# PHMSA HMEP Guide (PDF) - **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) Document PHMSA-HMEP-Grant-Guide-10-11-23.pdf (1.12 MB) PHMSA HMEP Guide (PDF) Issued Date: Tuesday, March 19, 2019 <<>> HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDE Catalog of Federal Domestic Assistance Program No. 20.703 1 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> Table of Contents I. Introduction ........................................................................................................................... 3 II. HMEP Grant Overview ........................................................................................................ 3 III. Expenditure Guidelines ........................................................................................................ 4 4.2 Allowable Planning and Preparedness Activities................................................. 4 4.3 Allowable Training Courses................................................................................... 7 4.5 Allowable Equipment, Supplies, and Materials ....................................................... 9 4.5 Conditionally Allowable Expenditures ............................................................... 11 4.5.1 Costs Requiring Prior Approval ................................................................ 11 4.6 Unallowable Expenditures ................................................................................... 13 IV. Grant Lifecycle .................................................................................................................... 14 5.1 Pre-Award Phase .................................................................................................. 14 5.1.1 Planning an Opportunity ............................................................................ 14 5.1.2 Announcing an Opportunity ...................................................................... 15 5.1.3 Searching for Opportunities ....................................................................... 15 5.1.4 Registering on Grants.gov .......................................................................... 15 5.1.5 Completing an Application ......................................................................... 15 5.1.6 Retrieving an Application ........................................................................... 16 5.1.7. Risk Assessment........................................................................................... 16 5.1.8 Programmatic Review ................................................................................. 16 5.1.9 Completing the Review Process ................................................................. 17 5.1.10 Tracking Application Status ...................................................................... 17 5.2 Award Phase .......................................................................................................... 17 5.2.1 Notifying Award Recipient ......................................................................... 18 5.2.2 Awarding Grant .......................................................................................... 18 5.3 Post Award Phase .................................................................................................. 18 5.3.1 Support and Oversight................................................................................ 19 5.3.2 Obligation of Funds ..................................................................................... 19 5.3.3 Reporting Progress ...................................................................................... 20 5.3.4 Reimbursement of Expenditures ............................................................... 20 5.3.5 Post-Award Adjustments ............................................................................ 21 5.3.6 Award Closeout ........................................................................................... 21 APPENDIX C – Recipient Financial System Requirements................................................... 33 APPENDIX D – Matching Information .................................................................................... 37 APPENDIX E – Categories of Expenditures ............................................................................ 39 APPENDIX F – Subrecipient Management and Monitoring ................................................. 40 APPENDIX G – Procurement Standards ................................................................................. 45 APPENDIX H – Property Standards ........................................................................................ 48 APPENDIX I – Sample Application .......................................................................................... 54 APPENDIX J – Indirect Costs ................................................................................................... 