{"operation":"document","citation":"PHMSA Guidance, PHMSA HMEP Guide (PDF)","title":"PHMSA HMEP Guide (PDF)","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2019-03-19","effective_on":"2019-03-19","summary":"PHMSA HMEP Guide (PDF) Document PHMSA-HMEP-Grant-Guide-10-11-23.pdf (1.12 MB) PHMSA HMEP Guide (PDF) Issued Date: Tuesday, March 19, 2019","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-guidance-hmep-expenditures-guide-pdf-4a83becd.json","markdown":"https://regulus.evalyn.ai/document/phmsa-guidance-hmep-expenditures-guide-pdf-4a83becd.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-guidance-hmep-expenditures-guide-pdf-4a83becd","source_url":"https://www.phmsa.dot.gov/grants/hazmat/hmep-expenditures-guide-pdf","body":"PHMSA HMEP Guide (PDF)\n\nDocument\n\n PHMSA-HMEP-Grant-Guide-10-11-23.pdf (1.12 MB)\n\n        PHMSA HMEP Guide (PDF)\n\n          Issued Date: Tuesday, March 19, 2019\n\n<<<PAGE 1>>>\n\nHAZARDOUS\nMATERIALS\nEMERGENCY\nPREPAREDNESS\nGRANT GUIDE\nCatalog of Federal Domestic Assistance Program No. 20.703\n1\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 2>>>\n\nTable of Contents\nI. Introduction ........................................................................................................................... 3\nII. HMEP Grant Overview ........................................................................................................ 3\nIII. Expenditure Guidelines ........................................................................................................ 4\n4.2 Allowable Planning and Preparedness Activities................................................. 4\n4.3 Allowable Training Courses................................................................................... 7\n4.5 Allowable Equipment, Supplies, and Materials ....................................................... 9\n4.5 Conditionally Allowable Expenditures ............................................................... 11\n4.5.1 Costs Requiring Prior Approval ................................................................ 11\n4.6 Unallowable Expenditures ................................................................................... 13\nIV. Grant Lifecycle .................................................................................................................... 14\n5.1 Pre-Award Phase .................................................................................................. 14\n5.1.1 Planning an Opportunity ............................................................................ 14\n5.1.2 Announcing an Opportunity ...................................................................... 15\n5.1.3 Searching for Opportunities ....................................................................... 15\n5.1.4 Registering on Grants.gov .......................................................................... 15\n5.1.5 Completing an Application ......................................................................... 15\n5.1.6 Retrieving an Application ........................................................................... 16\n5.1.7. Risk Assessment........................................................................................... 16\n5.1.8 Programmatic Review ................................................................................. 16\n5.1.9 Completing the Review Process ................................................................. 17\n5.1.10 Tracking Application Status ...................................................................... 17\n5.2 Award Phase .......................................................................................................... 17\n5.2.1 Notifying Award Recipient ......................................................................... 18\n5.2.2 Awarding Grant .......................................................................................... 18\n5.3 Post Award Phase .................................................................................................. 18\n5.3.1 Support and Oversight................................................................................ 19\n5.3.2 Obligation of Funds ..................................................................................... 19\n5.3.3 Reporting Progress ...................................................................................... 20\n5.3.4 Reimbursement of Expenditures ............................................................... 20\n5.3.5 Post-Award Adjustments ............................................................................ 21\n5.3.6 Award Closeout ........................................................................................... 21\nAPPENDIX C – Recipient Financial System Requirements................................................... 33\nAPPENDIX D – Matching Information .................................................................................... 37\nAPPENDIX E – Categories of Expenditures ............................................................................ 39\nAPPENDIX F – Subrecipient Management and Monitoring ................................................. 