HMSI 2022 NOFO.pdf

Notice of Funding Opportunity

Hazardous Materials State Inspection (HMSI) Grant

Fiscal Year (FY) 2022

NOFO Posted Date: Wednesday, November 24, 2021 Applications Due Date: Wednesday, February 23, 2022, 11:59 pm ET Questions Due Date: Thursday, February 10, 2022, 11:59 pm ET

Applicant must be registered at www.grants.gov to apply online. It is highly recommended that applicants begin the registration process as soon as possible to avoid delays in submission. Additionally, applicants must maintain an active registration in the System for Award Management at www.SAM.gov.

Furthermore, applicants must register with FedConnect at https://www.fedconnect.net for an account before submitting an application.

Your organization’s Marketing Partner ID number (MPIN), which can be retrieved from SAM, is required to create an account. For instructions on how to register in FedConnect and how to use the portal, view the FedConnect: Ready, Set, Go! Tutorial under the Need Help? section on the FedConnect home page.

Assistance Listing (formerly CFDA)

20.707 “HMSI Grant”

PHMSA Notice of Funding Opportunity Number

693JK322NF0001

U.S. Department of Transportation

Pipeline and Hazardous Materials

Safety Administration

(PHMSA)

http://www.grants.gov/ http://www.sam.gov/ https://www.fedconnect.net/

AGREEMENT 693JK322NF0001

Attachment A

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Tentative Grant and Cooperative Agreement - Award Terms and Conditions (updated January 17, 2020)

Table of Contents

MISSION

SECTION A - PROGRAM DESCRIPTION

A.1 Statement of Purpose

A.2 Statute and Program Authority

A.3 Background

SECTION B - FEDERAL AWARD INFORMATION

B.1 Funding

B.2 Period of Performance

B.3 Type of Award

SECTION C - ELIGIBILITY INFORMATION

C.1 Eligible Applicants and Activities

C.2 Cost Sharing or Matching

SECTION D - APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

D.2 Accessing Grant Systems

D.3 Content and Form of Application Submission

D.4 Submission Dates and Times

D.5 Standard Forms

D.6 Applicant Attachments

D.7 Funding Restrictions

SECTION E - APPLICATION REVIEW INFORMATION

E.1 Criteria

E.2 Review and Selection Process

E.3 Ratings Guidelines

E.4 Selection Process

E.5 Anticipated Announcement and Federal Award Dates

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

F.2 Administrative and National Policy Requirements

F.3 Reporting Requirements

SECTION G - FEDERAL AWARDING AGENCY CONTACTS

SECTION H – OTHER INFORMATION

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PROGRAM SUMMARY

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

Funding Opportunity Title: “Hazardous Material State Inspection –

FY 2022”

Announcement Type: Initial Announcement

Funding Opportunity Number: 693JK322NF0001

Assistance Listing Number: 20.707

NOFO Posted Date: Wednesday, November 24, 2021 Applications Due Date: Wednesday, February 23, 2022, 11:59 pm ET Questions Due Date: Thursday, February 10, 2022, 11:59 pm ET

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MISSION

The Department of Transportation (DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA) protects people and the environment by advancing the safe transportation of energy and other hazardous materials (HAZMAT) that are essential to our daily lives. To do this, PHMSA establishes national policy, sets and enforces standards, educates, and conducts research to prevent incidents. We also prepare the public and first responders to reduce consequences if an incident does occur. To accomplish this, PHMSA awards financial assistance to States, to ensure industry compliance with the Hazardous Materials Regulations (HMR).

SECTION A - PROGRAM DESCRIPTION

A.1 Statement of Purpose

Congress provided up to $2,500,000 for the HMSI financial assistance program in the Consolidated Appropriations Act, 2021 (Pub. L. 116-260). This funding opportunity falls under Assistance Listing 20.707. PHMSA, through this NOFO, is requesting applications from States for Hazardous Materials State Inspection (HMSI) funding to carry out State-based inspections of HAZMAT shippers to increase compliance and ensure safe transport of hazardous materials.

HMSI financial assistance awards will be in the form of a grant between PHMSA and participating State agencies to provide funding to perform HAZMAT shipper inspections. In return, financial assistance recipients must agree to collect and share HAZMAT shipper inspection data using the Federal Motor Carrier Safety Administration (FMCSA) Compliance Analysis and Performance Review Information (CAPRI) system. CAPRI provides a standardized method for conducting reviews on motor carriers, HAZMAT shippers, and cargo tank facilities. CAPRI includes extensive edit checking for data integrity and electronic file transfer for expediting data flow and is for use by both Federal and State investigators.