70 2 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> I. Introduction The Hazardous Materials Emergency Preparedness (HMEP) Grant Guide provides information on grant management processes and compliance needed to successfully manage HMEP Grant funds. It is designed to reduce risk and error, while increasing efficiencies to help grantees effectively administer their programs. The HMEP Grant Guide is produced by the United States Department of Transportation (USDOT), Pipeline and Hazardous Materials Safety Agency (PHMSA). PHMSA's mission is to protect people and the environment by advancing the safe transportation of energy and other hazardous materials that are essential to our daily lives. The agency produces the Emergency Response Guidebook (ERG), establishes national policy, sets and enforces standards, educates, and conducts research to prevent incidents. PHMSA collects registration fees from HAZMAT shippers and carriers. Those fees are then redistributed by PHMSA through several grant programs to include: The Hazardous Materials Emergency Preparedness (HMEP) Grant; Assistance for Local Emergency Response Training (ALERT) Grant; Hazardous Materials Instructor Training (HMIT); Supplemental Public Sector Training (SPST) Grant; and Community Safety (CS) Grant. II. HMEP Grant Overview The HMEP grant program was established under The Hazardous Materials Transportation Uniform Safety Act of 1990 (P.L. 101-615), to assist States, Territories, and Native American Tribes to "develop, improve, and carry out emergency plans" within the National Response System and the Emergency Planning and Community Right-To-Know Act of 1986 (EPCA). This includes awarding grants for planning and training activities related to HAZMAT incidents in commercial transportation. This grant does not fund operational expenditures. The HMEP grant program is designed to allow grantees the flexibility to implement training and planning programs that address differing needs for each location based on demographics, emergency response capabilities, commodity flow studies, and hazard analysis. Relevant trainings are found in the National Fire Protection Association (NFPA) 472: Standard for Competence of Responders to Hazardous Materials/Weapons of Mass Destruction Incidents publication and the Occupational Safety and Health Administration (OSHA) regulations found in 29 CFR § 1910.120. 3 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> Planning efforts fall under the Emergency Planning and Community Right-to-Know Act (EPCRA) of 1986 (Title 42 U.S.C. Chapter 116), Emergency Planning (301-303). This includes three sections and provisions intended to help communities prepare for chemical emergencies: • 301 - State and Tribal Emergency Response Commissions (SERCS and TERCs) and Local and Tribal Emergency Planning Committees (LEPCs and TECs) • 302 - Regulated Substances and Facilities; Emergency Planning Notification), and • 303 - Comprehensive Emergency Response Plans Training efforts must be directed towards public sector HAZMAT emergency response employee’s ability to respond to accidents and incidents involving HAZMAT in commercial transportation. This may also include course evaluation to determine effectiveness of delivery and student retention. HMEP training must adhere to either the requirements set forth by the National Fire Protection Association (NFPA) 472 or Occupational Safety and Health Administration (OSHA) 29 CFR § 1910.120 Competencies. The following sections in this document provide listed reference examples of what a grantee can do to support planning and training efforts. III. Expenditure Guidelines This section provides direct examples of allowable, generally unallowable, and conditionally allowable activities. These examples are for reference only. 4.1 Allowable Management and Administration Costs (M&A) M&A costs (sometimes referred to as general expenditures) are allowable administrative expenditures incurred during the administration of an award and that do not fall under preparedness or response efforts. These must be directly related to the management and administration of the HMEP grant award. This includes but is not limited to: Grants Management Courses, Continuing Education Specific to Grants Management 4.2 Allowable Planning and Preparedness Activities ALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES This list is not all inclusive Activity Description and Summary Additional Guidance and Materials Commodity Flow Studies A hazardous materials PHMSA published document, commodity flow survey “Hazardous Materials Commodity (HMCFS) identifies Flow Data and Analysis” and EPA’s HAZMAT transported into, Sample Commodity Flow Studies out of, within, and through a https://www.epa.gov/epcra/sample- specified area. commodity-flow-studies Other Commodity Flow Study Related Costs Example: Aerial photography for use with Commodity Flow Study research using drones. Expenses must be HMEP related and only charged to the HMEP grant at the rate of use for this program. 