49 C.F.R. PART 110—HAZARDOUS MATERIALS PUBLIC SECTOR TRAINING AND PLANNING GRANTS
Title 49 - Transportation
Authority: 49 U.S.C. 5101–5127; 49 CFR 1.53.
Source: Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, unless otherwise noted.
Editorial Note: Nomenclature changes to part 110 appear at 70 FR 56090, Sept. 23, 2005.
This part sets forth procedures for reimbursable grants for public sector planning and training in support of the emergency planning and training efforts of States, Indian tribes, and local communities to deal with hazardous materials emergencies, particularly those involving transportation. These grants will enhance the implementation of the Emergency Planning and Community Right-to-Know Act of 1986 (42 U.S.C. 11001). (a) This part applies to States and Indian tribes and contains the program requirements for public sector training and planning grants to support hazardous materials emergency planning and training efforts. (b) The requirements contained in 49 CFR part 18, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments”, apply to grants issued under this part. (c) Copies of standard forms and OMB circulars referenced in this part are available from the HMTUSA Grants Manager, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, 400 Seventh Street, SW., Washington DC 20590–0001. The Office of Management and Budget control number assigned to collection of information in §§110.30, 110.70, 110.80, and 110.90 is 2137–0586. This part applies to States and Indian tribes. States may apply for planning and training grants. Federally-recognized Indian tribes may apply for training grants. Unless defined in this part, all terms defined in 49 U.S.C. 5102 are used in their statutory meaning and all terms defined in 49 CFR part 18 and OMB Circular A–102, with respect to administrative requirements for grants, are used as defined therein. Other terms used in this part are defined as follows: Allowable costs means those costs that are: eligible, reasonable, necessary, and allocable to the project permitted by the appropriate Federal cost principles, and approved in the grant. Associate Administrator means the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration. Budget period means the period of time specified in the grant agreement during which the project manager may expend or obligate project funds. Cost review means the review and evaluation of costs to determine reasonableness, allocability, and allowability. Indian country means Indian country as defined in 18 U.S.C. 1151. That section defines Indian country as all land within the limits of any reservation under the jurisdiction of the U.S. Government, notwithstanding the issuance of any patent, and, including rights-of-way running through the reservation; all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a State; and all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running through the same. Indian tribe means a tribe “Federally-recognized” by the Secretary of the Interior under 25 CFR 272.2. Local Emergency Planning Committee (LEPC) means a committee appointed by the State Emergency Response Commission under section 301(c) of the Emergency Planning and Community Right-to-Know Act of 1986 (42 U.S.C. 11001(c)) that includes at a minimum, representatives from each of the following groups or organizations: elected State and local officials; law enforcement, firefighting, civil defense, first aid, health, local environmental, hospital, and transportation personnel; broadcast and print media; community groups; and owners and operators of facilities subject to the emergency planning requirements. National curriculum means the curriculum required to be developed under 49 U.S.C. 5115 and necessary to train public sector emergency response and preparedness teams, enabling them to comply with performance standards as stated in 49 U.S.C. 5115(c). Political subdivision means a county, municipality, city, town, township, local public authority (including any public and Indian housing agency under the United States Housing Act of 1937 (42 U.S.C. 1401 et seq.), school district, special district, intrastate district, council of governments (whether or not incorporated as a nonprofit corporation under State law), any other regional or interstate government entity, or any agency or instrumentality of a local government. Project means the activities and tasks identified in the grant agreement. Project manager means the State or Indian tribal official designated in a grant as the recipient agency's principal program contact with the Federal Government. Project officer means the Federal official designated in a grant as the program contact with the project manager. The project officer is responsible for monitoring the project. Project period means the length of time specified in a grant for completion of all work associated with that project. State Emergency Response Commission (SERC) means the State Emergency Response Commission appointed by the Governor of each State and Territory under the Emergency Planning and Community Right-to-Know Act of 1986. Statement of Work means that portion of a grant that describes the purpose and scope of activities and tasks to be carried out as part of the proposed project. