Hazardous Materials Grants Webinar

1. Hazardous Materials Grants Webinar for 2013-2014 Grant Applicants February 26, 2013

2. Agenda • Program Overview and Grants Team • 2013-2014 Application Guidance • Tools and Resources

3. Program Overview and Grants Team

4. PHMSA Mission To protect people and the environment from the risks inherent in transportation of hazardous materials - by pipeline and other modes of transportation. • Preparedness and Response: To reduce the consequences (harm to people, environment, and economy) after a pipeline or hazmat failure has occurred.

5. Hazmat Grant Program Purpose To increase State, Territorial, Tribal, and local effectiveness in safely and efficiently handling hazardous materials accidents and incidents and to encourage a comprehensive approach to emergency training and planningby incorporating the unique challenges of responses to transportation situations.

6. The Hazmat Grant Programs

7. Hazmat Grant Personnel Emmanuel Ekwo, Chief, Grants and Registration Shakira Mack, HMEP Grant Program Analyst Suezett Edwards , Grant Specialist Andre White, Grant Specialist Lisa Reichenbacher, Grant Specialist Carla Sheppard, Grant Specialist Bonita Brown, Grant Specialist Angel Henriquez, Administrative Assistant - 7 -

8. Rebranding of theHMEP Grants Program • PHMSA is committed to ensuring that the HMEP Grant Program is making strides in the area of process improvement.  This requires Grant Program administrators to monitor efficacy, increase program outreachefforts with grantees, and further its reach to first responders.  Grantees are encouraged to administer high performing HMEP Grant programs within their States, Territories and Tribes.  To facilitate this process, the HMEP Grant Program will continue to improve IT resources, increase contact grantees, and provide better guidance.

9. Grant Program Priorities • Aligning Grant funded activities to PHMSA Priorities and Grant Program intent • Increased oversight of grantee • Financial Requests (application and SF-270s) • Reporting (SF-425) • Grantee performance • Outcomes • Outputs

10. 2013-2014 Application Guidance

11. Hazmat Grant Application • Applications open March 1, 2013 • Applicants may request funding up to or at the full allocation • Applicants apply through Grants.gov • Questions: • Program: Grant Specialist or HMEP.Grants@dot.gov

12. PHMSA Grant Schedule-2013-2014 Application Schedule Oct 1st HMEP Grant Open for Use March 1st Application Process Begins April 19th Deadline for Applications Sept 30th HMEP Grant Awarded* Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb 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.

13. Hazmat Grant Application Kit • Apply through Grants.gov • Forms • Application for Federal Assistance (SF-424) • Budget for Non-Construction Programs (SF-424A) • Assurances for Non-Construction Programs (SF-424B) • Combined Assurances (ED-80-0013) • Narrative • Agency Identification • Transportation Fees • Contact Information • Report of Progress • Program Goals and Objectives • Statement of Work for Upcoming Budget Period • SERC/LEPC Involvement • Supplies and Equipment

14. 2013 – 2014 Application Summary • This year, we are recommending that grantees place additional emphasis on the following sections: • Program Goals and Objectives • List goals/objectives of training and planning activities and how they tie into program goals/objectives • Statement of Work • Statement of proposed activities • Number of proposed activities • Schedule of implementation (milestones) • Budget Narrative • Detailed explanation of costs proposed on the SF-424A • Itemized listing of proposed activities to include cost association

15. 2013-2014 HMEP Application Review Criteria • Agency/State goals and objectives identified? • SF-424A budget substantiated in the narrative? • Matching detailed? • Object Class Category correctly used? • Personnel costs charged to the program? • Indirect costs passed through to the program? • Planning/Training SOWs included? • Project costs are allowable, allocable, reasonable? • Subgrant schedules provided if applicable?

16. Application Vulnerabilities • Agency/State goals and objectives identified? • Misaligned objectives enable unallowable expenses • SF-424A budget substantiated in the narrative? • Undisclosed activities enable unallowable activities • Matching details? • Lack of clarification on how match will be met may result in rushed and incorrect accounting.

17. Application Vulnerabilities • 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

18. Application Vulnerabilities • Planning SOWs included? • Lack of planned program activities enable unfocused and ineffective spending • Training SOWs included? • Lack of planned program activities enable unfocused and ineffective spending • Subgrant schedules provided if applicable?