PHMSA requires that applicants comply with all applicable Federal financial assistance regulations and maintain an auditable accounting system that includes a detailed accounting and description of each grant expenditure. PHMSA measures performance based on the projects included in the approved financial assistance application and whether those projects fulfilled the needs outlined in the statement of need.

A.2 Statute and Program Authority

Congress provided up to $2,500,000 for the HMSI financial assistance program in the Consolidated Appropriations Act, 2021 (Pub. L. 116-260).

A.3 Background

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HMSI grants will be awarded to State agencies to provide funding for States to perform HAZMAT shipper inspections. HMSI funds will be used to increase industry compliance, therefore, ensuring the safety of HAZMAT shipments nationwide.

PHMSA will issue no more than one HMSI award per State. States are strongly encouraged to coordinate and select one State agency to apply for HMSI funding.

SECTION B - FEDERAL AWARD INFORMATION

B.1 Funding

PHMSA anticipates that $2.5 million will be available to support the HMSI financial assistance program.

B.2 Period of Performance

The period of performance is a minimum of twelve (12) months from the effective date of the award. An applicant may request a period of performance up to 24 months. Applicants must only apply for funding that can be reasonably expended within this time frame and for allowable projects that can be completed within the period of performance.

B.3 Type of Award

Discretionary grant award.

SECTION C - ELIGIBILITY INFORMATION

C.1 Eligible Applicants and Activities

The FY 2022 HMSI program is open to State agencies who have the authority and capability to perform hazardous materials shipper inspections in accordance with the HMR and within the Hazardous Materials Transportation Investigator/Inspector Uniform Training Performance Standards. This includes performing inspections and/or investigations onsite or offsite of a HAZMAT shipper operation to determine whether the entity is compliant with the HMR. A HAZMAT shipper inspection may be initiated based on a possible issue with the company’s safety management controls, or complaints.

Eligible grant projects/expenses include the following:

1. HAZMAT shipper inspection cost (inspector time/wage, travel expenses).

2. HAZMAT inspection equipment and supplies (personal protective equipment (PPE)) and personal electronic devices (PEDs).

3. HAZMAT inspector training.

C.2 Cost Sharing or Matching

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There are no cost-sharing or matching requirements for the HMSI program.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

PHMSA requires applicants for this funding opportunity to apply electronically through Grants.gov. Applicants must download the application package associated with this funding opportunity by following the directions provided on Grants.gov.

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

Carla Sheppard Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Ave. SE, E23-446 Washington, DC 20590 Email: HMSI@dot.gov Phone: (202) 366-1109

FAX: (202) 366-3753

Applications will only be accepted via Grants.gov. Mail and fax submissions will not be accepted.

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

The application package contains all required electronic forms and the ability to upload attachments for the budget narrative, budget justification, project narrative, assurances, and certifications. The applicant must submit the information outlined in the Application Guide in addition to the program-specific information below.

To begin the process, applicants must be registered with www.Grants.gov to submit an application. It is highly recommended that applicants begin the registration process as soon as possible to avoid delays with submission. Failure to comply with the application requirements as described in this section may result in the failure of an application to be reviewed.

D.2 Accessing Grant Systems

1. Grants.gov. For new users, go to http://www.grants.gov/web/grants/applicants.html, or go to the main page at http://www.grants.gov/ and select “Register.” New user registrations for Grants.gov can take up to two weeks to complete. For additional questions on how to register, contact Grants.gov support by phone at (800) 518-4726 or via email at support@grants.gov.

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2. FedConnect. Applicants must register with FedConnect at https://www.fedconnect.net for an account before submitting an application. Your organization’s Marketing Partner ID number (MPIN), which can be retrieved from SAM, is required to create an account. For instructions on how to register in FedConnect and how to use the portal, click on the link to review the FedConnect:

Ready, Set, Go! Tutorial. For other technical issues or questions, either email fcsupport@unisonglobal.com or call us at 1-800-899-6665 option 2. The FedConnect Support Center is staffed Monday - Friday 8 a.m. to 8 p.m., ET, except federal holidays.

