PHMSA Hazmat Grant Program

U.S. Department of Transportation

Pipeline and Hazardous Materials Safety Administration

PHMSAPHMSAHazmat Grant ProgramHazmat Grant Program

NASTTPO Annual NASTTPO Annual

ConferenceConference

April 2013April 2013



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PHMSA OverviewPHMSA Overview



Pipeline and Hazardous Materials Safety Administration (PHMSA)

Every day PHMSA strives to meet the needs of our ultimate customers, the American public, to ensure your communities remain safe, livable, and free from transportation incidents involving hazardous products.

We rely on our external partners to work with us in promoting and supporting safe practices through resource utilization, training and awareness, new technology investments and other ways to help pipeline operators and hazardous materials transporters assure safety.

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PHMSA MissionTo 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.

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PHMSA Organization

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ASSOCIATE ADMININSTRATORHAZMAT SAFETY MATERIALS

DEPUTY ASSOCIATE ADMININSTRATOR

POLICY AND PROGRAMS

DEPUTY ASSOCIATE ADMININSTRATORFIELD OPERATIONS

International Standards

Coordinator

OUTREACH, TRAINING AND

GRANTS

PROGRAM DEVELOPMENT

FIELD SERVICES SUPPORT

ENFORCEMENT, FITNESS AND

TRAINING

STANDARDS AND RULEMAKING

ENGINEERING AND RESEARCH

APPROVALS AND PERMITS

Office of Hazmat Safety



OHMS Divisions• Standards and Rulemakings

– Develops regulations and standards for the classifying, handling and packaging of over 1 million daily shipments of hazardous materials within the United States.

• Engineering and Research

– Provides technical subject matter expertise in support of OHMS efforts.

• Approvals and Permits

– Approvals authorize the transportation of designated hazardous materials (i.e. explosives) or the performance of a designated hazardous materials function (i.e. cylinder retester) under the PHMSA regulations.

• Field Operations

– Conducts compliance, incident and accident inspections and investigations; performs safety, performance and regulatory adequacy and fitness determinations; executes outreach, education and training activities.

• Outreach, Training, and Grants

– Provide publications, self-training products, and in-person training opportunities, and assists the first responder communities via Hazardous Materials Grant Programs.

• Program Development

– Provides integrated planning, development, and evaluation of programmatic activities for the Associate Administrator for the Office of Hazardous Materials Safety.

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Hazmat Grant Program Hazmat Grant Program OverviewOverview

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Hazmat Grant Program Purpose

The purpose of this grant program is 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 planning by incorporating the unique challenges of responses to transportation situations.

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The Renewed HMEP Grants Program

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PHMSA is committed to ensuring that the HMEP Grant Program is making strides in the area of process improvement. This requires that the Grant Program monitor efficacy, increase outreach efforts with our grantees, and furthers 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 Grant Program will continue to improve IT resources, increase contact with Grant Specialists, and provide better guidance.



The Renewed HMEP Grants Program

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Hazmat Grant Personnel

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Emmanuel Ekwo Chief, Grants and Registration Shakira Mack HMEP Grant Program Analyst

Suezett Edwards Grant SpecialistAndre White Grant SpecialistLisa Reichenbacher Grant SpecialistCarla Sheppard Grant Specialist Bonita Brown Grant Specialist

Angel Henriquez Administrative Assistant



Hazmat Grant Programs

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Grant Program Process Flow

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How the HMEP Grants Program Contributes to Agency Goals

Program Outputs: Activities & Resources: General Strategies: National Goals: DOT Strategic Goal: (to grantees) (available to grantees)

Mitigation: Reduce the severity

of each failure

Program goal: Reduce deaths and

injuries from hazmat incidents

Prevention: Reduce the number

of failures

Response: Minimize the

consequences of incidents

Training

Planning

Exercises

Hazard Communication

People, Equipment

HMEP Planning Grants

to States & Tribes

HMEP Training Grants

to States & Tribes

Safety goal: Reducedeaths and injuries

from transportation-related incidents

SupplementalTraining Grants

Hazmat Instructor Training Grants

How the HMEP Grants Program Contributes to Agency Goals

Program Outputs: Activities & Resources: General Strategies: National Goals: DOT Strategic Goal: (to grantees) (available to grantees)

Mitigation: Reduce the severity

of each failure

Program goal: Reduce deaths and

injuries from hazmat incidents

Prevention: Reduce the number

of failures

Response: Minimize the

consequences of incidents

Training

Planning

Exercises

Hazard Communication

People, Equipment

HMEP Planning Grants

to States & Tribes

HMEP Training Grants

to States & Tribes

Safety goal: Reducedeaths and injuries

from transportation-related incidents

SupplementalTraining Grants

Hazmat Instructor Training Grants



Hazmat Grant Application Hazmat Grant Application OverviewOverview

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Hazmat Grant Application

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• Applications opened March 1, 2013

• Applicants may request funding up to or at the full allocation

• Applicants apply through Grants.gov

Questions:Contact Grant Specialist or [email protected]



PHMSA Grant Schedule 2013-2014

Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb


March 1st

Application Process Begins

April 19th

Deadline for Applications

Sept 30th

HMEP Grant Awarded*

Oct 1st

HMEP Grant Open for Use

April 1st

2nd Qtr SF-425 Due

July 1st

3rd Qtr SF-425 Due

Sept 30th

4th Qtr SF-425 Due

Jan 1st

1st Qtr SF-425 Due

Grant Activity Schedule

Application 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.

