lawfully reporting such waste, fraud, or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information.

2) The prohibition in paragraph (a) herein does not contravene requirements applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

3) Representation. By submission of its application, the Applicant represents that it does not require employees or sub-awardees of such entity seeking to report fraud, waste, or abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or sub-awardees from lawfully reporting such waste, fraud or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information.

H.3 Prohibition on Awarding to Entities that Require Certain Internal Confidentiality Agreements (PHMSA, FEB 2015)

1) The Recipient shall not require employees or subcontractors seeking to report fraud, waste, or abuse to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or subcontractors from lawfully reporting such waste, fraud or abuse to a designated investigative or law enforcement representative of a federal department or agency authorized to receive such information.

2) The Recipient shall notify employees that the prohibitions and restrictions of any internal confidentiality agreements covered herein are no longer in effect.

3) The prohibition in paragraph (a) above does not contravene requirements applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

4) (a) In accordance with section 743 of Division E, Title VII, of the Consolidated and Further Continuing Resolution Appropriations Act, 2015 (P.L. 113-235), use of funds appropriated (or otherwise made available) under that or any other Act may be prohibited, if the Government determines that the Recipient is not in compliance with the provisions herein.

(b) The Government may seek any available remedies in the event the Recipient fails to comply with the provisions herein.

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State Damage Prevention (SDP) Program Grants -NOFO

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State Damage Prevention (SDP) Program Grants -NOFO Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA)

Grant and Cooperative Agreement Terms and Conditions

Table of Contents

Contents

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.

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.

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

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 –

(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).

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 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 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. Additional resources are available from the Network of Employers for Traffic Safety (NETS), a public-private partnership headquartered in Washington, D.C. dedicated to improving the traffic safety practices of employers and employees. NETS is prepared to help with technical assistance, a simple, user-friendly program kit, and an award for achieving the President’s goal of 85 percent seat belt use. NETS can be contacted at 1-888-221-0045 or visit its website at www.trafficsafety.org.

16. Ban on Text Messaging While Driving

a) Definitions. The following definitions are intended to be consistent with the definitions in DOT Order 3902.10 and the E.O. For clarification purposes, they may expand upon the definitions in the E.O.

“Driving”-

(1) Means operating a motor vehicle on a roadway, including while temporarily stationary because of traffic, a traffic light, stop sign, or otherwise.

(2) It does not include being in your vehicle (with or without the motor running) in a location off the roadway where it is safe and legal to remain stationary.

“Text messaging” --- means reading from or entering data into any handheld or other electronic device, including for the purpose of short message service texting, e-mailing, instant messaging, obtaining navigational information, or engaging in any other form of electronic data retrieval or electronic data communication.