HomeMy WebLinkAboutContract 45824 (2)CITY SECRETAm/-4coti
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U.S. Department of Transportation
Federal Motor Carrier
Safety Administration
1. RECIPIENT NAME AND ADDRESS
City of Fort Worth
1000 Throckmorton St
Traffic Division-DUP
Fort Worth, TX 76102-6312
1 A. IRS/VENDOR NO. 756000528
1B. DUNS NO. 782003727
7. CFDA#: 20.218
8. PROJECT TITLE
Enforcement, outreach and education components of the FMCSA
Ticketing Aggressive Cars and Trucks Initiative.
12. GRANTEE PROGRAM MANAGER
Mr. Charles Daniels
Grant Agreement
2. AGREEMENT NUMBER: FM-MHP-0185-14-01-00 13. AMENDMENT NO. 0
4. PROJECT PERFORMANCE PERIOD:
5. FEDERAL FUNDING PERIOD:
6. ACTION New
FUNDING
9. TOTAL FEDERAL AMOUNT OF THIS
AGREEMENT
10. TOTAL MATCHING AMOUNT OF
THIS AGREEMENT
11. TOTAL AMOUNT OF THIS
AGREEMENT
FROM 06/19/2014
FROM 06/19/2014
TOTAL
12A. GRANTEE PROGRAM MANAGER EMAIL Charles.w.daniels@FortsvorthTexas.gov
12B. GRANTEE PROGRAM MANAGER PHONE NUMBER 817-392-6199
12C. GRANTEE PROGRAM MANAGER ADDRESS
1000 Throckmorton
Traffic Division
Fort Worth , TX 76102-2004
13. GRANT PROGRAM OFFICER
Julie Otto
I 13A. GRANT PROGRAM OFFICER EMAIL Julie.Otto@dot.gov
1 13B. GRANT PROGRAM OFFICER PHONE NUMBER (202) 366-0710
14. INCORPORATED ATTACHMENTS
FMCSA Financial Assistance Agreement General Provisions and Assurances; grantee project plan and budget incorporated by reference unless/except as noted
below.
TO 09/30/2015
TO 09/30/2015
315,234.00
93,107.00
408,341.00
15. STATUTORY AUTHORITY FOR GRANT/COOPERATIVE AGREEMENT
49 USC §§ 31104(a) & (k); SAFETEA-LU, Pub. L No.109-59, §4107(a) (2005), amended by Pub. L 110-244, § §4101(a), 4107, as amended by MAP-21, Pub. L.
No.112-141, §§ 32603(a) & (d)(2012)
16. REMARKS
FMCSA approves the project plan and budget without specific changes. If the grantee is requesting indirect costs, it may not request these costs for reimbursement
until it has submitted to FMCSA an executed indirect cost rate agreement.
GRANTEE ACCEPTANCE
17. NAME AND TITLE OF AUTHORIZED GRANTEE OFFICIAL
Mr. Charles Daniels, Assistant City Manager
18. SIGNATURE OF AUTHORIZED GRANTEE OFFICIAL
Electronically Signed
21. OBJECT CLASS CODE. 41000
23. ACCOUNTING CLASSIFICATION CODES
DOCUMENT NUMBER
FM-MHP-0185-14-01-00
AGENCY APPROVAL
19. NAME AND TITLE OF AUTHORIZED FMCSA OFFICIAL
Wendy Cunningham, Western Service Center Authorizing Official
18A DATE 20. SIGNATURE OF AUTHORIZED FMCSA OFFICIAL
08/06/2014 Electronically Signed
AGENCY USE ONLY
22. ORGANIZATION CODE. M600000000
FUND
17X05714MH
BY BPAC
2014 0905710MH!
f
20A. DATE
08/06/2014
AMOUNT
3is34.00
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(Y a V470t �aii„ IFA .
RECIPIENT NAMED City of Fort Worth
Federal Financial Report Cycle
Reporting Period Start Date Reporting Period End Date
06/19/2014 06/30/2014
07/01/2014 09/30/2014
10/01/2014
01/01/2015
04/01/2015
07/01/2015
12/31/2014
03/31/2015
---------------
06/30/2015
09/30/2015
Reporting Type
Quarterly
Quarterly
Quarterly
Quarterly
Quarterly
Final
I AGREEMENT NUMBER: FM-MHP-01 85-14-01-00 I
Reporting Period Due Date
07/30/2014
10/30/2014
01/30/2015
04/30/2015
07/30/2015
12/29/2015
2 of 2
AWARD ATTACHMENTS
City of Fort Worth FM-MHP-0185-14-01-00
1. FY 2014 FMCSA Financial Assistance Agreement General Provisions and Assurances
FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION
FINANCIAL ASSISTANCE AGREEM14NT
GENERAL PROVISIONS AND ASSURANCES
January 2014
Section 1. Grant Authority
a. Contract Authority.
The Federal Motor Carrier Safety Administration (FMCSA) authorizing legislation, The Safe,
Accountable, Flexible, Efficient Transportation Equity Act: a Legacy for Users (SAFETEA-LU),
Pub. L. 109-59, 119 Stat.1144 (2005), as amended by Moving Ahead for Progress in the 21st
Century Pub. L. No. 112-141, 126 Stat. 405 (2012) granted FMCSA contract authority.
Pursuant to SAFETEA-LU, Pub. L. 109-59, §4101, 119 Stat 1144, 1725 (2005), as amended by
Moving Ahead for Progress in the 21st Century, Pub. L. No. 112-141, § 32605, 126 Stat. 405,
805-808 (2012) the Secretary of Transportation's approval of the grant funds made available
imposes a contractual obligation upon the United States for payment of the Government's share
of costs in carrying out the grant objectives.
b. Lapse in Appropriations and/or Authorization.
Except in limited circumstances, the absence of FMCSA appropriations and/or authorization
prevents the continuation of Federal supervision and support to the performance of a grant. In the
absence of such supervision or support the Recipient may only continue to proceed with its work
if (1) the performance of such grant is not incurring obligations from the lapsed appropriations;
(2) if continued grant management supervision or support is not critical to the grantee's
continued performance of the work; (3) and FMCSA has approved the continuation of such
work. FMCSA will make such determinations in accordance with the Executive Office of the
President, Office of Management and Budget, Memorandum "Planning for Agency Operations
During a Lapse in Government Funding"(April 7, 2011), and any amendments or updated
guidance thereto.
Section 2. Effective Date.
Recipient acknowledges that Federal funds are obligated on the effective date of the Grant
Agreement. The effective date is the date that the Grant Agreement contains the authorized
signatures of both parties to this agreement. Where the dates accompanying the signatures differ
from party to party, the effective date of the Grant Agreement shall be the most recent of these
dates.
Section 3. Electronic Signatures.
The Recipient understands that electronic signatures are binding. An electronic signature to the
Grant Agreement commits the Recipient to these Provisions and Assurances, as well as all
requirements denoted in Section 4.
Section 4. General Requirements.
a. Obligation of Recipient to Comply.
The Recipient understands that by signing the Grant Agreement, the Recipient is agreeing to
carry out the approved project plan and the approved budget and to comply with all applicable
Federal laws and requirements imposed by the FMCSA concerning special requirements of law,
program requirements, and other administrative requirements. This includes, but is not limited
to: (1) 49 U S.C. Chapter 311 (2006), as applicable and denoted in the Notice of Grant
Agreement; (2) SAFETEA-LU, Pub L. No.109-59, § § 4101-4134 119 Stat. 1144, 1715-1745
(2005), as applicable and denoted in the Notice of Grant Agreement; (3) U.S. Department of
Transportation (DOT) regulations, "Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments" (common grant management rule), 49
C.F.R. Part 18, applies to projects with governmental bodies; (4) U.S. DOT regulations,
'Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Nonprofit Organizations," 49 C.F.R. Part 19, applies to Projects
with institutions of higher education and private nonprofit organizations and also applies to
grants and cooperative agreements with private for -profit organizations; (5) 2 C.F.R. § § 220,
225, 230; and (6) OMB Circular A-102 and 2 C.F.R. §215 (OMB Circular A-110).
b. Application of Federal. State, and Local Laws and Regulations.
I. Federal Laws and Regulations.
The Recipient understands that Federal laws, regulations, policies, and related administrative
practices applicable to this Agreement on the date the Agreement was executed may be modified
from time to time. The Recipient agrees that the most recent of such Federal requirements will
govern the administration of this Agreement at any particular time, except if there is sufficient
evidence in this Agreement of a contrary intent Likewise new Federal laws regulations,
policies and administrative practices may be established after the date the Agreement has been
executed and may apply to this Agreement. To achieve compliance with changing Federal
requirements, the Recipient agrees to include in all sub -assistance agreements and third party
contracts financed with FMCSA assistance, specific notice that Federal requirements may
change and the changed requirements will apply to the Project as required. All limits or
standards set forth in this Agreement to be observed in the performance of the Project are
minimum requirements.
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ii. State or Territorial Law and Local Law.