4 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> ALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES This list is not all inclusive Tier II Chemical Inventory Reports and Databases HMEP does not pay for operational costs. GAP Analysis/Needs Assessment Costs expenses tied to a commodity flow study. A needs assessment is the process to determine existing gaps between current conditions and desired conditions. HMEP Sample Application, Page 6 https://www.phmsa.dot.gov/working -phmsa/grants/hmep-sample- application EPCRA Compliance Per EPCRA 301, Local or Refer to Appendix B Resources for Costs. Section 301 Tribal Emergency Planning Committees (LEPCs or additional EPCRA information and EPCRA Compliance Costs Section State and Tribal TEPCs) must develop an 301 (cont.) for a breakdown of the Emergency Response Commissions emergency response plan, review the plan at least required elements of a community emergency response plan. (SERCS and TERCs) and Local and Tribal annually, and provide information about chemicals Emergency Planning Committees (LEPCs in the community to citizens. and TEPCs) EPCRA Compliance Costs. Section 301 (cont.) This list is not all inclusive • Identification of facilities and transportation routes of extremely hazardous substances. • Description of emergency response procedures, on and off site. • Outline of emergency notification procedures. • Outline of evacuation plans. • A training program for emergency responders (including schedules). • Methods and schedules for exercising emergency response plans. Full list of required elements of a community emergency response plan can be found from the Environmental Protection Agency (EPA) https://www.epa.gov/epcra/local- emergency-planning- committees#Local%20Emergency% 20Planning%20Committee%20Reso urces 5 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> ALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES This list is not all inclusive EPCRA Compliance HMEP funds must be used for Refer to EPCRA Section 302: Costs. Section 302 the benefit of the first responder. Emergency Planning notification https://www.epa.gov/system/files/do cuments/2022-01/chapter-2-epcra- Emergency Planning Notification The HMEP grant may cover costs associated with section-302.pdf incorporation information derived from EPCRA 302 requirements into their Emergency Operations Plan (EOP). EPCRA Compliance Costs. Section 303. Comprehensive Emergency Response Plans Local and Tribal Emergency Planning Committee (LEPC and TEPC) Responsibilities Facility Responsibilities State and Tribal Emergency Response Commission (SERC and TERC) Responsibilities Costs include, but are not limited to: • LEPCs/TEPCs developing and maintaining comprehensive emergency response plans and submitting these plans to the State or Tribal Emergency Response Commission. • LEPCs/TEPCs to review the plans annually, or more frequently as circumstances change within the community or at any facility. All plans should contain: • Analysis of the emergencies likely to occur. • Assessment of available resources and existing capabilities. • HAZMAT Planning Curriculum response operations strategies and assignments that address notification, command and control, life safety, and other functional requirements; and identification of prevention measures that can mitigate the seriousness of an emergency or prevent it from occurring. See: Appendix B - Resources Conference Attendance and/or HMEP may fund costs associated with conference See: 4.2 Allowable Planning and Preparedness Conferences for a list Hosting Costs for Emergency Planners attendance as they relate allowable HMEP grant activities. of examples HMEP Planning Program Manager Personnel Costs Only include compensation paid for employees engaged in HMEP grant related activities. Costs should be consistent with that paid for similar types of work within the organization. Grantees must meet the grants pass- through requirement: 75% of the total award must be to the direct benefit of the first responder. No more than 25% of a total grant award may be attributable towards M&A costs. See: HMEP Sample Application, Page 6 6 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> ALLOWABLE PLANNING AND PREPAREDNESS ACTIVITIES This list is not all inclusive https://www.phmsa.dot.gov/working -phmsa/grants/hmep-sample- application Attending and/or Hosting Workshops, Drills and Exercises Events must be related to HMEP Sample Application, budget narrative allowable HMEP grant activities and have a connection to HAZMAT in commercial transportation https://www.phmsa.dot.gov/working -phmsa/grants/hmep-sample- application Capability Assessments Evaluate the ability for first responders, non-governmental organizations, and other involved stakeholders to respond to a HAZMAT emergency Risk Assessments to A risk assessment is a process Hazardous