40\nAPPENDIX G – Procurement Standards ................................................................................. 45\nAPPENDIX H – Property Standards ........................................................................................ 48\nAPPENDIX I – Sample Application .......................................................................................... 54\nAPPENDIX J – Indirect Costs ................................................................................................... 70\n2\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 3>>>\n\nI. Introduction\nThe Hazardous Materials Emergency Preparedness (HMEP) Grant Guide provides information\non grant management processes and compliance needed to successfully manage HMEP Grant\nfunds. It is designed to reduce risk and error, while increasing efficiencies to help grantees\neffectively administer their programs.\nThe HMEP Grant Guide is produced by the United States Department of Transportation\n(USDOT), Pipeline and Hazardous Materials Safety Agency (PHMSA). PHMSA's mission is to\nprotect people and the environment by advancing the safe transportation of energy and other\nhazardous materials that are essential to our daily lives. The agency produces the Emergency\nResponse Guidebook (ERG), establishes national policy, sets and enforces standards, educates,\nand conducts research to prevent incidents.\nPHMSA collects registration fees from HAZMAT shippers and carriers. Those fees are then\nredistributed by PHMSA through several grant programs to include: The Hazardous Materials\nEmergency Preparedness (HMEP) Grant; Assistance for Local Emergency Response Training\n(ALERT) Grant; Hazardous Materials Instructor Training (HMIT); Supplemental Public Sector\nTraining (SPST) Grant; and Community Safety (CS) Grant.\nII. HMEP Grant Overview\nThe HMEP grant program was established under The Hazardous Materials Transportation\nUniform Safety Act of 1990 (P.L. 101-615), to assist States, Territories, and Native American\nTribes to \"develop, improve, and carry out emergency plans\" within the National Response\nSystem and the Emergency Planning and Community Right-To-Know Act of 1986 (EPCA). This\nincludes awarding grants for planning and training activities related to HAZMAT incidents in\ncommercial transportation.\nThis grant does not fund operational expenditures.\nThe HMEP grant program is designed to allow grantees the flexibility to implement training and\nplanning programs that address differing needs for each location based on demographics,\nemergency response capabilities, commodity flow studies, and hazard analysis. Relevant\ntrainings are found in the National Fire Protection Association (NFPA) 472: Standard for\nCompetence of Responders to Hazardous Materials/Weapons of Mass Destruction Incidents\npublication and the Occupational Safety and Health Administration (OSHA) regulations found in\n29 CFR § 1910.120.\n3\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 4>>>\n\nPlanning efforts fall under the Emergency Planning and Community Right-to-Know Act\n(EPCRA) of 1986 (Title 42 U.S.C. Chapter 116), Emergency Planning (301-303). This includes\nthree sections and provisions intended to help communities prepare for chemical emergencies:\n• 301 - State and Tribal Emergency Response Commissions (SERCS and TERCs) and\nLocal and Tribal Emergency Planning Committees (LEPCs and TECs)\n• 302 - Regulated Substances and Facilities; Emergency Planning Notification), and\n• 303 - Comprehensive Emergency Response Plans\nTraining efforts must be directed towards public sector HAZMAT emergency response\nemployee’s ability to respond to accidents and incidents involving HAZMAT in commercial\ntransportation. This may also include course evaluation to determine effectiveness of delivery\nand student retention. HMEP training must adhere to either the requirements set forth by the\nNational Fire Protection Association (NFPA) 472 or Occupational Safety and Health\nAdministration (OSHA) 29 CFR § 1910.120 Competencies.\nThe following sections in this document provide listed reference examples of what a grantee can\ndo to support planning and training efforts.\nIII. Expenditure Guidelines\nThis section provides direct examples of allowable, generally unallowable, and conditionally\nallowable activities. These examples are for reference only.\n4.1 Allowable Management and Administration Costs (M&A)\nM&A costs (sometimes referred to as general expenditures) are allowable administrative\nexpenditures incurred during the administration of an award and that do not fall under\npreparedness or response efforts. These must be directly related to the management and\nadministration of the HMEP grant award. This includes but is not limited to: Grants Management\nCourses, Continuing Education Specific to Grants Management\n4.2 Allowable Planning and Preparedness Activities\nALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES\nThis list is not all inclusive\nActivity Description and Summary Additional Guidance and Materials\nCommodity Flow\nStudies\nA hazardous materials\nPHMSA published document,\ncommodity flow survey\n“Hazardous Materials Commodity\n(HMCFS) identifies\nFlow Data and Analysis” and EPA’s\nHAZMAT transported into,\nSample Commodity Flow Studies\nout of, within, and through a\nhttps://www.epa.gov/epcra/sample-\nspecified area.