Except to the extent that a Federal statute or regulation preempts State or territorial law, nothing
in this Agieement shall require the Recipient to observe or enforce compliance with any
provision thereof perfoinni any other act or do any other thing in contravention of any applicable
State or territorial law; however, if any of the provisions of this Agreement violate any
applicable State or territorial law, or if compliance with the provisions of this Agreement would
require the Recipient to violate any applicable State or territorial law, the Recipient agrees to
notify the FMCSA immediately in writing in order that FMCSA and the Recipient may make
appropriate arrangements to proceed with the Project as soon as possible.
c. Subgrantees
State Recipients shall follow State law and procedures when awarding and administering
subgrants to local and Indian tribal governments in accordance with 49 C.F.R. §18.37(a). Other
grantees awarding subgrants to local and Indian tribal governments shall follow 49 C.F.R.
§ 18.37(b). The Recipient understands that 49 C.F.R. Part 19 shall be applied to institutions of
higher education, hospitals or other non-profit organization subgrantees in accordance with 49
C.F.R. § 19.5.
Section 5. Ethics.
a. Written Code of Ethics.
The Recipient agrees to maintain a written code or standards of ethical conduct that shall govern
the performance of its officers, employees, board members or agents engaged in the award and
administration of contracts supported by Federal funds The code or standards shall provide that
the Recipient's officers, employees, board members, or agents may neither solicit nor accept
gratuities, favors or anything of monetary value from present or potential contractors,
subgrantees, or regulated entities. The Recipient may set minimum rules where the financial
interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. As
permitted by State or local law or regulations, such code or standards shall provide for penalties,
sanctions, or other disciplinary actions for violations by the Recipient's officers, employees,
board members, or agents, or by contractors or sub -grantees or their agents.
b. Personal Conflict of Interest.
The Recipient's code or standards must provide that no employee, officer board member, or
agent of the Recipient may participate in the selection, award, or administration of a contract
supported by Federal funds if a real or apparent conflict of interest would be involved. Such a
conflict would arise when any of the parties set forth below has a financial or other interest in the
firm selected for award:
i. The employee, officer, board member, or agent;
ii. Any member of his or her immediate family;
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iii. His or her partner; or
iv. An organization that employs, or is about to employ, any of the above.
c. Organizational Conflicts of Interest.
The Recipient's code or standards of conduct must include procedures for identifying and
preventing real and apparent organizational conflicts of interests. An organizational conflict of
interest exists when the nature of the work to be performed under a proposed third party contract,
may, without some restrictions on future activities, result in an unfair competitive advantage to
the contractor or impair the contractor's objectivity in performing the contract work.
Section 6. Hatch Act.
The Recipient agrees to comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§
1501-1508 and 7321-7326), which limit the political activities of an individual whose principal
employment is in connection with an activity which is financed in whole or in part by loans or
grants made by the United States or a Federal agency. The Hatch Act specifically exempts
employees of educational institutions, and the Hatch is not applicable to private nonprofit
organizations unless the statutes through which the nonprofit organizations derive their federal
funding contain a provision stating that the recipient organizations are deemed to be state or local
government agencies for purposes of the Hatch Act
Section 7. Limitation on Use of Federal Funds for Lobbying for Grants in Excess of
$100,000.
By signing this agreement the Recipient declares that it is in compliance with 31 U.S.C. Sec.
1352, which prohibits the use of Federally appropriated funds to influence a Federal employee,
officer, or Member of Congress in connection with the making or modification of any Federal
grant loan contract, or cooperative agreement. Unless the payment of funds is otherwise
reported to FMCSA, signing this agreement constitutes a declaration that no funds, including
funds not Federally appropriated, were used or agreed to be used to influence this grant.
Recipients of subgrants in excess of $100 000 must make the same declarations to the Recipient.
With respect to the payment of funds not Federally appropriated by the recipient and
subgrantees, the Recipient must report to the FMCSA the name and address of each person paid
or performing services for which payment is made, the amount paid, and the activity for which
the person was paid.
Section 8. Contracting.
a. Federal Standards.
The Recipient agrees to comply with the Procurement Standards requirements set forth at 49
C.F.R. § 18.36 or 49 C.F.R. §§ 19.40 through 19.48 inclusive, whichever may be applicable, and
with applicable supplementary U.S DOT or FMCSA directives or regulations. If determined
4
necessary for proper Project administration, FMCSA reserves the right to review the Recipient's
technical specifications and requirements.
b. Buy American Act.
The Recipient agrees to conform with the Buy American Act (41 U.S.C. §§ 10a-d), as required
by Section 708 of the Transportation, Treasury, Housing and Urban Development, the Judiciary,
and Independent Agencies Appropriations Act, 2006 (Public Law 109-115 (November 30
2005)). As required by Section 709 of the appropriations act, the Recipient represents that it has
never been convicted of violating the Buy American Act, and agrees that it will not make
funding received under the appropriations act available to any person or entity that has been
convicted of violating the Buy American Act.
Section 9. Notification Requirement.
a. With respect to any procurement for goods and services (including construction services)
having an aggregate value of $500,000 or more, the Recipient agrees to:
i. Specify in any announcement of the awarding of the contract for such goods or
services the amount of Federal funds that will be used to finance the acquisition;
and
ii. Express the said amount as a percentage of the total costs of the planned
acquisition.
Section 10. Debarment and Suspension.
The Recipient agrees to obtain certifications on debarment and suspension from its third party
contractors and subgrantees and otherwise comply with U S. DOT regulations, Government -
wide Debarment and Suspension (Non -procurement) and Government -wide Requirements for
Drug -Free Workplace (Grants), 49 C.F.R. Part 32.
Section 11. Notification of Third Party Contract Disputes or Breaches.
The Recipient agrees to notify FMCSA of any current or prospective major dispute, breach, or
litigation pertaining to any third party contract. If the Recipient seeks to name FMCSA as a
party to litigation for any reason, the Recipient agrees first to inform FMCSA before doing so.
This provision applies to any type of litigation whatsoever, in any forum.
Section 12. Participation by Small Business Concerns Owned and Controlled by Socially
and Economically Disadvantaged Individuals.
FMCSA encourages the Recipient to utilize small business concerns owned and controlled by
socially and economically disadvantaged individuals (as that term is defined for other DOT
agencies in 49 C.F.R. Part 26) in carrying out the Project
5
Section 13. Records Retention.
a. Requirement to Retain Records.
During the course of the Project and for three years after the final voucher, the Recipient agrees
to retain intact and to provide any data, documents, reports, records, contracts, and supporting
materials relating to the Project as FMCSA may require. Reporting and record -keeping
requirements are set forth in (1) 49 C.F.R. Part 18 for governmental Recipients and (2) 49 C.F.R.
Part 19 for hospitals, educational institutions, private non-profit and for -profit Recipients.
Project closeout does not alter these requirements.
b. Access to Recipient Records.
The Recipient will give FMCSA, the Secretary of Transportation, the Comptroller General of the
United States or any of their duly authorized representatives, and, if appropriate the State,
through any authorized representative access to and the right to examine all records, books,
papers or documents related to the award and will establish a proper accounting system in
accordance with generally accepted accounting standards.
c. Access to Records in Negotiated Agreements.
The Recipient will include in all negotiated contracts (except those of $10,000 or less) awarded
by Recipient a provision to the effect that the Recipient, FMCSA, the Secretary of
Transportation, the Comptroller General of the United States or any of their duly authorized
representatives, and, if appropriate the State, through any authorized representative, shall have
access to any books documents, papers and records of the contractor which are directly pertinent
to the program for the purpose of making audits, examinations, excerpts, and transcriptions.
i. Financial records, supporting documents statistical records, and all other
records pertinent to this instrument shall be retained for a period of three years,
with the following exception:
1. If any litigation, claim, or audit is started before the expiration of
the 3-year pei iod, the records shall be retained in their entirety
until all litigation claims, or audit findings involving the records
have been resolved
2. Records for nonexpendable property, if any, acquired with Federal
funds shall be retained for three years after its final disposition.
3. When records are transferred to or maintained by FMCSA the 3-
year retention requirement is not applicable to the recipient. The
retention period starts from the date of the submission of the final
expenditure report.
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Section 14. Audit and Inspection.
a. Inspector General Act of 1978.
Under the Inspector General Act of 1978, as amended, 5 U.S.C. App. 3 § 1 et seq., an audit of
the award may be conducted at any time.
b. Single Audit Act Amendments of 1996.
The Recipient agrees to undergo the required financial and compliance audits in accordance with
the Single Audit Act Amendments of 1996 and OMB Circular NO. A-133, ` Audits of States,
Local Governments and Non -Profit Organizations.'
c. Audit Requirements.
A Recipient that is: (a) a State, local government or Indian tribal government agrees to comply
with the audit requirements of 49 C F.R. § 18.26 and OMB Circular A-133, and any revision or
supplement thereto; (b) an institution of higher education or nonprofit organization agrees to
comply with the audit requirements of 49 C F.R. § 19.26 and OMB Circular A-133, and any
revision or supplement thereto; (c) a private for -profit organization agrees to comply with the
audit requirements of OMB Circular A-133.