Materials Incident Response Curriculum Guidelines https://www.phmsa.dot.gov/grants/h azmat/response-guidelines Mission Specific Planning Competencies: Capability Assessment. Page 49 Comprehensive Enhance Plans to identify potential hazards and analyze what could happen if a hazard occurs. Preparedness Guide 201: Threat and Hazard Identification and Risk Assessment Guide (FEMA CPG 201). Example: https://www.phmsa.dot.gov/hazmat/r eports/risk-assessment-hazmat-uavs Computer-Aided Management of Emergency Operations (CAMEO) Training Training towards the usage of CAMEO Developed by EPA and the National Oceanic and Atmospheric Administration to assist front-line chemical emergency planners and responders, CAMEO can access, store, and evaluate information critical for developing emergency plans. 4.3 Allowable Training Courses ALLOWABLE TRAINING COURSES This list is not all inclusive Air Monitoring and Sampling HAZMAT IQ Training (Above and Below the line, Advanced IQ & ToxMedic, etc.) Airport Rescue Fire Fighting (aircraft rescue and response) HAZMAT Risk Analysis Courses Alternative Fuels Hazardous Waste Operations and Emergency Response Standard (HAZWOPER) Ammonia, Ethanol, Chlorine Response Industrial Fire Fighting (rail yards, fuel transfer facilities, and ports) 7 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> ALLOWABLE TRAINING COURSES This list is not all inclusive Cargo Tank Specialty Chemistry of Hazmat-Part I/II Commodity Flow Study courses Confined Space Rescue Courses aimed at developing, improving, and implementing emergency plans under the Emergency Planning and Community Right-to-Know Act (EPCRA) §§ 301 and 303 (Title 42 U.S.C. Chapter 116) Intermodal Tank Specialty Level A/Level B Personal Protective Liquid Natural Gas (LNG) rail training LP Gas Emergencies/Propane Emerge Lithium Ion-Battery training related to incidents in commercial transportation Crude Oil Training Decontamination: Mass, Technical, Marine Operations - Ship-board rescue, firefighting, HAZMAT focus Marine Tank Vessel Specialty Refresher Developing Chemistry for Emergency Responders Emergency Medical Technician (EMT) Training for HAZMAT Employee HAZMAT Emergency Response Readiness Training Explosive Ordinance Disposal involving transportation NIMS ICS-100: Introduction to the Incident Command System NIMS ICS-200: Incident Command System for Single Resources and Initial Action Incidents NIMS ICS-300: Intermediate Incident Command System NIMS ICS-400: Advanced Incident Command First Receiver Awareness Training Flammable Liquid Bulk Storage System Pipeline Incident in Transportation Response Training Radiological (sources in transportation, but not Weapons of Mass Destruction.) Flammable Gas Bulk Storage Grants Management Training, Courses, and continuing education HAM Radio Training HAZ-CAT Training Cargo Tank Specialty Regional Response Strategy Selection courses Rope Rescue (pre-requisite for Confined Space Rescue) Surveying a HAZMAT Incident Tactical Chemistry Tank Specialty: Car, Cargo, Marine Vessel, Intermodal HAZMAT Awareness, Operations, TRANSCAER Training as it relates to HMEP Technician, Specialist, and Refresher Courses HAZMAT Basic Life Support/Advance Life Support Using Personal Protective Equipment HAZMAT Containers Victim Rescue/Recovery HAZMAT for Dispatcher Financial Management courses with Grants Management correlation Victim Rescue/Recovery HAZMAT for Emergency Management System (EMS) 8 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> 4.4 Allowable Planning and Training Preparedness Conferences Costs associated with attending conferences are allowed. When requesting these costs grantees must state what projects, goals, and deliverables the events support. For example, attendance to a planning conference where the HMEP Grant manager participates in Tabletop Exercises (TTX) will provide lessons learned that the HMEP Grant manager can apply when performing the annual Emergency Operations Plan (EOP) update and review for they LEPCs/TEPCs. ALLOWABLE PLANNING AND TRAINING PREPAREDNESS CONFERENCES This list is not all inclusive Conference Location Website Arizona Tribal Hazardous Materials (HAZMAT) Training and Information Conference Flagstaff, AZ http://itcaonline.com International Hazardous Materials Baltimore, MD https://www.iafc.org/ Response Teams Conference (IAFC) PHMSA HMEP Conference Varies https://www.phmsa.dot.gov/grants /hazmat/hmep-resources Virginia Hazardous Materials Conference Harrisonburg, VA http://www.virginiahazmat.org The Continuing Challenge Sacramento, CA http://www.hazmat.org National Association of SARA Title Houston, TX https://nasttpo.com/ III Program Officials Annual and Mid-Year and Annual Conference (mid-year), Varies (annual) HOTZONE Houston, TX https://hotzone.mobi/ COLDZONE Midwest HAZMAT Conference Northwest Tribal Emergency Management Council (NWTEMC) Annual Conference Minneapolis, MN Northbrook, IL Spokane, WA