19. Reference: Application Kit – p. 9 Sample Application – p. 2 – 3 General Requirements • Agency Identification Please indicate the agency name and address, and Agency Director’s name • Transportation Fees Explain whether the State/Territory assesses and collects fees on the transportation of hazardous materials and whether such assessments or fees are used solely to carry out purposes related to the transportation of hazardous materials • Contact Information State the designated project manager including the name, position, address, email address, and telephone number of that individual who will be responsible for coordinating the funded activities with other agencies and organizations • Report of Progress Planning and Training progress will be referenced in Quarterly and Final Reports

20. Reference: Application Kit – p. 9 Sample Application – p. 3 Program Goals and Objectives • Introduction Provide a brief description of the state or territory, including pertinent information regarding the transportation of hazmat in the State/Territory • Purpose Purpose/Mission of State’s or Territory’s hazmat emergency response program • Objectives Objectives of hazmat emergency response program • Goals List hazmat emergency response program’s planning and training goals for the upcoming grant cycle • Sub-Grantee Award Schedule Planned schedule for proposal selection and sub-grant awarding if applicable

21. Statement of Work • HMEP grant application should include an activity-based statement of work, which ties to the budget (SF-424a) • Activities should directly relate to improving hazmat transportation safety • Proposed outcomes may include results of performance measurements such as: • Increase (year-to-year) of LEPCs with an effective emergency plan in place • Percentage of plans that have been tested during the grant cycle • Percentage of plans that have been updated during the grant cycle

22. Reference: Application Kit – p. 10 Sample Application – p. 4 – 7 Statement of Work Planning Grant • Overview Statement of proposed planning activities for upcoming grant period If funding for planning activities will be distributed to sub-grantees, provide explanation of criteria used in selection/funding process • Activities Provide a detailed description of the planning activities that will be performed in the upcoming grant period, including information such as: Goals/objectives of planning activities and how they tie into program goals/objectives Number and types of activities to be completed Schedule for implementation of proposed grant activities

23. Reference: Application Kit – p. 10 Sample Application – p. 8 – 11 Statement of Work • Activities • Provide a detailed description of training activities that will be performed in the upcoming grant period, including information such as: • Goals/objectives of training activities and how they tie into program goals/objectives • Course information • Training activities schedule • Number of training sessions provided for each course • Estimated number of participants, if possible Training Grant Overview Statement of proposed training activities for upcoming grant period

24. Reference: Application Kit – p. 10 Sample Application – SF-424A and p. 12 – 17 • a. Personnel • - Job title • Role in HMEP grant • Annual salary (Indicate percentage to be charged • to HMEP grant and basis for allocation) • 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 Budget Narrative • c. Travel • (Do not include Travel for sub-grants) • 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”; • 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 • - Indicate approved indirect rate • Provide copy of negotiated agreement in effect at • beginning of grant period

25. Budget Narrative: Example – Personnel

26. Reference: Application Kit – p. 10 Sample Application – p. 17 SERC and LEPC & Supplies and Equipment • SERC and LEPC Involvement Provide a statement detailing appropriate SERC and LEPC involvement • Supplies and Equipment Provide a description of supplies and equipment needed to implement the statement of work, justification for these needs, and all associated costs.

27. Reference: Sample Application – p. A-4 – A-12 Assurances • Assurance of Compliance with • Title VI of the Civil Rights Act of 1964: • Appendix A • Appendix B • Appendix C • Compliance Forms: • Actions Required of Recipients of HMEP Planning Grants • Actions Required of Recipients of HMEP Training Grants

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

29. Program Tools and Resources

30. Sample Application The Sample HMEP Application is one of PHMSA’s efforts to provide grantees with better application guidance. This document demonstrates a comprehensive and effective proposal of activities to be performed with HMEP Grant funds.  The sample application may be used as an example of how to organize application information.  Additional application information can be found in the Application Kit.

31. HMEP Activities Guidance • Updated to be more user friendly based on grantee feedback • Describes HMEP activities within the context of seven object class categories • Provides an updated list of example activities

32. PHMSA Grant Schedule-2013-2014 Application Schedule Oct 1st HMEP Grant Open for Use March 1st Application Process Begins April 19th Deadline for Applications Sept 30th HMEP Grant Awarded* Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb 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.

33. Questions HMEP.Grants@dot.gov www.phmsa.dot.gov/hazmat/grants (202)366-1109