It is imperative that Recipients submit required OMB Circular A-133 audits within the time
limits specified in the Circular. The Recipient agrees to submit the data collection form and
copies of the reporting package required under OMB Circular A-133 to the Federal Audit
Clearinghouse Bureau of the Census, 1201 East 10th Street Jefferson, IN 47132.
The Recipient agrees to obtain any other audits required by FMCSA. Project closeout will not
alter the Recipient's audit responsibilities. Audit costs for Project administration and
management are allowable under this Project to the extent authorized by OMB Circular A-87,
Revised; OMB Circular A-21, Revised; or OMB Circular A-122, Revised.
The Recipient agrees to permit FMCSA, the Secretary of Transportation and the Comptroller
General of the United States, or their authorized representatives, to inspect all Project work,
materials, payrolls, and other data, and to audit the books, i ecords, and accounts of the Recipient
and its contractors pertaining to the Project. The Recipient agrees to require each third party
contractor whose contract award is not based on competitive bidding procedures as defined by
the Secretary to permit the Secretary of Transportation and the Comptroller General of the
United States, or their duly authorized representatives to inspect all work, materials, payrolls,
and other data and records involving that contract, and to audit the books, records, and accounts
involving that contract as it affects the Project.
Section 15. Responsibility for Reporting Fraudulent Activity, Waste and Abuse.
The Recipient understands that the Federal government may pursue administrative, civil, or
ciiminal action under a variety of statutes relating to fraud and making false statement or claims.
7
The Recipient agrees to contact the DOT, the Office of Inspector General (OIG), if the Recipient
becomes aware of the existence (or apparent existence) of fraudulent activity, waste, or abuse.
The OIG has authority within the DOT to conduct criminal investigations. The DOT OIG
maintains a post office box and a toll -free hotline for receiving information from individuals
concerning fraud, waste, or abuse under DHS grants and cooperative agreements. The hotline is
available 24 hours a day, 7 days a week. http://www.oia.dot.gov/Hotline. The identity of the
caller is kept confidential, and callers are not required to give their names.
Examples of fraud, waste, and abuse that should be reported include, but are not limited to,
embezzlement, misuse, or misappropriation of grant funds or property, and false statements,
whether by organizations or individuals. Other examples include theft of grant funds for
personal use; using funds for non -grant -related purposes; theft of federally owned property or
property acquired or leased under a grant; charging inflated building rental fees for a building
owned by the Recipient; submitting false financial reports; and submitting false financial data in
bids submitted to the Recipient (for eventual payment under the grant).
Section 16. Budget and Finance.
The Recipient agrees to carry out the Project in accordance with the Approved Project Budget,
written approval of which the Recipient shall secure from FMCSA prior to being reimbursed
under this Agreement. In accordance with 49 C.F.R. § 18.30 and 49 CFR § 19.25, the Recipient
must obtain prior, written approval from FMCSA before making any revisions to the approved
project budget (1) that would require any transfer of funds between budget lines cumulatively
greater than ten percent of the total approved project budget, or (2) that involve expenditures for
items or services not approved in the original project plan, or (3) that would result in the need for
additional funding. This includes revisions to the indirect cost rate. Any written approval may be
obtained from the Associate Administrator or his/her designated representative, of the respective
FMCSA Office.
The Recipient may, without prior approval from FMCSA, make any reasonable and necessary
modification to the project budget provided that such deviations do not cumulatively exceed ten
percent of the total approved project amount and provided that such deviations only involve the
transfer of funds between expenditure items or categories authorized by FMCSA in the approved
budget.
The Recipient agrees to establish and maintain for the Project either a separate set of accounts or
accounts within the framework of an established accounting system, in a manner consistent with
49 C.F.R. § 18.20, or 49 C.F.R. § 19.21, as amended, whichever is applicable. Consistent with
the provisions of 49 C.F.R. § 18.21, or 49 C.F.R. § 19.22, as amended, whichever is applicable,
the Recipient agrees to record in the Project Account, and deposit in a financial institution all
Project payments received by it from FMCSA pursuant to this Agreement and all other funds
provided for, accruing to, or otherwise received on account of the Project (Project Funds). The
Recipient is encouraged to use financial institutions owned at least 50 percent by minority group
members. All costs charged to the Project, including any approved services contributed by the
8
Recipient or others, shall be supported by properly executed payrolls, time records, invoices,
contracts, or vouchers describing in detail the nature and propriety of the charges. All matches
shall be supported by appropriate records. The Recipient also agrees to maintain accurate
records of all Program Income derived from Project implementation. The Recipient agrees that
all checks, payrolls, invoices, contracts, vouchers orders or other accounting documents
pertaining in whole or in part to the Project shall be clearly identified, readily accessible, and, to
the extent feasible, kept separate from documents not pertaining to the Project.
Section 17. Payments.
a. Request by the Recipient for Payment.
The Recipient's request for payment of the Federal share of allowable costs shall be made to
FMCSA and will be acted upon by FMCSA as set forth in this section. Each payment made to
the Recipient must comply with Department of the Treasury regulations "Rules and Procedures
for Funds Transfers," 31 C.F.R. Part 205. To receive a Federal assistance payment, the Recipient
must:
i. Have demonstrated or certified that it has made a binding commitment of non -
Federal funds, if applicable, adequate when combined with Federal payments to
cover all costs to be incurred under the Project to date. A Recipient required by
Federal statute or this Agreement to provide contributory matching funds or a cost
share agrees:
1. To refrain from requesting or obtaining Federal funds in excess of
the amount justified by the contributory matching funds or cost share
that has been provided; and
2. To refrain from taking any action that would cause the proportion of
Federal funds made available to the Project at any time to exceed the
percentage authorized under this Agreement. The requirement for
contributory matching funds or cost share may be temporarily
waived only to the extent expressly provided in wining by FMCSA.
ii. Have submitted to FMCSA all financial and progress reports required to date
under this Agreement and
iii. Have identified the source(s) of financial assistance provided under this
Project if applicable, from which the payment is to be derived.
b. Delphi eInvoicing System for Department of Transportation (DOT) Financial
Assistance Awardees
i. Subject to the requirements in 49 CFR 18.21, payments will be made after receipt
of required FMCSA reporting forms and supporting documentation. Each
payment request must be made electronically via the Delphi elnvoicing System.
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ii. The following are the procedures for accessing and utilizing the Delphi
elnvoicing System
iii. Grant Recipient Requirements
1. Recipient must have internet access to register and submit payment
requests through the Delphi elnvoicing system.
2. Recipient must submit payment requests electronically and FMCSA
must process payment requests electronically.
iv. System User Requirements
1. Recipients should contact FMCSA to request access to the system.
The FMCSA will provide the Recipient s name and email address to
the DOT Financial Management Office. The DOT will then notify
the Recipient to register for the system through an electronic
invitation. The Recipient must complete online training prior to
DOT giving system access.
v. Waivers
2. The DOT will send the Recipient an email with an electronic form to
verify the Recipient's identity. The Recipient must complete the
form, and present it to a Notary Public for verification. The
Recipient will return the notarized form to:
DOT Enterprise Services Center
FAA Accounts Payable, AMZ-100
PO Box25710
Oklahoma City, OK 73125
3. The DOT will validate the form and email a user ID and password to
the Recipient. Re c i p i e n t should contact the FMCSA grants
office with any changes to their system information.
4. Note: Additional information, including access forms and training
materials can be found on the DOT elnvoicing website
(http:Uwww.dot.gov/cfo/delphi-einvoicing-system.html)
1. DOT Financial Management officials may, in highly limited
circumstances and on a case by case basis, waive the requirement to
register and use the electronic grant payment system. Waiver request
forms can be obtained on the DOT elnvoicing website
(http://www.dot.eov/cfo/delphi-elnvoicing-system.htmll or by
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contacting FMCSA. Recipients must explain why they are unable to
use or access the internet to register and enter payment requests.
c. Reimbursement Payment by FMCSA.
i. If the reimbursement method is used, the Recipient agrees to:
1. Complete and submit Standard Form 3881,"Payment Information
Form - ACH Payment Vendor Payment System," to FAA-ESC; and
2. Complete and submit, on at least a quarterly basis, Standard Form
270, "Request for Advance or Reimbursement," to FMCSA.
ii. Upon receipt of a payment request and adequate accompanying information
(invoices in accordance with applicable cost principles), FMCSA will authorize
payment by direct deposit provided the Recipient: (i) is complying with its
obligations under this Agreement, (ii) has satisfied FMCSA that it needs the
requested Federal funds during the requisition period, and (iii) is making adequate
and timely progress toward Project completion. If all these circumstances are
present, FMCSA may reimburse allowable costs incurred by the Recipient up to
the maximum amount of FMCSA's share of the total Project funding. FMCSA
will employ a payment term of 20 days. The clock will start running for payment
on receipt of the invoice by FMCSA's financial processor.
d. Other Payment Information.