http://coldzone.org/ https://emerysafety.com/ http://nwtemc.org/Conferences_N WTEMC.aspx TRANSCAER Conferences and Events Varies http://www.transcaer.com/ 4.5 Allowable Equipment, Supplies, and Materials Equipment, materials and supplies necessary to conduct HMEP planning, and training related activities are allowable. The list below provides examples of previously approved items. ALLOWABLE EQUIPMENT, SUPPLIES AND MATERIALS This list is not all inclusive Airline connection Oxygen meter Aerial Photography Equipment for Commodity Flow Studies/Exercises/Training – usage must be entirely HMEP or charged to HMEP by proportion of HMEP use Passive dosimeters Bottom outlet valve Personal Protective Equipment (PPE) Carbon monoxide meter pH indicators and/or pH meters 9 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> ALLOWABLE EQUIPMENT, SUPPLIES AND MATERIALS This list is not all inclusive Colorimetric tubes Portable pumps (air, electrical, Combustible gas indicator Compressors or compressed gas Computing Devices - machines used to acquire, store, analyze, process, and publish data and other information electronically, including accessories (or “peripherals”) for printing, transmitting, and receiving, or storing electronic information Equipment Trailer Sample valve gasoline/diesel Power-take-off (PTO) driven pumps Pressure gauge Publication materials Gauging device Self-Contained Breathing Apparatus (SCBA) General Purpose Equipment Simulators for HAZMAT Training and Exercise HAZMAT Suits Thermometer Information Technology Systems computing devices, ancillary equipment, software, firmware, and similar procedures, services (including support services), and related resources. Training trailer Inventory management system Liquid or vapor valve Vacuum trucks Vehicle not for operational usage (i.e., required to tow training trailers and to carry out planning related activities such as a vehicle for a HAZMAT planner solely dedicated to the HMEP Grant that travels to local emergency responders to carry out the duties to meet EPCRA requirements) Office supplies related to HMEP activities Foam for specific HAZMAT transportation related planning and training related activities Equipment is tangible personal property (including information technology systems) having a useful life of more than one year and costs more than $5,000 per item. Supplies are all tangible personal property other than those described in the definition of equipment and cost less than $5,000 per item. A computing device is a supply if the acquisition cost is less than the lesser of the capitalization level established by the non-Federal entity for financial statement purposes or $5,000, regardless of the length of its useful life. Refer to Appendix A – Definitions and Appendix E – Category of expenditures for additional details. 10 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> 4.5 Conditionally Allowable Expenditures Conditionally allowable expenditures are expenditures that are generally allowable but require additional or specific conditions. CONDITIONALLY ALLOWABLE EXPENDITURES This list is not all inclusive Expenditure Conditions Tier II Chemical Inventory Reports and Databases Allowable: Duties and costs related to planning and training for the benefit of first responders, i.e., information gathering for a commodity flow study. CAMEO. See below. Unallowable: Operational costs. Note: Information Systems/Computing devises related to Tier II reporting may be considered allowable in full or in part with PHMSA approval See Appendix A - Definitions for Tier II Inventory Reports and Databases more information. Emergency Operating Center (EOC) Leadership Exercises Leadership exercises for events concerning HAZMAT preparedness and responses Hospital Drills LEPC Meeting Expenses Decontamination from a transportation incident (radiological, chemical, or other HAZMAT) HMEP covers the portion of costs as related to EPCRA Sections 301-303 Food and Refreshments Fixed-facility HAZMAT preparedness Food must be necessary for the safety of participants, i.e., hydration, remote location, dietary necessities, cultural accommodations etc. Exercises and plans that include transportation of materials to and from fixed facilities; exercises that test the same capabilities that would be used to respond to a HAZMAT transportation incident Fire Department Instructors Conference (FDIC) Transportation HAZMAT-themed schedule 4.5.1 Costs Requiring Prior Approval Conditionally allowable expenditures may also include costs requiring prior approval the table below includes examples of when a grantee needs to do so. COSTS REQUIRING PRIOR APPROVAL This list is not all inclusive Cost Type Sole Source Approval Cost Description and Information A request to enter a non-competitive contractual relationship for equipment, technology, or services more than the simplified acquisition threshold must be 11 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> COSTS REQUIRING PRIOR APPROVAL This list is not all inclusive submitted to PHMSA in writing certifying that the award of a contract through full and open competition is infeasible. Prior Written prior approval must be obtained for some costs, as specified in 2 C.F.R. Approval of Certain Part 200 (specifically in 2 C.F.R.