3. Unique Entity Identifier (Dun and Bradstreet Universal Numbering System

(DUNS) Number) and System for Award Management (SAM). PHMSA may not make an award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time PHMSA is ready to make an award, PHMSA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. PHMSA recommends that applicants review the SAM database to ensure that their DUNS number is updated and “active.” Link: https://www.sam.gov/portal/public/SAM/.

Each applicant is required to:

• Register in SAM (SAM.gov) before submitting its application.

• Provide a valid DUNS number in its application.

• Always maintain an active SAM registration and DUNS with current information during which it has an active federal award or an application under consideration.

D.3 Content and Form of Application Submission

Applications for FY 2022 HMSI funding should be submitted in electronic format in grants.gov according to the following outline. There are two overall sections: (1) standard forms that the applicant must download and complete from grants.gov under the FY 2022 HMSI funding opportunity; and (2) attachments the applicant will need to create and upload.

D.4 Submission Dates and Times

Completed applications must be received electronically by 11:59 p.m. Eastern Time on Wednesday, February 23, 2022. If an applicant has technical difficulties submitting the application through Grants.gov, that applicant should contact the Grants Program Office by phone at (202) 366-1109 or via email at HMSI@dot.gov. Applications received after this deadline may not be considered. PHMSA will only accept one application from each applicant.

D.5 Standard Forms https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf https://www.sam.gov/portal/public/SAM/

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The following forms are found in grants.gov under the FY 2022 HMSI Funding Opportunity and must be completed by the applicant.

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

2. SF-424A – Budget Information

3. ED-80-0013 – Certifications Regarding Lobbying; Debarment, Suspension, Drug-

Free Workplace, etc.

4. Standard Title VI/Non-Discrimination Assurances – Civil Rights Assurances

D.6 Applicant Attachments

All required forms must be created by the applicant and uploaded to grants.gov under the FY 2022 Hazardous Materials State Inspection (HMSI) Grant Funding Opportunity.

Guidance for submitting the project narrative and budget narrative is listed in the following section.

1. Project Narrative attachment

2. Budget Narrative attachment

3. Indirect cost agreement; and/or Statement claiming 10 percent de minimis (if applicable)

4. Letters of Support from partner organizations (if applicable)

5. Additional optional attachments (if applicable)

Applications should be well written and free of mathematical errors in the line-item budget and budget narrative. Program narratives should have the sections clearly identified and follow the structure requested in this NOFO. The application forms and templates are available on Grants.gov in the ‘Related Documents’ tab with detailed instructions on the application process.

Project Narrative

The following Project Narrative sections are required. To facilitate the application review and award process, submit the sections in the order of their appearance as stated below. Applicants should clearly identify the sections in the project narrative section of the application.

1. Organization Information and Capacity. Briefly provide information about your organization. This should include: (1) your organization’s mission; (2) a brief overview of the structure of your organization, programs, leadership, and special expertise; and (3) your organization’s experience and capacity to manage federal financial assistance programs.

2. Contact Information. Identify the designated project director, including the name, position, address, email address, and telephone number of the individual(s) who will be responsible for coordinating the funded activities. Additionally, identify authorized individuals who will accept the awarded grant document, as well as

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3. Statement of authority and HAZMAT shipper inspection capabilities. Describe the State authority and capability to perform HAZMAT shipper inspections in accordance with the HMR. Describe State’s ability to train HAZMAT inspectors in accordance with the Hazardous Materials Transportation Investigator/Inspector Uniform Training Performance Standards.

4. Projected outputs and objectives. Provide quantifiable, and measurable, outputs planned for the award’s performance period. Outputs are quantitative data that describe the proposed activities. For HAZMAT shipper inspection costs, outputs should include projected number of HAZMAT shipper inspections, estimated cost per inspection (wage and travel expenses), and description and estimated cost of equipment and supplies. Additionally, provide type of shipment activity performed (facility, loading/unloading operations, HAZMAT packaging operation, etc.). For HAZMAT training cost, outputs should include projected number of personnel trained, title and description of training courses, and estimated cost. Broader outcomes or goals may be provided to describe the intended impact of the proposed outputs. This can be either quantitative or qualitative and should reflect the projected impact of the grant activity outputs.

5. Equity. In accordance with Executive Order 13985, funds shall be distributed equitably under this grant. Equity means the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as women, Black, Latino, and Indigenous persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.

