oppHM-HMP-18-001-cfda20.703-cidHM-HMP-18-001-instructions.docx

HM-HMP-18-001

Notice of Funding Opportunity

Hazardous Materials Emergency Preparedness (HMEP) Tribal Grants

Fiscal Year 2018

NOFO Posted Date: May 31, 2018 Application Due Date: July 2, 2018

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 System for Award Management at www.SAM.gov

Catalog of Federal Domestic Assistance Number (CFDA)

20.703 “Interagency Hazardous Materials Public Sector Training and Planning Grants”

PHMSA Notice of Funding Opportunity Number

HM-HMP-18-001

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration

(PHMSA)

Table of Contents

Program Summary

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

Funding Opportunity Title: “HMEP Tribal Grants – FY 2018”

Announcement Type: Initial Announcement

MISSION

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

SECTION A - PROGRAM DESCRIPTION

A.1 Purpose The Pipeline and Hazardous Materials Safety Administration (PHMSA), through the U.S. Department of Transportation (DOT), requests applications from federally recognized tribes and tribal nonprofit organizations representing federally recognized tribes to provide assistance to public sector employees through training and planning grants for emergency response. The purpose of the Hazardous Materials Emergency Preparedness (HMEP) grant program is to increase State, Territorial, Tribal, and local effectiveness in safely and efficiently handling hazardous materials incidents, enhance implementation of the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA), and encourage a comprehensive approach to emergency training and planning by incorporating the unique challenges of responses to transportation situations.

A.2 Program Authority The HMEP program is authorized under 49 United States Code (U.S.C.) § 5116 and is governed by program regulations in 49 Code of Federal Regulations (CFR) part 110 and Federal grants administration regulations at 2 CFR part 200. On December 4, 2015, The Fixing America’s Surface Transportation (FAST) Act was signed into law (Public Law No: 114-94). The FAST Act reauthorized the HMEP Grant Program through Fiscal Year (FY) 2020. Title VII § 7203 of the FAST Act amended 49 U.S.C. §5116 to combine planning and training grants into §5116 (a); therefore, HMEP applicants are no longer required to separately account for planning and training funds.

A.3 Background

Congress created the HMEP grant program in 1990. Since its inception, the program has been fully funded by registration fees collected from hazardous materials (hazmat) shippers and carriers who offer for transportation or transport certain hazmat in intrastate, interstate, or foreign commerce. PHMSA's grant program is authorized by 49 U.S.C. § 5101 et. seq. Program funding is authorized for $20,536,792 in FY 2018.

Of the $20,536,792 approximately 3.5% is made available to Tribes. Tribes apply based on criteria established in 49 C.F.R. § 110.30. Grantees are reimbursed for PHMSA-approved program expenses.

SECTION B - FEDERAL AWARD INFORMATION

B.1 Funding The Department anticipates that up to approximately $718,788 thousand will be available for Tribal awards, consistent with the 3.5% set-aside for Tribes under the total authorized amount.

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

B.3 Type of Award Discretionary grant award.

B.4 Previous Awards Applicants who received a previous PHMSA HMEP tribal grant award may apply for a FY 2018 grant.

SECTION C - ELIGIBILITY INFORMATION

C.1 Eligible Applicants The FY 2018 HMEP Tribal Grant is open to federally recognized Tribes. Federally recognized tribes are defined as any Indian tribe, band, nation, or other organized group or community (including Native villages) certified by the Secretary of the Interior as eligible for the special programs and services provided through the Bureau of Indian Affairs as well as any organization or intertribal consortium that represents federally recognized tribes. For the purposes of this grant, “intertribal consortium” is defined as a partnership between two or more tribes that is authorized by the governing bodies of those tribes to apply for and receive assistance under this program. An ineligible entity can partner with an eligible entity.

C.2 Cost Sharing or Matching In accordance with 49 U.S.C §5116 (d), Tribes must contribute a minimum of 20% matching share to the total cost of the grant project. For example, if the total cost of the project is $50,000, the Tribe must provide at least $10,000, and DOT will provide no more than $40,000. The matching requirement must be satisfied by costs incurred by the grantee or by the value of in-kind contributions. All matching funds must meet the Federal requirements as described in 2 CFR §200.306 Cost sharing or matching.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

D.1 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 at grants.gov.

The application package contains the required electronic forms and the ability to upload attachments for the budget, 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.

D.2 Content and Form of Application Applications should be clear and concise 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 notice of funding opportunity.