§ 200.407). The following are some examples of costs that require prior approval: Costs • Costs incurred prior to the date of the subaward period Changes to the Scope of the Award • Foreign travel (only applicable to territories) Recipients must initiate an Activity Request (AR) for changes in scope, duration, activities, or other significant areas. In general, a change in scope is a cost that is 10% of the total award or more. These changes include but are not limited to: • Altering programmatic activities • Changing the purpose of the project • Changing the project site • Experiencing or making changes to the organization or staff with primary responsibility for implementation of the award, contracting out, subawarding (if authorized by law), or otherwise obtaining the services of a third party to perform activities which are central to the purpose of the award • Changes in scope that affect the budget Equipment If recipients or subrecipients have received prior approval for expenditures for and Other Capital equipment and other capital assets, including repairs which materially increase the useful life of equipment, then these expenditures are allowable. See 2 C.F.R. § Expenditures 200.439. Expenditures for equipment must be fully justified in the budget and budget narrative; otherwise, the grant- making component may require that the type, quantity estimated, unit, or other information be provided before the final budget can be issued. In reviewing equipment acquisition budgets and proposals, the following principles should be followed: • No other equipment owned by the recipient/subrecipient is suitable for the project. • No luxury vehicles will be approved. If the vehicle request is approved, the vehicle should be reasonable, and the recipients must follow the Internal Revenue Service guidelines. If the vehicle(s) was purchased as part of a unit of government fleet by the State or local central procurement activities, it is generally accepted as reasonable. • Federal funds are not used to provide reimbursement for the purchase of equipment already owned by the recipient/subrecipient. • Equipment purchased and used commonly for two or more programs should be appropriately divided among each activity. HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE 12 <<>> COSTS REQUIRING PRIOR APPROVAL This list is not all inclusive • An expenditure for equipment purchased for a common pool is generally allowable as a charge to the award at cost value. • Equipment that has already been purchased and charged to other activities of the organization is not an allowable expense to the award. 4.6 Unallowable Expenditures Unallowable expenditures are costs which may never be used with HMEP Grant funding dollars. Examples of generally unallowable expenses include but are not limited to the below. GENERALLY UNALLOWABLE EXPENDITURES This list is not all inclusive Active Shooter Training FRI (Fire Rescue International): Fire Rescue International (FRI) annual conference for fire and emergency service leaders from across North America and around the globe for 5 days of networking, learning, and collaboration Alcohol Joint Terrorism Task Force (JTTK) Exercises All-Hazards Warning System Drills Any costs disallowable or stated as ineligible in 49 CFR part 110 and 2 CFR 200 Subpart E Lobbying Mobile Meth Lab Training Any cost specifically prohibited in the General Terms and Conditions of the grant award, or identified in PHMSA policy guidance, or as a Special Terms and Conditions listed on the NGA (Remarks Natural Disaster Exercises without a commercial transportation in HAZMAT tie-in section). Bonuses or Commissions See 2 C.F.R. § 200.430(g) Corporate Formation Operational Expenses Pro Board® accreditation and certification Courses not related to HAZMAT emergency response (except for the pipeline training listed in section 4.1 above) School Violence Prevention Emergency Preparedness Presentation to Child Care Providers State and Local Sales Taxes Entertainment Costs Tips Fines and Penalties Weapons of Mass Destruction (WMD) Radiological Training and Terrorism courses Unallowable expenditures and disallowed costs are costs prohibited by law or regulation, Federal cost principles, PHMSA policy, or special terms and condition of award. Disallowed costs are charges to a federal award that the Federal awarding agency or pass-through entity determines to 13 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> be unallowable, in accordance with the applicable Federal statutes, regulations, or the terms and conditions of the Federal award (2 CFR 200.31) IV. Grant Lifecycle The grant lifecycle timeline previews the overall steps and process of a grant. There are three phases. Each phase has steps, responsible parties, and required actions. This section provides an overview of the grants management process and lifecycle in three phases: Pre-Award, Award Phase, Post Award. 