\ncommodity-flow-studies\nOther Commodity\nFlow Study Related\nCosts\nExample: Aerial photography\nfor use with Commodity Flow\nStudy research using drones.\nExpenses must be HMEP related and\nonly charged to the HMEP grant at\nthe rate of use for this program.\n4\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 5>>>\n\nALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES\nThis list is not all inclusive\nTier II Chemical Inventory\nReports and Databases\nHMEP does not pay for operational\ncosts.\nGAP Analysis/Needs\nAssessment Costs\nexpenses tied to a commodity\nflow study.\nA needs assessment is the\nprocess to determine existing\ngaps between current\nconditions and desired\nconditions.\nHMEP Sample Application, Page 6\nhttps://www.phmsa.dot.gov/working\n-phmsa/grants/hmep-sample-\napplication\nEPCRA Compliance\nPer EPCRA 301, Local or\nRefer to Appendix B Resources for\nCosts. Section 301\nTribal Emergency Planning\nCommittees (LEPCs or\nadditional EPCRA information and\nEPCRA Compliance Costs Section\nState and Tribal\nTEPCs) must develop an\n301 (cont.) for a breakdown of the\nEmergency Response\nCommissions\nemergency response plan,\nreview the plan at least\nrequired elements of a community\nemergency response plan.\n(SERCS and TERCs)\nand Local and Tribal\nannually, and provide\ninformation about chemicals\nEmergency Planning\nCommittees (LEPCs\nin the community to citizens.\nand TEPCs)\nEPCRA Compliance\nCosts. Section 301\n(cont.)\nThis list is not all\ninclusive\n• Identification of facilities\nand transportation routes\nof extremely hazardous\nsubstances.\n• Description of emergency\nresponse procedures, on\nand off site.\n• Outline of emergency\nnotification procedures.\n• Outline of evacuation\nplans.\n• A training program for\nemergency responders\n(including schedules).\n• Methods and schedules for\nexercising emergency\nresponse plans.\nFull list of required elements of a\ncommunity emergency response plan\ncan be found from the\nEnvironmental Protection Agency\n(EPA)\nhttps://www.epa.gov/epcra/local-\nemergency-planning-\ncommittees#Local%20Emergency%\n20Planning%20Committee%20Reso\nurces\n5\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 6>>>\n\nALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES\nThis list is not all inclusive\nEPCRA Compliance\nHMEP funds must be used for\nRefer to EPCRA Section 302:\nCosts. Section 302\nthe benefit of the first\nresponder.\nEmergency Planning notification\nhttps://www.epa.gov/system/files/do\ncuments/2022-01/chapter-2-epcra-\nEmergency Planning\nNotification\nThe HMEP grant may cover\ncosts associated with\nsection-302.pdf\nincorporation information\nderived from EPCRA 302\nrequirements into their\nEmergency Operations Plan\n(EOP).\nEPCRA Compliance\nCosts. Section 303.\nComprehensive\nEmergency Response\nPlans Local and\nTribal Emergency\nPlanning Committee\n(LEPC and TEPC)\nResponsibilities\nFacility\nResponsibilities State\nand Tribal\nEmergency Response\nCommission (SERC\nand TERC)\nResponsibilities\nCosts include, but are not\nlimited to:\n• LEPCs/TEPCs developing\nand maintaining\ncomprehensive emergency\nresponse plans and\nsubmitting these plans to\nthe State or Tribal\nEmergency Response\nCommission.\n• LEPCs/TEPCs to review\nthe plans annually, or\nmore frequently as\ncircumstances change\nwithin the community or\nat any facility.\nAll plans should contain:\n• Analysis of the emergencies\nlikely to occur.\n• Assessment of available\nresources and existing\ncapabilities.\n• HAZMAT Planning Curriculum\nresponse operations strategies\nand assignments that address\nnotification, command and\ncontrol, life safety, and other\nfunctional requirements; and\nidentification of prevention\nmeasures that can mitigate the\nseriousness of an emergency or\nprevent it from occurring.\nSee: Appendix B - Resources\nConference\nAttendance and/or\nHMEP may fund costs\nassociated with conference\nSee: 4.2 Allowable Planning and\nPreparedness Conferences for a list\nHosting Costs for\nEmergency Planners\nattendance as they relate\nallowable HMEP grant\nactivities.\nof examples\nHMEP Planning\nProgram Manager\nPersonnel Costs\nOnly include compensation\npaid for employees engaged in\nHMEP grant related activities.\nCosts should be consistent\nwith that paid for similar types\nof work within the\norganization.\nGrantees must meet the grants pass-\nthrough requirement: 75% of the\ntotal award must be to the direct\nbenefit of the first responder. No\nmore than 25% of a total grant award\nmay be attributable towards M&A\ncosts.