The Recipient agrees to adhere to and impose on its subgrantees all applicable foregoing
' Payment by FMCSA" requirements of this Agreement. If the Recipient fails to adhere to the
foregoing 'Payment by FMCSA" requirements of this Agreement, FMCSA may revoke the
portion of the Recipient's funds that has not been expended.
e. Effect of Program Income, Refunds, and Audit Recoveries on Payment.
In accordance with 49 CFR § 18.21(f) State, local government, and Indian tribunal Recipients
and subrecipients shall disburse program income, rebates, refunds contract settlements, audit
recoveries and interest earned on such funds before requesting additional cash payments. In
accordance with 49 CFR § 19.22, to the extent available, Non profit organization Recipients and
subrecipients shall disburse funds available from repayments to and interest earned on a
revolving fund program income, rebates, refunds contract settlements, audit recoveries and
interest earned on such funds before requesting additional cash payments.
f. Allowable Costs.
i. The Recipient's expenditures will be reimbursed only if they meet all requirements
set forth below:
11
1. Conform with the Project description and the approved Project
Budget and all other terms of this Agreement;
2. Be necessary in order to accomplish the Project;
3. Be reasonable for the goods or services purchased;
4. Be actual net costs to the Recipient (i.e., the price paid minus any
refunds, rebates, or other items of value received by the Recipient that
have the effect of reducing the cost actually incurred);
5. Be incurred (and be for work performed) after the effective date of
this Agreement, unless specific authorization from FMCSA to the
contrary is received in writing (pre -award costs);
6. Unless peiuiitted otherwise by Federal statute or regulation, conform
with Federal guidelines or regulations and Federal cost principles as
set forth below:
a. For Recipients that are governmental organizations, the
cost principles of 2 C.F.R. § 225 apply (OMB Circular A-
87, Revised "Cost Principles for State and Local
Governments" apply;
b. For Recipients that are institutions of higher education, the
cost principles of 2 C.F.R. §220 ( OMB Circular A-21,
Revised, "Cost Principles for Educational Institutions"
apply;
c. For Recipients that are private nonprofit organizations, the
cost principles of 2 C.F.R. § 230 (OMB Circular A-122
Revised, "Cost Principles for Nonprofit Organizations"
apply); and
d. For Recipients that are for -profit organizations, the
standards of the Federal Acquisition Regulation, 48 C.F.R.
Chapter I, Subpart 31 2 "Contracts with Commercial
Organizations' apply.
7. Be satisfactorily documented; and
8. Be treated uniformly and consistently under accounting principles and
procedures approved and prescribed by FMCSA for the Recipient,
and those approved or piescribed by the Recipient for its subgrantees
and contractors.
12
g. Indirect Costs.
Indirect costs will not be reimbursed without documentation of an approved indirect cost rate
from the recipient's cognizant agency. If a recipient intends to request reimbursement of indirect
costs, the Recipient must submit the proper documentation before vouchers are submitted for
reimbursement. The recipient must indicate in its budget that it will be seeking indirect costs,
and a placeholder indirect cost rate will suffice until a final rate can be determined.
The Recipient must obtain prior approval from the Grant Manager to shift direct costs to indirect
costs in order to recover indirect costs at a negotiated indirect cost rate higher than the place
holder indirect cost rate if the cumulative amount of such transfer exceeds or is expected to
exceed 10 percent of the total approved budget in accordance with 49 C.F.R. § 18.30 and 49
CFR § 19.25.
The grantee may not request additional grant funds to recover indirect costs that it cannot recover
by shifting direct costs to indirect costs. After this Grant Agreement has been signed, any
request for changes to the indirect cost rate requires an amendment and must be approved by the
Grant Manager if the change to the indirect cost rate would cause the cumulative amount of a
budget transfer to exceed 10 percent of the total approved budget in accordance with 49 C.F.R. §
18.30 and 49 CFR § 19.25.
h. Pre -Award Costs.
A Recipient may be reimbursed for obligations incurred before the effective date of the award if:
i. The Recipient receives prior written approval from the FMCSA before the
reimbursement vouchers are submitted;
ii. The costs are necessary to conduct the project; and
iii. The costs would be allowable under the grant, if awarded.
If a specific expenditure would otherwise require prior approval before making the expenditure
(i.e. pursuant to 2 C.F.R. 225, Appendix B, special equipment over $5,000), then the Recipient
must obtain FMCSA written approval before incurring the cost.
Recipient understands that the incurrence of pre -award costs in anticipation of an award is taken
at the Recipient's risk and imposes no obligation on FMCSA to make the award or to increase
the amount of the approved budget if (1) there is no award subsequently made; (2) an award is
made for less than anticipated and is inadequate to cover the pre -award costs incurred; or (3)
there are inadequate appropriations.
i. Disallowed Costs.
In determining the amount of Federal assistance FMCSA will provide, FMCSA will exclude:
13
i. Any Project costs incurred by the Recipient before the effective date of this
Agreement, or amendment or modification thereof, whichever is later, unless
otherwise permitted by Federal law or regulation, or unless an authorized
representative of FMCSA states in writing to the contrary;
ii. Any costs incurred by the Recipient that are not included in the latest approved
Project Budget; and
iii. Any costs attributable to goods or services received under a contract or other
arrangement that is required to be, but has not been, concurred in or approved in
writing by FMCSA.
The Recipient agrees that reimbursement of any cost under the "Payment by FMCSA," part of
this Agreement does not constitute a final FMCSA decision about the allowabil ty of that cost
and does not constitute a waiver of any violation by the Recipient of the terms of this Agreement.
The Recipient understands that FMCSA will not make a final determination about the
allowability of any cost until an audit of the Project has been completed. If FMCSA determines
that the Recipient is not entitled to receive any part of the Federal funds requested, FMCSA will
notify the Recipient stating the reasons thereof. Project closeout will not alter the Recipient's
obligation to return any funds due to FMCSA as a result of later refunds corrections, or other
transactions. Nor will Project closeout alter FMCSA's right to disallow costs and recover funds
on the basis of a later audit or other review. Unless prohibited by law, FMCSA may offset any
Federal assistance funds to be made available under this Project as needed to satisfy any
outstanding monetary claims that the Federal Government may have against the Recipient.
Exceptions pertaining to disallowed costs will be assessed based on their applicability, as set
forth in the applicable Federal cost principals or other written Federal guidance.
Section 18. Program Income
Recipient agrees to comply with the regulations relating to program income, located at 49 CFR
§§ 18.21(f), 18.24(b)(4) 18.25 for State, local government, and Indian tribunal recipients and
subrecipients and 49 CFR §§19.22(g), 19 24, and 19.34(d) for non-profit organizations.
Program income means gross income earned by the recipient, subrecipient, or contractor under a
grant, that is directly generated by a grant supported activity or earned as a result of the award
during the award period. "During the grant period" is the time between the effective date of the
award and the ending date of the award reflected in the final financial report.
Program income includes, but is not limited to, user charges or user fees, income from fees for
services performed, the use or rental of real or personal property acquired under federally -funded
projects, the sale of commodities or items fabricated under an award, license fees and royalties
on patents and copyrights, and interest on loans made with awai d funds. Interest earned on
advances of Federal funds is not program income. Except as otherwise provided in Federal
awarding agency regulations or the terms and conditions of the award, program income does not
include the receipt of principal on loans, rebates, credits, discounts, etc , or interest earned on any
of them.
14
Recipients agree to use the Program income in accordance with 49 CFR §18.25(g) (for State,
local government and Indian tribunal recipients and subrecipients) and 49 CFR § 19 24(b) (for
nonprofit organizations).
Section 19. Reports.
a. Performance Progress Reports.
The Recipient will submit, at a minimum, quarterly performance progress reports and a final
performance progress report at the completion of the award (within 90 days after) to the agency
point of contact listed in the award document. Recipient must submit all performance progress
report forms required by FMCSA. These reports will cover the period: January 1-March 31,
April 1-June 30 July 1-September 30, and October 1-December 31. The Recipient shall furnish
one (1) copy of a quarterly performance progress report to the Grant Manager, on or before the
thirtieth (30th) calendar day of the month following the end of the quarter being reported. Each
quarterly report shall set forth concise statements concerning activities relevant to the Project,
and shall include, but not be limited to, the following:
i. An account of significant progress (findings, events, trends, etc.) made during the
reporting period;
ii. A description of any technical and/or cost problem(s) encountered or anticipated
that will affect completion of the grant within the time and fiscal constraints as set
forth in this Agreement, together with recommended solutions or corrective action
plans (with dates) to such problems, or identification of specific action that is
required by the FMCSA or a statement that no problems were encountered;
iii. An outline of work and activities planned for the next reporting period; and
iv. Provide status update/resolution for all outstanding findings from program reviews
and/or audits.
b. Quarterly Financial Status Reports.