6. Monitoring and evaluation. Provide an explanation of monitoring efforts, internal controls, and quality assurance plans to ensure program success. This may include, but not limited to, random examinations, inspections, and audits of HAZMAT shipper inspections and inspector training activities to maximize the cost effectiveness and impact of the program.

Budget Narrative

The budget narrative is an explanation of each budget component, which supports the cost of the proposed work. The budget narrative should focus on how each budget item is required to achieve the proposed project goals and objectives. It should also justify how budget costs were calculated. The budget narrative should be clear, specific, detailed, mathematically correct, and correspond to the SF- 424A line-item categories.

Provide a budget narrative justification with a reference to the object class categories found on the SF- 424A for each proposed activity and explain why the amount is needed to implement the project as proposed in the project narrative. The budget narrative must correlate with the costs identified in the SF-424A line item budget.

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A well-developed budget narrative is an effective monitoring tool for both the awarding agency, and grant recipient. However, a budget narrative that does not represent a project’s needs makes it difficult to recommend for full funding and to assess financial performance over the life of the project. A description of the object class categories is provided below:

1. Personnel costs are the employee salaries for those working directly on the grant project. Include the number, type of personnel, the percentage of time dedicated to the project, hourly wage (or salary) and total cost to the grant.

2. Fringe Benefit costs are the allowances and services provided by employers to their employees as compensation in addition to regular salaries and wages. Fringe costs are benefits paid to employees, including the cost of employer’s share of FICA, health insurance, workers’ compensation, and vacation. Include how the fringe benefit amount is calculated (i.e., actual fringe benefits estimate, approved rate, etc.

Include a description of specific benefits charged to a project and the benefit percentage. Additional considerations:

• The personnel salaries should have corresponding fringe; and vice-versa.

PHMSA cannot pay fringe benefits for a position that is not listed in the Personnel section.

• Explain what is included in the benefit package and at what percentage.

• Fringe benefits are only for the percentage of time devoted to the grant project.

• The applicant must not combine the fringe benefit costs with direct salaries and wages in the personnel category.

3. Travel costs are those costs requested for field work, or for travel, to professional meetings associated with grant activities. Provide the purpose, method of travel, number of persons traveling, number of days, and estimated cost for each trip. If the details of each trip are not known at the time of application submission, provide the basis for determining the amount requested.

4. Equipment costs include those items which are tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit, unless the applicant has a clear and consistent written policy that determines a different threshold. Include a description, quantity, and unit price for all equipment.

• Purchases of less than $5,000 should be listed under “Supplies” or “Other.”

• Each item of equipment must be identified with the corresponding cost. General-purpose equipment must be justified as to how it will be used on the project.

• Analyze the cost benefits of purchasing versus leasing equipment, particularly high-cost items, and those subject to rapid technical advances. List rented or leased equipment costs in the “Contractual” or “Other” category, depending upon the procurement method.

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5. Supplies are tangible personal property other than equipment. Include the types of property in general terms. It is not necessary to document office supplies in detail (for example: reams of paper, boxes of paperclips, etc.). However, applicants should include a quantity and unit cost for larger cost supply items such as computers and printers.

6. Contractual costs are those services carried out by an individual or organization, other than the applicant, in the form of a procurement relationship.

7. Other costs that do not fit any of the categories, include rent for buildings used to conduct project activities, utilities, leased equipment, employee training tuition, etc.

“Other” direct costs must be itemized.

8. Indirect Costs (if applicable, must include IDC agreement or statement claiming de minimis rate): Indirect costs are allowable under the HMSI grant. Indirect costs are incurred for common or joint objectives that benefit more than one project. The applicant must include a current, and fully executed, indirect cost rate agreement in the application, if claiming indirect costs. The rate must be applied to the appropriate base in the approved agreement. If the rate will not be approved by the application due date, attach the letter of renewal or letter of request that you sent to your cognizant agency to your application. If the applicant has never received or has an expired indirect cost rate agreement, the applicant may be eligible for the 10 percent de minimis rate provided by 2 CFR § 200.414. A nonprofit entity that has never received a negotiated indirect cost rate may elect to charge a de minimis rate of 10 percent of modified total direct costs, per 2 CFR § 200.414, which may be used indefinitely. Applicants intending to charge the de minimis rate must include a statement verifying that the organization has never received a negotiated indirect cost rate and that the organization has elected to charge the de minimis rate.

