Hazardous Materials Grants Webinar

1. Hazardous Materials Grants Webinar for 2014-2015 Grant Applicants

2. 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-424A) • New Requirements • Common Mistakes • Questions/Comments

3. Hazmat Grant Personnel Emmanuel Ekwo Chief, Grants and Registration Lisa O’Donnell Acting Team Lead Shakira Mack Program Analyst Bonita Brown Grant Specialist Suezett Edwards Grant Specialist Lisa Reichenbacher Grant Specialist Carla Sheppard Grant Specialist Andre White Grant Specialist Angel Henriquez Administrative Assistant - 3 -

4. 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.

5. 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.

6. 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-270s)] • Reporting [Federal Financial Report(SF-425s)] • Grantee performance • Outputs • Outcomes

7. 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.

8. The Hazmat Grant Programs Grant awards are subject to the availability of funds.

9. PHMSA Grant Schedule Application Schedule Oct 1st HMEP Grant Open for Use February 14th Application Process Begins April 14th Deadline for Applications Sept 30th HMEP Grant Awarded* Feb Mar Apr May June July Aug Sept Oct Nov Dec Jan July 1st 3rd Qtr SF-425 Due Jan 1st 1st Qtr SF-425 Due April 1st 2nd Qtr SF-425 Due Sept 30th 4th Qtr SF-425 Due Dec 31st Submission of Final Report** 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. 31st, April 30th, and July 31st). Typically the fourth quarter report is optional; therefore, please consult your grant specialist. Grant Activity Schedule ** Grantee must submit a Final Report with a final SF-425 for Planning and for Training, final Narrative Report, and Grant Accountability Questionnaire. * Grant award must be signed and returned before funds are available for disbursement.

10. 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

11. 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.

12. 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.

13. 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.

14. 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

15. 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-424A) • Assurances-Non-Construction Programs (SF-424B) • Assurances • Anti-Lobbying • Debarment, Suspension, and Other Responsibility Matters • Drug-Free Workplace

16. 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

17. 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

18. Components of the HMEP Planning Grant • Key Contact List • Agency Project Manager • Financial Representative • Administrative Contact • Transportation Fees (If applicable) • Past Performance (Formally known as Report of Progress) • Goals and objectives

19. 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

20. Components of the HMEP Planning Grant • National Incident Management System (NIMS) Statement • Certifications • 75% Pass-through statement • Proposed Activities with projected costs

21. Components of the HMEP Training Grant • Key Contact List (If differs from Planning Grant) • Agency Project Manager • Financial Representative • Administrative Contact • Transportation Fees (If applicable) • Past Performance (Formally known as Report of Progress) • Goals and objectives

22. 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

23. 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

24. Conducting the Needs AnalysisWhat’s Needed to Meet the Mission? What is a Needs Assessment? • 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.

25. Conducting the Needs AnalysisWhat’s Needed to Meet the Mission? Why is a Needs Assessment soimportant? 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

26. Conducting the Needs AnalysisWhat’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.

27. Writing the Project NarrativeEstablishing Goals & Objectives When determining Goals & Objectives for your program, ensure Goals & 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

28. Writing the Statement of WorkProposing Tasks & Activities When listing Tasks & Activities, it is very important to remember the Who, What, Why, Where, When, How Many, and How Much of each Task & Activity being 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? 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?

29. Writing the Statement of WorkProposing Tasks & Activities Here is an example of a proposed activity: • Tula County, a Sub-applicant of the State of Calisota is 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. The projected cost for this training course, to include travel, supply, facility rental, and registration costs is $27,571.00.

30. Creating the Budget NarrativeWhat 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.

31. Creating the Budget NarrativeWhat 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) • 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.

32. Creating the Budget NarrativeBudget Narrative Considerations When completing your Budget Narrative, applicants are 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.

33. Creating the Budget NarrativeBudget 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.

34. Creating the Budget NarrativeBudget 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.

35. Creating the Budget NarrativeBudget Narrative Example Here is an example of a the travel line item of a Budget 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.

36. Creating the Budget NarrativeMaking 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 sub-applicants.

37. Creating the Budget NarrativeExample 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: • Tula County - $28,000 • Downs County - $35,000 • Falls County - $16,000 • 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.

38. Creating the Budget NarrativeBudget Narrative Example Budget Narrative: Example – Personnel

39. 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 • 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 • 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 • 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 • 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 • 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. • 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

40. New Requirements for the HMEP Grant Program • 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: • The ability to respond to effects of accidents or incidents involving the transportation of hazardous material in accordance with existing regulations orNational Fire Protection Association (NFPA '472) standards.

41. New Requirements for the HMEP Grant Program • Who must certify? • Training Grants-The authorized representative of the State, Territory, or Native American Tribe • Sub-grantee • How to certify? • Grantee provides written certification certificate via PHMSA’s Online Hazmat Grant Training. • Sub-grantee provides written certification via PHMSA’s Online Hazmat Grant Training to grantee.

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

43. New Requirements for the HMEP Grant Program • How PHMSA will verify grantee certification? • Written Certification after completing PHMSA’s Online Hazmat Grant Training.

44. Common Mistakes • Agency/State goals and objectives identified? • Misaligned objectives enable unallowable expenses • Lack of clear outputs and outcomes • SF-424A 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

45. 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

46. SERC and LEPC • SERC and LEPC Involvement Lack of a statement detailing appropriate SERC and LEPC involvement

47. Hazmat Grant Awards • Awards may be offered with conditions that must be met to access funding.

48. Questions Program: Grant Specialist or HMEP.Grants@dot.gov General: www.phmsa.dot.gov/hazmat/grants (202) 366-1109