Applications for FY 2018 HMEP Tribal Grant 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 will upload and complete from grants.gov under the FY 2018 HMEP Tribal Grant funding opportunity; and (2) attachments the applicant will need to create and upload.

1. Standard Forms These forms are found in grants.gov under the FY 2018 HMEP Tribal Funding Announcement and must be completed by the applicant.

(1) SF-424 – Application for Federal assistance

(2) SF-424A – Budget Information

(3) SF-424B – Standard Assurances

(4) ED-80-0013 – Certifications Regarding Lobbying; Debarment, Suspension, Drug-Free Workplace etc.

(5) Standard Title VI/Non-Discrimination Assurances – Civil Rights Assurances

2. Applicant Attachments to be submitted These forms must be created by the applicant and uploaded to grants.gov under the FY 2018 HMEP Tribal 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 (if applicable)

(4) Additional optional attachments (if applicable)

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

D.3 Unique Entry Identifier and System for Award Management (SAM)

Each applicant is required to: (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. PHMSA may not make an award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the 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.

D.4 Submission Dates and Times Completed applications must be received electronically by 5:00pm Eastern Standard Time on July 2, 2018. If an applicant has technical difficulties submitting the Application through Grants.gov, please contact: Carla Sheppard, Phone: (202) 366-2738 or Email: Carla.Sheppard@dot.gov. Late application submissions will not be considered.

D.5 Funding Restrictions The following costs are not eligible for reimbursement under the FY 2018 HMEP Tribal Grant Program:

· Any costs disallowed or stated as ineligible in 2 CFR part 200.

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

· Entertainment, alcohol, or morale costs.

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

· Expenses not related to the transportation of hazardous materials.

· Expenses claimed and or reimbursed by another program.

· Expenses counted as match funds toward another Federal program.

· Expenses that supplant existing operational funds/programs.

SECTION E - APPLICATION REVIEW INFORMATION

E.1 Criteria

49 USC 5116(a)(6) provides that the Secretary will consider the following when making award determinations:

(6) The Secretary shall allocate amounts made available for grants under this subsection among eligible States and Indian tribes based on the needs of the States and Indian tribes for emergency response planning and training. In making a decision about those needs, the Secretary shall consider—

(A) the number of hazardous material facilities in the State or on land under the jurisdiction of the Indian tribe;

(B) the types and amounts of hazardous material transported in the State or on such land;

(C) whether the State or Indian tribe imposes and collects a fee for transporting hazardous material;

(D) whether such fee is used only to carry out a purpose related to transporting hazardous material;

(E) the past record of the State or Indian tribe in effectively managing planning and training grants; and

(F) any other factors the Secretary determines are appropriate to carry out this subsection.

E.2 Indicators of Success PHMSA is requesting applications from Tribes that contain the following indicators of a successful HMEP Grant Project:

1. Ability to reach and target rural emergency responders.

2. Thoroughly identify and assess the needs of the tribe or coalition of tribes as it relates to preparedness for hazmat transportation incidents.

3. Develop detailed, allowable and measurable HMEP project activities to address those needs.

4. Submit a comprehensive and clear project and budget narrative as part of the HMEP grant application.

5. Submit reports on time and respond promptly to questions from PHMSA staff.

6. Develop robust monitoring and evaluative framework for ensuring that HMEP grant project activities are completed on schedule, and that any challenges are mitigated.

7. Ability to monitor the activities of subrecipients, as necessary, to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved.

1. Project Narrative

a. Cover Letter from the Tribal Authority designating the entity to receive Federal funds.

b. Organization and Information - (1) Briefly provide information about your organization. Explain its mission and how the subject of the proposal fits within or extends to the mission. (2) Provide a brief overview of the structure of your organization, programs, leadership, and special expertise.

c. 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 individuals responsible for the submission of required federal financial reports.

d. Transportation Fees - Identify whether the Tribe assesses and collects fees on the transportation of hazardous materials and what percentage of the fees collected is used solely to carry out purposes related to the transportation of hazardous materials.

e. Tribal Emergency Response Commission (TERC) review of grant application - Provide a brief statement indicating that all members of the TERC were provided the opportunity to review the grant application.