\nSee: HMEP Sample Application,\nPage 6\n6\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 7>>>\n\nALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES\nThis list is not all inclusive\nhttps://www.phmsa.dot.gov/working\n-phmsa/grants/hmep-sample-\napplication\nAttending and/or\nHosting Workshops,\nDrills and Exercises\nEvents must be related to\nHMEP Sample Application, budget\nnarrative\nallowable HMEP grant\nactivities and have a\nconnection to HAZMAT in\ncommercial transportation\nhttps://www.phmsa.dot.gov/working\n-phmsa/grants/hmep-sample-\napplication\nCapability\nAssessments\nEvaluate the ability for first\nresponders, non-governmental\norganizations, and other\ninvolved stakeholders to\nrespond to a HAZMAT\nemergency\nRisk Assessments to\nA risk assessment is a process\nHazardous Materials Incident\nResponse Curriculum Guidelines\nhttps://www.phmsa.dot.gov/grants/h\nazmat/response-guidelines\nMission Specific Planning\nCompetencies: Capability\nAssessment. Page 49\nComprehensive\nEnhance Plans\nto identify potential hazards\nand analyze what could\nhappen if a hazard occurs.\nPreparedness Guide 201: Threat and\nHazard Identification and Risk\nAssessment Guide\n(FEMA CPG 201). Example:\nhttps://www.phmsa.dot.gov/hazmat/r\neports/risk-assessment-hazmat-uavs\nComputer-Aided\nManagement of\nEmergency\nOperations\n(CAMEO) Training\nTraining towards the usage of\nCAMEO\nDeveloped by EPA and the National\nOceanic and Atmospheric\nAdministration to assist front-line\nchemical emergency planners and\nresponders, CAMEO can access,\nstore, and evaluate information\ncritical for developing emergency\nplans.\n4.3 Allowable Training Courses\nALLOWABLE TRAINING COURSES\nThis list is not all inclusive\nAir Monitoring and Sampling HAZMAT IQ Training (Above and Below the\nline, Advanced IQ & ToxMedic, etc.)\nAirport Rescue Fire Fighting (aircraft\nrescue and response)\nHAZMAT Risk Analysis Courses\nAlternative Fuels Hazardous Waste Operations and Emergency\nResponse Standard (HAZWOPER)\nAmmonia, Ethanol, Chlorine Response Industrial Fire Fighting (rail yards, fuel transfer\nfacilities, and ports)\n7\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 8>>>\n\nALLOWABLE TRAINING COURSES\nThis list is not all inclusive\nCargo Tank Specialty Chemistry of Hazmat-Part I/II Commodity Flow Study courses Confined Space Rescue Courses aimed at developing, improving,\nand implementing emergency plans under\nthe Emergency Planning and Community\nRight-to-Know Act (EPCRA) §§ 301 and\n303 (Title 42 U.S.C. Chapter 116)\nIntermodal Tank Specialty\nLevel A/Level B Personal Protective\nLiquid Natural Gas (LNG) rail training\nLP Gas Emergencies/Propane Emerge\nLithium Ion-Battery training related to incidents\nin commercial transportation\nCrude Oil Training Decontamination: Mass, Technical,\nMarine Operations - Ship-board rescue,\nfirefighting, HAZMAT focus\nMarine Tank Vessel Specialty\nRefresher\nDeveloping Chemistry for Emergency\nResponders\nEmergency Medical Technician (EMT)\nTraining for HAZMAT\nEmployee HAZMAT Emergency Response\nReadiness Training\nExplosive Ordinance Disposal involving\ntransportation\nNIMS ICS-100: Introduction to the Incident\nCommand System\nNIMS ICS-200: Incident Command System for\nSingle Resources and Initial Action Incidents\nNIMS ICS-300: Intermediate Incident\nCommand System\nNIMS ICS-400: Advanced Incident Command\nFirst Receiver Awareness Training Flammable Liquid Bulk Storage System\nPipeline Incident in Transportation Response\nTraining\nRadiological (sources in transportation, but not\nWeapons of Mass Destruction.)\nFlammable Gas Bulk Storage Grants Management Training, Courses, and\ncontinuing education\nHAM Radio Training HAZ-CAT Training Cargo Tank Specialty Regional Response Strategy Selection courses\nRope Rescue (pre-requisite for Confined Space\nRescue)\nSurveying a HAZMAT Incident\nTactical Chemistry\nTank Specialty: Car, Cargo, Marine Vessel,\nIntermodal\nHAZMAT Awareness, Operations,\nTRANSCAER Training as it relates to HMEP\nTechnician, Specialist, and Refresher\nCourses\nHAZMAT Basic Life Support/Advance\nLife Support\nUsing Personal Protective Equipment\nHAZMAT Containers Victim Rescue/Recovery\nHAZMAT for Dispatcher Financial Management courses with Grants\nManagement correlation\nVictim Rescue/Recovery\nHAZMAT for Emergency Management\nSystem (EMS)\n8\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 9>>>\n\n4.4 Allowable Planning and Training Preparedness Conferences\nCosts associated with attending conferences are allowed. When requesting these costs grantees\nmust state what projects, goals, and deliverables the events support. For example, attendance to a\nplanning conference where the HMEP Grant manager participates in Tabletop Exercises (TTX)\nwill provide lessons learned that the HMEP Grant manager can apply when performing the\nannual Emergency Operations Plan (EOP) update and review for they LEPCs/TEPCs.\nALLOWABLE PLANNING AND TRAINING PREPAREDNESS CONFERENCES\nThis list is not all inclusive\nConference Location Website\nArizona Tribal Hazardous Materials\n(HAZMAT) Training and\nInformation Conference\nFlagstaff, AZ http://itcaonline.com\nInternational Hazardous Materials\nBaltimore, MD https://www.iafc.org/\nResponse Teams Conference (IAFC)\nPHMSA HMEP Conference Varies https://www.phmsa.dot.gov/grants\n/hazmat/hmep-resources\nVirginia Hazardous Materials\nConference\nHarrisonburg, VA http://www.virginiahazmat.org\nThe Continuing Challenge Sacramento, CA http://www.hazmat.org\nNational Association of SARA Title\nHouston, TX\nhttps://nasttpo.com/\nIII Program Officials Annual and\nMid-Year and Annual Conference\n(mid-year),\nVaries (annual)\nHOTZONE Houston, TX https://hotzone.mobi/\nCOLDZONE Midwest HAZMAT Conference Northwest Tribal Emergency\nManagement Council (NWTEMC)\nAnnual Conference\nMinneapolis, MN Northbrook, IL Spokane, WA http://coldzone.org/\nhttps://emerysafety.com/\nhttp://nwtemc.org/Conferences_N\nWTEMC.aspx\nTRANSCAER Conferences and\nEvents\nVaries http://www.transcaer.com/\n4.5 Allowable Equipment, Supplies, and Materials\nEquipment, materials and supplies necessary to conduct HMEP planning, and training related\nactivities are allowable. The list below provides examples of previously approved items.