responses 2015 phmsa hmep grant applications tribes.docx

Questions and Answers Regarding Tribal HMEP Grant Applications Q1. Is HMEP application webinar available online?

A1. Yes. Please click on the following URL: http://www.phmsa.dot.gov/portal/site/PHMSA/menuitem.6f23687cf7b00b0f22e4c6962d9c8789/?vgnextoid=b54948a334b78310VgnVCM1000001ecb7898RCRD&vgnextchannel=b9623074e1db8110VgnVCM1000009ed07898RCRD&vgnextfmt=print Q2. Regarding the match requirements, if we are applying for both planning and training, does the 20% match apply to each section separately or in combination? The State of Nebraska is pledging an in-kind match for us from planning and training time.

A2. Yes. In accordance with 49 U.S. Code § 5116 (d), for both training and planning grants, States, Native American Tribes and The Commonwealth of Puerto Rico must contribute a minimum of 20% matching share to the total cost of the grant project. Thus, if the total cost of the project is $50,000, the State must provide at least $10,000, and DOT will provide no more than $40,000. The matching requirement must be satisfied by costs incurred by the grantee or by the value of in-kind contributions. All matching funds must meet the Federal requirements as described in 2 CFR § 200.306 Cost sharing or matching.

Funds or costs used for matching purposes under any other Federal grant or cooperative agreement may not be used for HMEP matching proposes. The 5-year averaged non-Federal aggregate amount cannot be used for matching (in other words, the State's matching share must be new money, either new State funds or new in-kind contributions).

Applicants must clearly indicate in the budget narrative how the matching requirements will be met for the project. The budget narrative guidance document in Section H contains additional information on how to include match in the grant application.

Q3. Is there a way to lower the requirement for the 20% match or negate it? Certain grants waived the match portion of grants or required a lower amount, 5% for applicants considered to be a low economic criteria zone.

A3. No. In accordance with 49 U.S. Code § 5116 (d), for both training and planning grants, States, Native American Tribes and The Commonwealth of Puerto Rico must contribute a minimum of 20% matching share to the total cost of the grant project.

The 48 U.S. Code § 1469a - Congressional declaration of policy respecting “Insular Areas states the requirement to provide a 20% match for the Planning and Training (direct and indirect) costs of all activities covered under the grant award program with non-Federal funds is waived for “Insular Areas” which include the Virgin Islands, Guam, American Samoa, the Trust Territory of the Pacific Islands, and the Government of the Northern Mariana Islands in order to minimize the burden caused by the existing application and reporting procedures.

Q4. May tribes apply for planning funds only?

A4. Yes. Tribes may apply for just planning or just training funds based on an assessment of their needs.

Q5. What do I have to do to satisfy the Statement of Aggregate Expenditures?

A5. The applicant must complete and submit the Programmatic Certification for Planning and/or Training. The certification requires the applicant to confirm that expenditures will not decrease beyond the average for the previous five fiscal years.

Programmatic Certification – Planning - Complete the form that is available in grants.gov via the Application Instructions that certifies the applicant fulfills statements 1-3 and have it signed by the authorized official before attaching it.

1) I certify that the aggregate expenditure of funds of the Native American Tribe, exclusive of Federal funds, for developing, improving, and implementing emergency plans under EPCRA will be maintained at a level that does not fall below the average level of such expenditures for the 5 fiscal years prior to the grant project.

2) I certify that the Native American Tribe is complying with Sections 301 and 303 of EPCRA.

3) I agree that the Native American Tribe will make available not less than 75 percent of the funds granted to the Native American TERCs.

Programmatic Certification – Training- Complete the form made available in the grants.gov via the Application Packet that certifies the applicant fulfills statements 1-3 and have it signed by the authorized official before attaching it.

Q6. Would the following suffice for the Monitoring and Evaluation?

"Ongoing monitoring and grant management would be completed by the Project Manager to ensure continued attendance and coordination of all planning activities. He would provide three quarterly reports and a final annual report. The reports would provide a brief summary, not exceeding one page, of what was accomplished under the HMEP award during the reporting quarter. The summary would address all activities that used HMEP funds in whole or in part, the number of training sessions or drills held or attended and the number of individuals trained, and expenditures and obligated amounts."

A6. When the application is received, the response will be reviewed. If more information is needed, PHMSA staff will contact the applicant. Detailed guidance on specific language cannot be provided by PHMSA staff during the open application period for a competitive grant.

According to the Super Circular’s §200.303, Internal Controls, the non-Federal entity must do the following:

(a) Establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. These internal controls should be in compliance with guidance in ‘‘Standards for Internal Control in the Federal Government’’ issued by the Comptroller General of the United States and the ‘‘Internal Control Integrated Framework’’, issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO).

(b) Comply with Federal statutes, regulations, and the terms and conditions of the Federal awards.

(c) Evaluate and monitor the non-Federal entity’s compliance with statute, regulations and the terms and conditions of Federal awards.

(d) Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings.

(e) Take reasonable measures to safeguard protected personally identifiable information and other information the Federal awarding agency or pass-through entity designates as sensitive or the non-Federal entity considers sensitive consistent with applicable Federal, state and local laws regarding privacy and obligations of confidentiality.

Q7. Could you provide guidance on how the applicant should address the synopsis of the language in the Standard Assurances that is listed below?

- Specific Assurance # 4: "The Recipient will insert the clauses of Appendix B of this Assurance , as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient".

There is no covenant running with the land that would be enforceable if the Native American Tribe is a Sovereign Nation.

- Appendix B: The Tribe already has title to Lands to maintain the project.

- Habenbdum Clause needs clarification; what is the exact meaning of this clause as it pertains to the Spokane Tribe, especially the language that states that "in the event of breach of any of the above nondiscrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said land, and that the above land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction".

Again, if the Native American Tribe is a sovereign nation that will be implementing the HMEP program on tribal lands, this provision is not pertinent or enforceable.

- The note at the bottom of Appendix B states that the Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.

A7. This is a standard document that was developed by the Department of Transportation for use for Federal financial assistance. It was understood at the time this was developed that some of the Appendices would not apply in certain situations. Appendices A and E apply only if you contract with another person/company to provide a service to you using the money PHMSA provides. Then the other person/company agrees to the language in these appendices. If you contract with another person/company, then it is suggested you use the language in Appendices A and E in any contract document you write with the person/company. Appendices B, C and D do not apply. These Appendices may be ignored.

The applicant only needs to sign page 3 of the Assurance document.

Q8. Do you have available a sample outputs and objectives section available or a format to follow?

A8. No. There is no sample format for describing the outputs and objectives. Applicants are to provide this information in a format that best reflects the grant activities they are seeking funding for and should be tailored to their own needs and objectives.

Outputs are the direct results of your grant activities. These are quantified indicators of productivity. For example - the number of first responders trained; the number of drills conducted; the number of plans updated, etc. Outcomes are the larger result of those measurable outputs; the difference that will be made by outputs. For example – The number of responders trained will increase by 30% and the entity has increased its capacity to respond to hazardous materials incidents. Outputs lead to outcomes. The larger question is simply what does the applicant plan to do with grant funds and what is the projected result?