D.7 Funding Restrictions

The following costs are not eligible for reimbursement under the FY 2022 HMSI grant:

1. Personnel costs such as overtime, backfill, stipends, and fees for the State and local personnel receiving training.

2. Entertainment, alcohol, or morale costs.

3. Excessive costs for general office supplies, equipment, computer software, printing and copying.

4. Any costs disallowed or stated as ineligible in 2 CFR Part 200.

SECTION E - APPLICATION REVIEW INFORMATION

E.1 Criteria

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

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

1. Technical Criteria

• Does the application proposed activities align with the intent of HMSI including State authority and capability to conduct shipper inspections in accordance with the HMR?

• Does the applicant provide a statement of need that describes areas of deficiency as it concerns inspecting HAZMAT shippers?

• Are the activities listed allowable under HMSI?

2. Programmatic Criteria

• Does the applicant provide information on the organization?

• Does the applicant provide the number and a description of each activity proposed?

• Are program activities allowable, allocable, necessary, and reasonable?

• Does the applicant provide a timeline that clearly communicates when project activities will take place?

• Does the application list clear outputs, goals, and objectives?

• Does the applicant outline a monitoring and evaluation strategy to help ensure that the project(s) will be successful?

• Did applicant provide a completed SF-424 form?

• Is the SF-424A budget completed and properly filled out?

• Did applicant submit a completed ED-80-0013 combined assurance and Title VI form?

• Does the budget (SF-424A) and budget narrative align?

• Does the budget narrative provide detail as to how the costs under Personnel correspond to the staff included in the narrative, and how they were calculated?

• Does the budget narrative provide an explanation or breakout of the staff Fringe Benefits?

• If there are funds entered under Travel, does the budget narrative provide a clear and reasonable explanation that relates to the costs?

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• Does the budget narrative identify supply cost, are the costs adequately explained?

• If there are funds under Contractual, does the budget narrative clearly describe how contractual costs were derived for each agreement or subaward?

• If there are costs under “Other” have the costs been reasonably explained?

• If indirect costs are requested, does the application/budget narrative include an approved, current Indirect Cost Rate agreement or statement claiming the 10% de minimis rate?

E.2 Review and Selection Process

1. FAPIIS Review: Prior to making an award, PHMSA is required to review, and consider, any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. § 2313). An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM, and comment on any information about itself that a federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM. PHMSA will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR § 200.205.

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

3. Technical Review: PHMSA will conduct a technical review of the application to assess how the proposed work is to be performed; and whether the application(s) are responsive to the applicable program requirements (i.e., performance measurement, methodology, and technical merit). PHMSA reserves the right to use outside expertise to perform application evaluation. PHMSA will utilize the technical review criteria in Section E.1 to determine how the applications address the needs for outreach and training.

4. Programmatic Review: PHMSA will conduct a programmatic review to assess programmatic factors identified in Section E.1. Programmatic factors are those factors which are relevant and essential to the process of selecting applications that best achieve the program objectives, in accordance with applicable statutes, regulations, policies, and guidelines. Other programmatic factors may include history of performance, program priorities, and other modal needs. For applicants with existing awards, PHMSA may consider award balances when making final funding decisions.

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*Further, please note that in order to comply with the requirements of 2 CFR Part 200, Subpart E, and DOT’s Guide to Financial Assistance, PHMSA’s Agreement Officers and Grant Specialists may request additional information pertaining to your application during the application review and evaluation process.

E.3 Ratings Guidelines

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

Highly Recommended - The application demonstrates that the NOFO requirements are very well understood and the approach will likely result in a very high-quality performance. The application clearly addresses and exceeds requirements with no weaknesses. The application contains outstanding features that meet or exceed on multiple dimensions the expectations of the government. The application scope aligns very well with DOT objectives and priorities. The risk of poor performance is very low.

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

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

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

E.4 Selection Process

PHMSA will recommend applications for award based on the final overall rating as described above. Final award recommendations will be made by PHMSA’s Associate Administrator for the Office of Hazardous Materials Safety after taking into consideration recommendations made during the administrative, technical, and programmatic reviews and how well the applications address PHMSA’s safety priorities. The PHMSA Administrator will make final award selection decisions.

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E.5 Anticipated Announcement and Federal Award Dates

Applicants chosen for funding will receive electronic notification of the Federal Award.

