U S Department of Transportation Pipeline and Hazardous

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazardous Materials Grants Webinar for 2014 -2015 Grant Applicants

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Agenda • Introduction • Hazmat Grant Personnel • Program Purpose and Priorities • Governing Regulations, Statute, and Policies • Grants under Hazardous Materials Grant Program • PHMSA Grant Schedule • Grant Application Guidance • Object class categories (SF-424 A) • New Requirements • Common Mistakes • Questions/Comments -2 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Personnel Emmanuel Ekwo Lisa O’Donnell Shakira Mack Chief, Grants and Registration Acting Team Lead Program Analyst Bonita Brown Suezett Edwards Lisa Reichenbacher Carla Sheppard Andre White Grant Specialist Grant Specialist Angel Henriquez Administrative Assistant -3 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Mission and Objective – Mission: To protect people and the environment from the risks of hazardous materials transportation. – Preparedness and Response Objective: To reduce the consequences (harm to people, environment, and economy) after a pipeline or hazmat failure has occurred. -4 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Program Purpose To support State, Territorial, Tribal, and local communities to deal with hazardous materials emergencies, particularly those involving transportation, and to enhance the implementation of the Emergency Planning and Community Right-to-Know Act of 1986. -5 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Grant Program Priorities • Aligning Grant funded activities to PHMSA Priorities and Grant Program intent • Increase oversight, monitoring and management of grantee – Financial Requests [Application and Request for Advance or Reimbursement (SF-270 s)] – Reporting [Federal Financial Report(SF-425 s)] • Grantee performance – Outputs – Outcomes -6 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Grant Program Priorities • Grantee performance – Outputs – Services, products, and activities that your organization offers to its users. – Outcomes – Changes you are looking to achieve-the differences we aim to make with our services. -7 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration The Hazmat Grant Programs HMEP SPST • Up to $21. 8 million • Up to $1 million • Competitive • National non-profit fire service organizations • Expertise in conducting training programs for fire fighters • Discretionary • States, Territories & Tribes • Assist local communities in Planning and Training on Hazmat accidents and incidents in transportation HMIT • Competitive • Up to $4 million • Non-profit organizations • Expertise in conducting training programs for Hazmat employees Grant awards are subject to the availability of funds. -8 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Grant Schedule Application Schedule February 14 th Application Process Begins Feb Mar April 1 st 2 nd Qtr SF-425 Due April 14 th Deadline for Applications Apr May June July 1 st 3 rd Qtr SF-425 Due Oct 1 st HMEP Grant Open for Use Sept 30 th HMEP Grant Awarded* July Aug Sept 30 th 4 th Qtr SF-425 Due Sept Oct Dec 31 st Submission of Final Report** Nov Dec Jan 1 st Qtr SF-425 Due Grantee must submit quarterly Federal Financial Reports (SF-425) separately for planning and training no later than 30 days after dates listed (i. e. , Jan. 31 st, April 30 th, and July 31 st). Typically the fourth quarter report is optional; therefore, please consult your grant specialist. Grant Activity Schedule * Grant award must be signed and returned before funds are available for disbursement. ** Grantee must submit a Final Report with a final SF-425 for Planning and for Training, final Narrative Report, and Grant Accountability Questionnaire. -9 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Regulations, Statute, and Policies • 2 CFR Part 225 • 29 CFR § 1910. 120(q) • 49 CFR Part 110 • 49 U. S. C. § 5116 • Program Terms and Conditions • Hazmat Grant Program Guidelines and Objectives - 10 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration HMEP Grant Eligibility • States - may apply for planning and training grants. • Federally recognized Native American Tribes - may apply for planning and training grants. • Territories – may apply for planning and training grants. - 11 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Which is the best grant for you? Some examples of the HMEP Grant Planning Activities include: • Develop, improve, and implement emergency plans. • Perform exercises that test the emergency plan. • Assess flow patterns of hazardous materials. • Assess the need for regional hazardous materials emergency response teams. • Assess current local response capabilities. • Address conduct of emergency response drills and exercises associated with emergency preparedness plans. - 12 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Which is the best grant for you? Some examples of the HMEP Grant Training Activities include: • Design and deliver preparedness and response training. • Perform emergency response drills and exercises associated with training, a course of study, and tests and evaluation of emergency preparedness