\nALLOWABLE EQUIPMENT, SUPPLIES AND MATERIALS\nThis list is not all inclusive\nAirline connection Oxygen meter\nAerial Photography Equipment for Commodity\nFlow Studies/Exercises/Training – usage must be\nentirely HMEP or charged to HMEP by proportion\nof HMEP use\nPassive dosimeters\nBottom outlet valve Personal Protective Equipment (PPE)\nCarbon monoxide meter pH indicators and/or pH meters\n9\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 10>>>\n\nALLOWABLE EQUIPMENT, SUPPLIES AND MATERIALS\nThis list is not all inclusive\nColorimetric tubes Portable pumps (air, electrical,\nCombustible gas indicator Compressors or compressed gas Computing Devices - machines used to acquire,\nstore, analyze, process, and publish data and other\ninformation electronically, including accessories (or\n“peripherals”) for printing, transmitting, and\nreceiving, or storing electronic information\nEquipment Trailer Sample valve\ngasoline/diesel\nPower-take-off (PTO) driven pumps\nPressure gauge\nPublication materials\nGauging device Self-Contained Breathing Apparatus\n(SCBA)\nGeneral Purpose Equipment Simulators for HAZMAT Training and\nExercise\nHAZMAT Suits Thermometer\nInformation Technology Systems computing\ndevices, ancillary equipment, software, firmware,\nand similar procedures, services (including support\nservices), and related resources.\nTraining trailer\nInventory management system Liquid or vapor valve Vacuum trucks\nVehicle not for operational usage (i.e.,\nrequired to tow training trailers and to\ncarry out planning related activities\nsuch as a vehicle for a HAZMAT\nplanner solely dedicated to the HMEP\nGrant that travels to local emergency\nresponders to carry out the duties to\nmeet EPCRA requirements)\nOffice supplies related to HMEP activities Foam for specific HAZMAT\ntransportation related planning and\ntraining related activities\nEquipment is tangible personal property (including information technology systems) having a\nuseful life of more than one year and costs more than $5,000 per item.\nSupplies are all tangible personal property other than those described in the definition of\nequipment and cost less than $5,000 per item.\nA computing device is a supply if the acquisition cost is less than the lesser of the capitalization\nlevel established by the non-Federal entity for financial statement purposes or $5,000, regardless\nof the length of its useful life.\nRefer to Appendix A – Definitions and Appendix E – Category of expenditures for additional\ndetails.\n10\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 11>>>\n\n4.5 Conditionally Allowable Expenditures\nConditionally allowable expenditures are expenditures that are generally allowable but require\nadditional or specific conditions.\nCONDITIONALLY ALLOWABLE EXPENDITURES\nThis list is not all inclusive\nExpenditure Conditions\nTier II Chemical Inventory Reports and\nDatabases\nAllowable: Duties and costs related to planning\nand training for the benefit of first responders,\ni.e., information gathering for a commodity flow\nstudy. CAMEO. See below.\nUnallowable: Operational costs.\nNote: Information Systems/Computing devises\nrelated to Tier II reporting may be considered\nallowable in full or in part with PHMSA\napproval\nSee Appendix A - Definitions for Tier II\nInventory Reports and Databases more\ninformation.\nEmergency Operating Center (EOC)\nLeadership Exercises\nLeadership exercises for events concerning\nHAZMAT preparedness and responses\nHospital Drills LEPC Meeting Expenses Decontamination from a transportation incident\n(radiological, chemical, or other HAZMAT)\nHMEP covers the portion of costs as related to\nEPCRA Sections 301-303\nFood and Refreshments Fixed-facility HAZMAT preparedness Food must be necessary for the safety of\nparticipants, i.e., hydration, remote location,\ndietary necessities, cultural accommodations etc.\nExercises and plans that include transportation of\nmaterials to and from fixed facilities; exercises\nthat test the same capabilities that would\nbe used to respond to a HAZMAT transportation\nincident\nFire Department Instructors Conference\n(FDIC)\nTransportation HAZMAT-themed schedule\n4.5.1 Costs Requiring Prior Approval\nConditionally allowable expenditures may also include costs requiring prior approval the table\nbelow includes examples of when a grantee needs to do so.