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by Amdt. 110–3, 59 FR 49132, Sept. 26, 1994; 66 FR 45377, Aug. 28, 2001] (a) General. An applicant for a planning or training grant shall use only the standard application forms approved by the Office of Management and Budget (OMB) (SF–424 and SF–424A) under the Paperwork Reduction Act of 1980 (44 U.S.C. 3502). Applicants are required to submit an original and two copies of the application package to: Grants Manager, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, 400 7th Street, SW., Washington, DC 20590–0001. Applications received on or before January 1st and July 1st of each year will be considered in that cycle of the semi-annual review and award process. An initial round of the review and award process will consider applications received on or before November 15, 1992. Requests and continuation applications must include an original and two copies of the affected pages; previously submitted pages with information that is still current do not have to be resubmitted. The application must include the following: (1) Application for Federal Assistance for non-construction programs (SF–424) and Budget sheets (SF–424A). A single application may be used for both planning and training if the budgets for each are entered separately on all budget sheets. (2) For States, a letter from the Governor designating the State agency that is authorized to apply for a grant and to provide the written certifications required to receive a grant. (3) For Indian tribes, a letter from the tribal government, governing body, or tribal council to the effect that the applicant is authorized to apply for a grant and to provide the written certifications required to receive a grant. (4) A written statement explaining whether the State or tribe assesses and collects fees on the transportation of hazardous materials and whether such assessments or fees are used solely to carry out purposes related to the transportation of hazardous materials. (5) A statement designating a project manager and providing the name, position, address and phone number of that individual who will be responsible for coordinating the funded activities with other agencies/organizations. (6) A project narrative statement of the goals and objectives of the proposed project, project design, and long range plans. The proposed grant project and budget periods may be one or more years. (7) A statement of work in support of the proposed project that describes and sets priorities for the activities and tasks to be conducted, the costs associated with each activity, the number and types of deliverables and products to be completed, and a schedule for implementation. (8) A description of the major items of costs needed to implement the statement of work and a copy of any cost or price analysis if conducted. (9) Drug-Free Workplace Certification. The applicant must certify as specified in appendix C of 49 CFR part 29 that it will comply with the Drug-Free Workplace Act of 1988 (Pub. L. 100–690, title V, subtitle D; 51 U.S.C. 701 et seq.). (10) Anti-Lobbying Certification. The applicant must certify as specified in appendix A of 49 CFR part 20 that no Federal funds will be expended to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress (section 319 of Pub. L. 101–121, 31 U.S.C. 1352). (11) Debarment and Suspension Certification. The applicant must certify as specified in subpart G of 49 CFR part 29 that it will not make an award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs. (b) Planning. In addition to the requirements specified in paragraph (a) of this section, eligible State applicants must include the following in their application package: (1) A written certification that the State is complying with sections 301 and 303 of the Emergency Planning and Community Right-to-Know Act of 1986, including a brief explanation of how compliance has been achieved. (2) A written statement specifying the aggregate expenditure of funds of the State, exclusive of Federal funds, for each of its last five fiscal years for developing, improving, and implementing emergency plans under the Emergency Planning and Community Right-to-Know Act of 1986, including an explanation specifying the sources of these funds. A written certification that the State's aggregate expenditures, as defined by the State, of funds for this purpose, exclusive of Federal funds, will not fall below the average level of its expenditures for its last five fiscal years. The applicant may not claim any of these expenditures for cost-sharing. (3) A written statement agreeing to make at least 75 percent of the Federal funds awarded available to LEPCs and an explanation of how the applicant intends to make such funds available to them for developing, improving, or implementing emergency plans. (4) Designation of a project manager to serve as contact for coordinating planning funds under this program. (5) A project narrative statement of the goals and objectives of each proposed project, including the following: (i) A background statement describing the applicant's long-term goals and objectives with respect to: (A) The current abilities and authorities of the applicant's program for preparedness planning; (B) The need to sustain or increase program capability; (C) Current degree of participation in or intention to assess the need for a regional hazardous materials emergency response team; and (D) The impact that the grant will have on the program. (ii) A discussion of whether the applicant's program currently knows, or intends to assess, transportation flow patterns of hazardous materials within the State and between that State and another State. (iii) A schedule for implementing the proposed grant activities. (iv) A statement describing the ways in which planning will be monitored by the project manager. (v) A statement indicating that all members of the State Emergency Response Commission were provided the opportunity to review the grant application. (c) Training. In addition to the requirements specified in paragraph (a) of this section, eligible State and Indian tribe applicants must include the following in their application package: (1) For a State applicant, a written certification explaining how the State is complying with sections 301 and 303 of the Emergency Planning and Community Right-to-Know Act. (2) A written statement specifying the aggregate expenditure of funds of the State