5.1 Pre-Award Phase The pre-award phase occurs before a grant is awarded. Planning an Opportunity Lifecycle Steps Responsible Party PHMSA Actions Plan and develop funding priorities based on the mission, the Administration, and Announcing an Opportunity PHMSA Searching for Opportunities Applicant congressional initiatives. Formally announce the availability of funds and publish details on grants.gov Search for CFDA 20.703 on grants.gov and stay up to date with announcements Registering on grants.gov Applicant Regularly check grants.gov for funding opportunities and requirements. Completing an application Applicant Allow for enough time to complete an application. Download the application and save offline. Submit prior to the closing date and time. Retrieving the application Applicant Applicant will be notified of receipt via e-mail when completed. PHMSA beings review of application. Staying in the Loop Applicant Finishing the review process PHMSA Applicants can track the status of their application by communicating with the grant- making agency. The application status process is handled differently by each agency. As the funding agency reviews applications, a range of program stakeholders will participate. The review process takes time and varies based on grant type. As the review process takes place, grant-making agencies may update applicants on the status of their application. 5.1.1 Planning an Opportunity The Department of Transportation (DOT) makes awards for a specified period, referred to as the award or project period. The award period is established for each award and is included in the 14 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> Notice of Grant Award (NGA) document. Award periods range from 1 year for tribes up to 3 years for states and territories. The performance periods may vary depending on the specific program, and if there are extensions necessary. Local and Tribal Emergency Planning Committees (LEPCs and TEPCs) are responsible for developing and maintaining comprehensive emergency response plans and submitting these plans to the State or Tribal Emergency Response Commission (SERC or TERC). Local or Tribal Emergency Planning Committees (LEPCs or TEPCs) should review the plans annually, or more frequently as circumstances change within the community or at any facility. 5.1.2 Announcing an Opportunity PHMSA formally announces the funding opportunity, advertising it to applicant communities and inviting proposals tailored to address the program mission. The grant-making agency will publish details of the funding opportunity on Grants.gov. 5.1.3 Searching for Opportunities Applicants will use the Grants.gov search tool to find funding opportunities that they are eligible for and are a mission match for their organization. HMEP Funds are announced and issued annually. Applicants are encouraged to e-mail HMEP.Grants@dot.gov to join the grants program contact list. 5.1.4 Registering on Grants.gov HMEP Grant applicants are required to complete the registration process on grants.gov and sam.gov. System for Award Management (SAM) is the Official U.S. Government system that consolidated the capabilities of the Central Contractor Registration (CCR), Federal Agency Registration (FedReg), the Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS). It became operational in August 2012. Recipients must have registered their Unique Entity ID (UEI) https://www.sam.gov/ portal/SAM/ to receive an award. Unless exempted from this requirement under 2 CFR § 25.110, the recipient must maintain the information in SAM until the final financial report required under this award is submitted or the Recipient receives the final payment, whichever is later. This requires that the Recipient review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. 5.1.5 Completing an Application Completing a grant application can take weeks. The application package can be downloaded from Grants.gov in the form of a PDF, and progress can be saved as form fields are filled in. These fields require everything from basic organizational information to explanations of 15 HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE <<>> proposed work and financial data. When an application package has been completed per the opportunity instructions and checked for errors, it can be submitted through Grants.gov A sample application can be found in Appendix I Sample Application. 5.1.6 Retrieving an Application Once an application has been retrieved by the agency from Grants.gov, the applicant is automatically notified via email. At this point, the grantor application processing begins. 