\nCOSTS REQUIRING PRIOR APPROVAL\nThis list is not all inclusive\nCost Type Sole Source\nApproval\nCost Description and Information\nA request to enter a non-competitive contractual relationship for equipment,\ntechnology, or services more than the simplified acquisition threshold must be\n11\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 12>>>\n\nCOSTS REQUIRING PRIOR APPROVAL\nThis list is not all inclusive\nsubmitted to PHMSA in writing certifying that the award of a contract through\nfull and open competition is infeasible.\nPrior\nWritten prior approval must be obtained for some costs, as specified in 2 C.F.R.\nApproval of\nCertain\nPart 200 (specifically in 2 C.F.R.§ 200.407). The following are some examples of\ncosts that require prior approval:\nCosts\n• Costs incurred prior to the date of the subaward period\nChanges to\nthe Scope of\nthe Award\n• Foreign travel (only applicable to territories)\nRecipients must initiate an Activity Request (AR) for changes in scope, duration,\nactivities, or other significant areas. In general, a change in scope is a cost that is\n10% of the total award or more.\nThese changes include but are not limited to:\n• Altering programmatic activities\n• Changing the purpose of the project\n• Changing the project site\n• Experiencing or making changes to the organization or staff with primary\nresponsibility for implementation of the award, contracting out,\nsubawarding (if authorized by law), or otherwise obtaining the services of\na third party to perform activities which are central to the purpose of the\naward\n• Changes in scope that affect the budget\nEquipment\nIf recipients or subrecipients have received prior approval for expenditures for\nand Other\nCapital\nequipment and other capital assets, including repairs which materially increase\nthe useful life of equipment, then these expenditures are allowable. See 2 C.F.R. §\nExpenditures\n200.439.\nExpenditures for equipment must be fully justified in the budget and budget\nnarrative; otherwise, the grant- making component may require that the type,\nquantity estimated, unit, or other information be provided before the final budget\ncan be issued.\nIn reviewing equipment acquisition budgets and proposals, the following\nprinciples should be followed:\n• No other equipment owned by the recipient/subrecipient is suitable for the\nproject.\n• No luxury vehicles will be approved.\nIf the vehicle request is approved, the vehicle should be reasonable, and the\nrecipients must follow the Internal Revenue Service guidelines.\nIf the vehicle(s) was purchased as part of a unit of government fleet by the State\nor local central procurement activities, it is generally accepted as reasonable.\n• Federal funds are not used to provide reimbursement for the purchase of\nequipment already owned by the recipient/subrecipient.\n• Equipment purchased and used commonly for two or more programs\nshould be appropriately divided among each activity.\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n12\n\n<<<PAGE 13>>>\n\nCOSTS REQUIRING PRIOR APPROVAL\nThis list is not all inclusive\n• An expenditure for equipment purchased for a common pool is generally\nallowable as a charge to the award at cost value.\n• Equipment that has already been purchased and charged to other activities\nof the organization is not an allowable expense to the award.\n4.6 Unallowable Expenditures\nUnallowable expenditures are costs which may never be used with HMEP Grant funding dollars.\nExamples of generally unallowable expenses include but are not limited to the below.\nGENERALLY UNALLOWABLE EXPENDITURES\nThis list is not all inclusive\nActive Shooter Training FRI (Fire Rescue International): Fire Rescue\nInternational (FRI) annual conference for fire\nand emergency service leaders from across\nNorth America and around the globe for 5\ndays of networking, learning, and\ncollaboration\nAlcohol Joint Terrorism Task Force (JTTK) Exercises\nAll-Hazards Warning System Drills Any costs disallowable or stated as ineligible\nin 49 CFR part 110 and 2 CFR 200 Subpart E\nLobbying\nMobile Meth Lab Training\nAny cost specifically prohibited in the\nGeneral Terms and Conditions of the grant\naward, or identified in PHMSA policy\nguidance, or as a Special Terms and\nConditions listed on the NGA (Remarks\nNatural Disaster Exercises without a\ncommercial transportation in HAZMAT tie-in\nsection).\nBonuses or Commissions See 2 C.F.R. §\n200.430(g)\nCorporate Formation Operational Expenses\nPro Board® accreditation and certification\nCourses not related to HAZMAT emergency\nresponse (except for the pipeline training\nlisted in section 4.1 above)\nSchool Violence Prevention\nEmergency Preparedness Presentation to\nChild Care Providers\nState and Local Sales Taxes\nEntertainment Costs Tips\nFines and Penalties Weapons of Mass Destruction (WMD)\nRadiological Training and Terrorism courses\nUnallowable expenditures and disallowed costs are costs prohibited by law or regulation, Federal\ncost principles, PHMSA policy, or special terms and condition of award. Disallowed costs are\ncharges to a federal award that the Federal awarding agency or pass-through entity determines to\n13\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 14>>>\n\nbe unallowable, in accordance with the applicable Federal statutes, regulations, or the terms and\nconditions of the Federal award (2 CFR 200.31)\nIV. Grant Lifecycle\nThe grant lifecycle timeline previews the overall steps and process of a grant. There are three\nphases. Each phase has steps, responsible parties, and required actions. This section provides an\noverview of the grants management process and lifecycle in three phases: Pre-Award, Award\nPhase, Post Award.