The Recipient shall furnish one (1) copy of a quarterly financial status report to the Grant
Manager and one (1) copy to the Grants Officer, on or before the thirtieth (30th) calendar day of
the month following the end of the quarter being reported. The Recipient shall use SF 425,
Federal Financial Report to report the status of funds for all non -construction projects or
programs. The Recipient shall report outlays and program income, if any, on an accrual basis
However, if the Recipient's accounting records are not normally kept on an accrual basis, the
Recipient shall not be required to convert its accounting system, but shall develop such accrual
information through an analysis of the documentation on hand. The Recipient shall certify to the
expenditure of its proposed cost share for the period being reported, in the "Remarks" block.
15
Section 20. Non -Discrimination.
The Recipient will comply with all Federal statutes relating to nondiscrimination. These include
but are not limited to: (a) Title VI of The Civil Rights Act of 1964 (P.L 88-352) which
prohibits discrimination on the basis of race, color, of national origin (b) Title IX of the
Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683, and 1685-1686), which
prohibits discrimination on the basis of sex; (c) Sections 504 and 508 of the Rehabilitation Act of
1973 as amended (29 U.S.C. §§794, 794(d), which prohibit discrimination on the basis of
disabilities; (d) the Age Discrimination Act of 1975, as amended (42 U S.C. § §6101-6107),
which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act
of 1972 (P.L. 92-255), as amended relating to nondiscrimination on the basis of drug abuse (f)
the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism, (g) the Public Health Service Act of 1912 (42 U.S.C. §290dd-2), relating to
confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U S C. §§ 3601 et seq relating to nondiscrimination in the sale, rental or financing of
housing; and (i) the requirements of any other nondiscrimination statute(s) which may apply to
the application.
The Recipient also agrees to comply with the FMCSA Title VI Assurances.
Section 21. Executive Order on Equal Opportunity Related to Contracts.
a. The Recipient will comply with all Federal statutes and Executive Orders relating to
Equal Employment Opportunity.
i. The Recipient agrees to incorporate in all contracts having a value of over $10,000,
the provisions requiring compliance with Executive Order 11246, as amended, and
implementing regulations of the United States Department of Labor at 41 CFR 60,
the provisions of which, other than the standard EEO clause and applicable goals
for employment of minorities and women, may be incorporated by reference.
ii. The Recipient agrees to ensure that its contractors and subcontractors, regardless
of tier, awarding contracts and/or issuing purchase orders for material, supplies,
or equipment over $10,000 in value will incorporate the required EEO provisions
in such conti acts and purchase orders.
Section 22. Employment Policies.
The Recipient further agrees that its own employment policies and practices will be without
discrimination based on race, color, religion, sex, national origin, disability or age; and that it has
an affirmative action plan (AAP) consistent with the Uniform Guidelines on Employee Selection
Procedures, 29 CFR 1607, and the Affirmative Action Guidelines, 29 CFR 1608 The
applicant/recipient shall provide the AAP to FMCSA for inspection or copy upon request.
16
Section 23. Property.
In general, title to equipment and supplies acquired by a Recipient with DOT funds vests in the
Recipient upon acquisition, subject to the property management requirements of 49 CFR parts 18
and 19, whichever applicable.
A Recipient that is a State, local, or Indian tribal government agrees to comply with the property
management standards of 49 C.F.R. § § 18.31 through 18.34, including any amendments thereto,
and with other applicable Federal regulations and directives. A Recipient that is an institution of
higher education or private nonprofit entity, agrees to comply with the property management
standards of 49 C F.R. §§ 19.30 through 19.37, including any amendments thereto, and with other
applicable Federal regulations and directives. Any exception to the requirements of 49 C.F.R.
§§ 18.31 through 18.34, or the requirements of 49 C.F.R. §§ 19.30 through 19.37, requires the
express approval of the Federal Government in writing. A Recipient that is a for -profit entity
agrees to comply with property management standards satisfactory to FMCSA.
With respect to any Project property financed with Federal assistance under the Grant Agreement
or Cooperative Agreement the Recipient agrees to comply with the 49 C F.R. Part 18 or 49
C.F.R. Part 19, as applicable as well as the Grant Provisions and Assurances that follow, unless
FMCSA determines otherwise in writing
Under this Section, local governments, Indian tribal governments, research institutions, hospitals,
and nonprofit organizations, as well as for profit organizations, will be collectively referred to as
a "Non -State Recipient" in circumstances the responsibilities of the State Recipient will be
distinguished from the responsibilities of the Non -State Recipient.
a. Use of Project Property.
The State Recipient agrees to use Project property for the purpose for which it was acquired
under the period of performance of the Grant. State recipients acknowledge that the FMCSA
may ensure that the purpose of the grant is being satisfied. State recipients acknowledge that
FMCSA may request a copy of the State statute and procedures in determining whether a State is
in compliance with its own State procedures, and to assist the FMCSA in determining the
allocability, reasonableness, and allowability of costs.
The Non -State Recipient agrees to use Project property for appropriate Project purposes (which
may include joint development purposes that generate program income, both during and after the
award period, beginning on the effective date, and used to support public transportation
activities) for the duration of the useful life of that property, as required by FMCSA. Should the
Recipient unreasonably delay or fail to use Project property during the useful life of that
property, the Recipient agrees that it may be required to return the entire amount of the Federal
assistance expended on that property. The Non -State Recipient further agrees to notify FMCSA
immediately when any Project property is withdrawn from Project use or when any Project
property is used in a manner substantially different from the representations the Recipient has
made in its Application or in the Project Description for the Grant Agreement or Cooperative
Agreement for the Project.
17
b. Maintenance.
The State Recipient agrees to maintain Project property in accordance with State law and
procedures.
The Non -State Recipient agrees to maintain Project property in good operating order, in
compliance with any applicable Federal regulations or directives that may be issued.
c. Records.
The State Recipient agrees to maintain records in accordance with State law and procedures.
The Non -State Recipient agrees to keep satisfactory records pertaining to the use of Project
property, and submit to FMCSA upon request such information as may be required with this
agreement.
d. Incidental Use.
Any incidental use of Project property will not exceed that permitted under applicable Federal
laws, regulations, and directives.
e Encumbrance of Project Property.
The State Recipient agrees to maintain satisfactory continuing control of Project property in
accordance with State law and procedures. I he State Recipient understands that an encumbrance
of project property may not interfere with the purpose for which the equipment was purchased.
The Non -State Recipient agrees to maintain satisfactory continuing control of Project property as
follows:
i. Written Transactions.
The Non -State Recipient agrees that it will not execute any transfer of title,
lease, lien, pledge, mortgage, encumbrance, third party contract,
subagreement, grant anticipation note, alienation, innovative finance
arrangement (such as a cross border lease, leveraged lease, or otherwise), or
any other obligation pertaining to Project property, that in any way would
affect the continuing Federal interest in that Project property.
ii. Oral Transactions.
The Non -State Recipient agi ees that it will not obligate itself in any manner to
any third party with respect to Project property.
iii. Other Actions.
18
The Non -State Recipient agrees that it will not take any action adversely
affecting the Federal interest in or impair the Recipient's continuing control of
the use of Project property.
iv. Purpose.
The Non -State Recipient agrees that no use under this section will interference
with the purpose for which the equipment was purchased.
f. Transfer of Project Property.
The State Recipient agrees to transfer Project property in accordance with State law and
procedures.
The Non -State Recipient understands and agrees as follows:
i. Non -State Recipient Request.
The Non -State Recipient may transfer any Project property financed with
Federal assistance authorized under 49 U.S.C. chapter 53 to a public body to
be used for any public purpose with no further obligation to the Federal
Government, provided the transfer is approved by the FMCSA Administrator
and conforms with the requirements of 49 U.S.C. §§ 5334(h)(1) and (2).
ii. Federal Government Direction.
The Non -State Recipient agrees that the Federal Government may direct the
disposition of, and even require the Recipient to transfer, title to any Project
property financed with Federal assistance under the Grant Agreement or
Cooperative Agreement.
iii. Leasing Project Property to Another Party.
If the Non -State Recipient leases any Project property to another party, the
Non -State Recipient agrees to retain ownership of the leased Project property,
and assure that the lessee will use the Project property appropriately, either
through a written lease between the Non -State Recipient and lessee, or another
similar document. Upon request by FMCSA, the Non -State Recipient agrees
to provide a copy of any relevant documents.
g. Disposition of Project Property.
The State Recipient may use its own disposition procedures provided that those procedures
comply with the laws of that State, as authorized by 49 C.F.R. § 18.32(b).
19
The Non -State Recipient agrees to dispose of Project property as follows:
With prior FMCSA approval, the Non -State Recipient may sell, transfer, or lease Project
property and use the pioceeds to reduce the gross project cost of other eligible capital public
transportation projects to the extent permitted by 49 U.S C. §5334(h)(4). The Non -State
Recipient also agrees that FMCSA may establish the useful life of Project property, and that it
will use Project property continuously and appropriately throughout the useful life of that
property
i. Project Property with Expired Useful Life. When the useful life of Project
property has expired, the Non -State Recipient agrees to comply with FMCSA's
disposition requirements.
ii. Project Property Prematurely Withdrawn from Use. For Project property
withdrawn from appropriate use before its useful life has expired, the Recipient
agrees as follows:
1. Notification Requirement. The Non -State Recipient agrees to notify
FMCSA immediately when any Project property is prematurely
withdrawn from appropriate use, whether by planned withdrawal,
misuse, or casualty loss.