Upon notification, the applicant’s authorized official must sign and return the award within the timeframe prescribed by PHMSA. PHMSA plans to make awards by May 31, 2022 with a proposed period of performance start date of June 1, 2022.

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

PHMSA’s grant awarding official will award grants to responsible and eligible applicants, at its discretion, whose applications are judged most meritorious under the procedures set forth in this NOFO. All funds provided by PHMSA must be expended solely for the purpose for which the funds are awarded in accordance with the approved application and budget, regulations, terms and conditions of the award, applicable federal cost principles, and DOT’s financial assistance regulations. Funds may not be used for lobbying or litigation.

The grant award, signed by both the PHMSA Agreement Officer and the recipient’s Authorized Representative, is the authorizing document and will be provided through electronic means to the Authorized Representative. The award document will provide pertinent instructions and information including, at a minimum, the following:

1. The legal name and address of recipient;

2. Title of project;

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

4. Federal Award Identification Number assigned by PHMSA;

5. Period of Performance, specifying the duration of the project;

6. Total amount PHMSA approved for the project;

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

8. Assistance Listing Program Number (formerly CFDA);

9. Applicable award terms and conditions;

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

11. Other information or provisions deemed necessary by PHMSA.

F.2 Administrative and National Policy Requirements

The administration of this award by PHMSA and the Recipient will be based on the following federal statutory and regulatory requirements:

1. The authorizing language of the Consolidated Appropriations Act, 2016, P.L.114-113 (the Act).

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2. 2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

3. The Recipient must comply with 49 CFR Part 20, “New Restrictions on Lobbying.” 49 CFR Part 20 will be incorporated by reference into any award under this program and is available at https://www.ecfr.gov/ by clicking on Title 49 CFR Part 20.

4. The Recipient must comply with Title VI of the Civil Right Act of 1964, which provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance.

5. The Recipient must comply with 49 CFR Part 21, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964.” 49 CFR Part 21 will be incorporated by reference into any award under this program. 49 CFR Part 21 available at: https://www.ecfr.gov/ by clicking on Title 49 CFR Part 21.

6. The Recipient must comply with 49 CFR Part 32, “Government wide Requirements for Drug- Free Workplace (Financial Assistance),” which implements the requirements of Public Law 100-690, Title Subtitle D, “Drug- Free Workplace Act of 1988.” 49 CFR Part 32 will be incorporated by reference into any award under this program and is available at: https://www.ecfr.gov/ by clicking on Title 49 CFR Part 32.

7. Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Throughout the Federal Government.

F.3 Reporting Requirements

Final Report(s) - Each recipient is required to submit a final progress report and a final federal financial report (Final SF-425). Final financial and progress reports are to be submitted by email at HMSI@dot.gov. The reports are due no later than 120 days after the performance period has ended.

Final reports must follow the instructions outlined in the terms and conditions of the grant award. Final performance reports are to be submitted via email as directed by the terms and conditions of the grant award, and must include:

1. A summary of the activities and outputs that took place during the period of performance. This should include the total number of HAZMAT shipper inspections completed and equipment, supplies and training activities purchased using grant funds. If the projected outputs listed in the approved project narrative were not met, an explanation should be provided.

2. The challenges that the award recipient faced, and the strategies taken to mitigate such challenges.

3. A completed timeline of the activities that took place during the completed period of performance.

https://www.ecfr.gov/ https://www.ecfr.gov/ https://www.ecfr.gov/

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4. As available, impact statements or analysis, from State HAZAMT inspectors or other stakeholders regarding the impact current period of performance grant activities have had on ensuring HAZAMT shipper compliance and protecting people and the environment from the risks of hazardous materials transportation.

All applications and reports will be made available to the public upon request.

SECTION G - FEDERAL AWARDING AGENCY CONTACTS

Questions related to the content of this funding opportunity should be submitted via the Message Center in FedConnect. For technical issues or questions related to FedConnect, please email fcsupport@unisonglobal.com, applicants can submit questions through the portal on their website or call 1-800-899-6665 option 2.