f. Planning and Training Needs Assessment - Describe the current capacity and any areas of deficiency as it concerns preparedness for the transportation of hazardous materials. This may include: (1) A discussion of whether the applicant has identified a need to assess transportation flow patterns of hazardous materials within the tribal region. (2) Providing the number of hazmat preparedness plans that need updating. (3) Describing the location and need for exercises to be conducted that involve preparation for response to incidents involved in the transportation of hazardous materials. (4) Providing the number of responders needing training and the number of persons currently trained in the different disciplines of response functions (e.g., number of firefighters, Emergency Medical Technicians (EMTs), Emergency Medical Services (EMSs) that need training)

g. Statement of auditable accounting system – Provide a statement certifying that the person authorized to provide training agree to have an auditable accounting system.

h. Monitoring - Provide a description of the monitoring and evaluation of the activities that will be conducted to ensure that the grant activities are successfully carried out according the activity timeline. Include an explanation of quality control measures, including but not limited to random examinations, inspections, and audits of planning activities, to maximize the cost effectiveness and impact of the program.

i. Goals and Objectives - List the program goals and objectives for the HMEP grant funds. In addition, applications should include long-term program objectives.

j. Planning and Training Activities - List and describe the proposed HMEP project activities to be undertaken during the period of performance. Provide the estimated cost of each activity and the projected start/end date. Each activity should correlate to goals listed.

k. Statement of aggregate expenditures - Provide a statement certifying that the Tribe’s/State’s aggregate expenditures, for hazardous materials incident preparedness training and planning activities (exclusive of Federal funds) will not fall below the average level of its expenditures for its last five fiscal years.

l. Statement of 75% programmatic requirement - Provide a statement certifying that 75% of grant funding will be used for HMEP programmatic activities and no more than 25% of Federal funding will be used for maintenance and administration costs (M&A). There is no 75% Local Emergency Planning Commission (LEPC) pass-through requirement in FY 2018.

2. Budget Narrative A budget narrative is a narrative explanation of each budget component that supports the costs 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 specific, detailed, mathematically correct, and correspond to the SF-424A line-item categories. Provide a budget narrative justification by Object Class that corresponds to the amount listed on the SF-424A and why the amount is needed to implement the project as proposed in the project narrative. The budget narrative must correspond to the costs requested in the SF-424A line item budget, and vice versa. A description of the object class category is provided below:

a. Personnel costs are the employee salaries 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.

· This category is limited to persons employed by your organization. Those not employed by your agency must be classified as subgrants or contractors and should be listed under the “Contractual” object class.

· Only include compensation paid for employees engaged in grant activities.

· Costs should be consistent with that paid for similar types of work within the organization.

b. 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 the 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 should not combine the fringe benefit costs with direct salaries and wages in the personnel category.

c. Travel: 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 details of each trip are not known at the time of application submission, provide the basis for determining the amount requested.

d. Equipment: Equipment costs includes those items that 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.

e. 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 great 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.

f. Contractual costs are those services carried out by an individual or organization, other than the applicant, in the form of a procurement relationship. There are two ways to capture costs in this category: subgrants and contracts.

A Subgrant – is an award provided by a pass-through entity (State or Territory) to a subrecipient. That subrecipient carries out part of a program for which the State or Territory received Federal support. A subrecipient has its performance measured in relation to whether objectives of a Federal program were met; has responsibility for programmatic decision making; is responsible for adherence to applicable Federal program requirements specified in the Federal award; and (in accordance with its agreement), uses the Federal funds to carry out a program for a public purpose specified in authorizing statute, as opposed to providing goods or services for the benefit of the pass-through entity.

A Contract - is a legal instrument by which a Grantee Recipient purchases property or services needed to carry out the project or program under an award. A contract/contractor provides the goods and services within normal business operations; provides similar goods or services to many different purchasers; normally operates in a competitive environment; and provides goods or services that are ancillary to the operation of the Federal program.

For all contractual line-item costs, include the rationale for the amount of the costs and include the specific contract goods and/or services provided and the related expenses for those goods and services. Simply entering the statement “contractual services” will not be considered sufficient for the requirement of completing this section.

Subgrants must be listed under Contractual in the SF-424A. They must be clearly identified as subgrants in the budget narrative.

g. Other costs do not fit any of the aforementioned categories, such as rent for buildings used to conduct project activities, utilities, leased equipment, employee training tuition, etc. “Other” direct costs must be itemized.

h. Indirect Costs (if applicable): Indirect costs are allowable in the HMEP grant. 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. The applicant must include a signed copy of the approved negotiated rate agreement that is valid as of the date of the application. If the applicant does not have an approved indirect cost rate agreement, the applicant may be eligible for the 10% de minimis rate provided by 2 CFR § 200.414.

i. Match: The total matching requirement should be listed in Section A and Section C of the SF-424A line item budget. Please only include the Federal-share of costs in Section B of the SF-424A. The budget narrative is where the matching requirements should be captured. Within the applicable object class category in the budget narrative, (Personnel, Supplies, etc), detail the matching requirements.