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.

Dec 31st

Submission of Final Report**

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Hazmat Grant Application Kit

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FormsApplication for Federal Assistance (SF-424)Budget for Non-Construction Programs (SF-424A)Assurances for Non-Construction Programs (SF-424B)Combined Assurances (ED-80-0013)

NarrativeAgency IdentificationTransportation FeesContact InformationReport of ProgressProgram Goals and ObjectivesStatement of Work for Upcoming Budget PeriodSERC/LEPC InvolvementSupplies and Equipment



2013 – 2014 Application Summary

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• We recommend 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 or deliverables

Number of proposed activities or deliverables

Schedule of implementation (milestones)

- Budget Narrative

Detailed explanation of costs on the SF-424A

Itemized listing of proposed activities to include cost association application.



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 eligible, reasonable, necessary, and allocable?

• Subgrant schedules provided if applicable?

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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.

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• 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

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• 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?

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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

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• 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

Program Goals and Objectives

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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

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Statement of WorkPlanning 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

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Statement of WorkTraining Grant

Overview

Statement of proposed training activities for upcoming grant period

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

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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

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

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

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

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

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

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

h. Other- Provide detailed information on other subgrants,Insurance, space rental, printing, publication,Postage, utilities, telephone, rental of equipmentand supplies, and activities not covered under otherbudget categories.

h. Other- Provide detailed information on other subgrants,Insurance, space rental, printing, publication,Postage, utilities, telephone, rental of equipmentand supplies, and activities not covered under otherbudget categories.

f. Contractual- Anticipated expenditures for services/analyses or consultants- Specify purpose and estimated cost

f. Contractual- Anticipated expenditures for services/analyses or consultants- Specify purpose and estimated cost

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

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

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Budget Narrative



Budget Narrative: Example – Personnel

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• 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.

SERC and LEPC & Supplies and Equipment

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AssurancesCompliance Forms:

Actions Required of Recipients of HMEP Planning Grants

Actions Required of Recipients of HMEP Training Grants

Assurance of Compliance withTitle VI of the Civil Rights Act of 1964:

Appendix A Appendix B Appendix C

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Hazmat Grant Awards

• Awards may be offered with conditions that must be met to access funding

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Program Tools and Resources

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Sample Application

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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.



HMEP Expenditures and Activities Guide

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• Updated to be more user friendly based on grantee feedback

• Describes HMEP activities within the context of seven object class categories

• Provides updated examples of expenditures and activities

• Includes High and Low Priorities



Hazmat Grant Hazmat Grant Administration Overview Administration Overview

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HMEP Grant ManagementExpectations & Requirements

Grantees are expected to:

• Institute a structured review and evaluation process for subgrants

• Document and support use of federal funds and matching through record keeping to ensure sub-grants meet PHMSA grant requirements

• Ensure that federal funds for sub-grants are used for actual expenses versus generic operational expenses

• Ensure that matching amounts should be based on documented volunteer hours and/or expenses

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Program Requirements

• Forms

– SF-270s (Reimbursements)

– Quarterly SF-425s (Federal Financial Reports)

– Final Report (Narrative, SF-425 & Questionnaire)

www.whitehouse.gov/omb/grants_forms

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Delphi eInvoicing System

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The Department of Transportation (DOT) has implemented a program to transform and automate the grants payment process. This program will improve online invoice processing activities by enabling submission of invoices (i.e., requests for reimbursement) electronically via a new system called the Delphi eInvoicing System at https://einvoice.esc.gov



Grant Portal – Home Page

https://hazmatgrants.phmsa.dot.gov

The Grant Portal was developed in an effort to improve administrative efficiency in the Grant program. This tool allows grantees to request post-award changes to their award via the Activity Request and changes to contact information through the Portal.

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PHMSA Grant Schedule-2013-2014



March 1st

Application Process Begins

April 19th

Deadline for Applications

Sept 30th

HMEP Grant Awarded*

Oct 1st

HMEP Grant Open for Use

April 1st

2nd Qtr SF-425 Due

July 1st

3rd Qtr SF-425 Due

Sept 30th

4th Qtr SF-425 Due

Jan 1st

1st Qtr SF-425 Due

Grant Activity Schedule

Application 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.

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.

Dec 31st

Submission of Final Report**

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Desk Reviews & Site VisitsDesk reviews will involve in-depth evaluations of grantee files and supporting documentation. Site Visits include on-site discussions and process reviews resulting in presentation of findings and possible requirement for corrective actions.

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Questions

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Program: Grant Specialist or [email protected]

General: www.phmsa.dot.gov/hazmat/grants(202)366-1109

Documents

PHMSA Hazmat Grant Program