\n5.1 Pre-Award Phase\nThe pre-award phase occurs before a grant is awarded.\nPlanning an Opportunity Lifecycle Steps Responsible\nParty\nPHMSA Actions\nPlan and develop funding priorities based on\nthe mission, the Administration, and\nAnnouncing an Opportunity PHMSA Searching for Opportunities Applicant congressional initiatives.\nFormally announce the availability of funds and\npublish details on grants.gov\nSearch for CFDA 20.703 on grants.gov and stay\nup to date with announcements\nRegistering on grants.gov Applicant Regularly check grants.gov for funding\nopportunities and requirements.\nCompleting an application Applicant Allow for enough time to complete an\napplication. Download the application and save\noffline. Submit prior to the closing date and\ntime.\nRetrieving the application Applicant Applicant will be notified of receipt via e-mail\nwhen completed. PHMSA beings review of\napplication.\nStaying in the Loop Applicant Finishing the review process PHMSA Applicants can track the status of their\napplication by communicating with the grant-\nmaking agency. The application status process\nis handled differently by each agency.\nAs the funding agency reviews applications, a\nrange of program stakeholders will participate.\nThe review process takes time and varies based\non grant type. As the review process takes\nplace, grant-making agencies may update\napplicants on the status of their application.\n5.1.1 Planning an Opportunity\nThe Department of Transportation (DOT) makes awards for a specified period, referred to as the\naward or project period. The award period is established for each award and is included in the\n14\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 15>>>\n\nNotice of Grant Award (NGA) document. Award periods range from 1 year for tribes up to 3\nyears for states and territories. The performance periods may vary depending on the specific\nprogram, and if there are extensions necessary.\nLocal and Tribal Emergency Planning Committees (LEPCs and TEPCs) are responsible for\ndeveloping and maintaining comprehensive emergency response plans and submitting these\nplans to the State or Tribal Emergency Response Commission (SERC or TERC). Local or Tribal\nEmergency Planning Committees (LEPCs or TEPCs) should review the plans annually, or more\nfrequently as circumstances change within the community or at any facility.\n5.1.2 Announcing an Opportunity\nPHMSA formally announces the funding opportunity, advertising it to applicant communities\nand inviting proposals tailored to address the program mission. The grant-making agency will\npublish details of the funding opportunity on Grants.gov.\n5.1.3 Searching for Opportunities\nApplicants will use the Grants.gov search tool to find funding opportunities that they are eligible\nfor and are a mission match for their organization. HMEP Funds are announced and issued\nannually. Applicants are encouraged to e-mail HMEP.Grants@dot.gov to join the grants program\ncontact list.\n5.1.4 Registering on Grants.gov\nHMEP Grant applicants are required to complete the registration process on grants.gov and\nsam.gov. System for Award Management (SAM) is the Official U.S. Government system that\nconsolidated the capabilities of the Central Contractor Registration (CCR), Federal Agency\nRegistration (FedReg), the Online Representations and Certifications Application (ORCA), and\nthe Excluded Parties List System (EPLS). It became operational in August 2012. Recipients must\nhave registered their Unique Entity ID (UEI) https://www.sam.gov/ portal/SAM/ to receive an\naward.\nUnless exempted from this requirement under 2 CFR § 25.110, the recipient must maintain the\ninformation in SAM until the final financial report required under this award is submitted or the\nRecipient receives the final payment, whichever is later. This requires that the Recipient review\nand update the information at least annually after the initial registration, and more frequently if\nrequired by changes in your information or another award term.\n5.1.5 Completing an Application\nCompleting a grant application can take weeks. The application package can be downloaded\nfrom Grants.gov in the form of a PDF, and progress can be saved as form fields are filled in.\nThese fields require everything from basic organizational information to explanations of\n15\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n\n<<<PAGE 16>>>\n\nproposed work and financial data. When an application package has been completed per the\nopportunity instructions and checked for errors, it can be submitted through Grants.gov\nA sample application can be found in Appendix I Sample Application.\n5.1.6 Retrieving an Application\nOnce an application has been retrieved by the agency from Grants.gov, the applicant is\nautomatically notified via email. At this point, the grantor application processing begins.