Agreement Administrator Mahua Mazumdar Phone: (202) 366-1282 Email: mahua.mazumdar@dot.gov

Program Contact Carla Sheppard Phone: (202) 366-1109 Email: Carla.Sheppard@dot.gov

SECTION H – OTHER INFORMATION

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

mailto:mahua.mazumdar@dot.gov mailto:Carla.Sheppard@dot.gov

US DOT PHMSA Page 17 of 16

Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA)

Hazardous Materials Grants

Grant and Cooperative Agreement Terms and Conditions

Table of Contents

1. Definitions

2. Recipient Responsibilities

3. Compliance with Award Terms and Conditions

4. Order of Precedence

5. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR 200)

6. Restrictions on Use of Funds for Lobbying, Support of Litigation, or Direct Advocacy 3

7. Nondiscrimination

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

9. Drug-Free Workplace

10. eInvoicing (PHMSA June 2018)

11. Payments

12. Advance Payments…………………………………………………………………………..6

13. Advance Payment Process…………………………………………………………………..7

14. Adherence to Original Project Objectives and Budget Estimates

15. Prior Approvals

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

17. Seat Belt Use Policies and Programs

18. Ban on Text Messaging While Driving

19. Rights in Technical Data …………………………………………………………………10

20. Notice of News Releases, Public Announcements, and Presentations ..…………………10

21. Violation of Award Terms .……………………………………………………………….10

22. Reporting Fraud, Waste, or Abuse ….……………………………………………………10

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

24. 811, Call Before You Dig Program (PHMSA June 2014)

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

26. Combating Trafficking in Persons (PHMSA JULY 2016)

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

28. Copyrights

29. Reporting

US DOT PHMSA Page 18 of 16

1. Definitions

a) Recipient – A non-Federal entity that receives a Federal award directly from a Federal awarding agency to carry out an activity under a Federal program. The term “recipient” does not include subrecipients.

b) Program Authorizing Official (PAO) – The PAO is the delegated authority to execute the grant agreement. Should any changes to the scope, budget, schedule, or any other terms become necessary, the PAO in coordination with the AO has the authority to amend the award agreement.

c) Agreement Officer (AO) – The AO has the authority to obligate the Government to the expenditures of Federal funds under this award.

d) Grant Specialist (GS) – The GS is responsible for the daily administration of the award. The GS is NOT AUTHORIZED to change the scope, budget, specifications, and terms and conditions as stated in the award, to make any commitments that otherwise obligates the Government or authorize changes which affect the award budget, delivery schedule, period of performance, or other terms and conditions.

e) Recipient Authorized Grantee Official – The individual with the Recipient organization who has authority to legally and financially bind the organization. It is the Recipient’s responsibility to follow their agency’s policies and procedures for ensuring that authorized officials are up to date, sign the grant agreement, and endorse any prior approval actions.

f) Recipient Project Director – The individual designated by the recipient who is responsible for the technical direction of the program or project.

2. Recipient Responsibilities

In accepting a PHMSA financial assistance award (grant or cooperative agreement), the Recipient assumes legal, financial, administrative, and programmatic responsibility for administering the award in accordance with the laws, rules, regulations, and Executive Orders governing grants and cooperative agreements, and these Award Terms and Conditions, including responsibility for complying with any provisions included in the award.

3. Compliance with Award Terms and Conditions

Submission of an application constitutes the Recipient’s agreement to comply with and spend funds consistent with all the terms and conditions of this award. If PHMSA determines that noncompliance by the Recipient cannot be remedied by imposing additional conditions, PHMSA may take one or more of the following actions, as appropriate in the circumstances:

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

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

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

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

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

f) Take other remedies that may be legally available.

4. Order of Precedence

Any inconsistency or conflict in the terms and conditions specified in this award will be resolved according to the following order of precedence:

a) The Federal statute authorizing this award or any other Federal statutes, laws, regulations or directives directly affecting performance of this award.

b) Terms and Conditions of this award.

5. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR 200) The recipient (and any subrecipients) must comply with these requirements including the cost principles which apply to the recipient, and the audit requirements the recipient must follow. A recipient which expends $750,000 or more of federal funds, in the recipient’s fiscal year, must have an audit conducted.

2 CFR 200 is incorporated by reference into this award

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

The Recipient and its contractors may not conduct political lobbying, as defined in the statutes, regulations, and 2 CFR 200.450– “Lobbying,” within the Federally-supported project. The Recipient and its contractors may not use Federal funds for lobbying specifically to obtain grants and cooperative agreements. The Recipient and its contractors must comply with 49 CFR 20, U.S. Department of Transportation “New Restrictions on Lobbying.”