or Indian tribe, exclusive of Federal funds, for each of its last five fiscal years for training public sector employees to respond to accidents and incidents involving hazardous materials, including an explanation specifying the sources of these funds. A written certification that the applicant's aggregate expenditure, as defined by the State or tribe, of funds for this purpose, exclusive of Federal funds, will not fall below the average level of its expenditures for its last five fiscal years. The applicant may not claim any of these expenditures for cost-sharing purposes. (3) For a State applicant, a written statement agreeing to make at least 75 percent of the Federal funds awarded available for the purpose of training public sector employees employed or used by political subdivisions. A State applicant may elect to pass all or some portion of the grant on to political subdivisions for this purpose. The applicant must include a specific explanation of how it intends to meet this requirement. (4) Designation of a primary point of contact for coordinating training funded under this program. Identification of a single repository for copies of course materials delivered under the grant as specified in §110.90 of this part. (5) A project narrative statement of the long-range goals and objectives of each proposed project, including the following: (i) A background statement describing: (A) The current hazardous materials training program(s); (B) Training audience, including numbers and levels of training and accreditation program for each level or criterion required to advance to the next level; (C) Estimated total number of persons to be trained under the proposed project; (D) The ways in which training grants will support the integrated delivery of training to meet the needs of individualized geographic and resource needs and time considerations of local responders. When appropriate, a statement describing how the proposed project will accommodate the different training needs for rural versus urban environments; and (E) The impact that the grant and the National Curriculum will have on the program. (ii) A statement describing how the National Curriculum will be used or modified to train public sector employees at the local level to respond to accidents and incidents involving hazardous materials. (iii) A statement describing the ways in which effectiveness of training will be monitored by the project manager, including, but not limited to, examinations, critiques, and instructor evaluations. (iv) A schedule for implementing the proposed training grant activities. (v) A statement indicating that all members of the State or Tribal Emergency Response Commission were provided the opportunity to review the grant application. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by Amdt. 110–3, 59 FR 49132, Sept. 26, 1994; 70 FR 73162, Dec. 9, 2005] (a) Planning. Eligible State applicants may receive funding for the following activities: (1) Development, improvement, and implementation of emergency plans required under the Emergency Planning and Community Right-to-Know Act of 1986, as well as exercises which test the emergency plan. Enhancement of emergency plans to include hazard analysis as well as response procedures for emergencies involving transportation of hazardous materials, including radioactive materials. (2) An assessment to determine flow patterns of hazardous materials within a State, between a State and another State or Indian country, and development and maintenance of a system to keep such information current. (3) An assessment of the need for regional hazardous materials emergency response teams. (4) An assessment of local response capabilities. (5) Conduct of emergency response drills and exercises associated with emergency preparedness plans. (6) Provision of technical staff to support the planning effort. (7) Additional activities the Associate Administrator deems appropriate to implement the scope of work for the proposed project plan and approved in the grant. (b) Training. Eligible State and Indian tribe applicants may receive funding for the following activities: (1) An assessment to determine the number of public sector employees employed or used by a political subdivision who need the proposed training and to select courses consistent with the National Curriculum. (2) Delivery of comprehensive preparedness and response training to public sector employees. Design and delivery of preparedness and response training to meet specialized needs. Financial assistance for trainees and for the trainers, if appropriate, such as tuition, travel expenses to and from a training facility, and room and board while at the training facility. (3) Emergency response drills and exercises associated with training, a course of study, and tests and evaluation of emergency preparedness plans. (4) Expenses associated with training by a person (including a department, agency, or instrumentality of a State or political subdivision thereof or an Indian tribe) and activities necessary to monitor such training including, but not limited to examinations, critiques and instructor evaluations. (5) Provision of staff to manage the training effort designed to result in increased benefits, proficiency, and rapid deployment of local and regional responders. (6) Additional activities the Associate Administrator deems appropriate to implement the scope of work for the proposed project and approved in the grant. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by 66 FR 45377, Aug. 28, 2001] (a) Preaward expenditures may not be reimbursed. (b) Reimbursement may not be made for a project plan unless approved in the grant award. (c) If a recipient agency seeks additional funds, the amendment request will be evaluated on the basis of needs, performance and availability of funds. An existing grant is not a commitment of future Federal funding. (a) The recipient agency must provide 20 percent of the direct and indirect costs of all activities covered under the grant award program with non-Federal funds. Recipients may either use cash (hard-match), in-kind (soft-match) contributions, or a combination of in-kind plus hard-match to meet this requirement. In-kind (soft-match) contributions are in addition to the maintenance of effort required of recipients of grant awards. The types of contributions allowed are as follows: (1) Any funds from a State, local, or other non-Federal source used for an eligible activity as defined in §110.40 in this part. (2) The dollar equivalent value of an eligible activity as defined in §110.40 of this part provided by a State, local, or other non-Federal source. (3) The value of participants' salary while attending a planning or training activity contained in the approved grant application provided by a State, local, or other non-Federal source. (4) Additional types of in-kind contributions the Associate Administrator deems appropriate. (b) Funds used for matching purposes under any other Federal grant or cooperative agreement may not be used for matching purposes. The funds expended by a recipient agency to qualify for the grant may not be used for cost-sharing purposes. (c) Acceptable contributions for matching and cost sharing purposes must conform to 49 CFR part 18. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by Amdt. 110–3, 59 FR 49132, Sept. 26, 1994; 66 FR 45377, Aug. 28, 2001] (a) A State must expend and account for grant funds in accordance with State laws and procedures for expending and accounting for its own funds. Fiscal control and accounting procedures of the State, as well as its subgrantees and cost-type contractors, must be sufficient to: (1) Permit the preparation of reports required by 49 CFR part 18 and this part, including the tracing of funds provided for planning to a level of expenditure adequate to establish that at least 75 percent of the funds provided were made available to LEPCs for developing, improving, and implementing emergency plans; and the tracing of funds provided for training to a level of expenditure adequate to establish that at least 75 percent of the funds provided were made available for the purposes of training public sector employees employed or used by political subdivisions. (2) Permit the tracing of funds to a level of expenditure adequate to establish that such funds have not been used in violation of the restrictions and prohibitions of applicable statutes. (b) The financial management systems of Indian tribes and any subgrantees must meet the standards of 49 CFR 18.20, including the ability to trace funds provided for training to a level of expenditure adequate to establish that at least 75 percent of the funds provided were made available for the purposes of training public sector employees employed or used by political subdivisions. (c) Advances shall be made to States and Indian tribes consistent with 49 CFR part 18 and 31 CFR part 205. The Associate Administrator shall base these advances on demonstrated need, which will be determined on a case-by-case basis, considering such factors as State/Tribal budget constraints and reductions in amounts budgeted for hazardous materials activities. To obtain an advance, a State or Indian tribe must comply with the following requirements: (1) A letter from the Governor or Tribal leader or their designee is required specifying the extenuating circumstances requiring the funding advance for the grant; (2) The maximum advance request may not be more than $25,000 for each State or Indian tribe; (3) Recipients of advance funding must obligate those funds within 3 months of receipt; (4) Advances including interest will be deducted from the initial reimbursement to the State or Indian tribe; and (5) The State or Indian tribe will have its allocation of current grant funds reduced and will not be permitted to apply for future grant funds until the advance is covered by a request for reimbursement. For example, if $25,000 is advanced for personnel costs, this advance would be deducted from the initial reimbursement in the year the advance was made. (d) To be allowable, costs must be eligible, reasonable, necessary, and allocable to the approved project in accordance with OMB Circular A–87 and included in the grant award. Costs incurred prior to the award of any grant are not allowable. Recipient agencies are responsible for obtaining audits in accordance with the Single Audit Act of 1984 (31 U.S.C. 7501), 49 CFR part 90, and OMB Circular A–128. Audits shall be made by an independent auditor in accordance with generally accepted government auditing standards covering financial and compliance audits. The Associate Administrator may audit a recipient agency at any time. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by 66 FR 45377, Aug. 28, 2001] Project managers shall use procurement procedures and practices which reflect applicable State laws and regulations and Federal requirements as specified in 49 CFR 18.36. (a) Grant monitoring. Project managers are responsible for managing the day-to-day operations of grant, subgrant and contract-supported activities. Project managers must monitor performance of supported activities to assure compliance with applicable Federal requirements and achievement of performance goals. Monitoring must cover each program, function, activity, or task covered by the grant. Monitoring and reporting requirements for planning and training are contained in this part; general grant reporting requirements are specified in 49 CFR 18.40. (b) Reports. (1) The project manager shall submit a performance report at the completion of an activity for which reimbursement is being requested or with a request