U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000
FHWA Order 4410.1
Order | ||
---|---|---|
Subject | ||
Grant and Cooperative Agreement Policies and Procedures | ||
Classification Code | Date | Office of Primary Interest |
4410.1 | February 28, 1994 |
Par.
FHWA Executive Director memorandum, New FHWA Grant Authority,dated February 24, 1992.
(1) Grants - assistance agreements in which substantial involvement between FHWA and the recipient is not anticipated.
(2) Cooperative Agreements - assistance agreements in which substantial involvement between FHWA and the recipient is anticipated.
(1) "The Secretary of Transportation may carry out this section either independently or in cooperation with other Federal departments, agencies, and instrumentalities or by making grants to, and entering into contracts and cooperative agreements with, the National Academy of Sciences, the American Association of State Highway and Transportation Officials, or any State agency, authority, association, institution, corporation (profit or nonprofit), organization, or person." (23 U.S.C. 307(a)(1)(B).)
(2) "The Secretary of Transportation shall make grants to States to carry out a project to demonstrate methods of establishing an information system which will link the motor carrier safety information network system of the Department of Transportation and similar State systems with the motor vehicle registration and licensing systems of the States." (49 U.S.C. App. 2306(b).)
(3) "The Secretary of Transportation shall make grants to the University of Idaho, Moscow, Idaho, for planning, design and construction of a building in which the research and development activities of the National Center for Advanced Transportation Technology may be conducted." (49 U.S.C. App. 1607c(b)(10).)
(1) Procurement Contracts are to be used when acquiring the following:
(a) supplies to meet the day-to-day operating requirements of FHWA offices;
(b) evaluation (including research of an evaluative nature) of the performance of government programs, projects or activity initiated by FHWA;
(c) goods or services for a third party, including those receiving grants or cooperative agreements (for instance, National Highway Institute (NHI) contracts for the development of training courses that are provided to State and local government employees are acquired by procurement contract.);
(d) surveys, studies and research which provide specific information desired by FHWA for its direct activities;
(e) consulting or professional services of all kinds if provided to FHWA or on behalf of FHWA to any third party;
(f) conferences conducted on behalf of the government;
(g) production of publications or audiovisual materials required primarily in support of the conduct of direct operations of FHWA;
(h) design or development of items for FHWA use or pursuant to FHWA definition or specifications; and
(i) generation of management information or other data for internal FHWA use.
(2) Assistance Agreements are to be used for purposes including, but not limited to:
(a) awards to universities to support research studies in subject areas consistent with the awarding agency's mission;
(b) awards to State and local government for construction of public works projects;
(c) fellowships to students for advanced study or research;
(d) awards to universities for curriculum development to improve the quality of education in subject areas relevant to the awarding agency's mission; and
(e) awards to eligible recipients to provide financial support for conferences which have a public benefit but for which the awarding agency does not derive a direct benefit. This would not include conferences to train Federal employees, NHI training courses or meetings to obtain advice of non-Federal experts, such as Federal advisory committee meetings.
(1) Grant. Involvement considered appropriate for a grant includes:
(a) approval of recipient plans prior to award;
(b) general administrative requirements, such as those included in OMB Circular A-110 and
49 CFR Part 18;
(c) site visits, performance reporting, financial reporting and audits to ensure that the objectives, terms and conditions of the grant are met;
(d) correction of deficiencies in project or financial performance under the terms of the grant;
(e) general statutory requirements understood in advance of the award such as civil rights, environmental protection and provisions for the handicapped;
(f) review of performance after completion; and
(g) FHWA technical assistance or guidance provided (1) at the request of the recipient, or (2) without the requirement for the recipient to follow or (3) as a requirement for the recipient to follow but understood as a term or condition of the award prior to the initiation of performance.