E.3 Review and Selection Process PHMSA will conduct an initial administrative review of each completed application to determine if it is complete and meets the eligibility requirements per Section C (Eligibility Information) and responsibility requirements. The evaluation panel will consist of grants management specialists, program staff, subject matter experts and non-career staff. The panel will review and evaluate eligible applications and provide recommendations for award. Final award decisions will be made by the Secretary of Transportation.

Application Clarification. Applicant clarification refers to PHMSA’s request for explanations to applicants on programmatic or budgetary aspects of an application in order to make well-informed final funding decisions. At the point of applicant clarification, PHMSA has not made any final funding decisions. This request for clarification does not mean an application is approved for funding. Rather, it is an opportunity for an applicant to answer questions and clarify issues identified during the review. This process takes one to five weeks, depending on the number of applications being considered and the complexity of items for clarification.

Ratings Guideline

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

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

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

Limited Funding Procedures. All projects are subject to the availability of funds. In the event that PHMSA is unable to fully fund projects, the applicant will be allowed to modify initial project submissions to conform to the funding available to award. For applicants requesting less than $25,000 for allowable projects, PHMSA will try to fully fund those requests to ensure the proposed project will remain viable. Applicants receiving less than the original funding request will be required to resubmit revised budget narratives and SF-424As to align with the final award amount.

E.4 Departmental Objectives The PHMSA Administrator will take into account the following key Departmental objectives:

1. Supporting economic vitality at the national and regional level;

2. Utilizing alternative funding sources and innovative financing models to attract non-Federal sources of infrastructure investment;

3. Accounting for the life-cycle costs of the project to promote the state of good repair;

4. Using innovative approaches to improve safety and expedite project delivery; and

5. Holding grant recipients accountable for their performance achieving specific, measurable outcomes identified by grant applicants.

E.5 FAPIIS Review

Prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, 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 § 200.205 Federal awarding agency review of risk posed by applicants.

E.6 Anticipated Announcement and Federal Award Dates Applicants chosen for funding will receive notification of the Federal Award. Upon notification, an applicant’s authorized official must sign and return the signed award within the timeframe prescribed by PHMSA. PHMSA plans to make awards in September 2018, with a proposed period of performance start date of September 30, 2018.

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 the Department’s financial assistance regulations. Funds may not be used for lobbying or litigation.

The grant award agreement, signed by both the PHMSA Agreement Officer and the Tribal entity, is the authorizing document and this document 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 (FAIN) assigned by PHMSA;

5) Period of Performance, specifying the duration PHMSA intends to support the project;

6) Total amount PHMSA approved for the project;

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

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

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 All awards will be administered pursuant to the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards found in 2 C.F.R. part 200 and PHMSA statutes and regulations.

Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to DUNS, SAM, and administrative capability, can be found in the Grants.gov application package under the “Related Documents” tab. Applicants are strongly encouraged to review all documents when preparing applications. Contact the POC listed in Section G if you have questions.

F.3 Reporting Bi-Annual Report(s) - Each grant recipient is required to submit a bi-annual (twice-yearly) Federal financial report (SF-425) and a bi-annual performance report. The reports must follow the instructions outlined in the terms and conditions of the grant award. Bi-annual Federal financial and progress reports are to be submitted electronically as directed by the terms and conditions of the grant award. Performance reports must be submitted via the HMEP grants portal using the approved Standard Form for HMEP Grants.

Final performance reports are to be submitted electronically as directed by the terms and conditions of the grant award. All applications and reports will be made available to the public upon request.

SECTION G - FEDERAL AWARDING AGENCY CONTACTS

Questions Regarding How to Apply or Grant Related Questions Carla Sheppard Phone: (202) 366-2738 Email: Carla.Sheppard@dot.gov.

Alternate Contact:

Shakira Mack Phone: (202) 366-5090 Email: Shakira.Mack@dot.gov

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

US DOT/PHMSA Page 2 of 5

Hazardous Materials Emergency Preparedness (HMEP) Grant -NOFO image1.jpeg