to amend the grant. The final performance report is due 90 days after the expiration or termination of the grant. (2) Project managers shall submit an original and two copies of all performance reports. Performance reports for planning and training must include comparison of actual accomplishments to the stated goals and objectives established for the performance period, and the reasons for not achieving those goals and objectives, if applicable. (3) Project managers shall report developments or events that occur between the required performance reporting dates which have significant impact upon the planning and training activity such as: (i) Problems, delays, or adverse conditions which will impair the ability to meet the objective of the grant; and (ii) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more beneficial results than originally planned. (4) Financial reporting, except as provided in §110.70 and 49 CFR 18.41, shall be supplied quarterly using Standard Form 270, Request for Advance or Reimbursement, to report the status of funds. The project manager shall report separately on planning and training. (c) Records retention. In accordance with 49 CFR 18.42, all financial and programmatic records, supporting documents, statistical records, training materials, and other documents generated under a grant shall be maintained by the project manager for three years from the date the project manager submits the final financial status report (SF 269) or Request for Advance or Reimbursement (SF 270). The project manager shall designate a repository and single-point of contact for planning and for training, or both, for these purposes. If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later. If a recipient agency fails to comply with any term of an award (whether stated in a Federal statute or regulation, an assurance, a State plan or application, a notice of award, or elsewhere) a noncompliance action may be taken as specified in 40 CFR 18.43. The recipient agency may appeal any such actions as specified in 49 CFR part 18. Costs incurred by the recipient agency during a suspension or after termination of an award are not allowable unless the Associate Administrator authorizes it in writing. Grant awards may be terminated in whole or in part with the consent of the recipient at any agreed upon effective date, or by the recipient upon written notification. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by 66 FR 45377, Aug. 28, 2001] The Associate Administrator will close out the award upon determination that all applicable administrative actions and all required work of the grant are complete in accordance with subpart D of 49 CFR part 18. The project manager must submit all financial, performance, and other reports required as a condition of the grant, within 90 days after the expiration or termination of the grant. This time frame may be extended by the Associate Administrator for Hazardous Materials Safety for cause. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by 66 FR 45377, Aug. 28, 2001] Recipient agencies may request a deviation from the non-statutory provisions of this part. The Associate Administrator will respond to such requests in writing. If appropriate, the decision will be included in the grant agreement. Request for deviations from part 110 must be submitted to: Grants Manager, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, 400 7th Street, SW., Washington, DC 20590–0001. [Amdt. 110–1, 57 FR 43067, Sept. 17, 1992, as amended by Amdt. 110–3, 59 FR 49132, Sept. 26, 1994; 66 FR 45377, Aug. 28, 2001] Disputes should be resolved at the lowest level possible, beginning with the project manager and the project officer. If an agreement cannot be reached, the Administrator, PHMSA, will serve as the dispute resolution official, whose decision will be final.
Title 49: Transportation
PART 110—HAZARDOUS MATERIALS PUBLIC SECTOR TRAINING AND PLANNING GRANTS
Section Contents
§ 110.1 Purpose.
§ 110.5 Scope.
§ 110.7 Control Number under the Paperwork Reduction Act.
§ 110.10 Eligibility.
§ 110.20 Definitions.
§ 110.30 Grant application.
§ 110.40 Activities eligible for funding.
§ 110.50 Disbursement of Federal funds.
§ 110.60 Cost sharing for planning and training.
§ 110.70 Financial administration.
§ 110.80 Procurement.
§ 110.90 Grant monitoring, reports, and records retention.
§ 110.100 Enforcement.
§ 110.110 After-grant requirements.
§ 110.120 Deviation from this part.
§ 110.130 Disputes.
§ 110.1 Purpose.
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§ 110.5 Scope.
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§ 110.7 Control Number under the Paperwork Reduction Act.
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§ 110.10 Eligibility.
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§ 110.20 Definitions.
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§ 110.30 Grant application.
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§ 110.40 Activities eligible for funding.
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§ 110.50 Disbursement of Federal funds.
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§ 110.60 Cost sharing for planning and training.
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§ 110.70 Financial administration.
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§ 110.80 Procurement.
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§ 110.90 Grant monitoring, reports, and records retention.
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§ 110.100 Enforcement.
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§ 110.110 After-grant requirements.
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§ 110.120 Deviation from this part.
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§ 110.130 Disputes.
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