1. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Hazmat Grant Program NASTTPO Annual Conference April 2013

2. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration - 2 - PHMSA Overview

3. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 3 -

4. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 4 -

5. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Organization - 5 -

6. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration - 6 - ASSOCIATE ADMININSTRATOR HAZMAT SAFETY MATERIALS DEPUTY ASSOCIATE ADMININSTRATOR POLICY AND PROGRAMS DEPUTY ASSOCIATE ADMININSTRATOR FIELD 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

7. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 7 -

8. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Program Overview - 8 -

9. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 9 -

10. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration The Renewed HMEP Grants Program - 10 - 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.

11. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration The Renewed HMEP Grants Program - 11 - 5 grant specialists and 1 admin support Additional Staff Emmanuel Ekwo New Program Lead Eligible activities list Sample Application Best practice sharing Enhanced Guidance Webinars, conferences, and conference calls Outreach Increased scrutiny of applications, reimbursement activity, and reports Assessment of alignment of Grant funded activities to PHMSA Priorities and Grant Program intent Monitoring grantee performance-Outcomes and Outputs Oversight

12. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration - 12 - Hazmat Grant Personnel - 12 - Emmanuel EkwoChief, Grants and Registration Shakira Mack HMEP Grant Program Analyst Suezett EdwardsGrant Specialist Andre White Grant Specialist Lisa ReichenbacherGrant Specialist Carla Sheppard Grant Specialist Bonita Brown Grant Specialist Angel HenriquezAdministrative Assistant

13. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Programs Supplemental Public Sector Training (SPST) Grant Competitive Based $1 million National non-profit fire service organizations Expertise in conducting training programs for fire fighters Hazardous Materials Emergency Preparedness (HMEP) Grant Formula Based $21.8 million States, Territories & Tribes Assist local communities in Planning and Training on Hazmat accidents and incidents in transportation Hazardous Materials Instructor Training (HMIT) Grant Competitive Based $4 million Non-profit organizations Expertise in conducting training programs for hazmat employees - 13 -

14. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Grant Program Process Flow - 14 -

15. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Application Overview - 15 -

16. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Application - 16 - 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 HMEP.Grants@dot.govHMEP.Grants@dot.gov

17. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Grant Schedule 2013-2014 Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb March 1 st Application Process Begins April 19 th Deadline for Applications Sept 30 th HMEP Grant Awarded* Oct 1 st HMEP Grant Open for Use April 1 st 2 nd Qtr SF-425 Due July 1 st 3 rd Qtr SF-425 Due Sept 30 th 4 th Qtr SF-425 Due Jan 1 st 1 st 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. 31 st, April 30 th, and July 31 st ). Typically the fourth quarter report is optional; therefore, please consult your grant specialist. Dec 31 st Submission of Final Report** - 17 -

18. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Application Kit - 18 - 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

19. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 2013 – 2014 Application Summary - 19 - 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.

20. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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? - 20 -

21. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 21 -

22. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Application Vulnerabilities Object Class Category correctly used? -Incorrect categorization enables mishandling of expenses or may cause post-award audit triggers Personnel costs incorrectl y 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 - 22 -

23. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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? - 23 -

24. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 - 24 -

25. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 - 25 -

26. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 - 26 -

27. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 - 27 -

28. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Statement of Work Training 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 - 28 -

29. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 equipment and supplies, and activities not covered under other budget categories. 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. 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 - 29 - Budget Narrative

30. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Budget Narrative: Example – Personnel - 30 -

31. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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 - 31 -

32. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Assurances Compliance Forms:  Actions Required of Recipients of HMEP Planning Grants  Actions Required of Recipients of HMEP Training Grants Assurance of Compliance with Title VI of the Civil Rights Act of 1964:  Appendix A  Appendix B  Appendix C - 32 -

33. 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 - 33 -

34. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Program Tools and Resources - 34 -

35. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Sample Application - 35 - 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.

36. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration HMEP Expenditures and Activities Guide - 36 - 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

37. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Hazmat Grant Administration Overview - 37 -

38. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration HMEP Grant Management Expectations & 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 - 38 -

39. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Program Requirements Forms –SF-270s (Reimbursements) –Quarterly SF-425s (Federal Financial Reports) –Final Report (Narrative, SF-425 & Questionnaire) www.whitehouse.gov/omb/grants_forms - 39 -

40. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Delphi eInvoicing System - 40 - 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.govhttps://einvoice.esc.gov

41. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 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. - 41 -

42. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration PHMSA Grant Schedule-2013-2014 Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb March 1 st Application Process Begins April 19 th Deadline for Applications Sept 30 th HMEP Grant Awarded* Oct 1 st HMEP Grant Open for Use April 1 st 2 nd Qtr SF-425 Due July 1 st 3 rd Qtr SF-425 Due Sept 30 th 4 th Qtr SF-425 Due Jan 1 st 1 st 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. 31 st, April 30 th, and July 31 st ). Typically the fourth quarter report is optional; therefore, please consult your grant specialist. Dec 31 st Submission of Final Report** - 42 -

43. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Desk Reviews & Site Visits ApplicationAdministrationCloseout Desk 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. - 43 - 1 1 3 3 2 2

44. U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration Questions - 44 - Program: Grant Specialist or HMEP.Grants@dot.gov HMEP.Grants@dot.gov General: www.phmsa.dot.gov/hazmat/grantswww.phmsa.dot.gov/hazmat/grants (202)366-1109