\n5.1.7. Risk Assessment\nPHMSA is required to review and assess the potential risks presented by applicants for Federal\ngrants prior to making an award (2 C.F.R. § 200.205). This includes financial capabilities and\npast performance in a risk-based approach. PHMSA applicants may be required to complete a\nquestionnaire and submit it to PHMSA before they can be approved for an award.\nIt is PHMSA’s goal for each recipient to be successful. Each HMEP Grantee has an assigned\nGrant Specialist to assist in meeting the needs of each grantee, to include special attention to\nhigh-risk grantees providing guidance, technical assistance, and best practices. Each category\nwill be clearly listed in each Notice of Grant Award (NGA) and include details of what\nconditions apply to each category. Requirements for each status are specific to each grantee.\nIn general, a recipient may be designated as high-risk if the following conditions are met:\n• Is a first time HMEP Grant recipient.\n• Has a history of unsatisfactory performance\n• Is not financially stable.\n• Has a management system that does not meet the standards set forth in 2 C.F.R. Part 200\n(Subpart D-Post Federal Award Requirements (Standards for Financial and Program\nManagement)).Recipient has audit reports with recommendation(s) that have been open\nfor more than one year and has not submitted documentation adequate to close the\nrecommendation(s).\n• Recipient has not provided a corrective action plan to the DOT, PHMSA within 105 days\nof transmission of the audit report to the recipient.\n• Recipient has audit reports with questioned costs more than $500,000 (regardless of the\namount of time the audit report has been open).\n• Recipient has been referred to the Department of Treasury for collection because of their\nfailure to timely repay funds.\nIf a high-risk grantee does not comply with additional conditions imposed or fails to make timely\nprogress in addressing the issues that resulted in the high-risk designation, PHMSA must\nconsider farther action.\n5.1.8 Programmatic Review\nPHMSA will complete a programmatic review of the grant application to ensure that recipients\nare financially capable and have the financial integrity to administer Federal funds.\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n16\n\n<<<PAGE 17>>>\n\nAs part of this review, PHMSA will take the following steps:\n• Perform a cost analysis of the project. Obtain cost breakdowns, verify cost data, evaluate\nspecific elements of cost, and examine data to determine the necessity, reasonableness,\nallowability, allocability, and appropriateness of the proposed cost.\n• Review the current indirect cost rates or rates approved by other Federal agencies.\n• Non-Federal entities that have never received a negotiated indirect cost rate, except for\nthose non-Federal entities described in Appendix VII to 2 C.F.R. Part 200—States and\nLocal Government and Indian Tribe Indirect Cost Proposals, may elect to negotiate a rate\nor, if eligible, charge a de minimis rate of 10% of modified total direct costs (MTDC)\nwhich may be used indefinitely.\n• Determine the adequacy of the accounting system and operations to ensure that Federal\nfunds, if awarded, will be expended in a reasonable manner.\n• Non-Federal entities that have not received an award within the past three years may\nrequire an additional financial review.\nReview the status of any Federal debt that the applicant may have to ensure the debt is\nnot delinquent, and other prescreening information, including checking SAM to ensure\nthe organization is not suspended or debarred from receiving Federal funds.\n5.1.9 Completing the Review Process\nPHMSA is required to ensure that awards meet certain legislative, regulatory, and administrative\nrequirements. This requires that PHMSA review and assess each application to determine the\nfollowing:\n• The applicant is eligible for the specified program.\n• The costs and activities in the application are for allowable, allocable, necessary, and\nreasonable costs.\n• The applicant possesses the responsibility, financial management, fiscal integrity, and\nfinancial capability to administer Federal funds adequately and appropriately.\n5.1.10 Tracking Application Status\nApplicants can track the status of their application by communicating with the grant-making\nagency. The application status process is handled differently by each agency. Further inquiry can\nbe made by contacting HMEP.Grants@dot.gov.\n5.2 Award Phase\nThe award phase is the Period of Performance listed on award documentation.\nLifecycle Steps Responsible\nParty\nPHMSA Actions\nNotifying the Award\nRecipient\nWhen the review process has been completed, the\nfunding agency notifies the applicants whether they\nhave been awarded a grant. The agency also begins\nworking with the award recipient to finalize the legal\nHAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE\n17\n\n<<<PAGE 18>>>\n\nLifecycle Steps Responsible\nParty\nActions\nframework for the funding agreement. F","truncated":true,"body_characters":156785}