(2) Cooperative Agreement. In addition to the involvement discussed above for grants, examples of substantial involvement indicating a cooperative agreement include:
(a) FHWA and recipient collaboration in the performance of the assisted activities;
(b) close FHWA monitoring or operational involvement during performance over and above normal exercise of Federal responsibilities to ensure compliance with general statutory and regulatory requirements; and
(c) significant FHWA involvement in recipient decisions with respect to scope of services offered, organizational structure, staffing, mode of operation, and other management processes.
(1) Unsolicited proposal - The proposed award is the result of an unsolicited assistance application which represents a unique or innovative idea, method, or approach which is not the subject of a current or planned contract or assistance award;
(2) Continuation - The activity to be funded is necessary to the satisfactory completion of, or is a continuation or renewal of, an activity presently being funded by FHWA or another Federal agency, and for which competition would have a significant adverse effect on the continuity or completion of the activity;
(3) Legislative intent - The language in the applicable legislation or legislative history restricts award to a particular recipient or identifies specific program or public objectives which can be most successfully accomplished by only one recipient; or
(4) Capabilities - The applicant demonstrates a unique capability to perform the activity successfully, based upon unique equipment, proprietary data, technical expertise, location or other such unique qualifications.
(1) Whenever competition will not be conducted in connection with an award to a recipient other than a unit of State or local government, DOT Order 4000.8A requires the justification to be approved in accordance with the levels set forth in Section 1206.304 of the Transportation Acquisition Regulations (TAR). The TAR approval levels are as follows:
(a) Proposed awards between $25,000 and $100,000 shall be approved by the contracting officer;
(b) Proposed awards over $100,000 but not exceeding $1 million shall be approved by the FHWA Competition Advocate (Associate Administrator for Administration);
(c) Proposed awards over $1 million but not exceeding $10 million shall be approved by the FHWA Competition Advocate (Associate Administrator for Administration) and the FHWA Administrator or Deputy Administrator; and
(d) Proposed awards over $10 million must be approved by the FHWA Competition Advocate (Associate Administrator for Administration); the Federal Highway Administrator or Deputy Administrator; and the Senior Procurement Executive (Director of the Office of Acquisition and Grant Management, Office of the Secretary) or the Assistant Secretary for Administration.
(2) The approvals shall be obtained in hierarchical order. For example, the justification for a $12 million award to a non-profit entity shall be approved in the following order: contracting officer, FHWA Competition Advocate, Deputy Federal Highway Administrator or Administrator, and Senior Procurement Executive (the Director, Office of Acquisition and Grant Management) or the Assistant Secretary for Administration.
(1) Statement of purpose (background and objectives) as well as general project requirements.
(2) Requirements for applicant eligibility, including any cost-sharing considerations.
(3) Application requirements, including instructions to submit an SF-424, Application for Federal Assistance, and to complete the required assurances and certifications. (Note, however, that the SF-424 is not required for FHWA projects covered by 23 CFR Part 630, subpart B, 23 CFR Part 420, 23 CFR Part 450 and 49 CFR Part 350.)
(4) If the award is to be competitive, the invitation shall identify the evaluation factors, any applicable funding priorities which would affect selection, the estimated funding level or range of funding on a per project basis, and the approximate number of awards that will be made.
(5) The terms, conditions, reporting requirements and special provisions of the proposed award.
(6) The closing date for submission of applications and information on how late applications will be handled.
(7) Instructions to applicants to identify those portions of their application which they want to limit to FHWA use or for which they want to restrict disclosure by FHWA.
(8) Statement that applications must comply, if applicable, with the requirements of Executive Order 12372, "Intergovernmental Review of Federal Programs," and Section 204 of the Demonstration Cities and Metropolitan Development Act.
/S/
Rodney E. Slater
Administrator
Attachment
ATTACHMENT
APPLICABLE RULES, REGULATIONS, AND POLICIES ISSUED BY THE DEPARTMENT OF TRANSPORTATION, THE OFFICE OF MANAGEMENT AND BUDGET, THE GENERAL ACCOUNTING OFFICE AND THE U.S. TREASURY