plans. • Test and evaluate emergency preparedness plans. - 13 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Application • Applications open February 14, 2014. • Applications close on April 14, 2014. • Applicants may request funding up to or at the full allocation. • Applicants must apply through Grants. gov. Questions: Program: Grant Specialist or HMEP. Grants@dot. gov - 14 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Developing the Grant Application General Components of the HMEP Grant • Application for Federal Assistance for Non-Construction Programs (SF-424) • Budget Information-Non-Construction Programs (SF-424 A) • Assurances-Non-Construction Programs (SF-424 B) • Assurances ü Anti-Lobbying ü Debarment, Suspension, and Other Responsibility Matters ü Drug-Free Workplace - 15 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Developing the Grant Application General Components of the HMEP Grant • Assurance of Compliance with Title VI of Civil Rights Act of 1964, Appendix A, B, and C • Programmatic Certifications • Letter of Agency Designation (If applicable) Authorization from the State Governor or comparable governing body for the State, Native American Tribe, or Territory to apply for grant - 16 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Developing the Grant Application When completing your grant application, applicants are advised to consider the following: • Goals and Objectives • The proposal (proposed activities) • The budget narrative • Grant guidance alignment - 17 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Planning Grant • Key Contact List ü Agency Project Manager ü Financial Representative ü Administrative Contact • Transportation Fees (If applicable) • Past Performance (Formally known as Report of Progress) • Goals and objectives - 18 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Planning Grant • Statement of Work (Activity Descriptions, Budget Narrative, and Outputs and Outcomes) • 20% Match Requirement (If applicable) • Current Indirect Cost Agreement (If applicable) • SERC/LEPC • Aggregate expenditure statement - 19 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Planning Grant • National Incident Management System (NIMS) Statement • Certifications • 75% Pass-through statement • Proposed Activities with projected costs - 20 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Training Grant • Key Contact List (If differs from Planning Grant) ü Agency Project Manager ü Financial Representative ü Administrative Contact • Transportation Fees (If applicable) • Past Performance (Formally known as Report of Progress) • Goals and objectives - 21 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Training Grant • Project Narrative/Statement of Work (Course Descriptions, Budget Narrative, and Outputs and Outcomes) • 20% Match Requirement (If applicable) • Current Indirect Cost Agreement (If applicable) • SERC/LEPC • Aggregate expenditure statement • National Incident Management System (NIMS) Statement • Certifications • 75% Pass-through statement - 22 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Components of the HMEP Training Grant • Alignment with National Fire Protection Association 472 (NFPA 472) or 29 CFR § 1910. 120(q) • Show ways training grants will support the integrated delivery of training • Proposed Activities with projected costs - 23 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Conducting the Needs Analysis What’s Needed to Meet the Mission? What is a Needs Assessment? Assessment Ø A Needs Assessment – A process to determine and address "gaps" between current conditions and needs. DESIRED PROGRAM - ACTUAL PROGRAM = PROGRAM NEED Remember, it is important to differentiate between program needs and program wants. needs wants - 24 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Conducting the Needs Analysis What’s Needed to Meet the Mission? Why is a Needs Assessment so important? Conducting a Needs Assessment is critical to develop a grant program. The Needs Assessment can be used to determine: – Gaps in your program – Effectiveness of LEPCs and local response teams – Needed tasks, activities, supplies and equipment – Priorities for which tasks and activities are to be conducted – The most cost-effective approach to fill gaps - 25 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Conducting the Needs Analysis What’s Needed to Meet the Mission? Grant applicants should work closely with LEPCs, emergency response teams and sub-applicants to establish an overall Needs Assessment for the State, Tribe, or Territory. IT IS HIGHLY RECOMMENDED THIS PROCESS TAKES PLACE BEFORE WRITING THE GRANT APPLICATION. - 26 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Writing the Project Narrative Establishing Goals & Objectives When determining Goals & Objectives for your program, ensure Goals & Objectives: Objectives • Align with the PHMSA’s program Goals & Objectives • Address the findings of the needs assessment • Are obtainable and reasonable • Are clear and concise • Are measurable in terms of projected outputs and outcomes - 27 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Writing the Statement of Work Proposing Tasks & Activities When listing Tasks & Activities, it