2. Calculating the Fair Market Value of Prematurely Withdrawn Project
Property. The Non -State Recipient agrees that the Federal
Government retains a Federal interest in the fair market value of
Project property prematurely withdrawn from appropriate use. The
amount of the Federal interest in the Project property shall be
determined by the ratio of the Federal assistance awarded for the
property to the actual cost of the property. The Non -State Recipient
agrees that the fair market value of Project property prematurely
withdrawn from use will be calculated as follows:
A. Equipment and Supplies. The Non -State Recipient agrees that
the fair market value of Project equipment and supplies shall be
calculated by straight-line depreciation of that property, based
on the useful life of the equipment or supplies as established or
approved by FMCSA. Information on straight line
depreciation may be found in the Internal Revenue Code. The
fair market value of Project equipment and supplies shall be the
value immediately before the occurrence prompting the
withdrawal of the equipment or supplies from appropriate use.
In the case of Project equipment or supplies lost or damaged by
fire casualty, or natural disaster, the fair market value shall be
calculated on the basis of the condition of that equipment or
20
supplies immediately before the fire, casualty, or natural
disaster, irrespective of the extent of insurance coverage.
B. Real Property. The Non -State Recipient agrees that the fair
market value of real property shall be determined either by
competent appraisal based on an appropriate date approved by
the Federal Government, as provided by 49 C.F.R. Part 24 or
by straight line depreciation whichever is greater.
3. Exceptional Circumstances. The Non -State Recipient agrees that the
Federal Government may require the use of another method to
determine the fair market value of Project property. In unusual
circumstances, the Non -State Recipient may request that another
reasonable valuation method be used including, but not limited to,
accelerated depreciation, comparable sales, or established market
values. In determining whether to approve such a request, the Federal
Government may consider any action taken, omission made or
unfortunate occurrence suffered by the Non -State Recipient with
respect to the preservation of Project property withdrawn from
appropriate use.
h. Financial Obligations to the Federal Government.
The Recipient agrees to remit to the Federal Government the Federal interest in the fair market
value of any Project property prematurely withdrawn from appropriate use. In the case of fire
casualty, or natural disaster, the Recipient may fulfill its obligations to remit the Federal interest
by either:
i. Investing an amount equal to the remaining Federal interest in like -kind property
that is eligible for assistance within the scope of the Project that provided Federal
assistance for the Project property prematurely withdrawn from use; or
ii. Returning to the Federal Government an amount equal to the remaining Federal
interest in the withdrawn Project property.
i. Insurance Proceeds.
If the Recipient receives insurance proceeds as a result of damage or destruction to the Project
property, the Recipient agrees to:
i. Apply those insurance proceeds to the cost of replacing the damaged or destroyed
Project property taken out of service, or
ii. Return to the Federal Government an amount equal to the remaining Federal
interest in the damaged or destroyed Project property.
21
j. Transportation of Hazardous Materials.
The Recipient agrees to comply with applicable requirements of U.S. Pipeline and Hazardous
Materials Safety Administration regulations, "Shippers - General Requirements for Shipments
and Packagings," 49 C.F.R. Part 173, in connection with the transportation of any hazardous
materials.
k. Misused or Damaged Project Property.
If any damage to Project property results from abuse or misuse occurring with the Recipient's
knowledge and consent, the Recipient agrees to restore the Project property to its original
condition or refund the value of the Federal interest in that property, as the Federal Government
may require.
1. Responsibilities after Project Closeout.
The Recipient agrees that Project closeout by FMCSA will not change the Recipient's Project
property management responsibilities as stated in these Grant Provisions and Assurances, and as
may be set forth in subsequent Federal laws regulations, and directives, except to the extent the
Federal Government determines otherwise in writing.
Section 24. Davis -Bacon Act Requirements.
The Recipient agrees to comply, as applicable, with the provisions of the Davis Bacon Act (40
U.S.C. §3145 and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40
U.S.C. §§3701 et seq.) regarding labor standards for federally -assisted construction sub -
agreements.
Section 25. Environmental Requirements.
The Recipient agrees to comply, as applicable, with environmental standards which may be
prescribed pursuant to the following: (a) institution of environmental quality control measures
under the National Environmental Policy Act of 1969 (P L 91-190) and Executive Ordei (EO)
11514, (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f)
conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of
the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et seq.) (g) protection of
underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended
(P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of
1973, as amended (P.L. 93-205).
22
Section 26. Government Rights (Unlimited).
FMCSA shall have unlimited rights for the benefit of the Government in all other work
developed in the performance of this Agreement, including the right to use same on any other
Government work without additional cost to FMCSA. The rights to any inventions made by a
recipient under an FMCSA financial assistance award are determined by the Bayh-Dole Act,
Pub. L. 96-517, as amended, and codified in 35 U.S.C. § 200, et seq., except as otherwise
provided by law.
a. Patent Rights.
If any invention, improvement, or discovery of the Recipient or any of its third party contractors
is conceived or first actually reduced to practice in the course of or under this Project, and that
invention, improvement, or discovery is patentable under the laws of the United States of
America or any foreign country, the Recipient agrees to notify FMCSA immediately and provide
a detailed report The rights and responsibilities of the recipient, third party contractors and
FMCSA with respect to such invention, improvement, or discovery will be determined in
accordance with applicable Federal laws, regulations policies, and any waiver thereof.
If the Recipient secures a patent with respect to any invention, improvement, or discovery of the
Recipient or any of its third party contractors conceived or first actually reduced to practice in
the course of or under this Project, the Recipient agrees to grant to FMCSA a royalty -free, non-
exclusive, and irrevocable license to use and to authorize others to use the patented device or
process for Federal Government purposes.
The Recipient agrees to include the requirements of the "Patent Rights" section of this
Agreement in its third party contracts for planning, research, development, or demonstration
under the Project.
b. Data Rights.
The term "subject data" used in this section means recorded information, whether or not
copyrighted, that is developed, delivered, or specified to be delivered under this Agreement. The
term includes graphic or pictorial delineations in media such as drawings or photographs; text in
specifications or related performance or design -type documents; machine forms such as punched
cards magnetic tape, or computer memory printouts; and information retained in computer
memory. Examples include, but are not limited to: computer software, engineering drawings
and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog
item identifications, and related information. The term does not include financial reports, cost
analyses, and similar information incidental to Project administration. The following restrictions
apply to all subject data first produced in the performance of this Agreement:
i. Except for its own internal use, the Recipient may not publish or reproduce such
data in whole or in part, or in any manner or form, nor may the Recipient authorize
others to do so, without the written consent of FMCSA, until such time as FMCSA
may have either released or approved the release of such data to the public
23
ii. As authorized by 49 C.F.R. § 18.34, or 49 C.F.R. § 19.36, as applicable, FMCSA
reserves a royalty -free, non-exclusive and irrevocable license to reproduce publish
or otherwise use, and to authorize others to use, for Federal Government purposes:
1. Any work developed under a grant, cooperative agreement sub -grant,
sub -agreement, or third party contract, irrespective of whether or not
a copyright has been obtained; and
2. Any rights of copyright to which a Recipient, subgrantee, or a third
party contractor purchases ownership with Federal assistance.
When FMCSA provides assistance to a Recipient for a Project involving planning, research, or
development, it is generally FMCSA's intent to increase the body of knowledge, rather than to
limit the benefits of the Project to those parties that have participated therein Therefore, unless
FMCSA determines otherwise the Recipient understands and agrees that, in addition to the
rights set forth in preceding portions of this section of this Agreement, FMCSA may make
available to any FMCSA Recipient, subgrantee third party contractor, or third party
subcontractor, either FMCSA's license in the copyright to the "subject data" derived under this
Agreement or a copy of the "subject data" first produced under this Agreement. In the event that
such a Project which is the subject of this Agreement is not completed, for any reason
whatsoever, all data developed under that Project shall become subject data as defined herein and
shall be delivered as FMCSA may direct
Unless prohibited by State law, the Recipient agrees to indemnify save and hold harmless
FMCSA, its officers, agents, and employees acting within the scope of their official duties
against any liability, including costs and expenses, resulting from any willful or intentional
violation by the Recipient of proprietary rights copyrights, or right of privacy, arising out of the
publication, translation, reproduction, delivery use, or disposition of any data furnished under
this Agreement. The Recipient shall not be required to indemnify FMCSA for any such liability
arising out of the wrongful acts of employees or agents of FMCSA.
Nothing contained in this section on rights in data, shall imply a license to FMCSA under any
patent or be construed as affecting the scope of any license or other right otherwise granted to
FMCSA under any patent.
The requirements of this section of this Agreement do not apply to material furnished to the
Recipient by FMCSA and incorporated in the work carried out under this Agreement provided
that such incorporated material is identified by the Recipient at the time of delivery of such
work.