49 CFR 20 is incorporated by reference into this award.

7. Nondiscrimination The Recipient must comply with Title VI of the Civil Right Act of 1964, which provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied benefits of, be subject to discrimination under any program or activity receiving Federal financial assistance. The Recipient must comply with 49 CFR 21, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964”

49 CFR 21 is incorporated by reference into this award.

In an effort to ensure that all Recipients of PHMSA funds are aware of their responsibilities under the various civil rights laws and regulations, the PHMSA Office of Civil Rights has developed an information tool and training. These documents are found on the PHMSA website at https://www.phmsa.dot.gov/about- phmsa/civil-rights/grant-recipient-information. If you should have any questions concerning your responsibilities under the External Civil Rights Program, please contact Rosanne Goodwill, Civil

Rights Director, at 202-366-9638 or by e-mail at rosanne.goodwill@dot.gov.

8. Government-wide Debarment and Suspension (Non-procurement) The Recipient must review the “list of parties excluded from federal procurement or http://www.ecfr.gov/cgi-bin/text-idx?SID=fb675fb7932e3ccc3915e771986e9f6a&node=pt2.1.200&rgn=div5&se2.1.200_1450 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49%3A1.0.1.1.14&idno=49 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49%3A1.0.1.1.15&idno=49 http://www.phmsa.dot.gov/about-mailto:rosanne.goodwill@dot.gov

NOFO: 693JK322NF0001

U.S. DOT/PHMSA Page 2 non- procurement programs” located on the System for Award Management (SAM) website before entering into a sub-award. https://www.sam.gov No sub-award may be issued to an entity or person identified in the “list of parties excluded from federal procurement or non- procurement programs.”

2 CFR 1200 “Non-procurement Suspension and Debarment” is incorporated by reference into this award.

The Recipient must inform the PAO if the recipient suspends or debars a sub-awardee.

9. Drug-Free Workplace

The Recipient must comply with the provisions of Public Law 100-690, Title V, Subtitle D, “Drug-Free Workplace Act of 1988,” which require the Recipient to take steps to provide a drug-free workplace. The Recipient must comply with 49 CFR 32, “Government-wide Requirements for Drug Free Workplace (Financial Assistance)” which is incorporated by reference into this award.

10. eInvoicing (PHMSA June 2018)

Recipients of PHMSA grants and cooperative agreements must use the DOT Delphi eInvoicing System.

a) Recipients’ Requirements:

Recipients must:

i. have internet access to register and submit payment requests through the Delphi eInvoicing system.

ii. submit payment requests electronically, and receive payment electronically.

b) System User Requirements:

i. Contact the assigned grant specialist directly to sign up for the system. PHMSA will provide the recipient’s name and email address to the DOT Financial Management Office. The DOT Financial Management Office will then invite the recipient to sign up for the system.

ii. DOT will send the recipient a User Account Application form to verify identity. The recipient must complete the form, and present it to a Notary Public for verification.

The recipient will return the notarized form as follows:

Via U.S. Postal Service (certified):

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

Via FedEx or UPS:

DOT Enterprise Services Center

MMAC-FAA/ESC/AMZ-150

6500 S. MacArthur Blvd. Oklahoma City, OK 73169 https://www.sam.gov/ http://www.ecfr.gov/cgi-bin/text-idx?SID=3c977723715770f312d27c5d38f98c6e&node=pt2.1.1200&rgn=div5 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49%3A1.0.1.1.25&idno=49 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=33d8e718658ee9a638551ee6308aac26&rgn=div5&view=text&node=49%3A1.0.1.1.25&idno=49

U.S. DOT/PHMSA Page 3

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

c) Waivers DOT Financial Management officials may, on a case by case basis, waive the requirement to register, and use, the electronic payment system. Waiver request forms can be obtained on the DOT eInvoicing website (http://www.transportation.gov/cfo/delphi-einvoicing-system.html) or by contacting the PHMSA Agreement Officer. Recipients must explain why they are unable to use or access the internet to submit payment requests.

11. Payments

Reimbursement payments will be made after the electronic receipt via the DOTeInvoicing System of “Request for Advance or Reimbursement” (Standard Form

SF-270).

a) Method of payment

i) The Government will make all payments under this agreement by electronic funds transfer (EFT), except as provided by paragraph (a)(ii) of this clause. As used in this clause, the term “EFT” refers to the funds transfer and may also include the payment information transfer.

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

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

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

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

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

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