is very important to remember the Who, What, Why, Where, When, How Many, Many and How Much of each Task & Activity being Activity proposed. Who – Who will be performing the task or activity? What – What task or activity is to be performed? Why – Why is the task or activity being performed? Where – Where will the task or activity take place? Where When – When is the task or activity projected to be performed? How Many – What is the projected number participants involved in the task or activity? How Much – What is the projected cost of the task or activity? - 28 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Writing the Statement of Work Proposing Tasks & Activities Here is an example of a proposed activity: • Tula County, a Sub-applicant of the State of Calisota is County proposing to conduct a Hazmat Refresher course as a number of responders are now due for training • Training will be conducted at Tula Hazardous Materials College in Tula County. • Tula County is projecting to conduct a Hazmat Refresher course during the third quarter of the performance period for maximum participation. • 57 participants are projected to attend this training course. 57 The projected cost for this training course, to include travel, supply, facility rental, and registration costs is $27, 571. 00. - 29 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative What is a Budget Narrative ? A narrative portion of the budget is used to explain any line items in the budget. If your project costs are straightforward and clear, your budget narrative will require little effort to create. - 30 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative What is the Importance of a Budget Narrative ? The budget narrative of a grant proposal is extremely important as it provides: • Transparency for proposed costs • Justification for proposed costs that may appear questionable to the granting agency • Details how and where the applicant will satisfy cost-sharing requirements (matching) Ø 49 U. S. C. § 5116(k)-Include "a detailed accounting and description of each grant expenditure by each grant recipient, including the amount of and purpose for, each expenditure” in the Report to Congress. - 31 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Considerations When completing your Budget Narrative, applicants are Narrative advised to consider the following: Projected Personnel Costs • How does each individual contribute to the project? • How much time will each individual spend on the project? • If individuals are not yet named, what are the necessary qualifications for individuals to be designated? • Be sure to explain and justify annual increases in salaries and/or benefits. - 32 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Considerations Consultants and Outside Contractors • Describe the qualifications and duties of the outside specialists that must be hired. • Explain the amount of time they will spend on the project. Supplies & Equipment • Include cost estimates/descriptions of quotes obtained for any specialized supplies or equipment. • Describe why the supplies and/or equipment are needed. • Explain how the supplies and/or equipment pertain to your specific project and are necessary to complete project objectives. - 33 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Considerations Travel • Explain the purpose of the trip and justify why each individual is traveling. • Explain how destination was determined and how travel costs were considered when destination was selected. • Stipulate that lodging and per diem rate to be used are either state or Federal rates, as required by the grant. - 34 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Example Here is an example of a the travel line item of a Budget Narrative: Narrative Travel – Total: $1, 687. 75 Tula County staff is expected to travel around the county/State to visit sites, attend meetings and trainings/conferences, and meet with LEPCs. The Tula County’s reimbursable rate is 0. 445 and not the Federal rate of 0. 585. Program Director 300 miles x 0. 445 = $133. 50; Daily Subsistence $91. 75 x 5 days =$458. 75; Total 592. 25. Program Coordinator 200 miles x 0. 445 = $89; Daily Subsistence $91. 75 x 5 days= $458. 75; Total $547. 75. Program Assistant 200 miles x 0. 445 = $89; Daily Subsistence $91. 75 x 5 days =$458. 75; Total $547. 75. - 35 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Making the 75% Pass-Through At least 75% of the funds provided are for LEPCs to: • Develop, improve, and implement emergency plans. • Trace funds for training to a level of expenditure adequate to establish that at least 75% are for training public sector employees employed or used by political subdivisions. Applicants are required to provide a detailed explanation of the pass-through of funds to subapplicants. applicants. - 36 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Example of the 75% Sub-applicant Pass-through Calisota HMEP Planning Grant Award - $120, 000 The State of Calisota has 4 sub-applicants. Sub-applicants and requested funding amounts are: 1. Tula County - $28, 000 2. Downs County - $35, 000 3. Falls County - $16, 000 4. Brownfoot Indian Tribe - $11, 000 Total Sub-applicant Fund Requested: $90, 