Unless FMCSA determines otherwise, the Recipient agrees to include the requirements of this
section of this Agreement in its third party contracts for planning, research, development, or
demonstration under the Project
c. Acknowledgment or Support and Disclaimer.
24
i. An acknowledgment of FMCSA support and a disclaimer must appear in any
recipient publication, whether copyrighted or not, based on or developed under the
Agreement, in the following terms:
1. 'This material is based upon work supported by the Federal
Motor Carrier Safety Administration under a
grant/cooperative agreement, dated ."
2. f ll-in appropriate identification of grant/cooperative agreement);
3. All Recipient publications must also contain the following'
A. "Any opinions, findings, and conclusions or
recommendations expressed this publication are those
of the author(s) and do not necessarily reflect the view
of the Federal Motor Carrier Safety Administration
and/or the U.S Department of Transportation."
B. The Recipient agrees to cause to be erected at the site of any
construction, and maintain during construction, signs
satisfactory to FMCSA identifying the Project and indicating
that FMCSA is participating in the development of the Project.
Section 27. Drug Free Workplace.
By signing this agreement, the Recipient certifies that it is in compliance with the Drug -Free
Workplace Act (41 U.S.C. Sec. 701 et seq.) and implementing regulations (49 CFR Part 32),
which require, in part, that recipients prohibit drug use in the workplace, notify the FMCSA of
employee convictions for violations of criminal drug laws occurring in the workplace, and take
appropriate personnel action against a convicted employee or require the employee to participate
in a drug abuse assistance program.
Section 28. Background Screening.
FMCSA reserves the right to perform individual background screening on key individuals of
organizational units associated with the application at the effective date and at another interval
thereafter for the life of the award. If in performance of a grant award requires recipient
organization personnel to have unsupervised physical access to a Federally controlled facility for
more than 180 days or access to a Federal information system, such personnel must undergo the
personal identity verification credential process under Homeland Security Presidential Directive
12.
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Section 29. Site Visits.
FMCSA, through its authorized representatives, has the right, at all reasonable times, to make
site visits to review Project accomplishments and management control systems and to provide
such technical assistance as may be required. If any site visit is made by FMCSA on the
premises of the Recipient, subgrantee or subcontractor under this Agreement, the Recipient shall
provide and shall require its subgrantees or subcontractors to provide, all reasonable facilities
and assistance for the safety and convenience of FMCSA representatives in the performance of
their duties. All site visits and evaluations shall be performed in such a manner as will not
unduly delay work being conducted by the Recipient, subgrantee or subcontractor.
Section 30. Liability.
The Recipient acknowledges it is responsible for any act or omission of Recipient, its officers,
employees, or members, participants agents, representatives, as appropriate arising out of or in
any way connected to activities authorized pursuant to this Agreement. The Recipient
acknowledges that FMCSA is not responsible for any act or omission of Recipient, its officers,
or members, participants, agents, representatives, as appropriate, arising out of or in any way
connected to activities authorized pursuant to this Agreement. This provision shall survive the
expiration or termination of this Agreement.
Section 31. Right of FMCSA to Terminate Agreement.
a. General Right to Suspend or Terminate Assistance Agreement.
Upon written notice, the Recipient agrees that FMCSA may suspend or terminate all or part of
the financial assistance provided herein if the Recipient has violated the terms of the Grant
Agreement or these Provisions and Assurances, or if FMCSA determines that the purposes of
the statute under which the Project is authorized would not be adequately served by
continuation of Federal financial assistance for the Project. Any failure to make reasonable
progress on the Project or other violation of this Agreement that significantly endangers
substantial performance of the Project shall provide sufficient grounds for FMCSA to terminate
this Agreement. The recipient agrees to give the Federal Motor Carrier Safety Administration
at least 90 days notice of its intention to terminate this agreement.
b. Financial Obligations of the Government.
In general, termination of any financial assistance under this Agreement will not invalidate
obligations properly incurred by the Recipient and concurred by FMCSA before the termination
date, to the extent those obligations cannot be cancelled. However if FMCSA determines that
the Recipient has willfully misused Federal assistance funds by failing to make adequate
progress failing to make reasonable use of the Project property, facilities or equipment, or
failing to adhere to the terms of this Agreement FMCSA reserves the right to require the
Recipient to iefund the entire amount of FMCSA funds provided under this Agreement or any
lesser amount as may be determined by FMCSA.
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c. De -obligation of Funds.
FMCSA reserves the right to unilaterally de -obligate any remaining grant or cooperative
agreement funds due to the time elapsed since the effective date, lack of payment vouchers from
the Recipient, lack of plans to expend funds based on this grant, failure to provide quarterly
progress reports, or other such determination made by FMCSA. If the recipient accedes to de -
obligation, a grant amendment/modification must be in place.
Section 32. Project Completion, Settlement, and Closeout.
a. Project Completion.
Within 90 days of the Project completion date or tell iination by FMCSA, the Recipient agrees to
submit a final SF 425, Federal Financial Report, a certification or summary of Project expenses
and third party audit reports, as applicable.
b. Remittance of Excess Payments.
If FMCSA has made payments to the Recipient in excess of the total amount of FMCSA funding
due the Recipient agrees to promptly remit that excess and interest as may be required by the
"Payment by FMCSA" section of this Attachment.
c. Project Closeout.
Project closeout occurs when all required Project work and all administrative procedures
described in 49 C F.R. Part 18, or 49 C.F.R. Part 19 as applicable, have been completed, and
when FMCSA notifies the Recipient and forwards the final Federal assistance payment, or when
FMCSA acknowledges the Recipient's remittance of the propel refund. Project closeout shall
not invalidate any continuing obligations imposed on the Recipient by this Agreement or by the
FMCSA's final notification or acknowledgment.
Section 33. Severability.
If any provision of this Agreement is held invalid all remaining provisions of this Agreement
shall continue in full force and effect to the extent not inconsistent with such holding.
Section 34. Entire Agreement and Amendments.
This Agreement constitutes the entire agreement between the parties. All prior discussions and
understandings concerning such scope and subject matter are superseded by this Agreement.
Any modification not specifically permitted by this agreement requires an Amendment. These
modifications may be made only in writing signed by the each party's authorized representative,
and specifically referred to as an Amendment to this Agreement Electronic signatures are
binding.
27
Section 35. Use of Information Obtained.
Information obtained under this agreement may only be used by the recipient in order to
accomplish the project plan under this agreement.
Any information obtained or exchanged between FMCSA and the grant recipient, in order to
carry out each party s responsibility under this agreement and project plan, shall not be released
by the recipient to any third party without the written permission of FMCSA
Recipient shall ensure that all of its employees authorized to access FMCSA data and
mfoiination systems sign and submit information technology user agreements provided by
FMCSA.
Section 36. Miscellaneous Provisions.
a. Prohibition on Human Trafficking.
The Recipient agrees to comply, as applicable, with the provisions of Section 7104(g) of the
Trafficking Victims Protection Act of 2000, 22 U.S.C. § 7104 as amended.
b. Wild and Scenic Rivers Act of 1968.
The Recipient agrees to comply, as applicable, with the Wild and Scenic Rivers Act of 1968 (16
U.S C. §§1271 et seq.) related to protecting components or potential components of the national
wild and scenic rivers system
c. Fly America Act.
The Recipient shall comply with the provisions of the Fly America Act, 49 U.S.C. § 40118.
d. Criminal and Prohibited Activities.
The Recipient will adhere to the Program Fraud Civil Remedies Act, 31 U.S.0 § 3801-3812,
which provides for the imposition of civil penalties against persons who make false, fictitious, or
fraudulent claims to the Federal Government for money. Recipient will also adhere to the False
Statements Act, 18 U S.C. §§ 287 and 1001 which provides that whoever makes or presents any
false, fictitious or fraudulent statements, representations, or claims against the United States shall
be subject to imprisonment of not more than 5 years and shall be subject to a fine in the amount
provided by 18 U.S.C. § 287. Recipient shall also adhere to the False Claims Act, 31 U.S.C. §
3729 which provides that suits under this act can be brought by the Government or a person on
behalf of the Government, for false claims under the Federal assistance programs. Recipient
shall also adhere to the Copeland "Anti -Kickback" Act, 18 U S.C. § 874 and 40 U.S.C. § 3145,
which prohibits a person or organization engaged in a Federally supported project from enticing
an employee working on the project from giving up a part of his compensation under an
employment contract.
28
Section 37. Laptop Encryption.
All laptops used by Recipients subgrantees, and contractors in carrying out the Recipient's
project plan, which contain FMCSA-related data, including sensitive mfoinuation and Personally
Identifiable Information (PII), must be encrypted to the same standards utilized by FMCSA. The
FMCSA encryptions standards prescribe whole disk encryption (FDE), which requires software
or hardware to encrypt all data on a disk, including the partition tables, whole physical disk,
master boot record, and available files. FMCSA requires that each Recipient who utilizes
FMCSA sensitive information or PII complete installation of FD1- on all laptop computers as
soon as practicable, but no later than September 30, 2013.