5.1.7. Risk Assessment PHMSA is required to review and assess the potential risks presented by applicants for Federal grants prior to making an award (2 C.F.R. § 200.205). This includes financial capabilities and past performance in a risk-based approach. PHMSA applicants may be required to complete a questionnaire and submit it to PHMSA before they can be approved for an award. It is PHMSA’s goal for each recipient to be successful. Each HMEP Grantee has an assigned Grant Specialist to assist in meeting the needs of each grantee, to include special attention to high-risk grantees providing guidance, technical assistance, and best practices. Each category will be clearly listed in each Notice of Grant Award (NGA) and include details of what conditions apply to each category. Requirements for each status are specific to each grantee. In general, a recipient may be designated as high-risk if the following conditions are met: • Is a first time HMEP Grant recipient. • Has a history of unsatisfactory performance • Is not financially stable. • Has a management system that does not meet the standards set forth in 2 C.F.R. Part 200 (Subpart D-Post Federal Award Requirements (Standards for Financial and Program Management)).Recipient has audit reports with recommendation(s) that have been open for more than one year and has not submitted documentation adequate to close the recommendation(s). • Recipient has not provided a corrective action plan to the DOT, PHMSA within 105 days of transmission of the audit report to the recipient. • Recipient has audit reports with questioned costs more than $500,000 (regardless of the amount of time the audit report has been open). • Recipient has been referred to the Department of Treasury for collection because of their failure to timely repay funds. If a high-risk grantee does not comply with additional conditions imposed or fails to make timely progress in addressing the issues that resulted in the high-risk designation, PHMSA must consider farther action. 5.1.8 Programmatic Review PHMSA will complete a programmatic review of the grant application to ensure that recipients are financially capable and have the financial integrity to administer Federal funds. HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE 16 <<>> As part of this review, PHMSA will take the following steps: • Perform a cost analysis of the project. Obtain cost breakdowns, verify cost data, evaluate specific elements of cost, and examine data to determine the necessity, reasonableness, allowability, allocability, and appropriateness of the proposed cost. • Review the current indirect cost rates or rates approved by other Federal agencies. • Non-Federal entities that have never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix VII to 2 C.F.R. Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals, may elect to negotiate a rate or, if eligible, charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely. • Determine the adequacy of the accounting system and operations to ensure that Federal funds, if awarded, will be expended in a reasonable manner. • Non-Federal entities that have not received an award within the past three years may require an additional financial review. Review the status of any Federal debt that the applicant may have to ensure the debt is not delinquent, and other prescreening information, including checking SAM to ensure the organization is not suspended or debarred from receiving Federal funds. 5.1.9 Completing the Review Process PHMSA is required to ensure that awards meet certain legislative, regulatory, and administrative requirements. This requires that PHMSA review and assess each application to determine the following: • The applicant is eligible for the specified program. • The costs and activities in the application are for allowable, allocable, necessary, and reasonable costs. • The applicant possesses the responsibility, financial management, fiscal integrity, and financial capability to administer Federal funds adequately and appropriately. 5.1.10 Tracking Application Status Applicants can track the status of their application by communicating with the grant-making agency. The application status process is handled differently by each agency. Further inquiry can be made by contacting HMEP.Grants@dot.gov. 5.2 Award Phase The award phase is the Period of Performance listed on award documentation. Lifecycle Steps Responsible Party PHMSA Actions Notifying the Award Recipient When the review process has been completed, the funding agency notifies the applicants whether they have been awarded a grant. The agency also begins working with the award recipient to finalize the legal HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS GRANT GUIDANCE 17 <<>> Lifecycle Steps Responsible Party Actions framework for the funding agreement. F - **truncated:** true - **body characters:** 156785