000 (75% of awarded funds). Remaining funds of $30, 000 (25% of awarded funds) will be used for grant program administration. - 37 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Creating the Budget Narrative Example Budget Narrative: Example – Personnel - 38 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Understanding the Object Class Categories a. Personnel - Staff positions by title - Annual salary (indicate percentage to charged to HMEP grant and basis of allocation) - Job title - Role in HMEP grant - Total cost for budget period c. Travel - Local Travel: -Estimate of aggregate costs - Mileage reimbursement rate - Reasons for travel - Non-Local Travel: - Estimated # of trips - Purpose and programmatic need - Location and estimated costs e. Supplies (Tangible property other than “Equipment” and do not include Supplies for sub-grants) - Identify categories of supplies to be procured which will be used during proposed planning or training activities - Identify “sensitive” items (laptops, GPSs, etc. ) and associated cost/unit j. Indirect Charges - Identify cognizant federal agency for negotiation of indirect cost rate - State approved indirect rate - Provide copy of negotiated agreement in effect at - beginning of grant period b. Fringe Benefits - If included as Direct Cost: - Percentage used (fringe benefit rate) - Basis for computation of rate - If addressed as Indirect Cost: - Do not include amounts for fringe benefits d. Equipment (Do not include Equipment for sub-grants) - Identify equipment that: -Is tangible - Is non-expendable personal property - Has an estimated cost of $5, 000+/unit - Has a useful life of more than 1 year - Will be used during proposed planning or training activities f. Contractual - Anticipated expenditures for services/analyses or consultants - Specify purpose and estimated cost h. Other - Provide detailed information on other subgrants, Insurance, space rental, printing, publication, Postage, utilities, telephone, rental of equipment and supplies, and activities not covered under other budget categories. - 39 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration New Requirements for the HMEP Grant Program Ø 49 U. S. C. § 5116(b)(1)-Requires recipients of HMEP grants to provide written certification that emergency responders who receive training under the grant will have: ü The ability to respond to effects of accidents or incidents involving the transportation of hazardous material in accordance with existing regulations or National Fire Protection Association (NFPA '472) standards. - 40 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration New Requirements for the HMEP Grant Program • Who must certify? ü Training Grants-The authorized representative of the State, Territory, or Native American Tribe ü Sub-grantee • How to certify? ü Grantee provides written certification certificate via PHMSA’s Online Hazmat Grant Training. ü Sub-grantee provides written certification via PHMSA’s Online Hazmat Grant Training to grantee. - 41 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration New Requirements for the HMEP Grant Program • When must you certify? ü Grantee-Before the Notice of Grant Award (NGA) is signed and returned. ü Sub-grantee-Before the sub-grant award is offered. Ø PHMSA’s Online Hazmat Grant Training is scheduled to be accessible on April, 2014, and the NGA must be signed by Sept. 30, 2014. - 42 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration New Requirements for the HMEP Grant Program • How PHMSA will verify grantee certification? ü Written Certification after completing PHMSA’s Online Hazmat Grant Training. - 43 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Common Mistakes • Agency/State goals and objectives identified? - Misaligned objectives enable unallowable expenses - Lack of clear outputs and outcomes • SF-424 A budget substantiated in the narrative? - Undisclosed activities enable unallowable activities - Lack of Curriculum Descriptions compliant with regulatory standards or NFPA 472 • Matching details? - Lack of clarification or detailed explanation of how the agency will make its 20% matching contribution [i. e. , cash (hard-match) or in-kind (soft match)] resulting in rushed and incorrect accounting - 44 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Common Mistakes • Object Class Category correctly used? - Incorrect categorization enables mishandling of expenses or may cause post-award audit triggers • Personnel costs incorrectly charged to the program? - Undisclosed activities enable unallowable activities • Indirect costs passed through to the program? - Lack of indirect cost agreement/lack of clarity on inclusions can result in duplicate expenses for HMEP - 45 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration SERC and LEPC • SERC and LEPC Involvement Lack of a statement detailing appropriate SERC and LEPC involvement - 46 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Awards • Awards may be offered with conditions that must be met to access funding. - 47 -

U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Questions Program: Grant Specialist or HMEP. Grants@dot. gov General: www. phmsa. dot. gov/hazmat/grants (202) 366 -1109 - 48 -