Section 38. Adaptability to Climate Changes
If the grant is to be used to place equipment or temporary facilities, modify structures, or to alter
existing infrastructure, the recipient is required to assess the ability for the equipment,
modifications, or alterations to withstand current and future climatic conditions, including
potential changes in climatic conditions. The recipient shall use the best -available peer -reviewed
studies and science to determine the potential climatic conditions the equipment modifications
or alterations may experience over the life -cycle of the equipment, modification or alteration
funded by the grant. The recipient can rely on existing Federal Highway Administration
suggestions or guidelines for placing infrastructure, or on other federally -issued guidance on
assessing potential impacts of climate change.
Section 39. Commercial Vehicle Information Systems and Networks (CVISN) provisions.
The following provisions apply where applicable.
a. Compliance with the National ITS Architecture.
The recipient will ensure that CVISN Core and Expanded deployment activities, such as
hardware procurement, software and system development, infrastructure modifications, etc are
consistent with the National ITS and CVISN Architectures and available standards and shall
promote interoperability and efficiency to the extent practicable and required by law.
b. Interoperability.
For implementing CVISN Core capabilities, the recipient will complete interoperability tests and
ensure architectural conformance throughout the life of the project Perform pairwise and end -
to -end tests to demonstrate conformance with the standards and interoperability, verify that
interfaces between selected products/systems meet the applicable standards, verify dataflow and
data usage among the products/systems.
c. Independent Evaluation.
The FMCSA may conduct an independent evaluation of the effectiveness of the project in
achieving Federal and State program goals. The independent evaluation will be conducted using
29
existing Federal resources. Participants of projects that are selected for independent evaluations
shall cooperate with the independent evaluators and participate in evaluation planning and
progress review meetings to ensure a mutually acceptable, successful implementation of the
independent evaluation. The FMCSA may contract with one or more independent evaluation
contractor(s) to evaluate the projects.
d. Dedicated Short Range Communications.
If applicable, the State shall also require that its contractors only install Dedicated Short Range
Communications (DSRC) equipment that is interoperable and compatible at layers 1 and 2 of the
Open Systems Interconnect Reference Model with equipment in operation on the North
American Preclearance and Safety System and the Heavy Vehicle Electronic License Plate Inc.'s
PrePassTM System deployments as well as the International Border Crossing Operational Tests,
based upon on ASTM Draft 6 dated February 23, 1996.
Section 40. Federal Funding Accountability and Transparency Act
The Federal Funding Accountability and Transpaiency Act (FFATA) of 2006 (Public Law
109-282) requires for each Federal award of $25,000 or more that OMB create a
searchable, no cost, publicly accessible website(http //usaspending.gov/) that includes basic
information about the recipient and the project being funded. The Government Funding
Transparency Act of 2008 (Public Law 110-252) amended FFATA, requiring recipients to report
certain information about themselves and their first tier subgrantee awards obligated as of
October 1, 2010. Prime grant recipients/awardees of new non Recovery Act federally funded
grants and cooperative agreements of $25,000 or more awarded on or after October 1, 2010 are
subject to FFATA reporting, sub -award reporting requirements and executive compensation
reporting t equirements as outlined in the Office of Management and Budgets guidance issued
August 27, 2010. The prime awardee is required to file a FFATA sub -award report by the end of
the month following the month in which the prime recipient awards any sub -grant greater than or
equal to $25,000.
Section 41. Executive Order 13513
Executive Order 13513 (E O. 13513) requires each Federal agency to encourage contractors,
subcontractors, and grant and cooperative agreement recipients and subrecipients to adopt and
enforce policies that ban text messaging while driving company -owned or -rented vehicles or
Government Owned Vehicles, or while driving Personally Owned Vehicles when on official
Government business or when performing any work for or on behalf of the Government. To
further the requirement of encouraging such policies, the FMCSA encourages grantees to
consider new rules and programs, reevaluate existing programs to prohibit text messaging while
driving and conduct education, awareness, and other outreach for employees about the risks
associated with texting while driving. These initiatives should encourage voluntary compliance
with the grantee agency's text messaging policy while off duty. For the purposes of these Grant
Provisions and Assurances and pursuant to E.O. 13513, the following definitions apply:
30
"Texting" or "Text Messaging" means reading from or entering data into any handheld or other
electronic device, including for the purpose of SMS texting, e-mailing, instant messaging,
obtaining navigational information, or engaging in any other form of electronic data retrieval or
electronic data communication.
'Driving" means operating a motor vehicle on an active roadway with the motor running,
including while temporarily stationary because of traffic a traffic light or stop sign, or otherwise.
It does not include operating a motor vehicle with or without the motor running when one has
pulled over to the side of, or off, an active roadway and has halted in a location where one can
safely remain stationary.
Section 42. Certification.
The Recipient certifies that the statements it made in the grant application are true and correct
and Recipient understands that any false statements made as part of these certifications can be
prosecuted.
31
ACCEPTED AND AGREED:
CITY OF FORT WORTH:
By: /,yam' ad/
Char es W. Daniels
Assistan - ity Manager
Date: 08 • D5 ide
APPROVAL RECOMMENDED:
By:
Jeffre�'�%�1. Halstead
Chief of Police
Date:
?-11-11/
APPROVED AS TO FORM AND LEGALITY:
By:
Charrene Sanders
Assistant City Attorney II
Date :
CONTRACT AUTHORIZATION:
M&C No.: C-26609
Date Approved: December 17, 2013
ATTEST:
By:
r
Ma J. kayser
City Secretary
Contract No.:
SEC:W.111
{ ►y A
11111
L ORB
11-41
C�7 q
.lj /1y
Federal Motor Carrier Safety Administration Grant Agreement # FM-MHPO185-14-01-00
32
M&C Review
OUNCIL :':GENDA
Page 1 of 2
Official site of the City of Fort Worth, Texas
FORT WORTH
COUNCIL ACTION: Approved on 12/17/2013 - Ordinance No. 21073-12-2013
DATE: 12/17/2013 REFERENCE NO.: **C-26609 LOG NAME: 35FMCSAFYI4
CODE: C TYPE: CONSENT PUBLIC NO
HEARING:
SUBJECT: Ratify Application for and Authorize Acceptance of if Awarded, a Motor Carrier Safety
Assistance Program High Priority Grant from the United States Department of
Transportation, Federal Motor Carrier Safety Administration in an Amount Up to
$315,234.80 to Conduct Commercial Motor Vehicle Enforcement and Public Outreach,
Authorize Execution of the Grant Agreement for Acceptance of Grant Funds, Authorize
Matching Funds in an Amount Up to $93,106.91 and Adopt Appropriation Ordinance (ALL
COUNCIL DISTRICTS)
RECOMMENDATION
It is recommended that the City Council:
1. Ratify the application for and authorize acceptance of, if awarded, a Motor Carrier Safety
Assistance Program High Priority Grant from the United States Department of Transportation,
Federal Motor Carrier Safety Administration in an amount up to $315,234.80;
2. Authorize the execution of a Grant Agreement with the United States Department of
Transportation, Federal Motor Carrier Safety Administration to conduct Commercial Motor Vehicle
Enforcement and Public Outreach;
3. Authorize the City to provide an in -kind match associated with the grant of 22.80 percent of the
total project cost in the amount up to $93,106.91; and
4. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in
the Grants Fund in the amount of $408,341.71, upon receipt of the award
DISCUSSION:
For Fiscal Year 2014, the Federal Motor Carrier Safety Administration (FMCSA) offered local law
enforcement agencies grant funding for a High Priority Grant in support of safety initiatives to perform
Commercial Motor Vehicle (CMV) traffic enforcement and education. The City submitted a grant
application for funding to be used to conduct vehicle and driver inspections in high crash locations
within the City of Fort Worth A major focus of the City's program will be to continue efforts that
began with Fiscal Year 2010 funding directed toward aggressive drivers in these high crash
locations The grant funding will provide for overtime hours, equipment and training sessions of
motor carrier inspectors, as well as funding for enforcement and administrative duties related to the
grant. Commercial vehicle enforcement hours will be dedicated to three separate operations within
the City. Approximately 1,200 hours will fund 60 four-hour commercial vehicle inspection details, 756
hours will be dedicated to 18 six -hour commercial vehicle inspection details and 1 408 hours are
budgeted for 88 four-hour aggressive driving enforcement details.
Approximately 384 overtime hours will be funded for the Police Department to provide safety
education related to proper driver -vehicle inspection procedures, load securement and hazardous
driving behaviors to owners and drivers of commercial vehicles. The total program budget amount
will not exceed the amount of $408,341 71. The federal share of the total project cost is 77.20
percent in an amount up to $315,234.80. The City will provide the remaining 22.80 percent with in -
kind matching funds in an amount up to $93,106.91, which covers the salary of one inspection
supervisor working full-time on the project.
FISCAL INFORMATION/CERTIFICATION:
http://apps.cfwnet.org/council_packet/mc_review.asp7ID=19321 &counc ildate=1 2/1 7/20 1 3 1/2/2014